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PERFORMANCE MANAGEMENT

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  • 1. PERFORMANCE MANAGEMENT Our Framework For Performance Management Version 6 March 2005
  • 2. OVERVIEW Performance Management City of Lincoln Council has risen to the challenge of driving through improvement following its Comprehensive Performance Assessment in November 2003. The authority is committed to striving for excellence and its aim is to become an 'Excellent' authority, one publicly recognised for the quality of the services it provides to the local community. Performance Management is an essential, key aspect of this improvement agenda and supports not only the above ambition, but also the authority's overall high-level mission: “The Council believes that its prime duty is to seek to deliver either by direct action or by working with partners, sustainable improvements in the economic, social and environmental well-being of the citizens of Lincoln”. Over the next five years the authority is committed to deliver 7 key strategic priorities that will make a difference for the people of Lincoln and assist it to achieve 'excellent' status. These priorities are defined as: • Improvement of the City's infrastructure and car parking and regenerating key parts of the city • Improvement of the Waste Management, Street Cleansing, Open Spaces Maintenance and Recycling Services. • Delivering progress towards more of our residents having decent homes to live in. • Increasing the satisfaction of our service users and ensuring the authority becomes classed as EXCELLENT • Determining an effective strategy for dealing with Crime and Anti-Social Behaviour reflecting the needs of local communities • Determining an effective strategy for ensuring sustainable local communities across the city • Secure the benefits of partnership for investment in Yarborough Leisure Centre and Birchwood Leisure Centre by delivering improvements in the quality of the council's centre-based leisure and sports facilities 1 PERFORMANCE MANAGEMENT
  • 3. OVERVIEW Effective Performance Management is the underpinning mechanism to ensure these priorities are achieved. This document offers both an overview and a practioners guide to how performance is managed by the organisation. As such it is written on two levels, one for the casual reader or member of staff who wishes to identify their particular role within the framework, and also at a deeper level (supported by a range of “Pull Out and Use” work breakdown structures) for those with responsibility for implementing and administering the framework. Crucially this document seeks to comprehensively cover, and formalise in a coherent and integrated way, the EXISTING operational good practice that is already taking place across the organisation. The Framework does introduce some new concepts such as: A) Late morning opening - a capacity building measure B) PRIDE Scheme - a celebration of success C) Performance Improvement Clinic - a supportive diagnostic/intervention measure However, the main objective of the document is to provide a guide to Members, Heads of Service, and Managers. Performance management is examined in detail to build up a comprehensive picture of how performance can be managed from the outset at both the personal and organisational level. It also provides strong evidence to the Audit Commission that the authority is taking performance seriously within a defined framework where everyone knows their responsibility. The fundamental principle of the whole document is that performance issues are identified and quickly tackled at the point closest to service delivery. This is the single most important point within the document as it promotes and builds the concept of ownership. If performance is regularly discussed in staff “one to ones”, team meetings and Departmental Management Teams, it is anticipated that solutions will be identified at this level. Only in exceptional circumstances will performance issues need to escalate to Corporate Management Team and from there ultimately to a Performance Improvement Clinic. Our Framework For Performance Management 2
  • 4. OVERVIEW This document is not revolutionary, it is not a brand new concept or approach, it is a basic common sense approach to performance, basically following the model of: Step One: Define Priorities and Objectives Step Two: Define measures and targets Step Three: Provide the resources to deliver Step Four: Allocate responsibility and ensure ownership Step Five: Monitor delivery Step Six: Intervene (at the closest point to any “blockage”) Step Seven: Deliver against targets Step Eight: Post Implementation Review to extract learning Step Nine: Feed learning into new priorities and objectives The Nine 'Steps' of Performance Management These nine steps provide the theme that runs throughout this document. Whilst there are many procedures and mechanisms in place, and are described in detail in the text, this guide seeks to always link them back to these simple, logical steps. It is what many of us are doing already and this guide aims to cover, in the simplest terms possible, this Authority's approach to performance management so everyone can better understand their role within it. 3 PERFORMANCE MANAGEMENT
  • 5. CONTENTS SECTION TITLE PAGE 1 The Overall Approach 5 2 Determining Vision & Planning Delivery 10 3 Managing Delivery 13 4 Appraising & Supporting Staff 14 5 Organisational Systems 19 6 Conclusion 27 Appendices A Key Milestones within the Cycle B Summary of Roles and Responsibilities C Performance Improvement Clinic Supporting Documents (referred to in text) 1 Position Statement and Action Plan 2 Pull Out and Use Work Breakdown Structures: A The Strategic Planning Cycle B The Service Planning Cycle C Performance Monitoring D Target Setting and the Best Value Performance Plan Our Framework For Performance Management 4
  • 6. SECTION 0NE THE OVERALL APPROACH Performance management is simply the culture (e.g. leadership, responsibility, accountability, ownership) and systems (e.g. service planning, committees, meetings, monitoring) that the organisation puts in place to help it manage and continuously improve its performance. The City Council's approach to Performance Management builds on this approach and consists of two interrelated parts that support one another. These parts are: • Recognition of Staff as individuals - a focus on ensuring personal commitment and accountability to performance management. This includes support through training, development and appraisal and the formal recognition scheme - PRIDE. It also incorporates capability issues at the appropriate point. Overall committed and dedicated staff, working in a performance-orientated culture, is central to a high performing authority and treating staff as individuals is fundamental. • Recognition of Organisational Systems - is concentrated around the formal systems by which the Council makes decisions, implements them and monitors delivery. The primary focus therefore is on the 'official' systems and procedures in place to support the individual to perform. So What Mechanisms Are Involved? Performance management is about systems and the people using them. There is a need for the right systems to suit the right people at the right levels. Of course the authority accepts that there is a need for the right organisational culture to embed the behaviours that are essential to ensure those systems are used. The mechanisms in place to enable this twin cycle of activity to take place are as follows: 5 PERFORMANCE MANAGEMENT
  • 7. SECTION 0NE : THE OVERALL APPROACH The Nine Steps The Individual Organisational Systems STEP ONE Defining Vision & Priorities • Team meetings • Strategic Plan • Job chats • Service Plans • Staff workshops STEP TWO Defining Measures & Targets • Team meetings • Strategic Plan • Job chats • Service Plans • Staff workshops STEP THREE Providing Resources • Budget allocated to the individual • Service Plans • Budget Reports STEP FOUR Allocating Responsibility • Job chats • Service Plans • Staff Appraisal process • Team Plans STEP FIVE Monitoring Delivery • Staff Appraisal • Directorate Management Team • Job chats • Corporate Management Team • Team meetings • Major Projects Monitoring • Members STEP SIX Providing Additional Support • Support - training/coaching etc. • Support - Resource re-allocation • Escalation - Capability procedures • Escalation - Performance Improvement Clinic STEP SEVEN Delivery - Reward & Recognition • PRIDE • Committee Reports • Staff Appraisal • Management Reports • Personal thanks STEP EIGHT Reviewing Results • Team meetings • Standard PIR’s • Staff Appraisals • Staff Workshops STEP NINE Capturing Learning • Documented appraisal • Learning library on intranet • Minutes team meetings • Workshop outputs Fig.1 The Mechanisms for Performance Management In simple terms, the Council's formal Performance Management Framework (PMF) seeks to achieve an environment whereby: Our Framework For Performance Management 6
  • 8. SECTION 0NE : THE OVERALL APPROACH The Nine Steps Section within this guidance STEP ONE The authority's vision is defined and objectives set through the Community Plan SECTION TWO and supported by the Strategic Plan i.e. Where we want to go STEPS TWO AND THREE Translated into service plans and team plans containing specific key objectives, SECTION TWO responsibilities and targets i.e. How we are going to get there STEP FOUR Cascaded down to individual members of staff through the Appraisal process. SECTION FOUR i.e. Who is going to help us get there STEPS FIVE TO SEVEN Reviewing performance through indicators and milestones - Staff & Systems SECTIONS FOUR & FIVE i.e. How fast we are getting there STEPS EIGHT AND NINE Reporting performance through the Best Value Performance Plan SECTION FIVE i.e. Letting everyone know we have got there Fig.2 A simple Structure to Performance Management - Maintaining the “Golden Thread” from policy to performance. 7 PERFORMANCE MANAGEMENT
  • 9. SECTION 0NE : THE OVERALL APPROACH Golden Thread The clear linkages between the actions of individual members of staff, teams, services and directorates and the high level objectives that are expressed in the Strategic Plan and Community Plan is what is termed the 'golden thread'. It ensures a continual focus on staff doing things that contribute to the high-level objectives, particularly the seven key priorities over the next five years. It also helps staff to understand how what they do contribute to improving outcomes for local people. City of Lincoln Council - Maintaining the Golden Thread In reality, and putting names to the key strategies and documents that make up this process, for the City Council this is represented by: COMMUNITY PLAN - A VISION FOR THE CITY BEST VALUE PERFORMANCE STRATEGIC PLAN • City Council's contribution to the PLAN (BVPP) Community Plan • Statutory assessment of City • Council's vision and priorities Council performance DIRECTORATE SERVICE OTHER CORPORATE AND TEAM PLANS PLANS/STRATEGIES • Service Objectives • E Govt • Service Performance Assessment • Efficiency Savings • etc INDIVIDUAL APPRAISAL Fig. 3 The formalised process for maintaining the “Golden Thread” The framework starts with our high level policies - Strategic Plan and Best Value Performance Plan. These set out the vision by which the Council will operate and steer the organisation. These documents outline the key priorities and objectives for the City Council for the next three to five years together with specific actions and targets for measuring achievement. Our Framework For Performance Management 8
  • 10. SECTION 0NE : THE OVERALL APPROACH These objectives are then cascaded down through Directorate and then Head of Service plans to provide targets and objectives for teams and individual members of staff. The Authority can then assess the effectiveness of action to achieve these objectives through individual appraisal. Finally we report back on outcomes through Corporate Management Team meetings, Departmental Team meetings, Team meetings and various committee reports. This reporting cycle then feeds into the following year's plans and strategies to ensure learning is captured. This briefly explains the Performance Management Framework at City of Lincoln Council. The rest of this guide explains each of these elements in more detail, and for practitioners, references to separate “Pull Out and Use” work breakdown structures, which specify in more detail the roles, responsibilities and timings. 9 PERFORMANCE MANAGEMENT
  • 11. SECTION TWO DETERMINING THE VISION AND PLANNING ITS DELIVERY The Annual Strategic Planning and Service Planning Cycle Underpinning Performance Management is an annual cycle of activity to firstly sets the Priorities, Objectives and Milestones for the year ahead (Strategic Plan/ Best Value Performance Plan), and then ensures the necessary resources, both staff and financial, are allocated to deliver them (service plans). This is an 8-stage cycle and is illustrated by the following: 1 8 Implement and monitor service plans MAY ONGOING Engage in Consultation SEPTEMBER TO OCTOBER Analyse results NOVEMBER 2 7 Finalise service plans incl. approved bids APRIL TO MAY CYCLE FOR MEMBERS, CORPORATE DIRECTORS AND HEADS OF SERVICE 3 Develop corporate priorities and objectives NOVEMBER 6 Appraise, consult and Confirm priorities 4 5 approve range of bids and objectives JANUARY TO MARCH NOVEMBER Develop supporting Strategic Plan bids DECEMBER Fig. 4 The Corporate Planning Cycle Each stage of this cycle is explained in more detail below, and the “Pull Out and Use” work breakdown structure referenced below offers further information on the roles, responsibilities and timings within this process. See Pull Out A - Strategic Plan Cycle See Pull Out B - Service Planning Cycle Our Framework For Performance Management 10
  • 12. SECTION TWO : DETERMINING THE VISION AND PLANNING ITS DELIVERY 1 Engage in Public Consultation - September to October The process begins with two sets of workshops - one at Corporate Management Team/Head of Service level and one at Member level to amend existing/identify new priorities and objectives and reflect likely external pressures. The draft priorities and objectives from this process are then subjected to external consultation with stakeholders. Stakeholders include staff, residents and partners. The Policy Unit leads on all such consultation. 2 Analyse results - November The Policy Unit subsequently analyses the results of all stakeholder sessions and produce a detailed report ranking the priorities and objectives and cross referencing to any national priorities. 3 Develop Corporate objectives - November The results are considered by both an 'All Member' workshop and a separate joint CMT/Host workshop. Both sessions are facilitated by the Policy Unit. 4 Confirm Priorities and Objectives - November The Policy Unit produces a report for Executive bringing together the outputs from all the workshop sessions. Executive then confirms the final set of priorities and objective for the following year. 5 Develop Strategic Plan bids - December Once the objectives have been finalised and prioritised, proposed new activity and initiatives requiring financial resources are produced from within service areas. For each, directorates must produce a project brief detailing the outcomes expected and how such activity will support key objectives. The Policy Unit supports the collation of such project briefs, but it remains each directorate's responsibility to produce the briefs. 11 PERFORMANCE MANAGEMENT
  • 13. SECTION TWO : DETERMINING THE VISION AND PLANNING ITS DELIVERY 6i Appraise and Prioritise bids - January to March All collated bids are considered within a Corporate Management Team session to quality control the bids put forward, and the final list is referred to Members. An 'All-Member' workshop, facilitated by the Policy Unit, ranks all these bids using a basic scoring system and the results form the basis of a report to Executive. Executive subsequently approves a “Select List” of bids to expose to public consultation. 6ii Appraise and Prioritise bids - January to March Public Consultation (same external groups as per stage 1 above) recommences on the 'select list' of bids. This process is facilitated by the Policy Unit results in a final ranking for each scheme (after analysis of the results by the Policy Unit). This forms the basis of a report to Full Council, which is incorporated into the annual Council Tax setting process. 7 Write Service Plans - April to May Service plans at Directorate and Head of Service Level are then completed within directorates, building in the agreed priorities, objectives and approved schemes for the following year. Service plans are drafted in sufficient detail to enable the cascading down of objectives to individual members of staff. 8 Implement and Monitor plans - May onwards The Strategic Plan, Best Value Performance Plan and supporting service plans are published and implemented at the end of the cycle. Cascading of objectives down to individual staff members is undertaken and monitoring commences. The Strategic Plan ensures that staff and stakeholders are provided with a clear vision of where the authority is going and the priorities to be met. The Best Value Performance Plan specifies in service delivery terms the targets, measures and objectives to achieve the vision. The service plan ensures accountability for delivery and allocates the specific resources to get there. Our Framework For Performance Management 12
  • 14. SECTION THREE MANAGING DELIVERY So How Does it Work Operationally? The approach to performance management can be illustrated in the following diagram, which clearly shows the two interrelated aspects referred to in Section One. The shaded boxes (referenced by letters) identify the organisational systems in place to support performance management, whilst the clear boxes (referenced by numbers) identify the processes relating to staff as individuals. This diagram visually demonstrates how the two aspects to performance management inter-relate and each aspect/cycle is developed further in the next two sections. A Confirm Service Plans 1 7 B H Agree targets & Capture learning Allocate projects & Capture lessons learned immediate Personal targets and standards Development Needs G CYCLE FOR Complete Post 6 MANAGERS AND 2 C Implementation Review targets STAFF Staff Appraisal Monitor Progress Reviews F1 D1 Complete Projects 5 3 Monitor projects Determine rewards Ongoing performance /recognition monitoring D2 F2 Monitor PI Assess Performance performance 4 Additional Support E Take remedial action Fig.5 The Performance Management Cycle 13 PERFORMANCE MANAGEMENT
  • 15. SECTION FOUR APPRAISING AND SUPPORTING STAFF Maximising the Potential of Our Staff Isolating those aspects of performance management relating to the individual, there are seven basic stages utilised by the City Council. Capture Learning 7 1 Agree targets & immediate Personal development Needs Review targets 6 MAXIMISING OUR STAFF POTENTIAL Appraisal 2 5 Ongoing 3 4 Rewards /Recognition performance monitoring Additional Support Fig.6 The Performance Management Cycle for individual Staff Stage 1 - Agree Targets and Support Heads of Service negotiate, with those affected staff, the accountability for projects, targets and service standards early in the service planning cycle. This ensures a realistic and deliverable set of objectives that feed into the finalised service plan for the year ahead. Individual responsibilities are then confirmed when the service plan becomes operational as part of the appraisal process and/or job chats. Our Framework For Performance Management 14
  • 16. SECTION FOUR : APPRAISING AND SUPPORTING STAFF Personal development needs (necessary to meet these new responsibilities) are identified as part of the negotiation process (ie whilst staff objectives are being negotiated prior to finalisation of the service plan) and are met at both the 'formal' and 'informal' level. Formal development may include training and is built into the Training Strategy for the year (service managers inform Human Resources at the start of the year of the training needs of their staff and any corporate need met where training is the appropriate delivery mechanism) and reflected in service plans. Informal development includes mentoring and coaching activities, which are organised by service managers. Staff have the opportunity to further raise any issues around capacity and training as part of either their annual appraisal or their more regular 'job chats' throughout the year. Team responsibilities and development needs are clarified at Team Meetings, again at the outset of the year. See Pull Out B - Service Planning Stage 2 - Formal Appraisal This relates to the formal, annual appraisal of the individual. The authority has a structured appraisal system to review performance over the preceding year and review the allocated performance targets (see stage 1 above) for the current year. This provides an opportunity to discuss barriers/constraints on performance and therefore enable additional support to be put in place. Stage 3 - On going Monitoring Progress is monitored throughout the year through both regular 'Job chats' with a line manager and Team Meetings. Each Director will take an overview through Directorate Management Team meetings. To facilitate monitoring at team level, one morning each week is designated as late opening to the public. This affords the opportunity for each team to come together to review performance, discuss issues of corporate/ departmental importance or undertake additional training. This is a critical aspect of the performance management culture as it enables staff to take a “breather” and look at performance as a team and identify how improvements can be made. The role of each line manager is essential in ensuring such sessions achieve a productive outcome. See Pull Out C - Performance Monitoring 15 PERFORMANCE MANAGEMENT
  • 17. SECTION FOUR : APPRAISING AND SUPPORTING STAFF Stage 4 - Additional Support Where performance falls short of the level agreed, then additional support is required. Such support involves further training or providing additional coaching and mentoring. Such help is documented (minutes of any discussions) and agreed by all parties. The result is monitored (possibly through an increased level of monitoring - agreed as part of any performance review meetings). Where improvement is insufficient to reach agreed targets then further intervention action, on an escalating scale is required. Some of this activity may well count as the preliminary stages of the Council adopted capability procedures. The objective is to offer a realistic level of support to give staff every opportunity to meet agreed performance standards. Support at team level is similar. The regular team meetings are used to review team targets. Support is agreed between the line manager and team and is supportive in nature offering capacity building opportunities such as training/coaching and also problem solving sessions to involve the whole team in identifying blockages to performance. There are various techniques to analyse where performance blockages may be and the use of staff from elsewhere in the authority with experience in using the tools can be used. It is essential that the team 'buys into' the action agreed to resolve the performance issues. Should performance continue to fail then managers will need to look at the individual performance of each member of the team to ascertain if it could be a personal performance issue (and this may be revealed by the job chat sessions anyway). Our Framework For Performance Management 16
  • 18. SECTION FOUR : APPRAISING AND SUPPORTING STAFF Stage 5 - Reward and Recognition Personal Responsibility in Delivering Excellence (PRIDE) is a new scheme that ensures recognition for outstanding performance at individual and team level. The authority believes that a motivation to perform and “do a good job” is inherent in the staff who work for the authority. The public service ethos is unique and to some extent would be undermined by the introduction of the predominantly monetary based incentives schemes typified in the private sector. PRIDE therefore gives the opportunity to 'shout' about outstanding performance and enables staff who have excelled to rightly feel proud. It operates at both a team and individual level. Members of the community or fellow staff can nominate with supporting examples of outstanding service. The scheme is sponsored by Corporate Directors and administered by the Chief Executive's office. There are up to three ceremonies during the year, with presentations made to those selected. In addition in December each year there is a PRIDE Employee/Team of the year award. The annual winner/s also receive an entry on the Roll of Honour on permanent display in Main Reception. Of course the regular job chats and appraisal processes also provide the opportunity to recognise excellent performance and build up over time a picture of high achievement for the individual. Stage 6 - Review There are occasions when targets will need to be reviewed, but these are not undertaken lightly, and all opportunities exhausted first to meet the standards. .Any performance standards/targets or commitments published within the Best Value Performance Plan are only reviewed with extreme caution and must be assessed by Performance and Corporate Management Overview and Scrutiny Committee prior to approval by Executive. If circumstances have changed and targets will clearly not be met, management and staff together must determine more appropriate personal and team targets. However, a robust case is prepared to justify the revision of targets and this is agreed at least at Directorate Management Team level, with a clear explanation of how revising the individual/team target will impact on any departmental/corporate targets. 17 PERFORMANCE MANAGEMENT
  • 19. SECTION FOUR : APPRAISING AND SUPPORTING STAFF Stage 7 - Capture Learning As the end of the year approaches there is an opportunity to pause and review and draw on the lessons learnt as the service planning cycle starts again. As part of service planning for the following year, targets are agreed with staff and are based on: • Previous performance, • The resource levels available, and • Any other factors likely to impact on performance the following year. This ensures all targets are realistic and achievable. Once agreed, and the service plans confirmed in May, the objectives and targets are cascaded down again to teams and individuals. This is a relatively quick exercise and may well be instigated at a Team meeting or early job chat. Overall this is a high level summary of how performance is managed at that the individual staff member level. Our Framework For Performance Management 18
  • 20. SECTION FIVE ORGANISATIONAL SYSTEMS Maximising the Potential of Organisational Systems The key objectives from the Community Plan are, in relevant cases, incorporated into the Strategic Plan and are then built into both the Best Value Performance Plan and ultimately into service plans for delivery. Each directorate produces an annual service plan which details all the objectives for services delivered by the Council for the year ahead. The objectives then flow into objectives for individuals and teams and are assessed through the appraisal process (see Section Four above). A H B Confirm Service Plans Capture lessons learned Allocate projects and targets Complete Post G Implementation Review MAXIMISING ORGANISATIONAL EFFECTIVENESS Monitor Progress C F F1 Complete Projects D D1 Monitor projects E F2 Assess Performance D2 Monitor PI performance Take action Fig.7 The Performance Management Cycle- Organisational Systems Stage A - Confirm Service Plans The Service Planning process referred to in the separate work breakdown structure ensures the necessary financial and staffing resources are in place for the year. Service Plans follow the corporate template to ensure all key aspects are covered. These service plans then form the basis for the annual Best Value Performance Plan, a public document which not only assesses progress over the previous year, but also specifies key targets over the following year. The Policy Unit is responsible for publication of the Best Value Performance Plan by the 19 PERFORMANCE MANAGEMENT
  • 21. SECTION FIVE : ORGANISATIONAL SYSTEMS statutory deadline of 30th June each year, but relies heavily on these service plans for content. See Pull Out B - Service Planning Stage B - Projects and Targets The formal allocation and articulation of accountability is through service planning. Therefore accountability is negotiated and established within the service plan process. By linking in this way the “Golden Thread” is maintained from corporate strategic priorities and objectives down through the Directorate Service Plan and Head of Service plans into objectives for each individual member of staff. This enables the team, and individuals within the team, to clearly see their accountabilities and how these fit within a corporate context. Stage C - Monitoring As with monitoring the performance of individuals, progress with the delivery of performance against targets for the authority as a whole takes place throughout the year. Such reporting depends on the type of activity involved and is covered in more detail below. Stage D1 - Projects This stage looks far deeper and more specifically at the delivery of projects. Monitoring at the 'front line' is undertaken at the regular team meeting sessions. At least one meeting per month is a performance management based meeting with a particular focus on achievement against the milestones for projects. Monitoring by exception also takes place at the directorate level through Directorate Management Team (DMT). One DMT per month focuses on those projects within the responsibility of the directorate that are either failing to achieve agreed milestone dates or are at risk of overspending. The focus for the DMT session is to ensure projects do not over- run or over-spend. This approach supports the twin principles of: • Early action • Ownership and Action at the point of delivery within the organisation Our Framework For Performance Management 20
  • 22. SECTION FIVE : ORGANISATIONAL SYSTEMS Monitoring above this level is by Major Projects Monitoring Group. This Group consists of Head of Service Team (HOST) with the Portfolio Holder for Performance (as observer), the Director of Resources (as corporate champion for projects) and support from the Policy Unit through the use of specialist software. Meetings are every quarter and consider all schemes where departmental activity has not brought the project back on track. The action taken is reported to each following Corporate Management Team (CMT) meeting for further consideration and possible intervention action. A report is also produced for Performance and Corporate Management Overview and Scrutiny Committee to enable Members to retain an overview and recommend any action from a political perspective. See Pull Out C - Performance Monitoring Stage D2 - Performance Indicators For the ongoing monitoring of service delivery issues (as opposed to project work) again this is undertaken primarily at regular team meeting sessions. At least one meeting per month is a performance management based meeting with a particular focus on achievement against targets against the range of national, local and management performance indicators. Monitoring will also take place at the directorate level through Directorate Management Team (DMT). Again at least one DMT per month is devoted to considering performance issues on an exception basis. Reporting will focus on those indicators within the responsibility of the directorate (either specifically or through a direct departmental contribution to a corporate indicator such as sickness absence or E Government) that are failing to achieve agreed targets. The focus for the DMT session is to explore ways to bring performance back on target. Monitoring at the next level is on a quarterly basis, to Corporate Management Team. Following this a report is produced for Performance and Corporate Management Overview and Scrutiny Committee (PCMOS) to enable Members to retain an overview on performance and instigate any action from a political perspective. Subsequent to the PCMOS meeting, the report is then tailored to each of the other overview and scrutiny committees to enable a wider debate of performance issues. In all cases the Policy Unit writes and presents the covering reports. Within the Member arena PCMOS once per year calls each Executive Portfolio Holder “to account” for performance within the remit of their portfolio. This consists of a question and answer session enabling those Members on the committee to ask performance related 21 PERFORMANCE MANAGEMENT
  • 23. SECTION FIVE : ORGANISATIONAL SYSTEMS questions to the portfolio holder under scrutiny and ensure service performance is considered prominently in the activity of the portfolio holder. The whole process for managing performance indicators is facilitated by the Policy Unit using specialist software. See Pull Out C - Performance Monitoring Stage E - Take Action Whilst the stages above relate to regular on-going monitoring, there are occasions where intervention action/ additional support is required. Such action can be instigated at any level and is represented in the following diagram: Our Framework For Performance Management 22
  • 24. SECTION FIVE : ORGANISATIONAL SYSTEMS STAGE ONE Need for intervention identified at Directorate or team level and solutions assessed DEPARTMENTAL STAGE TWO Solutions approved at Directorate or team level STAGE THREE Action Plan implemented by the team STAGE FOUR Performance fails to improve Performance improves Corporate Management Team receives regular reports from DMT's and MPMG and can refer issue to Performance Clinic STAGE FIVE Performance and Corporate Management Overview and Scrutiny Committee receives regular reports incl. action taken by CMT CORPORATE STAGE SIX Action Plan reported to Corporate Management Team Performance Improvement and approved Clinic derives a supportive action plan/other intervention STAGE SEVEN Action Plan implemented by Team STAGE EIGHT Intervention success monitored by Corporate Management Team Fig.8 Intervention/Support - Keeping it 'Local' 23 PERFORMANCE MANAGEMENT
  • 25. SECTION FIVE : ORGANISATIONAL SYSTEMS Stage One - Problem Identified Where performance falls below an approved target/milestone, this is first identified at either the regular monthly Directorate or Team meetings. Stage Two - Solution Determined Intervention/support activity takes place at the lowest level possible in the organisation to ensure “buy-in” from those individuals and teams who have responsibility for implementing the intervention. Stage Three - Solution Implemented The affected team implements an action plan wherever possible in accordance with the principle above. Stage Four - Escalation An escalation point - if improvement is occurring then no further escalation is required. However, if the action plan has limited effect, then action is considered at Corporate Management Team level. Stage Five - Performance Improvement Clinic Corporate Management Team, if they consider it appropriate, refer the issue to the Performance Improvement Clinic (see Appendix B). CMT may also authorise self-referrals from responsible Directors where appropriate. Stage Six - Support Determined Each action plan developed by the Performance Improvement Clinic is reported back to Corporate Management Team for approval Stage Seven - Support Implemented Following endorsement, the action plan is implemented by the responsible team Stage Eight - Monitoring Continued monitoring takes place to ensure progress is made in accordance with the action plan. Any failure to progress in accordance with the action plan is referred back to the corporate Performance Improvement Clinic, which instigates a further review. Stage F1 - Project Completion For those initiatives/projects that have achieved a completion date, this is reported to Major Projects Monitoring Group and also to Performance and Corporate Management Overview Our Framework For Performance Management 24
  • 26. SECTION FIVE : ORGANISATIONAL SYSTEMS and Scrutiny Committee to officially complete and sign off the works. A Post Implementation Review (see section below) follows in all cases. Stage F 2 - Service Targets Achieved For ongoing issues, such as local and national performance indicators, a final year end report is submitted to Corporate Management Team and Performance and Corporate Management Overview and Scrutiny Committee Executive as soon after the year-end as possible to again sign off the previous years activity. This then forms the basis for developing future year targets and for reporting progress in the Annual Best Value Performance Plan. Stage G - Review The Post Implementation Review (PIR) takes a number of different forms. There is no corporate template, as each case will differ. For ongoing initiatives such as performance indicators, the review process forms part of target setting in January each year. Targets are based on performance over the previous 9 months and are reported to Corporate Management Team and then onto Performance and Corporate Management Overview and Scrutiny Committee as part of the regular reporting cycle. Targets are reviewed following the financial year-end in the light of outturn performance. All targets (for a three year period) are confirmed by Full Council, as part of the approval process for the Best Value Performance Plan, in early June. See Pull Out D - Best Value Performance Plan and Target Setting For individual projects, the PIR is completed at the end of the project. The results are reported as part of the regular reports to Corporate Management Team and to Performance and Corporate Management Overview and Scrutiny Committee. In accordance with the City Council's policy on feeding learning back into the organisation, all PIR's are carried out by the responsible service manager or project manager. The PIR includes delivery against the targets originally set (outcomes sought; key performance measures) and if applicable delivery against the project plan (deliverables, timetable and budget). The manager prepares a concise report to record performance against targets and in particular noting lessons learned which might help in improving performance in future. 25 PERFORMANCE MANAGEMENT
  • 27. SECTION FIVE : ORGANISATIONAL SYSTEMS Stage H -Capturing and Sharing Lessons Learned In terms of major project works, the Post Implementation Review may reveal a need to: • Revise the Lincoln Project Management model or any component of it • Revise how Major Projects Monitoring Group or any other monitoring mechanism is applied • Issue revised guidance on the administration and management of projects etc. The important aspect is for the PIR to be fed back into Major Projects Monitoring Group to enable key learning points to be extracted and applied (where necessary) across all projects. A formal record of each PIR is retained within the intranet based performance management software, enabling project managers to 'dip into' the PIR's for a wide range of projects as required to extract specific learning points. For ongoing work, such as the monitoring of performance indicators, key learning points in terms of unforeseen factors impacting on performance, are extracted at the year end and reported in relevant service plans. This in turn is further analysed and reported in the City Council's annual Best Value Performance Plan, thereby promoting public confidence that key learning points are being extracted and acted upon. The Policy Unit maintains an electronic 'Learning Library' identifying best practice to make it easier for the authority to be a 'learning organisation'. Our Framework For Performance Management 26
  • 28. SECTION SIX CONCLUSION It is often argued that the key principle of a Performance Management system is: “What gets measured gets done and what gets compared gets improved” In simple terms this is what the above Performance Management Framework sets out - a process whereby Priorities and Objectives can be set at the strategic level for those issues important to the City Council. These can then be converted into a series of targets and objectives at various levels down through the organisation to the individual member of staff, thereby retaining what it is termed the “Golden Thread” and ensuring the authority can monitor and drive progress. It is hoped the Framework provides a useful guide to people at various levels. For those who want an overview then the document does provide a broad guide to the framework's application. For those involved in delivering the framework itself, the series of “Pull Out and Use” work breakdown structures more comprehensively define those processes and responsibilities that make the system work. Together these supplementary guides “add the meat to the bones” without burdening the main text. Views and opinions are welcomed on this document and can be fed back directly to Simon Walters Corporate Policy Manager Policy Unit Ext 3315 27 PERFORMANCE MANAGEMENT
  • 29. APPENDICES A Key milestones within the Cycle B Summary of Roles and Responsibilities C Performance Improvement Clinic Our Framework For Performance Management 28
  • 30. APPENDIX A Key Milestones within the Performance Management Cycle A Guide to Who Does What and When 29 PERFORMANCE MANAGEMENT
  • 31. Month April May June July August September October November December January February March Pull Out Guide: A - The Strategic Planning Cycle Consider Consider proposed bids service & Consider for funding strategic consultation for next year priorities and responses on in light of Notified of objectives for Strategic Plan confirmed successful Corporate Management Team next year priorities priorities bids Develop proposed bids Develop for funding service for next year priorities and in light of Notified of objectives for confirmed successful Departmental Management Team next year priorities. bids B - The Service Planning Cycle Consider service Confirm priorities and service plans objectives for Corporate Management Team for next year next year Develop service Finalise Commence priorities and service plans Service Plan objectives for Departmental Management Team for next year review process next year C - Performance Monitoring Corporate Management Team Consider PRIDE Consider PRIDE Consider PRIDE Consider Q4(out turn) Our Framework For Performance Management PI's, projects Consider Q1 Consider Q2 Consider Q3 and action PI's, projects, PI's, projects, PI's, projects, Corporate Management Team plans action plans action plans action plans monitor PI's, monitor PI's, monitor PI's, monitor PI's, monitor PI's, monitor PI's, monitor PI's, monitor PI's, monitor PI's, monitor PI's, monitor PI's, monitor PI's, projects & projects & projects & projects & projects & projects & projects & projects & projects & projects & projects & projects & Departmental Management Team action plans action plans action plans action plans action plans action plans action plans action plans action plans action plans action plans action plans D - Target Setting and the Best Value Performance Plan Agree draft PI Confirm Q4 Final opinion targets for (out turn) PI's BVPP from Audit Corporate Management Team next year for last year approved Com. on BVPP Recommend Recommend to CMT draft final PI targets PI targets for in light of APPENDIX A : DIRECTOR RESPONSIBILITIES Departmental Management Team next year outturn PI's 30
  • 32. 31 Month April May June July August September October November December January February March Pull Out Guide: A - The Strategic Planning Cycle Write Develop strategic Plan service Consider bids for next priorities and consultation year in light Notified of objectives for on Strategic of confirmed successful Heads of Service next year Plan priorities priorities bids B - The Service Planning Cycle HOST Second HOST workshop to workshop to ID best HOST Service complete final Workshops practice from Draft service workshop to plans cross Service plans with teams to current years plan for next cross reviewed in reference of for the year Commence ID service plan Service Plans year reference light of service plans finalised and Service Plan priorities for and agree developed/ service plans confirmed Heads of Service for year printed review process next year template sketched out for next year priorities Cascade any Cascade further objectives objectives within plan within final Heads of Service to staff plan to staff C - Performance Monitoring Consider Consider Consider Consider project project project project Major Projects Monitoring Group progress progress progress progress team team team team team team team team team team team team Monthly Performance Monitoring meetings meetings meetings meetings meetings meetings meetings meetings meetings meetings meetings meetings D - Target Setting and the Best Value Performance Plan Start to Complete collate year collation of Internal Audit end PI's for year end PI's review of high External audit Heads of Service last year for last year risk BVPI's of BVPI's Targets for Recommend Recommend Start to next three to DMT draft final PI targets formulate 3 years PI targets for in light of year targets against PI's Heads of Service next year outturn PI's against BVPI's set Comments Service plans sent to Policy BVPP sent to Policy Unit on draft circulated to Heads of Service Unit for BVPP text in BVPP staff APPENDIX A : HEAD OF SERVICE RESPONSIBILITIES PERFORMANCE MANAGEMENT
  • 33. Month April May June July August September October November December January February March Pull Out Guide: A - The Strategic Planning Cycle Approve strategic Approve final Approve Consider priorities & strategic select list of results of Agree objectives for Priorities and bids for consultation Strategic Executive consultation objectives consultation on bids Plan Agree Strategic Plan and agree bids to be Full Council funded Workshop to develop strategic Workshop to Workshop to priorities & consider rank bids put objectives for results of forward for All Member’ workshops next year consultation funding B - The Service Planning Cycle C - Performance Monitoring portfolio Performance and Corporate portfolio portfolio portfolio portfolio portfolio portfolio portfolio portfolio portfolio portfolio under under scrutiny under scrutiny under scrutiny under scrutiny under scrutiny under scrutiny under scrutiny under scrutiny under scrutiny under scrutiny scrutiny Our Framework For Performance Management Management O & S Consider Q4 (out turn) PI's, Consider Q1 Consider Q2 Consider Q3 projects and PI's, projects, PI's, projects, PI's, projects, All O & S Committees action plans action plans action plans action plans D - Target Setting and the Best Value Performance Plan Executive Approve BVPP Full Council Approve BVPP Confirm PI's Comment on Agree draft PI and targets draft targets targets for for inclusion for next 3 PCMOS next year in BVPP years APPENDIX A : MEMBER RESPONSIBILITIES 32
  • 34. APPENDIX B Summary of Responsibilities 33 PERFORMANCE MANAGEMENT
  • 35. APPENDIX B : SUMMARY OF ROLES AND RESPONSIBILITIES Mechanism Roles and Responsibilities Frequency Organisational Systems Full Council • Confirm the Vision, Priorities and Objectives for the City Council - • Annually - March Approve the Strategic Plan • Confirm an annual balanced budget which includes strategic plan • Annually - March spending on new projects • Confirm the rolling 3- year targets against national performance • Annually - June indicators - Approve the Best Value Performance Plan Executive • Approve the Vision, Priorities and Objectives for the City Council - • Annually - November for inclusion in the Strategic Plan • Review strategic plan spending on new projects • Annually - March • Agree the formal out turn figures against all local and national • Annually - June performance indicators, and 3 year targets - Best Value Performance Plan • Approve recommended variances to major projects/action • As required plans/performance indicators Performance and Corporate • Consider by exception variances to major projects/ action plans and • Quarterly - May, August, Management Overview and Scrutiny Committee performance indicators & make recommendations to Executive November, February as required Other Overview & • Consider by exception variances to major projects/action plans and • Quarterly - May, August, Scrutiny Committees performance indicators & make recommendations to Executive November, February as required Corporate Management Team • Contribute to the Vision, Priorities and Objectives setting process for • Annually - September the Strategic Plan and Best Value Performance Plan • Propose new projects/initiatives for strategic plan spending • Annually - December • Confirm service plans for the following year • Annually - May • Confirm the formal out turn figures against all local and national • Annually - May performance indicators • Confirm the rolling 3 - year targets against national performance • Annually - May indicators • Quarterly monitoring by exception of PI's, action plans, projects • Quarterly - May, August, • Consider recommended variances to major projects/action plans/ November, February performance indicators • As required • Instigate further investigation through the Performance Improvement Clinic • Make awards under the PRIDE scheme • Three times a year Major Projects Monitoring Group • Monitor and instigate supportive action on major projects • Quarterly in April, July, • Report by exception to Corporate Management Team and October, January Performance and Corporate Management Overview and • Quarterly in May, August, Scrutiny Committee November, February, • Feed Learning derived from PIR's back into future projects • Ongoing Our Framework For Performance Management 34
  • 36. APPENDIX B : SUMMARY OF ROLES AND RESPONSIBILITIES Mechanism Roles and Responsibilities Frequency Departmental • Determine potential Priorities and Objectives for the directorate for • September Management Team inclusion in the Strategic Plan and Best Value Performance Plan • Propose strategic plan spending on new projects • December • Recommend service plans for the following year • May • Consider all performance issues at a separate performance DMT • Monthly Team Meetings • Input into service planning process including potential priorities • Annually - Nov to March and objectives • Consider all performance issues at a separate performance based • Monthly team meeting • Instigate improvement activity • As required • Instigate reports by exception to DMT • As required Performance Improvement Clinic • Convene as requested by CMT to consider performance issues and • As required instigate supportive corrective action or intervention as appropriate Staff/Members as Individuals Portfolio holder - • Attend Major Projects Monitoring Group to observe progress monitoring • Quarterly April, July, Performance Management October, January • Attend Performance and Corporate Management Overview and Scrutiny • Monthly meeting to observe • Champion performance issues within Executive • Ongoing Mechanism Roles and Responsibilities Frequency Other Portfolio Holders • Remain aware of, and up to date with, performance issues within their • Regular liaison with portfolio area Directors/Heads of Service • Attend at least one “portfolio holder under scrutiny” session per • Annually annum with Performance and Corporate Management Overview and Scrutiny Committee to discuss performance issues Directors/Heads of Service/ • Negotiate and agree targets and objectives for staff as part of service • Annually - September to May Service Managers planning process and complete service plan • Cascade objectives to staff and teams at the start of the year • Annually - April & June • Assess and arrange activity to meet development needs of staff • Annually - throughout year • Arrange and facilitate regular team meetings to discuss performance • Monthly issues & instigate corrective action • Arrange and facilitate regular one to one job chats with staff to • Quarterly discuss performance and development issues and instigate corrective action where needed • Undertake an annual appraisal with staff • Annually 35 PERFORMANCE MANAGEMENT
  • 37. APPENDIX B : SUMMARY OF ROLES AND RESPONSIBILITIES Mechanism Roles and Responsibilities Frequency Individual members of staff • Contribute to service planning process and the identification of • Annually - Sept to May priorities and objectives • Discuss and agree personal targets and objectives as part of service • Annually - Sept to May planning process • Identify and discuss with manager activity to meet personal • Annually - throughout year development needs • Receive performance targets and objectives at the start of the year • Annually in April & June • Attend team meetings and actively contribute to service improvements • Monthly • Participate in Job chat sessions to discuss performance • Quarterly issues/development needs • Participate in an appraisal • Annually - throughout year Our Framework For Performance Management 36
  • 38. APPENDIX C Performance Improvement Clinic 37 PERFORMANCE MANAGEMENT
  • 39. OPERATION OF THE PERFORMANCE IMPROVEMENT CLINIC Purpose The purpose of the clinic is to secure a corporate focus on areas of persistently below target performance to effect early and sustainable improvement. The clinic will look at the full range of issues and opportunities for improvement where other mechanisms have to date been unsuccessful. The clinic will provide senior management with the opportunity to analyse in more detail the issues affecting performance, and to corporately share ownership of these issues. The emphasis is on achieving an Action Plan to address performance. This may impact not only directly on the area under review but also potentially the roles of other internal and external stakeholders. This detailed look at all the issues impacting on performance will go beyond what can realistically be achieved in either DMT's or CMT, and so offer a genuine opportunity for all staff involved to get the issues “out on the table” and debate without the pressure of other agenda items, the steps that can be taken to implement effective improvement activity. The ethos of the clinic is one of constructive debate in an interactive environment to encourage lateral thinking “out of the box”. It is an opportunity for colleagues to offer a different perspective to any perceived or actual problems and thereby enable the possibilities for tackling the issues to be explored. The clinic will make recommendations across the full spectrum of possibilities as appropriate ranging from local to corporate solutions and on both 'hard' and 'soft' performance issues. Triggers It is envisaged the clinic will only prove necessary on rare occasions (complying with the principle embodied within the Performance Management Framework that solutions to performance are identified at the closest point to service delivery as possible). The clinic will only convene when the other avenues for improvement have been exhausted. It is only when actions at individual/team/DMT/PCMOS level fail to deliver the required performance improvement that the clinic is convened to identify and address the particular factors preventing improvement. Our Framework For Performance Management 38
  • 40. OPERATION OF THE PERFORMANCE IMPROVEMENT CLINIC As defined in the Performance Management Framework, the triggers will essentially be areas of below target performance in: • Persistent below target performance against local and national performance indicators • Persistent slippage on actions resulting from a range of action plans including the CPA Action Plan, Best Value action plans, other service based action plans monitored by Members. The trigger itself can only be a referral from CMT. This can be in response to identified poor performance by CMT itself or it can be a self-referral from the responsible director who would welcome a review within the clinic environment. In all cases the final decision on referral remains with CMT. Constitution It will operate as a sub-committee of CMT and so will receive all its referrals from this source. All recommendations arising from the clinic are reported back through to CMT for further consideration and action where appropriate. The clinic is at the highest level within the organisation and will include as a minimum: • Chair - Chief Executive and Town Clerk (Head of Paid Service). • Standing Officers - Two or three officers who are at least at Head of Service level who can offer an independent view (nominations are flexible dependent on the issue being debated by the clinic and will take into account the views of CMT). This may exceptionally be another Service Manager who has a related track record of securing improvement. • Service Area Attendees: For those issues referred to the clinic, it is for the Head of Service and service manager responsible for the service area to represent the service and contribute to the better understanding of the issues and to comment on possible solutions developed within the clinic. • Support: A member of the Policy Unit, will attend each meeting and present additional information where requested to do so on performance issues within a local or national context. This officer will record the business of the meeting and details of any resulting agreed action plan in the form of a set of minutes. 39 PERFORMANCE MANAGEMENT
  • 41. OPERATION OF THE PERFORMANCE IMPROVEMENT CLINIC Operation of Each Meeting There is no prescribed/rigid approach or procedures to each meeting. Instead each clinic will remain dynamic and is flexible enough to adopt a format that enables those present to articulate the issues and potential solutions in an open, honest and constructive environment. The process selected will therefore have regard to the most effective way of achieving the outcome expected - a realistic and deliverable improvement plan. Each clinic is highly interactive with all present encouraged to engage in the process to facilitate a deep understanding of the issues involved. Outcomes The outcome from each session is a series of recommendations to CMT (and ultimately to any relevant structure e.g. The Executive) on how improvement can be realised. It is anticipated that the clinic, with its strategic focus, will facilitate the development of innovative and creative solutions, building on the cross fertilisation of ideas from staff within the clinic. It may enable opportunities not available to the intervention mechanisms at DMT and team level. Where issues clearly cannot be resolved at team/ departmental level, it is anticipated that the clinic will offer this additional dimension. The whole ethos of the clinic is one of securing the necessary improvement. As stated this will need openness and honesty and a constructive environment. The clinic is expected to make a number of recommendations and these may cover the entire spectrum of options ranging from allocating additional support, changing other priorities, to more significant intervention activity where appropriate. The clinic, whilst ideally being supportive, will therefore have “teeth” to make things happen as a result and must be taken seriously as a corporate mechanism. The most important outcome is a genuine and honest belief that the recommendations developed WILL DELIVER IMPROVED PERFORMANCE. Without this, the clinic will not have fulfilled its function. Our Framework For Performance Management 40