Richmond-upon-Thames Performance Management Framework

Transcription

1 Richmond-upon-Thames Performance Management Framework Introduction Everyone at the Council has a role in Performance Management. It is therefore important that we all understand what is involved. This framework is designed to introduce officers and Members to the overall approach the Council takes to performance management. Since 2010, when the Government abolished the national performance framework (including the Comprehensive Area Assessment, Local Area Agreement and National Indicators), performance management has been in transition. The reduced burden of inspection and regulation has meant that the Council has had an opportunity to develop a new, and more meaningful, local performance management framework based on the Council s priorities, as outlined in the Corporate Plan 2012/13. Performance Management Performance management is about taking action in response to actual performance to improve outcomes for service users and the public. This action may be taken at any level within the authority. The performance management framework is about the Council Defining - where we are now and where we want to be what we will do to get there when we want to get there who will be involved Measuring - whether we are on track (or not ) what further action we will take Learning - why we succeeded (or not) what things we might do differently next time The framework encompasses all levels of the authority - from strategic and operational management to personnel management. The framework adopted in Richmond-upon-Thames is based on the Analyse-Plan-Do-Review & Revise model shown below. This aligns with the Council s Commissioning cycle. 1

2 Plan Prioritisation: business and financial planning Analyse Research, consultation and analysis: identifying what is needed Do Securing services and managing delivery Review & Revise Monitoring progress and performance, managing change In practice these activities overlap rather than being four linear stages in a process, but the distinctions help to draw out the various features of performance management. For example, Analyse: undertaking research to understand the locality and consulting with service users and residents on their needs, preferences and experiences Plan: using data to help prioritise what needs to be done and identifying the action that needs to be taken to ensure it happens Do: securing services, whether by direct delivery, commissioning or working in partnership, and managing risk Review & Revise: monitoring delivery, so that performance can be reviewed and any corrective action taken, and using this information to revise future action to improve efficiency and effectiveness Analyse The analyse stage is about gathering information in order to understand needs at all levels - from the Borough-wide to the individual and determine what services are required. There are a number of key activities which might be carried out in a proportional manner during this stage with the information triangulated in order to inform decisions. These activities include: Needs analysis Overall, information should be gathered which establishes the likely level of need/demand for a service over the period under consideration, what the factors are which will influence their use of the service and how these two will interact to establish needs. Useful techniques for undertaking needs assessment include: Customer segmentation and population analysis where a population or user-base of a service is grouped around a particular characteristic, such as age, life expectancy, gender, economic activity, 2

3 ethnicity or location. User analysis takes the customer segmentation and overlays it with information from service databases and systems held by the Council and its partners Sources of current information on the borough s population include: Joint Strategic Needs Assessment Borough Profile Local Economic Assessment Equalities Mapping and Profile 2011 (N.B the 2011 census will not be available until late 2012/early 2013.) Consultation and Engagement A key part of planning is about understanding what is important to local people and identifying local community needs. The Council consults and engages with its service users and residents on an ongoing basis and has a corporate team responsible for co-ordinating activity. The online Consultation Finder provides up-to-date information on planned, current and completed consultations which service users, residents, community and voluntary groups, and local businesses can get involved in. For detailed analysis of the results contact the Community Engagement Team or the team manager Katrina Waite who can also provide advice and information on carrying out specific engagement activity. All in One is the most comprehensive consultation programme undertaken by the Council in recent years. A survey was sent to every household in the borough and asked about the issues that were most important to residents. The results have helped inform both community and Council priorities and resource-allocation. The survey has also enabled the Council to better understand how residents would like to be involved in shaping and delivering local services. It was followed up by a series of village planning events designed to involve residents in prioritising local action and form the basis for village plans. The knowledge gained from research and consultation is used to determine the demand for services and helps the Council s prioritise and plan delivery. Plan Effective planning at strategic and service level is an integral part of the performance management framework. The Council s corporate and business plans set out the priorities and objectives of the authority, and its strategic partnerships, looking forwards. The priorities are based on a range of factors: Service users and residents feedback from consultation exercises such as the All in One to comments, compliments and complaints Local political priorities such as the Conservative manifesto commitments Central Government agendas such as benefit reforms Service priorities fed upwards through service plans Risk assessments of services and business processes The priorities are cascaded down through the authority from top level strategic plans (e.g. community plan and corporate plan) to operational plans and team work plans. This is known as the golden thread and is illustrated in our strategic planning framework below: 3

4 Strategic Planning Framework Evidence NEED ASSESSMENTS/RESEARCH Joint Strategic Needs Assessment Strategic intelligence Assessment Local Economic Assessment Local Development Framework Evidence Census PERFORMANCE Local performance framework Quarterly performance reports CONSULTATION/ENGAGEMENT All in One programme Annual residents survey Consultation Diary of other activities Priorities Village Plans Community Plan Priorities Local Development Framework Planning Community Safety Partnership Plan Children & Young People s Plan Health & Well-Being Plans CORPORATE PLAN Cultural Plan Economic Recovery & Development Delivery Business/Delivery/Action Plans 4

5 The Council s business plans include: Community Plan Village Plans Partnership Plans Corporate Plan The Community Plan is a long-term plan for the Council and its partners describing how they will promote the economic, social and environmental sustainability of the whole borough. The term community planning is used for the ongoing process of dialogue with the community about needs, priorities and preferences and how the Council and its partners will respond to them. The plan is currently being updated to reflect changes in community priorities. The Community Plan will also describe how the Council and its partners are responding to the All in One survey, with the development of village plans. Village Plans are focussed on village areas identified by local people. They will provide a platform for developing capacity in local communities to get involved in their local area and where they wish, to take responsibility for some projects themselves. These drive the activities of thematic partnerships, in which the Council is a key stakeholder, and enable the public to hold them to account. The Council and its partners already have a number of partnership plans which set out our priorities and say what we will deliver for specific services: Community Safety Services for adults Services for children & young people Cultural services Economic priorities The Corporate Plan describes how the Council will deliver its own objectives, whilst contributing to delivering the overall Partnership vision. The 2012/13 plan has a particular focus upon the new strategic direction, aligning with the commissioning model and presenting the Council s strategic and service priorities, under the vision To be the best and safest borough to live in London, one identified by its green character, historic buildings, high quality appearance, vibrant high streets and outstanding schools and services, one where businesses can thrive and citizens can help change neighbourhoods for the better, supported by an enabling council, commissioning excellent value for money services. In order to align our business planning processes with our commissioning intentions, our service priorities are defined under the 3 broad areas of People, Place and Resources : People Caring for and safeguarding the most vulnerable in our community A healthy borough The best schools in London Place 5

6 Protecting the environment and character of the borough A clean, safe borough Supporting local business, culture and the arts Resources Managing resources effectively and providing value for money Working in Partnership Within each theme, the Council s commitments have been mapped out, including our commissioning intentions. Details are included of how we intend to achieve our priorities and how we will measure progress. Business plans Team Plans Individual Work Plans Business Plans have been developed for People, Places and Resources to ensure a direct link to the strategic priorities expressed in the Corporate Plan and commissioning intentions in the procurement Hub Plans. They include key programmes and projects and measures of operational service delivery, feeding into team plans and individual work plans. The Council encourages the development of team plans, which sit below business plans. These provide more detailed information on the activities being delivered by each team in the service and help to inform individual work plans and performance assessed in appraisals. These set out personal objectives and tasks for carrying out the team plan, as agreed by staff with their line manager during their appraisal. Appraisals are a key part of the Council s Performance and Development Scheme and provide: A framework for staff to agree personal objectives and tasks that contribute to service objectives and council priorities and clarify the behaviour expected from staff An opportunity to discuss any development needs to help achieve personal objectives An assessment of how staff are performing A plan for how staff can improve where not meeting the required level They are held at the start of the financial year, with a mid-year review in September/October. Timetable Business planning usually takes place between September and March. It starts with a review of existing plans and preparation for the next financial year, taking into account changing Government agendas and other external influences and the Council s budget. The Cabinet signs off the corporate plan in March/ April ready for the start of the financial year. Commissioning 6

7 The Council agreed a new strategic direction in November 2010 to become a commissioning council. This means that directorates are exploring the potential for commissioning many of their services. The approach to commissioning follows the same four stages as the performance management framework to Analyse-Plan-Do-Review & Revise. The extent to which the approach is adopted is dependent on circumstances such as the type of service and size of budget. For commissioned services, it is vital at the outset to establish what needs to be achieved and how this will meet service users needs. Performance management is an important component in successfully delivering commissioning outcomes. Key aspects include: Establishing levels of performance and unit costs at the outset of the commissioning process Setting out service delivery expectations, with clarity on the standards required Incorporating key performance indicators, with targets, to measure service delivery in contracts with providers Building the provision of performance information into contracts Reporting on progress regularly, considering performance from both the perspective of the commissioner and the customer to provide a rounded view of the quality of service being delivered Escalating underperformance in order to ensure that Members and senior officers are kept informed of the effectiveness of commissioned services. Undertaking performance reviews to inform the contract management and review process Do Delivery Directorates, services, teams and individuals are responsible for the delivery of the activity in their business plans. To support staff, the Council has developed methodologies for managing key aspects of delivery. Programme and Project Management The Council has its own project management approach, which allows for projects to be authorised and monitored. The approach has six stages: Stage 1: Outline Business Case/Business Case Describes what it is you want to do, why you want to do it and what is in it for the council if you do, do it Stage 2: Approval describes the process you must follow to obtain approval for your project Stage 3: Project Initiation Document evaluates your options and defines the project Stage 4: Planning and Delivery where you will plan the activities of your project and ensure their delivery Stage 5: Closure describes the process of formally closing your project including closing the project on RP3 Stage 6: Benefits Tracking outlines the activities needed to measure the projects success following the projects formal closure Programmes and projects are reported regularly to one of five programme boards: ICT Programme Board Strategic Procurement Board Corporate Property Programme Board 7

8 Transformation and Commissioning Board Corporate Programme Board Corporate programmes and projects are monitored by the Corporate Programme Board and those identified in the Corporate Plan are additionally monitored by Executive Board, Cabinet and Finance and Performance Overview and Scrutiny Committee. Priority Programmes are overseen by the Transformation and Commissioning Board. Risk Management Risk management is an important aspect of the performance management framework and is defined as the planned and systematic approach to the identification, evaluation and economic management of the risks associated with the council s activities. The Risk Management Strategy sets out the Council s approach to risk management. A summary of the basic principles of risk management is given below: Identification and management of risk is aligned to the council's priorities Approach to internal control is risk-based, including an evaluation of the likelihood and impact of risks occurring Review procedures cover strategic and operational risks, as well as financial risk Audit Committee receives regular reports during the year on risk and internal control Principal results of risk identification, evaluation and management review is reported to, and reviewed by, the Executive Board and Audit Committee Risks are defined as strategic and operational: Strategic risks are those which may impact on the delivery of strategic activities such as those outlined in the corporate plan. Responsibility for identifying these risks sits with the Council s directors. Strategic risks are included in the corporate risks register, together with the actions that are being taken to mitigate them, and formally monitored and reviewed by the Executive Board and Audit Committee twice a year in November and April. Operational risks are those that may impact on the delivery of operational activities such as those outlined in service plans. Responsibility for identifying and monitoring these risks sits with Heads of Service and directors. This responsibility includes ensuring that risks are evaluated correctly and controls are in place to manage them. Operational risks are set out in service risk registers (and relate back to the objectives in the service plans) and formally reviewed by Directorate Management Teams twice a year. Directors are responsible for reporting to Executive Board any significant risks (e.g. those with a residual risk score of 15 or more) as they arise, particularly if only limited action is possible. Additional risks are identified as part of programme/project management. The project risks are reported to the relevant Programme Board and any issues that arise are escalated up to Executive Board. Responsibility for monitoring the overall effectiveness of the Council s risk management approach sits with the Audit Committee, which reports directly to Council. Review & Revise Business planning on its own is not effective unless activity and performance is monitored and reviewed. Performance monitoring is important for the Council to know (and demonstrate to its service 8

9 users, residents etc) how well it is delivering against its priorities and to understand the impact of its activities. Monitoring Systems Performance monitoring ensures that performance information is integrated and used effectively to manage service delivery. Performance information is held on the Council s performance management system RPM (Richmond Performance Management). The system enables us to collect Council-wide results information avoiding duplication and facilitating data-sharing. It tracks the progress and status of performance indicators, generating graphs and reports to present results by the Council s priorities and/or directorates and services. A similar system is used to manage the Council s programmes and projects RP3 (Richmond Programme, Project and Portfolio Management). The system stores project information and documentation, links projects to council business plans and other strategies, monitors progress and tracks risks and issues. Performance Reporting The Council-wide performance reporting framework ensures delivery against the objectives plans, milestones and targets is considered at all levels of the Council: Staff individual performance is formally reviewed in mid-year reviews and annual appraisals Service Managers investigate and respond to complaints and use feedback to improve service delivery Directorate Management Teams (DMTs) - monitor the delivery of service plans and challenge performance. Each DMT reviews its own performance information and takes necessary action to improve performance Programme Boards the four programme boards monitor the progress of programmes/ projects and ensure these remain on track Executive Board key programmes/projects and indicators in the corporate plan are monitored by senior managers at Executive Board Cabinet and Overview and Scrutiny corporate programmes/projects and indicators are monitored by Cabinet and independently challenged by Finance and Performance Overview and Scrutiny Committee. (Other Overview and Scrutiny Committees consider their respective service areas.) Transparency Whilst the national performance framework has been abolished, Central Government now requires public sector organisations to demonstrate increasing transparency and accountability in their operations. At a local level, the Council is similarly committed to publishing a range of data and information to enable residents to hold us to account for our use of resources and delivery of local priorities. The range of information published includes expenditure, grants and payments to the voluntary, community and social enterprise sectors, senior salaries, councillor allowances and expenses, contracts and tenders to businesses and the voluntary, community and social enterprise sectors, policies and democratic data. Performance information is reported in an open and transparent way via the council s committee system, whereby the public can access reports and decisions, and on specific pages of the website. Reports made to Cabinet, for example, provide progress on the delivery of the corporate plan, including 9

10 corporate programmes/projects, performance measures and complaints. The local performance management framework incorporates a suite of measures from the corporate plan that are considered to provide meaningful measures for public reporting. These are published on the How we are doing webpage under the following four domains: 1. What is it like to live in Richmond? 2. What can residents expect from Council services? 3. Is Richmond looking after its vulnerable people? 4. Are residents getting value for money? A summary of high level performance reporting arrangements for 2012/13 is provided as Appendix I. Benchmarking As part of its review functions, the Council undertakes different types of benchmarking to compare itself to others authorities wherever possible in order to ensure that we provide services as efficiently and effectively as possible. Benchmarking data provides a context for performance reporting and improves understanding of the bigger picture. Information is provided, where possible, to inform decision-making by senior managers and Members. The London Councils Self-Improvement Board led the process of developing a set of benchmarking measures to provide comparative information across all London Boroughs through the LAPS tool. This covers a core set of 26 measures, and others where a significant number of authorities have submitted returns. The summary dashboards for benchmarking the core set of indicators are available on RIO. At service level, some professional groups also facilitate benchmarking. Data Quality To fulfil the Council s commitment to provide value for money services, it needs to be confident that decisions are based on high quality information. All staff are responsible for maintaining complete, accurate and timely records. The Data Quality Strategy is focused on five key components: Governance for and accountability of data quality Policies and procedures in place for data recording and reporting Systems and processes in place to secure data quality Knowledge, skills and capacity of staff to achieve data quality objectives Arrangements and controls in place for the use of data The strategy provides assurance to members, partners and other stakeholders that the quality of data is reliable and sustainable. Complaints Management The Council welcomes and encourages feedback from service users and residents both positive and negative. Complaints are taken very seriously and clear processes are in place for managing them. They provide a simple way for users and residents to voice concerns about services, and give valuable feedback on how the Council is performing. By effectively resolving complaints, services can be improved. The Council s two stage corporate complaints process provides assurance that complaints are dealt with efficiently and effectively: Stage 1 complaints are investigated by the service manager and a response provided within 15 working days of receipt 10

11 Stage 2 complaints are investigated by a senior manager in the service (i.e. Head of Service or Assistant Director), in conjunction with a senior manager from another directorate acting as a critical friend. The response is signed off by the director of the service and provided within 25 working days of receipt There are two additional complaint procedures: one for dealing with Specialist Children s Services complaints and the other for Health and Adult Social Care complaints. However all complaints, irrespective of which procedure is used, are reported in the quarterly Performance Report to Executive Board and Cabinet. This report framework provides assurance to senior managers and members on the effectiveness of the process and confidence that action is being taken. Learning from complaints is gathered regularly and fed into ongoing service development and management. Member Scrutiny The overview and scrutiny function is a statutory power and a duty. It enables non-executive members to hold the executive to account and to influence the future direction of the policy of the Council and its partners. Scrutiny also plays an important role in assuring the quality of services and contributing to the council s improvement journey by investigating performance management processes, questioning the appropriateness of targets and adequacy of resources. Each year the four Overview and Scrutiny Committees (see below) agree an annual work programme. Education and Children s Services Environment, Sustainability and Community Finance and Performance Health, Housing and Adult Services This includes the undertaking of scrutiny reviews, which provide the Council with an opportunity to thoroughly investigate topics and help make improvements. This type of work enables more robust and effective challenge and leads to better decision-making. In-depth reviews also help engage the public, and provide greater transparency and accountability. Task groups are set up for each review and have clear terms of reference. The group is able to gather information through many different media, including face-to-face interviews, questionnaires, focus groups, site visits, reports and written submissions, and call witnesses e.g. officers, representatives from partner agencies and service users. When a task group has finished gathering evidence, its findings are reported to the relevant Overview and Scrutiny Committee, and if the recommendations are approved, sent to Cabinet to respond. Cabinet may decide whether to fully accept, partially accept or reject the recommendations. An update report, outlining progress made in implementing the accepted recommendations, is provided after six months. This provides assurance to Members that improvements identified in the report are being implemented. Members of the public are encouraged to suggest topics for scrutiny to investigate using an online form on the Council s website. Self-Assessment, Peer Review and Inspection With the abolition of the national performance framework, there is renewed emphasis on councils being able to evaluate the effectiveness of their own performance through self-assessment and peer review. There are also still statutory inspections of adult and children s social care by the Care Quality Commission, education by OFSTED, youth offending by HM Inspectorate of Probation and financial probity by the Audit Commission. 11

12 Learning The revise stage of the cycle is about learning to change what we do, as a result of review. This may involve training staff to help them develop new skills or changing the way services are delivered to ensure a continued focus on Council priorities and value for money. Staff learning and development needs are identified in a variety of ways, including through the appraisal process. New skills can be developed by attending formal training courses and though informal learning opportunities such as reading, coaching, mentoring, shadowing and secondments. By actively encouraging staff to participate in learning, performance can be improved. Roles and Responsibilities Performance management is the responsibility of everyone in the authority. provides a summary of the key roles and responsibilities of officers and Members. The diagram below Staff Senior Managers Members Corporate Performance & Programmes teams Oversee performance management framework Corporate performance reporting Manage the corporate performance management software (RPM) and project management software (RP3) Executive Board Strategic responsibility for delivery of the Council s priorities, including monitoring performance Deliver the Medium Term Financial Strategy and detailed efficiencies Council Approve the Corporate Plan and budget Directorate Performance Leads Oversee performance management in their directorates Monitor performance on RPM Performance reporting to DMTs Directorate Management Team Deliver business plans and monitor operational performance Contribute to the Council s corporate priorities and objectives Monitor service budgets and implement efficiencies Cabinet Formulate the Council s priorities Develop the Corporate Plan and Medium Term Financial Strategy Approve corporate performance targets All Staff Deliver individual objectives Responsible for personal development and performance Understand how work contributes to Council s priorities and objectives Senior Mangers Deliver team plans Support staff to deliver their objectives and manage staff performance Maintain service budget and implement efficiencies Overview & Scrutiny Scrutinise the Council s performance and budget management Hold the Cabinet to account 12

13 Contacts For further information, please contact the Corporate Performance Team: For further information, please contact the Corporate Performance Team: Hilary Morse (Head of Corporate Engagement & Accountability): Lorna Gill (Corporate Programme Manager): Joe Fisher (Corporate Performance Information Officer): 13

14 Appendix I: Performance reporting arrangements for 2012/13 Body Report Frequency Public Local performance framework (via website) Performance reports (via website) Performance update in Council Tax leaflet Annual Cabinet Performance report by exception covering corporate plan PIs, strategic programmes/projects (including commissioning activity) Mid-year progress report on Corporate Plan Finance & Performance O&S Committee Performance report by exception covering corporate plan PIs and strategic programmes/projects (including commissioning activity), plus detailed report on areas of ongoing underperformance Mid-year progress report on Corporate Plan Other O&S Committees Performance report in similar format to above focussing upon relevant area Executive Board/ Performance report in full covering corporate plan Transformation & PIs, strategic programmes/projects (including Commissioning Board commissioning activity) and business critical indicators Mid-year stock-take and end of year report for Corporate Plan and Business Plans Detailed progress report on Corporate Plan DMT Commissioning and Programme Boards Performance report covering directorate PIs and programmes/projects Stocktake for relevant Business Plans Six-monthly/more often Quarterly Quarterly Six-monthly Quarterly Six-monthly Quarterly Quarterly Six-monthly Six-monthly Quarterly Six-monthly 14