Scottish Government Building Standards Division

Transcription

1 Scottish Government Building Standards Division Report on the Verification Audit Of Argyll & Bute Council s Building Standards Service 30 September 1 October 2008

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3 INTRODUCTION 1. This is the report of an audit of the verification function of Argyll & Bute Council s Building Standards service (the Service) carried out on 30 September & 1 October The new Scottish building standards system came into force on 1 May 2005 and the 32 Scottish local authorities have been appointed as sole verifiers for their respective geographical areas for a period of 6 years. The Scottish Government s Building Standards Division (BSD) has been appointed to audit the Scottish verifiers approved under Section 7(1) of the Building (Scotland) Act The Scottish verifiers have agreed with the BSD a balanced scorecard of five perspectives. These are: public interest, private customer, internal business, continuous improvement and finance. For each perspective the Scottish verifiers will individually identify their own actions and supporting information. 4. The audit process consisted of: a. The Service s submission of a balanced scorecard incorporating five perspectives, b. The Service s submission of evidence to support the balanced scorecard, c. BSD review of the balanced scorecard and supporting evidence, d. BSD on-site assessment including interviews with key staff, inspection of administration systems and random sampling. 5. The on-site assessment took place at the Building Standards office in Helensburgh. 6. Standardised commentary and marking will be applied to each section of the balanced scorecard. The BSD assesses the verifier s balanced scorecard against the evidence provided. The appropriateness or otherwise of the actions and supporting information have not been assessed. 7. The markings will be: Excellent - Major strengths Good - Strengths outweigh weakness Satisfactory - Strengths balance weakness Cause for concern - Weaknesses outweigh strengths Serious cause for concern - Major weakness 8. Any discrepancies or areas of disagreement on matters of fact have been agreed with the verifier and further explanation provided as required. 9. The audit report will detail the findings of the investigation. If any of the five areas is graded serious cause for concern or two or more gives cause for concern 1

4 a follow-up audit will be undertaken within three months. The follow-up audit may possibly be conducted by a different team depending on availability. However, it is expected that immediate corrective action is taken on any area graded serious cause for concern. If one area gives cause for concern a follow-up audit will be undertaken within six months. The timing of any follow up audit inspection and action points will be agreed in advance. Action by verifier Follow-up audit Any of the five areas is graded serious cause for concern Immediate Within 3 months Two or more areas give cause for concern Within 1 month Within 3 months One area gives cause for concern Within 3 months Within 6 months 10. The following information describes the Service. The Building Standards Section is part of Planning Services within the Development Services Directorate of Argyll & Bute Council. Argyll & Bute Council area comprises a large mixed urban, rural and island communities. Created in April 1996 it was formed by combining the former Argyll & Bute District Council area and the Helensburgh and Lomond area of the former Dumbarton District Council. With a population of over 90,000 and covering a large dispersed geographical area of 7,000 square kilometres, particular service delivery arrangements have been formulated to meet the needs of the diverse communities. Building Standards provides a devolved area service from four area and two subarea offices strategically located throughout Argyll & Bute. Area teams generally comprise a team leader, one or two qualified or experienced surveyors and an assistant or trainee surveyor, with administration staff (2), shared with Development Management. A manager exercises advisory control and co-ordination from headquarters at Kilmory Lochgilphead again with shared administration resource. During financial year 2007/2008, building warrant applications totalling 1853 with stimated cost of some 142 million were lodged with Argyll & Bute Council. This is slightly fewer applications than received in 2006/2007; however the value of the works has seen a constantly increasing trend since financial year 1999/2000 when applications numbered 1686 at an estimated cost of 31.5 million. 2

5 PERSPECTIVE 1 Public Interest Verifiers will have in place risk management protocols which will determine the management of work on building warrants and completion certificates. Actions intended to be taken by verifier: Introduce a risk assessment protocol for allocation of workload on building warrants and completion certificates. Investigate and develop quality assurance indicators Introduce a risk assessment protocol for completion and other inspections Investigate supporting IT functions that could assist in officer caseload distribution Review risk assessment protocols Audit Findings 1.1 Argyll & Bute Building Standards service (the Service) has developed risk management protocols which determine the management of work on building warrant applications, completion certificates and site inspections. These have been in place for a number of years and were reviewed and formalised at the end of The Service has 4 area offices. Each area office has an Area Team Leader (ATL). Building warrant applications are risk assessed by the ATL before allocating to the relevant surveyor. Surveyors are responsible for specific geographical areas and although allocation is usually based on these areas, this is adjusted to suit workloads and staff absences. When necessary, this may be done by a different geographical area team. The ATL risk assesses each application using the level of competency of the allocated surveyor and the complexity of the project. The rating is recorded on the building standards file cover sheet and determines when the ATL must carry out second checking. 1.3 When the ATL is absent, the risk assessment and allocation is done by a designated surveyor, the Building Standards Manager (BSM) or an ATL from another area team. Fluctuations in workloads are managed proactively and building warrant applications may be prioritised when justifiable, for example applications from people with disabilities. This is particularly important with the Service making good use of the corporate Mobile and Home Working initiative currently being piloted. This initiative is covered in the continuous improvement perspective. 1.4 Although experienced surveyors only need minimal second checks, all applications are subject to 5% random sample checks before the building warrant is granted. All risk assessment ratings, sample checks and ATL sign-offs are indicated on the file, however, there is no formal record that the percentages are met. 3

6 1.5 Alternative approaches to complying with functional standards are signed off by the ATL or the BSM. They are recorded on the file however it is not clear that these have been disseminated to all staff. 1.6 Completion certificate submissions are passed to the relevant area surveyor, normally the surveyor who checked the building warrant, with adjustments made to suit workloads and staff absences. Each surveyor determines the site inspection regime based on various factors such as the complexity of the project, any unique design aspects, workloads and who is carrying out the work. In all cases a project will be inspected before the completion certificate is accepted. Late completion certificate submissions are dealt with in the same way as building warrants. 1.7 The protocols built on and formalised existing practices and the file cover sheet recording has been in place since January The surveyor levels and supervision levels are clearly understood by staff, documented and being implemented. However, the methodology is not fully detailed. The protocols have given surveyors more empowerment at key stages. 1.8 During the audit a sample of building warrant applications and completion certificate submissions were reviewed and it was shown that protocols were followed and recorded. 1.9 There is good use of the Uniform IT management information system which allows workloads and performance to be monitored however this could be developed further. Quality assurance indicators have been investigated and have resulted in a number of developments. These include team meetings, customer stakeholder engagement and expansion of process mapping and are covered in subsequent perspectives. Risk assessment protocols, for both building warrant applications and completion certificate submissions, are in place and are applied consistently by ATLs Staff competencies and complexity of projects are used for determining additional levels of checking Staff are fully aware and use the risk assessment processes however the methodology could be further detailed and the random sampling recorded The newly formalised protocols have allowed surveyors greater empowerment at key stages Work across four area teams is managed proactively and effectively taking full consideration of home working and geographical demands Quality assurance indicators have been investigated OVERALL MARKING - GOOD 4

7 PERSPECTIVE 2 Private Customer Verifiers will have in place by 30 September 2006 the principles of a customer charter which encompasses areas such as: guidance to stakeholders, accessibility of service, measurable performance targets, customer views. Actions intended to be taken by verifier: Improve customer feedback by arranging meetings with the stakeholders developing customer focus groups developing website to include section to gauge customer feedback on service delivery. Ensure updated Customer Charter is accessible and visible at Council premises and website. Annually review all guidance to stakeholders. Improve access to web-based and other service information by 30/09/07 Develop and refine E-Building Standards Initiatives, e.g. On-Line submissions and electronic web-based register. Commence Provision of Gaelic translations in line with Council s Gaelic language Plan. Audit Findings 2.1 The Service has had a Customer Charter in place since 2001 and contains details on how to access the Service. This was updated in December 2007 and is displayed at all Building Standards offices and also available on the Council s website. It is intended that the Customer Charter will be reviewed on an annual basis. Consideration should be given to including current performance indicators (PIs) and ensuring that targets are SMART. 2.2 The Customer Charter clearly states that if the response is likely to take longer than 20 days an acknowledgement will be sent confirming when to expect a reply from the Service. User Groups and User Forums have been established and in addition, ad hoc methods of engagement with the customer are used where appropriate. For example, when a recent unavoidable decrease in performance occurred due to localised staff shortages, the Service informed all customers of delays and actions they were taking. 2.3 The Service has retained the historic Audit Scotland statutory PIs. The average time taken to respond to a completion certificate submission has been improved from 3 to 2 days reflecting improved performance in this area. The 80 % of responses to warrant applications within 15 days indicator has been amended to 20 days reflecting difficulties in performance in this area. The Customer Charter states some of the PI s but there is a discrepancy between these and the figures in the Quarterly Service Report. These should be aligned when the Customer Charter 5

8 is reviewed and the opportunity taken to include additional PIs reflecting work priorities for example time taken to process amendments to warrants. 2.4 Argyll & Bute Council s website is user friendly and the Building Standards area is easily identifiable. The dynamic website has a section to gauge customer feedback on service delivery. The electronic web-based Public Access building standards register has recently gone live and is fully integrated with the Uniform IT system. Building standards forms are available on the website but there are no current plans for on-line submissions. 2.5 The Service also has a range of guidance leaflets and frequently asked questions available to the public via the website and in each public access office. These have recently been introduced and updated. 2.6 Due to the distinctive area and number of offices, the Council has challenges in providing services to customers personally calling at office receptions. The Service is aiming to reinforce a customer ethos and a bespoke customer care training programme is being rolled out to all staff. This is covered further under the continuous improvement perspective. Pre-warrant discussions are encouraged by surveyors but this opportunity is not widely advertised and formal notes are not always recorded. 2.7 The Service has taken considerable steps to engage with stakeholders. Agents have been invited to User Groups which have been held in each of the four areas. In response to feedback from customers it is intended that these will be held on a quarterly basis at times and locations convenient to customers. Wide-ranging issues were discussed at the first events including customer s preference for PIs and their priority concerns. Feedback from the first meetings have clearly been used to inform service improvement for example improving the web link from the fees application page to the fees structure, and prioritising responses to amended drawings. The User Groups also identified the need for focused sub-groups to consider specific technical issues such as interpretation of technical handbooks. As well as getting feedback, these meetings have been used to disseminate information such as distributing the Service s standard plan check paragraphs. This has resulted in a noticeable improvement in the quality of building warrant applications. 2.8 In addition to the technical User Groups, separate annual User Forums aimed at a wider customer audience including local community councillors were initiated in December 2007 in each of the four areas. Councillors attending the User Forums have suggested that this model should be adopted by other Council departments. 2.9 A Planning Services Customer Satisfaction Survey form is used to establish views of the service and they are analysed annually. Although they are sent out with all building warrant and completion certificate decisions only a small percentage are returned. The Service plans to address this through a joint initiative with other members of the Group 5 Consortium which also acts as a benchmark group The Council has a Corporate Complaints procedure that is clearly advertised on the website and in all area offices. Although numbers of formal complaints are small, annual reports are prepared and reported to Council. Issues are dealt with 6

9 before they become formal complaints and thought needs to be given to capturing this information and disseminating it throughout the areas The Service will be commencing a review of all publications in November 2008 to prioritise those for Gaelic translation in accordance with the Councils Gaelic Language Plan. There is a Customer Charter in place that is widely publicised and reviewed annually Area-based User Groups, supported by User Forums are held on a regular basis and feedback used to inform service improvements The Public Access building standards register is published on the Council s website, although on-line submissions are not currently possible PIs are in place and regularly monitored and reported to the Council Customer guidance and forms are available on the web and at reception points Corporate complaints system in place Review planned to prioritise publications for Gaelic translation OVERALL MARKING GOOD 7

10 PERSPECTIVE 3 Internal Business Verifiers will have prepared a formal plan for the internal business perspective for the financial year by 30 September Actions intended to be taken by the verifier: Streamline Balanced Scorecard with internal business plan. BSC to be the main driver in terms of service improvements for verifier function. Review Balanced Scorecard and internal procedures in terms of risk protocols and performance monitoring. Review use of IT in service delivery. Hold monthly Technical Meetings with ATL s during 08/09. Hold bi annual in-house training days for whole team. Rationalise common work practices throughout the four area offices by implementing Process maps. Review Technical officer and Admin officer job descriptions to enable greater admin support to be provided for Building Standards Audit findings 3.1 Argyll & Bute Council operates through four area offices Mid Argyll, Kintyre and Islay; Bute and Cowal; Helensburgh and Lomond and Oban, Lorn and the Isles and has separate headquarters in Lochgilpead. Each area office has a building standards team headed by an Area Team Leader (ATL) and the BSM based at headquarters. The administration support in each area office is shared by building standards and planning. The administration staff work across both services but are only involved at key stages. 3.2 The formal business plan for the Service is the balanced scorecard. This links directly into the annual Planning Services Work Plan 2008/9, the Council Corporate Plan and higher level Community Plan Argyll & Bute: Leading Rural Area. Planning Services, which is part of Development Services, consists of Building Standards, Development Management, Development Planning and Development Policy. The BSM has developed in conjunction with staff the balanced scorecard and work processes. Staff have embraced the additional responsibilities and involvement. 3.3 A wide range of meetings take place allowing good dissemination of information and feedback. The BSM contributes to the strategic development of the Directorate through a close and supportive working relationship with the Head of Planning Services and active participation at the quarterly Department Management Team Meeting. These meetings are supplemented by monthly Department Team Meetings comprising Building Standards, Planning and Administration. 3.4 The previous lack of meeting arrangements between area offices has been addressed by structured meeting arrangements. These have resulted in improved 8

11 team performance and a strong culture of communications across the Service, ensuring that all staff are well-informed on service and corporate matters and are able to contribute to the decision making process. The BSM and ATLs meet bimonthly and these meetings are being developed to include more technical aspects allowing greater involvement by surveyors, with the ATLs providing feedback to their teams. 3.5 All building standards staff have met regularly over the past year giving all members of the teams an opportunity to become actively involved in key matters pertaining to the service. Officers meet and discuss common issues, and this change in approach has facilitated discussion and debate, which has had a positive impact on service delivery and has been welcomed by all concerned. When issues of common concern are identified these are acted upon; for example, in response to concerns about septic tank drainage the BSM arranged a professional seminar for all staff. Consideration is being given to extending invitations for future events to the User Groups. 3.6 The Service has had difficulties in recent years retaining and recruiting staff but flexible and home working initiatives have significantly helped address these issues. For example the BSM post was vacant for approximately a year until successful recruitment in May New building warrant applications are processed in the relevant area office by the administration team who check completeness of applications. They make up the file, attach and complete the file job sheet. These are then passed to the ATL who checks the validity of the application, value of work and fees, and determines allocation. 3.8 The administration team then enter the details onto the Uniform IT system, scan relevant documentation into the Comino electronic records management system, issue the acknowledgement letter, and distribute to the relevant surveyor. Building warrant drawings are not scanned until the building warrant is granted. Surveyors use the Uniform IT system to record and issue response letters. Standard paragraphs have been developed across all offices for consistency and are integrated in the Uniform IT system. Building warrants for issue are passed to the ATLs for any second checking, and then to the administration team, who update the Uniform IT system, produce the documents and annotate the drawings. 3.9 New completion certificate submissions are processed by the administration team who carry out initial checks and update the Uniform IT system before passing to the relevant area surveyor, who will usually have dealt with the original building warrant submission Due to the geographic area, applications and files are usually transferred by post between the four area offices, the satellite sub-offices in Bute and Campbeltown or may be with surveyors home working. The use of Comino enables these details to be accessed Council-wide and although scanned drawings are not available until building warrant issue, spare drawings are always accessible in the relevant area office and can be scanned if necessary for remote working. 9

12 3.11 The Comino system was implemented in 2006 and is integrated into the Uniform IT system. The Uniform IT system has been used since 1997 and although only limited reports are run, the Service has identified further benefits from expanding the reporting functionality Building warrant and completion certificate processes have been process mapped and are clearly understood and applied. Work has started on developing these further and potential benefits have been identified from the above review and by expanded use of the IT systems. The balanced scorecard is the Service s business plan and has clear linkages to the high level corporate objectives Good structure of meetings ensures the dissemination of information and feedback is effectively delivered Excellent communication links between all areas offices is enhanced by proactive formal and informal communication by staff Internal processes are well understood and consistently applied by building standards and administration staff IT systems are utilised for management information and electronic records Additional benefits from further development of process mapping and use of the IT systems have been identified OVERALL MARKING GOOD 10

13 PERSPECTIVE 4 Continuous improvement Verifiers will have prepared a three-year strategy for for continuous improvement by 30 September Actions intended to be taken by the verifier: 2006/07 Regular PDR Interviews for all staff Introduce document management and workflow system Review and update customer guidance Charter Statement update and review Apply Risk management Protocol 2007/08 Ensure all staff that are not yet fully qualified are on a course to achieve relevant questions and invest in training of staff to attain full professional qualifications and accreditation Evaluate current finance systems and time recording Review and updates of all previous actions(06/07) 2008/09 Review and refine internal quality systems and implement any feedback from audits Review and update all previous actions from 07/08 E-Building Standards development and implementation Embark on formal home/remote working trial Implement Planning Services review Implementation of Council pyramid monitoring system Continue annual reviews and match up individual training needs with appropriate courses Audit Findings 4.1 The balanced scorecard is the Service s three year continuous improvement programme on verification functions and is incorporated in the Services work plan. 4.2 The corporate approach to performance development reviews (PDR) has been rolled out within the Service. An annual interview is held with each individual member of the team identifying objectives and individual training needs which are consolidated into the departmental training plan. Unfortunately individual s objectives and key tasks are not clearly linked to corporate or departmental objectives and their targets are not SMART. 4.3 The Service has clearly suffered in the past from staff shortages and difficulties in recruitment. To address this, the Council have put a number of initiatives in place including a comprehensive approach to training, as an integral element of the Corporate Grow Your Own policy and an innovative Mobile and Home Working initiative which building standards is piloting for the Council. 11

14 4.4 Training and staff development were not always sufficiently resourced in the past but this is clearly a priority now for the Service. Emphasis has been placed on ensuring that the time and resources have been made available to enable all staff to gain professional qualifications and accreditation. For example 9 members of the Service have been encouraged to pursue corporate membership of the Association of Building Engineers and are at various stages, with a number having attained full membership through the mature entry route. Other opportunities arising are also actively embraced for example; in response to a request from a student for work placement, the Service quickly secured the necessary corporate agreement and financing, then produced a training programme to reflect professional requirements and arranged mentoring and support. It is now hoped to put this initiative on a regular footing. 4.5 Through the Grow Your Own policy the Service is seeking to enable administrative and technical staff to gain relevant qualifications to participate in the career grade progression which is part of the succession planning. The Service has also been actively engaged in raising the building standards profile throughout the community for example by attending school fares and presentations to community councils. This approach has been identified as an exemplar model for other departments. 4.6 An independent review of planning and building standards services was conducted in November 2007 and the recommendations are currently being implemented. The Council is in the process of moving to a centralised administrative service and it is hoped that this will address the lack of administrative support for surveyors, particularly within the Rothesay office, where this has clearly had an impact on performance. 4.7 The Service is part of the Group 5 Consortium which also operates as a benchmarking group. This has been useful to improve the Service for example the group has recently compared data and reviewed their assessment of the value of work declared on building warrant applications, in addition they are currently compiling an updated customer survey to be issued across all Group 5 Consortium membering authorities to address the issues raised by cross boundary agents. The opportunity for wider training seminars and CPD exchanges is also being explored. 4.8 The Corporate Mobile and Home Working pilot is being rolled out, although flexible and home working initiatives have been in the Service for some time. This is a major new initiative for the Council and the Service as it seeks to address all key objectives of the corporate vision, providing high quality public services, quality of life, work balances and helping to reduce the carbon footprint. The Environmental Protection and Building Standards Service will be participating in this initiative. Six building standards officers will be able to work from a home-based office with access to central IT systems via internet connection and direct links to telephone systems. The Council are providing tablet computers, suitable office equipment and connections. Other officers will have improved access to services using PDAs and tablets whilst on site. Team discussions enabled the most appropriate officers to be selected to trial this approach and included both those living in more remote areas but also those near their office. The public and administration staff will be able to 12

15 contact the surveyors working at home through their usual telephone number offering the customer a streamline service. 4.9 The pilot is due to run for three months and if successful would have a significant positive impact on service delivery and staff wellbeing. The Service has identified that the initiative must be well managed to ensure the public and officebased staff are not inconvenienced. This includes transparency and flexibility on arrangements. Although this is a new initiative the Service has previously operated a flexible working approach for staff. This initiative will allow home workers full access to IT systems and has already assisted the Service in staff recruitment and retention, particularly in senior positions The Service has commissioned a bespoke programme Customer Care training programme, which is in the process of being rolled out to all staff. Initial feedback shows that this innovate approach is appreciated The Council s new Pyramid monitoring system designed to improve performance management is currently being rolled out. The Service currently uses the Uniform IT system to manage service delivery including monitoring reports and this will be linked to Pyramid, removing the need for duplication and ensuring streamlined performance monitoring. Three year Continuous Improvement Plan in place Corporate PDR process informs training plan Staff actively encouraged and supported to obtain professional qualifications and accreditation Bespoke Customer Care training is being rolled out Technical training events held and may be rolled out to user groups Mobile and Home Working initiative is being piloted and is crucial to maintain building standards service delivery Service actively participates in the councils Grow Your Own policy The Service benefits from being an active member of the Group 5 Consortium The recommendations from the Planning Services review are being implemented The corporate Pyramid monitoring system is being rolled out OVERALL MARKING GOOD 13

16 PERSPECTIVE 5 Finance Verifiers shall have systems in place to record costs and the management of costs against income streams for the verification process by March Actions intended to be taken by the verifier: Evaluate current systems Implement revised System Implement finance and time recording systems Review monitor and adjust system as necessary Audit findings 5.1 The Service has recently introduced a time recording system that allows staff to identify time spent on verification and non-verification functions. Guidance setting out verification activities has been produced in conjunction with staff to assist them in this process. The information is collated monthly onto a spreadsheet by the BSM and then forwarded to the accountant for processing. 5.2 The Service has effective budget setting and monitoring procedures in place. The BSM has a good relationship with the Council s Finance service and meets the accountant on a monthly basis where any discrepancies identified are investigated and rectified. A note of each meeting is taken. 5.3 Building Standards and Planning are the only sections within the Council at present that have been given the authority to recruit new members of staff without first having to go through the justification process. 5.4 Strategic finance is in the process of reviewing budget allocations, and moving from an annual incremental budget allocation towards unit cost. The Council s financial monitoring system is also under review. Easily understood time recording system in place Good checking and monitoring of budgets Review of budget allocation in progress OVERALL MARKING GOOD 14

17 CONCLUSIONS 1. The Scottish Government s Building Standards Division (BSD) reviewed the verifier s balanced scorecard against evidence submitted by the Service for each perspective: public interest; private customer; internal business; continuous improvement and finance. A number of core questions were issued to the Service prior to an on-site visit. The BSD undertook the audit on 30 September and 1 October in the Helensburgh office and reviewed the processes and procedures against the information provided on the balanced scorecard along with the evidence submitted. The audit team produced the final report using standardised commentary and markings throughout. 2. After reviewing the balanced scorecard evidence and conducting the two-day audit (including testing how the processes worked in practice), the BSD was satisfied that the Service scored well against all the perspectives in their balanced scorecard submission. 3. The Service has made considerable progress since the appointment of the new BSM in May The BSM is well respected and supported by staff, and by the Head of Planning Services and the Director of Development Services. 4. Staff have the opportunity to meet and work as a team rather than simply operate from the four area offices. The emphasis that is now placed on training and staff development combined with the introduction and encouragement of effective communications is clearly having a positive impact on staff morale. There is a strong and positive team committed to improving service delivery. 5. Communication with the customer has also been improved through area based User Groups and the User Forum. This model has been complemented by councillors and may well be introduced into other services. 6. The allocation of building warrant applications is managed proactively across all area offices and staff are willing to help out their colleagues who are experiencing temporary increased workloads. 7. The geographical challenges facing Argyll & Bute Building Standards Service have contributed to staff shortages and recruitment difficulties. This has created particular difficulties for the Service and it is refreshing to see the Service leading a council wide initiative of such importance as that of the home and remote working programme. The outcome of this programme is clearly designed to have a significant impact on building standards service delivery. 8. As each of the Service balanced scorecard perspectives were assessed as good or better the BSD conclude that there will be no need to undertake any further audits within the current verification appointment period. 15

18 CONTACT DETAILS Further information about the verification process can be found on the Building Standards Division website at The site contains information about the work of the Division and includes a list of contacts covering key areas of work. Scottish Government Building Standards Division Denholm House Almondvale Business Park Livingston EH54 6GA Tel: Fax: info@sbsa.gsi.gov.uk 16

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