Dealing with Unsatisfactory PI Returns

Dealing with unsatisfactory PI returns

Background

Standards for performance have been set in respect of the following 3 PIs:

-Availability 100%

-Utilisation 90%

-Staffing 95%

All providers were notified of these standards in 2003.

We are keen to ensure that a consistent approach is adopted with regard to the action that we take where services fail to meet these standards.

Proposed Action

With effect from the PI returns received for Y3Q2 (July – September 2005) it is proposed that action be instigated in all cases where performance falls below the minimum standards in line with the following policy.

Policy

The underlying principles to be adopted in all cases are consistency and proportionality. This means that we treat all services the same in expecting them to achieve the standards we have set, but our approach to dealing with any failure to meet these will differ depending amongst other factors on:

-the margin by which they failed

-whether the failure is due to the small size of the service

-whether this is a one off or is part of a consistent pattern of failure

-whether there has been a consequent financial loss to us

-whether good reasons for the failure have been provided

-whether the issue has previously been raised with them

In all cases, whatever the final outcome, the process outlined in the attached flowchart should be followed

Issuing of default notices

The objective of setting performance standards is to get services to work at their full potential. If they are not meeting this objective we need to work with providers to identify the reasons why, and then work out how these can be addressed. In all cases the issuing of default notices should be seen as a last resort, only to be issued after all other options have been explored and failed To ensure that they retain credibility as a sanction a face to face meeting with the provider must have been held (or offered and refused) to discuss the issue before a default is issued.

Process

Elizabeth II Court West (3rd Floor)
The Castle
Winchester
Hampshire,
SO23 8UQ
Fax 01962 869384
Enquires to: / My reference:
Direct Line: 01962 847982 / Your reference:
E-mail:
Date:

[Draft Letter One: To be sent where PI standard not met and no reason given]

Dear ,

Re: Performance of [Service Name], service number [Service Number]

You have recently sent us your Performance Indicator returns for the period [Quarter concerned]. We have previously informed you of the performance standards that we expect all services to meet, and I see that on checking your return that you have failed to meet these standards in respect of [Availability, utilisation or staffing], and that you have not provided any explanation as to why this is the case.

We take the issue of the performance of services very seriously, as it is both a key measure by which we can assess that the services we contract for make the best use of the resources we have, and also one of the measures by which our performance is assessed.

We recognise that there are many reasons why a service may on occasions fail to meet our standards for performance, and in many cases can offer advice and assistance to help remedy the problem. Without an explanation however we are unable to help.

I would therefore be grateful if you could provide me in writing within 14 days of the date of this letter an explanation as why on this occasion you have failed to meet the expected standards

Yours faithfully,

Elizabeth II Court West (3rd Floor)
The Castle
Winchester
Hampshire,
SO23 8UQ
Fax 01962 869384
Enquires to: / My reference:
Direct Line: 01962 847982 / Your reference:
E-mail:
Date:

[Draft Letter Two: To be sent when explanation for poor performance is deemed to be inadequate.]

Dear ,

Re: Performance of [Service Name], service number [Service Number]

Whilst you have provided an explanation for this, I feel that I must ask you for [further information/an action plan] as to how you intend to address this issue to avoid a recurrence of this situation in future.

I would therefore be grateful if you could provide me in writing within 14 days of the date of this letter the [further information/action plan] that I have requested

Yours faithfully,

Elizabeth II Court West (3rd Floor)
The Castle
Winchester
Hampshire,
SO23 8UQ
Fax 01962 869384
Enquires to: / My reference:
Direct Line: 01962 847982 / Your reference:
E-mail:
Date:

[Draft Letter Three: To be sent no reply to Letter One or Two]

Dear ,

Re: Performance of [Service Name], service number [Service Number]

I wrote to you on [Insert date] concerning the performance of the above named service during the period [Quarter concerned]. I note that to date I have had no reply.

I must now advise you that if we do not hear from you within seven days from the date of this letter we will consider you in default of your contractual obligations with regard to the performance of this service, and we will have no alternative other than to begin the process of taking action accordingly.

This is not a process that we wish to enter into, and I would strongly urge you to contact either myself on the above number or your local co-ordinator [insert name] on [insert number].

Yours faithfully,

Elizabeth II Court West (3rd Floor)
The Castle
Winchester
Hampshire,
SO23 8UQ
Fax 01962 869384
Enquires to: / My reference:
Direct Line: 01962 847982 / Your reference:
E-mail:
Date:

[Draft Letter Four: To be sent when explanation for poor performance is deemed to be inadequate.]

Dear ,

Re: Performance of [Service Name], service number [Service Number]

I wrote to you on [Insert date] concerning the performance of the above named service during the period [Quarter concerned], and asked you provide us with [further information/an action plan] as to the reasons.

Whilst I have received your response, in your letter dated [insert date], unfortunately I still do not feels that it adequately sets out the reasons for the poor performance and/or your proposals to address this.

This is not a process that we wish to enter into, and I would strongly urge you to contact either myself on the above number or your local co-ordinator [insert name] on [insert number].

Yours faithfully,

Elizabeth II Court West (3rd Floor)
The Castle
Winchester
Hampshire,
SO23 8UQ
Fax 01962 869384
Enquires to: / My reference:
Direct Line: 01962 847982 / Your reference:
E-mail:
Date:

[Draft Letter Five: To be sent where PI standard not met and no reason given, or when explanation for poor performance is deemed to be inadequate.]

Dear ,

Re: Performance of [Service Name], service number [Service Number]

We have written to you on [Insert date], and [Insert date]concerning the performance of the above named service during the period [Quarter concerned], and asked you provide us with [further information as to the reasons/an action plan addressing the issues]. To date we [have not had a reply/do not consider the response you have provided to be adequate].

As we have stated previously, achievement of our performance standards are key aspects of your compliance with our contract. They are one of the key tools by which we measure the need for, and effectiveness of contracted service, and they are also one of the key measures by which our success is measured.

Whilst we wish to work with you to improve performance wherever possible, I must now advise you that if you do not response to me directly within seven days from the date of this letter, to arrange a time when we can discuss this issue fully, I will be arranging for you to be issued with a contract default notice in respect of poor performance.

I would once again urge you as a matter of urgency to contact me on [insert number].

Yours faithfully,