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  1. 1. The Performance Management Framework (Revised May 2008) Making Performance Matter Aims and Community Government Priorities Needs Strategies Resources and Plans Targets and Measures Staff Customers Councillors Our Approach to Performance Management A Guide for Councillors and Staff /home/pptfactory/temp/20100602061712/making3623.doc May 2008
  2. 2. The Performance Management Framework (Revised May 2008) Section 1: Introduction and background Introduction Wanting to improve services for customers is at the heart of what we do. This common theme is shared both by the staff and by councillors of Lewes District Council. Performance management is about making the best use of people and information to help us improve. A simple yet effective approach to performance management is important to the success of any modern local authority. It is essential to ensuring we continue to focus on our customers and communities, deliver efficient and effective services and, wherever possible, find ways to make sustainable improvements to our performance. Part of our approach is to ensure we have the right systems and processes in place to produce accurate and reliable performance information on which our plans, policies and decisions are based. Councillor Ann De Vecchi Leader of the Council /Lead Councillor for Performance Management Background Lewes District Council was judged as a ‘Good’ Council following an inspection under the Government’s Comprehensive Performance Assessment in November 2003. Since then the Council has continued to strengthen and develop its approach to performance management. We now have a number of key elements in place such as: • A corporate approach to departmental service planning and risk assessment; • Regular performance monitoring and reporting arrangements to CMT and Cabinet; • A corporate approach to the production of the annual Council Plan; • Up to date performance monitoring and management guidance on Infolink to support councillors, managers and staff; • Annual review of services and performance (as part of our corporate Direction of Travel arrangements) to inform budget setting and medium term priorities; • A Performance Management Group of officers to share information and good practice; • A Data Quality Strategy and Policy; • Data Quality risk assessment and internal audit programme; • Robust scrutiny arrangements involving councillors; • Staff and councillors training on performance management, risk and data quality (as required). The purpose of this guide is to outline our approach to performance management in simple terms so that everyone can understand how it works and where they fit in. It is supported by additional guidance and procedures which are available on Infolink. For more information or guidance please contact: The Corporate Performance Team, Thebes Annex, 32 High Street, Lewes. Tel: Sue Harvey (Corporate Performance Officer) – 01273 484156 or Roger Thomson (Corporate Performance Assistant) – 01273 484159 /home/pptfactory/temp/20100602061712/making3623.doc May 2008
  3. 3. The Performance Management Framework (Revised May 2008) Section 2: What is Performance Management? Basically it is what we do to improve and maintain good performance. It involves gathering accurate and reliable information about our performance and using this to understand and address performance issues at the Council from each individual member of staff to the Council itself. Managing performance effectively requires coordinated planning and review systems to ensure that councillors, managers and staff can take action based on good quality information ie information that is valid, relevant, complete, accurate and timely. There are 7 key elements to our approach: 1. Agreeing our aims and objectives 2. Planning what needs to be done 3. Doing it 4. Checking and monitoring performance information and identifying opportunities for improvement; 5. Reviewing what has gone well, not so well; 6. Acting on the information and making any necessary changes; and 7. Reporting progress and outcomes Our performance management cycle Starting Point AIM What do we want to achieve? PLAN What needs to ACT be done? What should we Priorities/ do differently? REPORT non-priorities? Who needs to Who? By CMT? Councillors? when? How? Staff? Public? REVIEW What did we do well? What DO needs to MONITOR Take action improve? How are we doing? Is the data reliable? In the next few pages we explain each of these stages in more detail. /home/pptfactory/temp/20100602061712/making3623.doc May 2008
  4. 4. The Performance Management Framework (Revised May 2008) Section 3: Aims and Objectives The Council wants to be recognised as a centre of excellence in environmental management and sustainability. It also shares a common ambition with its key partners to address inequality in the District and improve the quality of life of local communities. Community Aims are set out in the Sustainable Community Strategy for Lewes District. They are: • A valued environment • Access to good local facilities • Decent, affordable housing for all • Healthier communities • Safer, stronger communities • A vibrant and sustainable local economy These community aims have been developed from consultation with local communities and are shared with our key partners, many of who form the Local Strategic Partnership (LSP) for the District. The LSP has developed its own framework to monitor the achievement of partnership actions and priorities. The Council’s Key Aims and Objectives support the Sustainable Community Strategy. These, too, are based around some priority themes and issues that have arisen through consultation with local people. The Council’s key aims and objectives are stated in the Council Plan as follows: • To protect and enhance the quality of the environment by - reducing waste and improving recycling performance - helping to keep local communities clean and tidy - maintaining good environmental quality and sustainable land use • To support and promote a diverse and prosperous economy by - promoting sustainable tourism and cultural services - supporting the local business community - encouraging regeneration of our local communities • To support housing, health and social needs of everyone in our communities by - improving the quality, availability and affordability of housing in the District - supporting the provision and range of facilities and services that meet local needs - protecting and improving the health and social well-being of everyone in the District In addition to its aims and objectives the Council wants to be recognised by its staff, customers and partners as a good, well-performing council that puts the following themes at the heart of its work to improve services and performance: • good value and efficient services • working effectively with partners in the • consulting with and listen to local community customers • looking after the local environment • respecting diversity and promoting • being a good employer and support and access and equality develop our workforce • being open, honest and accountable • striving for continuous service improvement /home/pptfactory/temp/20100602061712/making3623.doc May 2008
  5. 5. The Performance Management Framework (Revised May 2008) Section 4: Plan and Do The annual Council Plan (Part 1) sets out how the Council will deliver its aims and strategic objectives. The Council Plan draws together work that is going on across the Council’s corporate, statutory and service plans into a single document. It shows all of the key projects and targets to be achieved by the Council in the year ahead and includes high level improvement targets both corporately and within service departments. The Council Plan reflects the Council’s medium-term service improvement priorities. In addition to maintaining the provision of core statutory services, these are: • improving waste management, recycling and street cleansing services; • working in partnership with Housing Associations to deliver affordable housing; • improving public access to services and information (supported by IT systems). The Council Plan is also aligned with the Medium Term Financial Strategy (MTFS) and budgets. The MTFS explains how the Council will manage its resources and budgets over a three year period and how resources will be allocated to delivering and improving services and meeting the Council’s key aims, objectives and priorities. Service priorities and non-priorities are considered each year as part of the budget setting process. Departmental Service Plans are produced for all key services each year. These set out the action plan for the coming year for the delivery and improvement of the service, key performance targets which the service will aim to achieve, and the service’s contribution to the Council’s key aims and strategic objectives (as shown above). Improvement Plans are produced as a result of Scrutiny Reviews, internal assessments or Government Inspections. These can be either service related or thematic. Improvement Plans can cover a period of one to five years. All Improvement Plan targets are incorporated into the relevant Departmental Service Plans, and key targets are included in the Council Plan. Guidance and information on the Council’s scrutiny arrangements is available on the website. Project Plans are produced for all major projects so that timescales, milestones and resources are mapped out. Guidance on project management is available on Infolink. The Council assesses and takes reasonable steps to manage any risks that might prevent it from achieving targets associated with its key strategies and service plans. Guidance on risk management is available on Infolink. The Council’s annual Staff Appraisal system ensures that every member of staff has an agreed Annual Action Plan with targets which are linked to the delivery of their Departmental Service Plan, and, where appropriate, the Council’s overall strategic objectives and priorities. At every level of the organisation, the Council must Focus on and Do what is in its various plans. Councillors, CMT and service managers must also recognise the need for some flexibility as plans may need to be revised and adapted in order to respond to new demands and priorities. /home/pptfactory/temp/20100602061712/making3623.doc May 2008
  6. 6. The Performance Management Framework (Revised May 2008) Diagram 1: How does it all fit together? Local Strategic Partnership Sustainable Community Strategy (5 + years) Statutory and other strategic plans (3 years +) Eg. Local Development Framework, Community Safety, Waste Management Medium Term Budget (1-3 years) The Council Plan (Annual) (Priorities, Actions and Targets) Departmental Service Plans (Annual) Eg. Planning, Waste and Recycling, Housing, Personnel, Finance Teams/Individual (Annual) Annual work plan and targets Diagram 2: Our Annual Corporate and Budget Planning Process Priorities Service Council Staff and Plans Plan Appraisal Budgets s Septembe Review r Performance October November Assess December Priorities January Set Drafted and February budget published March Drafted and published April /home/pptfactory/temp/20100602061712/making3623.doc May 2008
  7. 7. The Performance Management Framework (Revised May 2008) May Staff June appraisals July completed August A Vision without a Task is but a Dream A Task without a Vision is Drudgery /home/pptfactory/temp/20100602061712/making3623.doc the Hope of the World May 2008 A Vision and a Task is
  8. 8. The Performance Management Framework (Revised May 2008) Section 5: Monitor, Review and Report The delivery of all projects, services and improvement targets is monitored regularly through various means as detailed below. Cabinet and Lead Councillors monitor projects and service performance through formal reports or regular progress meetings with relevant senior managers. The delivery and performance of key services can also be reviewed by the Scrutiny Committee or Scrutiny Panels as and when required. The Corporate Management Team (CMT) receives quarterly reports on the progress of the Council Plan and any specific reports on performance indicator issues (including data quality) arising from departments. CMT checks and monitors PI data quarterly and receives periodic performance updates from service managers on specific performance/ data issues. Departmental Management Teams monitor delivery of key projects and targets regularly within the service and at management meetings. Service Managers monitor delivery of targets and projects at team meetings. They also monitor individual staff performance on a regular basis. Formal staff appraisals are carried out each year. Monitoring of progress on the Council’s key corporate strategies is carried out by CMT or through specific Officer Working Groups which meet regularly. Monitoring of the delivery of the Sustainable Community Strategy is carried out by the Local Strategic Partnership. Monitoring of the Council’s overall performance management arrangements as well as departmental issues regarding performance management and data quality systems is carried out by the Performance Management Group. The Council uses a number of performance indicators to measure its progress/performance on a range of services and issues. These performance indicators are linked to key strategies and departmental service plans and targets are set each year. Some are set by Government to monitor the achievement of national priority outcomes, some are set by local partnerships and others are set by the Council itself. Performance against these national and local performance indicators are reported in the Council Plan (Part 2) of the Council Plan each year along with future performance targets. Service departments may also operate their own performance monitoring as required for operational service delivery. Further guidance on setting, collecting, monitoring, reviewing and reporting performance indicators is available on Infolink. Progress on the Council’s key improvement plans and projects and performance against indicator targets is monitored by Corporate Management Team and reported to Cabinet each quarter. Detailed information on performance indicators is also provided on the Council’s Infolink system and via the Website. This enables any councillor or member of the public to raise questions or issues about performance. Monitoring reports are based on a ‘traffic lights’ system where performance is indicated as follows: /home/pptfactory/temp/20100602061712/making3623.doc May 2008
  9. 9. The Performance Management Framework (Revised May 2008) • GREEN - ‘Above target’ means performance levels by the year end are likely to meet/ exceed target • AMBER - ‘Within tolerance’ means that performance is within tolerance levels and likely to meet target by year end; • RED - ‘Below target’ means performance levels by the year end are unlikely to reach target Annual performance trends and comparisons are reported to CMT/Cabinet. Such information is also published on the website for members of the public. Section 6: Acting on performance information Opportunities for improvement are identified by councillors, managers and CMT through the Council’s performance monitoring processes. Cabinet can request managers to provide explanations of performance/data quality issues, and call for a scrutiny review to be undertaken to address specific concerns and identify where improvements are needed. Where changes need to be made to deliver improved services, the Scrutiny Committee or Panels can also request information about performance to be provided and explained. Cabinet may be recommended to approve extra resources or shift resources around in order to improve performance or service delivery. Separate guidance on ensuring that performance indicator information is accurate and reliable is available on Infolink. The Performance Management Group’s role is supportive as well as challenging. The focus is not simply on monitoring, but on solving performance problems. The Group also considers good data quality practices. Where improvements areas are identified the Group will work together to share learning and good practice to see what can be done. Recommendations are made to Corporate Management Team on resourcing or other performance issues where needed. Scrutiny Reviews are carried out to as and when required to deal with specific concerns about performance, data quality, service delivery improvements and/or address specific cross-cutting issues. Scrutiny reviews apply the principles of best value. Improvement Plans are drawn up at the end of the review process. Opportunities for improvement may also be identified through benchmarking, and research into best practice at other authorities, as well as by looking at our own processes and how they can be improved. External consultants may be brought in to support this work. There are a number of opportunities to share learning and good practice with other local authorities and organisations through networks, officer working groups and attendance at events. This external source of information is brought back to the organisations through departmental meetings and the Performance Management Group where relevant and appropriate. Customers/service users and other stakeholders provide an important source of performance information through feedback mechanisms, focus groups, surveys and complaints. Customer/stakeholder information is collected, monitored and used by relevant departments to improve services. Customers provide a free monitoring service in the form of feedback and complaints. These are regarded as potential tools for improving performance. The Council has a corporate approach to handling complaints and monitoring complaints data. This relies on individual departments to record and deal with complaints promptly and efficiently. Serious complaints are handled by the relevant Head /home/pptfactory/temp/20100602061712/making3623.doc May 2008
  10. 10. The Performance Management Framework (Revised May 2008) of Department. Unresolved complaints are reported to the Complaints Panel and notified to Cabinet. Feedback from staff is also used to identify opportunities to improve services and performance. Feedback comes from team meetings, staff consultations including the annual staff survey, staff appraisals and exit interviews. Reporting performance information Reporting our performance to staff, councillors, customers and partners takes place at different stages in the performance management cycle and in many forms – Cabinet reports, District Link, the Council Plan, LDC News, Infolink and the website. The key message is to keep people informed about performance, both good and bad and make information about performance relevant and accessible. Section 7: Ensuring good data quality The Council has established a common policy to ensure data is held securely and properly and that it is valid, reliable, accurate, timely and complete. All staff involved in the collection, collation and reporting of performance data have a responsibility to ensure that data supplied about the Council’s performance can be relied upon. Departments need to ensure they have sound procedures in place, provide adequate training and guidance for staff and carry out proper verification and validation checks. For more information see the Data Quality Strategy and Policy. Section 8: Roles and Responsibilities Our approach relies on us all to take performance management seriously and ensure the Council makes its plans, policies and decisions based on good quality information. We all have a role to play and should see performance management and robust performance management systems as part of our day to day work. Council The Council is ultimately accountable for the overall performance of its services. It approves all Council strategies, service plans and performance targets through the formal approval of the Council Plan each year. Cabinet The Cabinet determines the priorities and projects that will be undertaken by the Council to deliver its objectives. This is done primarily through the annual budget and prioritisation process. Cabinet also receives progress reports on the Council Plan key targets and projects. Each Cabinet Lead Councillor has an allocated portfolio of services and activities for which he/she takes responsibility. Lead Councillors are responsible for signing off relevant Departmental Service Plans and reviewing performance and performance information in relation to their portfolio. They may be requested to attend Scrutiny meetings to speak on particular performance issues. Individual portfolio responsibilities are set out in the Council’s Constitution. The Leader of the Council has overall responsibility for corporate performance management arrangements including the systems, procedures and /home/pptfactory/temp/20100602061712/making3623.doc May 2008
  11. 11. The Performance Management Framework (Revised May 2008) processes designed to ensure the efficient and effective production of accurate and robust performance information. However, performance management is an integral part of every portfolio holder’s responsibilities. Scrutiny Committee and Scrutiny Panels The detailed role of the role of the Scrutiny Committee and Scrutiny Panels is set out in the Constitution. In relation to performance management the key aspects are: • to identify areas of the Council’s work that need to be scrutinised; • to request that explanations and action plans are provided for areas where performance is consistently below target or where there is a concern regarding the accuracy of performance data; • to contribute towards strategy and policy development as required. • to carry out scrutiny reviews (as and when required) and monitor implementation of improvement plans arising therefrom. Audit Committee The Audit Committee reviews the major risk areas for the Council and identifies potential threats to the effective delivery of services and the achievement of objectives. The Audit Committee, through the work of the Internal Audit Division, ensures the Council has adequate controls in place. One element of the control environment includes measures to ensure performance information is reliable and the systems which support them are robust. Corporate Management Team (CMT) The Corporate Management Team sets out the strategic direction and policies for the management of the organisation and has overall strategic responsibility for the performance of the organisation. CMT considers any key corporate issues arising from Departmental Service Plans and any performance/data quality issues referred to it by the Performance Management Group. CMT also has overall responsibility for ensuring that performance information used in decision-making is ‘fit for purpose’ and reliable. Performance Management Group The Performance Management Group is comprised of service heads, performance indicator co-ordinators and officers from the Audit and Performance Division. The Group meets quarterly and receives information on key performance indicators and other matters in relation to performance management, including the Council Plan, national performance indicator requirements, data quality and relevant aspects of the Government’s performance framework and assessment regime. Significant issues of performance and data quality are reported to CMT. This may involve a recommendation regarding reallocation of resources or a change in procedures. LSP Steering Group The LSP Steering Group comprises key officers who support the community planning process and the Local Strategic Partnership. It is responsible for co-ordinating the development of the Sustainable Community Strategy. Audit and Performance Division The Audit and Performance Division supports performance management and data quality within the Council by providing guidance and information on a wide range of issues such /home/pptfactory/temp/20100602061712/making3623.doc May 2008
  12. 12. The Performance Management Framework (Revised May 2008) as performance indicators, service planning, audit and inspection requirements, risk management and corporate procurement support. The Division is responsible for the publication of the Council Plan and associated information. The Division co-ordinates and produces performance monitoring reports for Cabinet and CMT and carries out high level data quality checks on PI data submitted for quarterly and annual reporting, health checks on departmental procedures, general and specific training and guidance on PIs and data quality. Service Managers Service Managers are responsible for the overall operational performance of their service, and the contribution to corporate objectives that their service provides. They may be requested to explain performance issues to CMT, Cabinet or Scrutiny Panels. Service Managers produce Departmental Service Plans for their service areas. They are responsible for the complete, timely and accurate reporting of relevant performance indicators in their area and are required to check and sign off performance indicator returns. They deal with performance issues in their area in the first instance and are expected to attend PMG. Where performance targets and standards are not likely to be achieved Service Managers are required to consider what remedial action is required. This may need to be considered in consultation with the Lead Councillor and reported to Cabinet in the quarterly monitoring report. Service Managers are responsible for ensuring that customers’ enquiries, feedback and complaints are taken seriously and dealt with promptly, politely and efficiently. Such information should be properly recorded and monitored. Team Leaders Team leaders are responsible for the operational performance of their team and for the two-way communication of corporate initiatives and performance issues. The team may have a team work plan as part of the Departmental Service Plan. Team leaders are responsible for ensuring their staff have regular appraisals and reviewing the training and skills needed to carry out their jobs. Team leaders should also ensure their staff have access to and are familiar with corporate and departmental policies and procedures on performance management and performance indicators. Individual Staff All staff have a responsibility to manage their own performance. Each member of staff will have specific performance targets set as part of their appraisal every year. This should identify actions and targets for the current year along with any relevant training/personal development needs. Staff should be involved in the setting of service and personal objectives and targets. Formal procedures exist to address continual and serious cases of under-performance. If you have any questions or comments about any aspect of this Guidance please contact the Corporate Performance Team on Ext 4156 or Ext 4159. Arrangements can be made for further training or guidance as necessary. /home/pptfactory/temp/20100602061712/making3623.doc May 2008