NOT PROTECTIVELY MARKED
Contract for the Provison of Secure Escort Services for Children and Young People
SCHEDULE 6: Contract Delivery Indicators
Schedule 6 Contract Delivery Indicators
Page 1
April 2012
NOT PROTECTIVELY MARKED
Contract for the Provison of Secure Escort Services for Children and Young People
1.
Definitions and Interpretation
1.1
All Definitions can be found in the main body of Volume 3 Terms and Conditions
2.
Introduction
2.1
The Services provided by the Contractor constitute a critical link between Courts,
Secure Relevant Premises, the police and other Agencies. Poor performance at any
stage in the process is likely to cause disruption to the administration of justice.
2.2
The Authority has identified a number of key performance measures (“Contract
Delivery Indicators”), listed at Appendix A to this Schedule 6. The order in which
the Contract Delivery Indicators appear does not indicate relative priority.
2.3
Each of the Contract Delivery Indicators specifies the criteria (the “CDI Criteria”) by
which each area shall be measured and the remedies that shall apply in the event of
poor performance.
2.4
The Contract Delivery Indicators relate solely to the Contractor’s performance in
respect of the relevant specific obligations. Absence of a Contract Delivery Indicator
for any other aspect of the Contractor’s obligations under this Contract does not mean
that the Contractor has no responsibility or liability for poor performance in those
areas.
2.5
Poor performance gives rise to the following consequences:
(A)
Liquidated Damages; and /or
(B)
a requirement for Improvement.
2.6
In determining the appropriate level of Liquidated Damages (where applicable), the
Authority has taken care to ensure that they represent a reasonable but genuine preestimate of loss.
3.
Monthly Performance Report
3.1
The Contractor shall submit a monthly report (the “Monthly Performance Report”) to
the Contract Manager no later than fifteen (15) Days after the end of the relevant
Month.
3.2
The Monthly Performance Report shall:
a) provide the Authority with Management Information in accordance with Schedule 1,
Part 2 (Authority's Requirements Services Specification);
b) state the Contractor’s performance against each of the Contract Delivery Indicators;
and
Schedule 6 Contract Delivery Indicators
Page 2
April 2012
NOT PROTECTIVELY MARKED
Contract for the Provison of Secure Escort Services for Children and Young People
c) identify any areas in which the Contractor’s performance has resulted in the relevant
CDI Criteria occurring, and provide reasons for that occurrence.
3.3
Where the Authority does not agree with the Contractor’s assessment of performance
against any of the Contract Delivery Indicators as stated in the Monthly Performance
Report, it shall notify the Contractor of the Authority’s assessment of such
performance. If the Parties fail to reach agreement as to the assessment of such
performance within twenty eight (28) Days of the date of such notification, the matter
shall be resolved in accordance with clause 74 (Dispute Resolution).
3.4
Where the Authority accepts the Contractor’s assessment of performance as stated in
the Monthly Performance Report, or following agreement or resolution of any dispute
over such assessment in accordance with paragraph 3.3, the relevant CDI Remedy
as stated in Appendix A shall be applied in accordance with paragraphs 4 and 5.
3.5
The Authority shall review the Contract Delivery Indicators from time to time, and their
associated CDI Criteria, with a view to assessing whether they remain appropriate in
all the circumstances and deliver value for money. In particular, the Contractor
acknowledges and agrees that:
(A)
the Contract Delivery Indicator for Unplanned Journeys (CDI Reference 3.2)
shall be reviewed on a twice yearly basis following the Services
Commencement Date by reference to average journey times for such journeys
(which data shall be provided by the Contractor as part of the Monthly
Performance Report). The Parties shall jointly review the data relating to
average journey times and agree (acting reasonably) changes to the Contract
Delivery Indicator to reflect Service improvements that may be (or have been)
made.
The product of these reviews shall, when agreed, be incorporated into Appendix A
using the process set out in Schedule 9 (Change Mechanism).
4.
Liquidated Damages
4.1
Where the CDI Remedy specified in Appendix A is Liquidated Damages, the
Contractor's Monthly Performance Report shall identify the sums due and the Authority
shall deduct the amount of such Liquidated Damages from payments of the Contract
Price made in accordance with clause 44 (Payment Provisions) and Schedule 5
(Payment Mechanism).
5.
Improvement
5.1
Where the CDI Remedy specified in Appendix A is Improvement, within seven (7)
days of the date of issue of the Monthly Performance Report the Contractor shall
deliver to the Authority a plan (the “Improvement Plan”) in respect of the relevant
Contract Delivery Indicators.
5.2
Without prejudice to the provisions of paragraph 5.1, the Authority may at any time
Schedule 6 Contract Delivery Indicators
Page 3
April 2012
NOT PROTECTIVELY MARKED
Contract for the Provison of Secure Escort Services for Children and Young People
issue a notice (an "Improvement Notice") if, in its reasonable opinion, the Authority
considers the Contractor has repeatedly failed to operate in accordance with the
Contract in relation to the safety and welfare of any Children and Young People (an
"Operational Failure"). An Improvement Notice shall state:
(A)
the nature of the occurrence of the failures;
(B)
the dates on which the occurrences of failure were recorded or took place;
(C)
an account of any relevant circumstances, so far as known to the Authority;
and
(D)
any other supporting information which the Authority considers to be relevant,
following which the Contractor shall, within seven (7) Days of the date of issue of such
an Improvement Notice, deliver to the Authority a plan in respect of the relevant
failures (which shall also constitute an "Improvement Plan" for the purposes of this
Schedule 6).
5.3
The Improvement Plan shall (in either case):
(A)
provide a detailed statement of the reasons for the occurrence of the CDI
Criteria or Operational Failure (as the case may be);
(B)
identify the remedial action needed to:
(1)
rectify the circumstances which have resulted in the occurrence of the
failure to meet any CDI Criteria identified in the Monthly Performance
Report or the Operational Failure (where rectifiable), and
(2)
achieve a permanent resolution of such poor performance and prevent its
re-occurrence;
(C)
set out the Contractor’s proposals for carrying out the remedial actions, a
programme for undertaking such actions and the date by which they will be
completed;
(D)
identify any actions or consents required from the Authority, any Authority
Related Party and/or any Agency to facilitate the Contractor’s remedial actions
(where these activities do not form part of the Contractor's obligations under
this Contract);
(E)
not increase cost or risk to the Authority and
(F)
propose criteria for the purpose of auditing completion of the remedial actions
and resolution of the poor performance (to include an appropriate period of
time to monitor the stability of the resolution).
Schedule 6 Contract Delivery Indicators
Page 4
April 2012
NOT PROTECTIVELY MARKED
Contract for the Provison of Secure Escort Services for Children and Young People
5.4
Following receipt of an Improvement Plan, the Authority may (acting reasonably):
(A)
agree it; or
(B)
reject it (identifying the principal reasons for such rejection) and require the
Contractor to submit a revised Improvement Plan to address those issues
within seven (7) Days of such rejection.
5.5
Where the Contractor fails to submit a revised Improvement Plan in accordance with
paragraph 5.4(B), or the revised Improvement Plan is in the Authority’s reasonable
opinion unacceptable, the matter shall be resolved in accordance with clause 74
(Dispute Resolution).
5.6
The Contractor shall implement all the remedial actions set out in an Improvement
Plan by the date specified in the Improvement Plan and, with respect to those actions
to be taken by the Contractor or its Subcontractors, at the Contractor’s own cost, i.e.
without any cost to the Authority
5.7
The Authority shall provide the Contractor with the name of a person authorised to act
on behalf of the Authority (the “Lead Officer”) for the purposes of measuring progress
against an Improvement Plan, completion of the audit and closure following
completion. Persons who may be nominated as Lead Officers may include the
Contract Manager (or designated representative, including the Contract Monitor).
5.8
Subject to paragraphs 5.10(A) to 5.10(C), an Improvement Plan shall remain open
until the remedial actions to be carried out under it by the Contractor have been
audited by the Authority and the Lead Officer has confirmed in writing that all such
remedial actions have been completed in accordance with the agreed Implementation
Plan (and, in addition, performance of the relevant elements of Service have been
provided fully in accordance with this Contract (and, where relevant, so as to meet the
applicable CDI Criteria) for the monitoring period agreed by the Contractor and the
Authority) whereupon it shall be closed.
5.9
Where the remedial actions required under an Improvement Plan are carried out and
completed but do not succeed in rectifying the circumstances which have resulted in
the occurrence of the failure to meet any CDI Criteria identified in the Monthly
Performance Report or Operational Failure (where rectifiable) or in achieving a
permanent resolution of such poor performance and preventing its re-occurrence, the
Authority shall, without prejudice to its rights under paragraph 6 be entitled to issue a
further Improvement Notice pursuant to paragraph 5.2 in which case the process set
out in the remainder of this paragraph 5 shall apply (with the necessary changes).
5.10
Where relevant, the Authority shall endeavour to procure any actions or consents
identified in an Improvement Plan as required from an Authority Related Party or
Agency. Where the Authority is unable to procure such compliance, and it is
impossible for the Contractor to implement the Improvement Plan without such actions
or consents, it may:
Schedule 6 Contract Delivery Indicators
Page 5
April 2012
NOT PROTECTIVELY MARKED
Contract for the Provison of Secure Escort Services for Children and Young People
(A)
agree that the Contractor is no longer required to complete the remedial
actions identified in the Improvement Plan for which such actions or consents
are needed; or
(B)
agree with the Contractor a revised date for completion of the relevant remedial
actions within the Improvement Plan; or
(C)
close the Improvement Plan and relieve the Contractor of the obligation to
complete the relevant remedial actions identified in it.
(D)
where the Parties agree it is not possible for the Contractor to meet the
requirements of the Contract, execute a Contract Change in accordance with
Schedule 9 (Change Mechanism).
5.11
An Improvement Plan may relate to one or more Contract Delivery Indicators and to a
particular site, a number of sites or a whole contract area.
5.12
Each Improvement Plan shall be sequentially numbered from a central register
maintained by the Contractor and Supplier Management Team. In the event a further
unconnected circumstance which results in the occurrence of the failure to meet any
other CDI Criteria, a separate Improvement Plan shall be raised and recorded in the
central register under a separate sequential number.
5.13
A report on progress against each open Improvement Plan shall be provided at each
monthly Contract Review Meeting.
6.
Rectification
6.1
Where:
(A)
the Contractor fails to complete the remedial actions in an Improvement Plan
by the date specified in it for their completion or to the Authority’s relevant audit
standards, or performance of the relevant elements of Service have not been
provided fully in accordance with this Contract (and, where relevant, so as to
meet the applicable CDI Criteria) for the monitoring period identified within the
Implementation Plan; or
(B)
the Contractor fails to achieve the relevant CDI Criteria in respect of the same
Contract Delivery Indicator two (2) or more times in any rolling period of twelve
(12) Months (whether or not the Contract Delivery Indicator identifies
Improvement Plan as the CDI Remedy),
the Authority may at its sole discretion:
Schedule 6 Contract Delivery Indicators
Page 6
April 2012
NOT PROTECTIVELY MARKED
Contract for the Provison of Secure Escort Services for Children and Young People
6.2
(1)
agree an extension to any relevant Improvement Plan;
(2)
agree a revised relevant Improvement Plan; or
(3)
issue a Rectification Notice requiring the Contractor to provide a
Rectification Plan.
Notwithstanding the other provisions of this Schedule 6 (including in particular those
relating to the production of Improvement Plans in paragraph 5), where a Serious and
Significant Incident occurs, due to the act or omission of the Contractor in default of
this Contract, the Authority may:
(A)
issue a Rectification Notice requiring the Contractor to provide a Rectification
Plan; or
(B)
in the case of Death of a Child or Young Person in the Custody of the
Contractor only, issue a Termination Notice on grounds of Contractor Default in
accordance with clause 49.2 (Remediation).
6.3
Following receipt of a Rectification Notice, the Contractor shall within fourteen (14)
Days of the date of its issue provide a Rectification Plan which shall set out the
Contractor’s proposals for carrying out the necessary rectification action and the date
by which they will be completed.
6.4
On receipt of a Rectification Plan the Authority may:
6.5
(A)
agree it; or
(B)
reject it and require the Contractor to submit a revised Rectification Plan within
seven (7) Days of such rejection.
If:
(A)
the Contractor fails to submit a revised Rectification Plan in accordance with
paragraph 6.4(B), or
(B)
the revised Rectification Plan is in the Authority’s reasonable opinion
unacceptable, or
(C)
within 28 days of a Rectification Plan (or a revised Rectification Plan) being
agreed the Contractor fails to carry out and complete the rectification works
specified in it to the Authority’s relevant audit standards, or in the Authority’s
reasonable opinion fails to make substantial progress against actions agreed,
the Authority may in its sole discretion:
(1)
agree an extension to the time for carrying out and completing the
Rectification Plan; or
Schedule 6 Contract Delivery Indicators
Page 7
April 2012
NOT PROTECTIVELY MARKED
Contract for the Provison of Secure Escort Services for Children and Young People
(2)
agree a revised Rectification Plan; or
(3)
issue a Termination Notice on grounds of Contractor Default in
accordance with clause 49.2 (Remediation).
Schedule 6 Contract Delivery Indicators
Page 8
April 2012
NOT PROTECTIVELY MARKED
Contract for the Provison of Secure Escort Services for Children and Young
Appendix A: Contract Delivery Indicators
The Contract Delivery Indicators are detailed in the table below, together with mechanisms to address performance failure.
Performance Area
Reference Proposed Performance Measure
CDI Remedy Amount of Liquidated
Damages
1. Secure Custody
1.1
Each Escape of a Child or Young Person who is the Improvement
responsibility of the Contractor.
2. Children and Young
Person Welfare
2.1
Each incident of death or suicide in custody either : Improvement
• whilst in custody of the contractor and for
which the Coroner, Prisons and Probation
Ombudsman's or any other body that has a
statuary obligation to this contract, findings
indicate some or all of the responsibility for
the incident to the Contractor, Contractor's
Staff or Operating Manual; or
•
2.2
Schedule 6 Contract Delivery Indicators
Note
Contractor
The contractor
would not have
any liability for this
CDI within the
court environment
whilst not in Contractor’s custody where the
Coroner, Prisons and Probation
Ombudsman's or any other body that has a
statuary obligation to this contract, findings
indicate some or all of the responsibility for
the incident to the Contractor, the
Contractor's Staff or Operating Manual
Each incident of self harm by a Child or Young Improvement
Person whilst in the custody of the Contractor due
to a failure to comply with the Operating Manual or
Page 9
to
April 2012
NOT PROTECTIVELY MARKED
Contract for the Provison of Secure Escort Services for Children and Young
other default
2.3
2.4
2.5
2.6
3. Service Delivery
3.1.1
Each incident where Physical Restraint is
inappropriately used and/or the incorrect Physical
Restraint method is applied
Each failure to report a Reportable Incident
Improvement
Each incident where a Child or Young Person is Improvement
harmed by another whilst in custody of the
Contractor
Two (2) or more incidents of failure to provide Improvement
Decent Conditions for a Child or Young Person
whilst under the responsibility of the Contractor over
a 3-Month period
Each incident of court delay due to the Contractor's Liquidated
actions or omissions resulting in a Child or Young Damages
Person (who is the responsibility of the Contractor)
not being available in court at the required court
appearance
If the contractor does not
make the schedule hearing
and the court sits empty or the
contractor was unable to
rearrange the hearing for the
same day the below Liquated
damages will come into effect
Three (3) or more such incidents in any rolling 3Month period
Crown Court: £931 per hour
pro rate for each period of 15
minutes
Magistrates
Court/Youth
Improvement Courts: £470 per hour pro rate
for each period of 15 minutes
3.1.2
Schedule 6 Contract Delivery Indicators
Improvement
Page 10
April 2012
NOT PROTECTIVELY MARKED
Contract for the Provison of Secure Escort Services for Children and Young
3.2
Three (3) or more failures within a 6-Month period Improvement
of any of the below

3.3
3.4
4. Quality of Compliance
4.1
Schedule 6 Contract Delivery Indicators
Failure to collect a Child or Young person
within 3 hours of the escorting task being
requested (the phone call) by the Authority
for unplanned journeys and unplanned
bedwatches
 Failure to arrive within 20 minutes before or
after of the agreed pick up time for a
planned transfer
 Failure to deliver a Child or Young Person
in time for planned in patient treatment
Each failure to confirm a valid Warrant to hold a Improvement .
Child or Young Person and that the Child or Young
Person is the person identified in the Warrant
Ten (10) or more incidents of failure over a 6-Month Improvement
period to provide an accurate time of delivery at the
start of the journey to the relevant premises.
(excluding where the Journey relates to delivery of
a Young Person for planned inpatient treatment).
The tolerance levels for the accurate time are:
< or = 2 hour journey = 20 minutes either way
>2 hour journey = 30 minutes either way.
The Authority will
be
looking
to
review the CDI’s
after 2 years
.
Three (3) or more incidents of failure to provide Improvement
complete and accurate required Management
Information within the prescribed time scale as
required by the Contract in a 6-Month period
Page 11
April 2012