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A Performance Management and Accountability Framework

For Cumbria County Council

What we do to improve our performance.

Version 1.1: Refreshed – 15th June 2011

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ContentsContentsContentsContents SectionSectionSectionSection PagePagePagePage 1. 1. 1. 1. Our Performance Management FrameworkOur Performance Management FrameworkOur Performance Management FrameworkOur Performance Management Framework 2222 2. 2. 2. 2. PlansPlansPlansPlans 6666 3. Resource Allocation3. Resource Allocation3. Resource Allocation3. Resource Allocation 10101010 4444. . . . PePePePerformance Measuresrformance Measuresrformance Measuresrformance Measures 11111111 5555. . . . PePePePerformance rformance rformance rformance Management, Management, Management, Management, Monitoring & ReportingMonitoring & ReportingMonitoring & ReportingMonitoring & Reporting 11113333 6666. . . . Improvement PlanningImprovement PlanningImprovement PlanningImprovement Planning 22222222 7777.... Communication with customers,Communication with customers,Communication with customers,Communication with customers, employees and trades unionsemployees and trades unionsemployees and trades unionsemployees and trades unions 23232323 8.8.8.8. GlossaryGlossaryGlossaryGlossary of Abbreviationsof Abbreviationsof Abbreviationsof Abbreviations 24242424 9.9.9.9. Appendix 1 Appendix 1 Appendix 1 Appendix 1 –––– Data Quality Assurance Roles and ResponsibilitiesData Quality Assurance Roles and ResponsibilitiesData Quality Assurance Roles and ResponsibilitiesData Quality Assurance Roles and Responsibilities

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1. 1. 1. 1. Our Performance Management FrameworkOur Performance Management FrameworkOur Performance Management FrameworkOur Performance Management Framework

What follows in this document, is a description of What follows in this document, is a description of What follows in this document, is a description of What follows in this document, is a description of the comthe comthe comthe component parts of ponent parts of ponent parts of ponent parts of our PMF to aid understanding and promote good practice. our PMF to aid understanding and promote good practice. our PMF to aid understanding and promote good practice. our PMF to aid understanding and promote good practice.

It sets out clear accountabilities and responsibilities It sets out clear accountabilities and responsibilities It sets out clear accountabilities and responsibilities It sets out clear accountabilities and responsibilities withinwithinwithinwithin the organisationthe organisationthe organisationthe organisation for for for for

PMPMPMPM....

It is designed to help Directorates It is designed to help Directorates It is designed to help Directorates It is designed to help Directorates tailor their approachtailor their approachtailor their approachtailor their approacheseseses to meet Corporate to meet Corporate to meet Corporate to meet Corporate and Directorateand Directorateand Directorateand Directorate needs, needs, needs, needs, and sets out and sets out and sets out and sets out standards standards standards standards for the for the for the for the content and frequency content and frequency content and frequency content and frequency

of perof perof perof performance reports.formance reports.formance reports.formance reports.

It describes the It describes the It describes the It describes the roles of individual employees and the roles of individual employees and the roles of individual employees and the roles of individual employees and the impact individual impact individual impact individual impact individual performance has on the overall performance has on the overall performance has on the overall performance has on the overall performanceperformanceperformanceperformance of the Council of the Council of the Council of the Council

It is a framewIt is a framewIt is a framewIt is a framework, and not a detaileork, and not a detaileork, and not a detaileork, and not a detailed instruction manual d instruction manual d instruction manual d instruction manual on how to manage on how to manage on how to manage on how to manage

performance.performance.performance.performance.

Performance Management Performance Management Performance Management Performance Management –––– A Working DefinitionA Working DefinitionA Working DefinitionA Working Definition To some people, performance management means collecting performance information. To others it implies a personal appraisal. There are many definitions of performance management; however the following is as clear as any: “t“t“t“taking action inaking action inaking action inaking action in response to actual performanceresponse to actual performanceresponse to actual performanceresponse to actual performance to make outcomes for to make outcomes for to make outcomes for to make outcomes for service service service service users and users and users and users and the public better than they would otherwise bethe public better than they would otherwise bethe public better than they would otherwise bethe public better than they would otherwise be”””” Action may be at individual, team, service, corporate or community level. Improvement to outcomes should benefit service users but does not always mean increased service levels –sometimes better outcomes can mean delivering better value for money (VFM). Reducing levels of service in one area may free up resources to be used more effectively elsewhere. Put simply, performance management is what you do to improve and maintain good performance. It involves gathering robust and accurate information about our performance and understanding and addressing performance issues at every level of the organisation. Managing performance effectively requires coordinated planning and review systems to ensure that members, managers and staff can take action based on reliable information, i.e. information that is complete, accurate, timely and relevant. There are a number of benefits brought about by having an effective PMF in place. Member and Officer roles, accountabilities and responsibilities around performance management are made clear and Members and Officers are provided with the information needed to judge the extent to which we are achieving our objectives. It helps each employee understand

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how their individual performance plan, developed through the appraisal process, contributes to the achievement of the Council’s aims and objectives. It also helps us meet statutory requirements around providing information to central government departments and inspectorates as well as fulfilling our duty ‘to make arrangements to secure continuous improvement in the way our functions are exercised’. To be effective, a performance management culture needs to be embedded within the council and reflected in how we operate and work together. To support this, a key objective in our Workforce Plan is to develop an organisational culture that encourages innovation and high performance practices. The culture of performance management must be integral to all of our work, embraced by leaders at all levels, from members to managers leading small teams and cascaded and shared with all employees. This ensures that measurable activities at individual, team and service level translate into improved services for people and communities. As well as having the culture and leadership in place, it’s important to get the support systems and processes right. Plans and objectives need to be in place and appropriate performance indicators, actions, programmes, projects and targets need to be developed and implemented.

Continuous ImprovementContinuous ImprovementContinuous ImprovementContinuous Improvement As well as focusing all that we do on delivering better services for people, the council has a duty to provide evidence that it is achieving continuous improvement, through a combination of Economy, Efficiency and Effectiveness. Consequently, all Members and employees need to work together to ensure that performance management is part of our daily work routine. Everyone has a contribution to make towards improving Cumbria, and by implementing the performance management framework, this will ensure that measurable activities at individual, team and service level translate into better services for our communities. If you require more detailed guidance on individual aspects of the framework please contact the Performance and Programmes Team in the Chief Executive’s Office.

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Key aspects of our Performance Management FrKey aspects of our Performance Management FrKey aspects of our Performance Management FrKey aspects of our Performance Management Frameworkameworkameworkamework The central purpose of our Performance Management and Accountability Framework (PMF) is to help us deliver better quality services to local people. This is achieved by bringing together the following components of our framework:

• Plans (objectives and priorities)

• Resource Allocation (people, skills, budgets, property)

• Service Delivery

• Performance Management, Monitoring & Reporting.

• Improvement Planning Finally, wrapped around the above component parts is a requirement for continuous communication with employees, service users, public and Trades Unions to ensure all of us are fully engaged as stakeholders in the process. The full framework is shown on the next page.

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Key aspects of our Key aspects of our Key aspects of our Key aspects of our Performance Management FrameworkPerformance Management FrameworkPerformance Management FrameworkPerformance Management Framework

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2. 2. 2. 2. PlanPlanPlanPlanssss Our planning framework links community and corporate objectives via ‘a golden thread’ through to team and individual plans. By having a clear framework within which to work, priorities can be identified, plans put in place to deliver these and each individual can identify how their actions contribute to the delivery of improved outcomes for local people. The Cumbria Community Strategy 2008Cumbria Community Strategy 2008Cumbria Community Strategy 2008Cumbria Community Strategy 2008----2028202820282028 sets out a vision and outcomes for Cumbria that are informed by our ‘story of place’, which describes Cumbria’s characteristics and challenges. The Council PlanCouncil PlanCouncil PlanCouncil Plan is the overarching strategic document from which the County Council sets out its business. It outlines our vision for the future, our underpinning values and key ways of working. The strategic aims and objectives of this document are developed by Elected Members and informed by public consultation. Mechanisms for their delivery – including key outcomes and planned improvement – are set jointly with Corporate Directors. It provides a clear focus to the overall work of the council and is used to communicate priorities to staff and partners. The diagram on the next page captures the key priorities, the underpinning aim and the aspirations for Cumbria in our Council Plan 2011-14.

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The Council Plan is the basis on which other plans (statutory and non-statutory) are built. It provides guidance when planning essential services to the community and informs the objectives of every directorate and member of staff. The council's budget is aligned to the plan so that resources are matched to key priorities. The deliverables in our council plan are reviewed every year to ensure that it always reflects the most important improvement priorities.

Directorate Directorate Directorate Directorate Service PlansService PlansService PlansService Plans provide a vital link between council objectives at a strategic level through to individual appraisals, so that each service and member of staff knows how what they do contributes to achieving our objectives. Directorate Service Plans are an essential tool for making rational and co-ordinated decisions about levels and types of provision where resources, finances, people and assets are used well, through clear links to financial planning. They should be used as a framework for team discussions on performance and provide an opportunity for the key issues to be highlighted to Corporate Management Team, Directorate Management Teams and for Scrutiny reviews. Statutory, Business Unit and Team PlansStatutory, Business Unit and Team PlansStatutory, Business Unit and Team PlansStatutory, Business Unit and Team Plans Underpinning the directorate service plan each directorate may have a number of statutory and non-statutory plans. In the same way that the directorate service plan is aligned to the Council Plan, these supporting plans will have their objectives and performance measures aligned to the Directorate Service Plan. Locality based objectives and activity will sit within this level of plan where appropriate. Individual PlansIndividual PlansIndividual PlansIndividual Plans and and and and AppraisalsAppraisalsAppraisalsAppraisals take place twice a year and are used to agree individual work programmes and targets. The employee appraisal process is critical to the Performance Management Framework. The appraisal process enables employees supported by their line manager to:

• agree their objectives, competencies and development needs so that they contribute to the Council’s objectives

• agree how their line manager will support them in achieving these work and learning objectives

• review individual performance against objectives and competencies throughout the year. Identifying potential barriers to success, addressing underperformance where necessary, and recognising and celebrating success.

• reinforce expected behaviours and outcomes required to achieve objectives

• examine the impact of past learning and training on individual performance and

• identify what skills they need to ensure continuous improvement and development. This process ensures that every employee’s contribution fits into the overall aims of the Council and highlights how important an individual’s performance is to the improvement of the organisation.

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Appraisals take place each year in April/May and then six months later prior to the next round of planning in October/November. The April appraisal focuses on achievements from the previous year, with an objective setting process and forward plan, linked to the Council Plan and Directorate Service Plan, for the forthcoming year. The October, or Mid Year appraisal, reviews progress to date and re-alignment of objectives for the remainder of the year, with specific focus on developmental needs which feed into the budget and strategic planning cycle for the forthcoming year. Further details of the appraisal process can be found at: http://www.intouch.ccc/orgdev/appraisal.asp http://www.intouch.ccc/bettermanagement/yourstaff/appraisalsystem.asp Directorate learning and dDirectorate learning and dDirectorate learning and dDirectorate learning and development planevelopment planevelopment planevelopment planssss These are complied by pulling together the learning and development requirements arising from the annual ‘mid year’ employee appraisal process, which takes place in October/November. As appraisals are based on Council Plan / Directorate Service Plan objectives there will be a clear link between the council’s strategic objectives and the development activity provided.

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3. 3. 3. 3. Resource AllocationResource AllocationResource AllocationResource Allocation

The Workforce Plan The Workforce Plan The Workforce Plan The Workforce Plan sets out how the Council Plan will support and develop the workforce to achieve our objectives and is central to the delivery of effective and improved services. The Workforce Plan aims “to have the right number of people with the right skill sets, attitudes and behaviours working in modern and efficient ways.” The Council aims to achieve this through its workforce plan by adopting the five workforce themes as below:

• Organisational Development - Effectively building workforce support for new structures and ways of working to deliver citizen-focused and value for money services, in partnership.

• Leadership Development - Building visionary, ambitious and effective leadership which makes the best use of both the political and managerial role, operating in a partnership context.

• Skill Development - With partners, developing employees’ skills and knowledge, in an innovative, high performance, multi-agency context.

• Recruitment and retention - With partners, taken action to: recruit and retain the right workforce; address key future occupational skills shortages; promote jobs and careers; identify, develop and motivate talent and address diversity issues.

• Pay and Rewards - Modernising pay structures and improving flexibility and productivity to reflect challenging budget and efficiency requirements, as well as new ways of working; encouraging a total reward approach to promote high performance in the new context.

The Workforce Plan will be reviewed and refreshed regularly alongside the Council Plan and integrated into Directorate Service Plans. Annual BudgetAnnual BudgetAnnual BudgetAnnual Budget sets out the financial resources that are available for each Directorate and Service to deliver the Council’s objectives and priorities Asset Management Plan Asset Management Plan Asset Management Plan Asset Management Plan sets out how our physical assets, including property and accommodation, will be used by the Council to support effective delivery of services.

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4.4.4.4. Performance MeasurePerformance MeasurePerformance MeasurePerformance Measuressss

Performance measures are used to track performance over time and to ensure objectives are being met. Setting year on-year targets for performance measures is a common way of achieving continuous improvement. Regular monitoring of performance allows actions to be taken to manage performance back on track where relevant, and communicate achievements to Members, employees and other stakeholders. When carried out effectively, this enables the council to provide evidence of continuous improvement.

Linking Performance Objectives, Targets and MeasuresLinking Performance Objectives, Targets and MeasuresLinking Performance Objectives, Targets and MeasuresLinking Performance Objectives, Targets and Measures

Objective what we intend to achieve

Target the level of performance or rate of improvement needed

Performance Measure a measure that tells us whether we have reached out target

Outcome the result/consequence/impact of meeting the objective

(the end state)

Performance measurement

• Use fewer and more balanced measures

• Measure processes as well as results

• Measure teamwork as well as functions or departments

• Be creative in developing measures

• Make your measurements talk

• Make measurement your organisations ‘glue’

• Build consensus around a few best measures

Measures should be:

• relevant

• have a clear definition

• easy to use

• comparable

• verifiable

• cost effective

• anambiguous

• attributable

• responsive

• statistically valid

• timely

• action focused

It is important that performance can be measured for all of our plans:

o Council Plan o Directorate Service Plans o Teams Plans o Individual Plans (Appraisal)

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Data QualityData QualityData QualityData Quality StStStStrategy and Standardsrategy and Standardsrategy and Standardsrategy and Standards Robust processes to secure good quality data are essential if the council and partners are to be confident that information being used to assess performance, allocate resources and ensure decision-making is based upon consistent, high-quality, timely and comprehensive information. Our Corporate Data Quality Strategy and Standards sit alongside the PMF and provide the framework to support performance improvement in data quality:

http://www.intouch.ccc/bestvalue/pmf.asp

Quality assurance systems need to be in place throughout the organisation. They should provide reassurance that performance information is reliable and ensure that there is a clear trail of evidence for all our data.

Directorate Management Teams, Service Managers, Directorate Performance Lead Officers, the Performance and Intelligence Team and Management Audit all have roles and responsibilities around the above requirements. It is important that each group understand their respective roles as set out in the tables in Appendix 1.

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5. 5. 5. 5. Performance Performance Performance Performance Management, Management, Management, Management, Monitoring and ReportingMonitoring and ReportingMonitoring and ReportingMonitoring and Reporting

To ensure that our performance is managed effectively, we will use a set of Performance Scorecards to track progress, celebrate success or take appropriate corrective action. To ensure all of this works effectively, we have assigned the following accountabilities and responsibilities for performance: Accountabilities and ResponsibilitiesAccountabilities and ResponsibilitiesAccountabilities and ResponsibilitiesAccountabilities and Responsibilities CouncilCouncilCouncilCouncil The CouncilCouncilCouncilCouncil is ultimately responsible for the overall performance of its services, and accountable to the electorate and Government for the resources used to deliver services. It approves the Council Plan each year and this is done through the annual budget and strategic planning process. The Council will receive 6 monthly reportsreportsreportsreports, setting out progress toward achievement of the Council Plan.

CabinetCabinetCabinetCabinet The CabinetCabinetCabinetCabinet determines the projects and activities that will be undertaken by the council to deliver its objectives. Cabinet will also receive a quarterly progress report, in the form of a Corporate Performance ScorecardCorporate Performance ScorecardCorporate Performance ScorecardCorporate Performance Scorecard, to track achievement of Council Plan and Workforce Development Plan priorities. Corporate Management TeamCorporate Management TeamCorporate Management TeamCorporate Management Team The Corporate Management TeamCorporate Management TeamCorporate Management TeamCorporate Management Team (CMT) has overall management responsibility for the performance of the organisation. CMT is responsible for signing off Directorate Service Plans and delivering Council services. CMT also has overall responsibility for ensuring that performance information used in decision-making is ‘fit for purpose’ and reliable. CMT will receive the quarterly progress report on the Corporate Performance ScorecardCorporate Performance ScorecardCorporate Performance ScorecardCorporate Performance Scorecard and will agree any remedial action required to get performance back on track, acknowledge and communicate successes and achievements and sign-off the scorecard prior to presentation to Cabinet. Corporate DirectorsCorporate DirectorsCorporate DirectorsCorporate Directors Each Corporate Corporate Corporate Corporate Director Director Director Director has overall management responsibility for the performance of their respective Directorates. Accordingly, at least on a quarterly basis, Corporate Directors and their Directorate Management Teams (DMT)Directorate Management Teams (DMT)Directorate Management Teams (DMT)Directorate Management Teams (DMT) would consider the content of DirectorateDirectorateDirectorateDirectorate Performance ScorecardPerformance ScorecardPerformance ScorecardPerformance Scorecards, agree any remedial action required to get performance back on track, acknowledge and communicate successes and achievements, and sign-off scorecard prior to presentation to Cabinet portfolio holders. Assistant DirectorsAssistant DirectorsAssistant DirectorsAssistant Directors Each AssistantAssistantAssistantAssistant Director Director Director Director has overall management responsibility for the performance of their respective Directorates. Accordingly, at least on a quarterly basis, Assistant Directors and their Directorate Management Teams (DMT)Directorate Management Teams (DMT)Directorate Management Teams (DMT)Directorate Management Teams (DMT) would consider the content of AreaAreaAreaArea Performance ScorecardPerformance ScorecardPerformance ScorecardPerformance Scorecardssss, agree any remedial action required to get performance back on

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track, acknowledge and communicate successes and achievements, and sign-off scorecard prior to presentation to Cabinet portfolio holders. Cabinet Members (Portfolio Holders)Cabinet Members (Portfolio Holders)Cabinet Members (Portfolio Holders)Cabinet Members (Portfolio Holders) Each CabinetCabinetCabinetCabinet Member has an allocated portfolio of services and activities for which he/she takes responsibility. On a quarterly basis, each Cabinet Member will have access to a quarterly progress report, in the form of a Directorate Performance ScorecardDirectorate Performance ScorecardDirectorate Performance ScorecardDirectorate Performance Scorecard and/or AreaAreaAreaArea Performance ScorecardPerformance ScorecardPerformance ScorecardPerformance Scorecardssss to track achievement priorities within their respective portfolios. The content of these scorecards should be used by Cabinet Portfolio holders, Corporate Directors and Assistant Directors to monitor and manage Directorate and Service performance. Local CommitteesLocal CommitteesLocal CommitteesLocal Committees Each Local Committee will receive a performance report on a quarterly frequency that sets out progress toward delivery of the functions devolved to the Committee. Additionally, each Local Committee will receive an Area Performance ScorecardArea Performance ScorecardArea Performance ScorecardArea Performance Scorecard that sets out key service performance for that area. Local Committees would review the performance of the Area Scorecard content, highlight any concerns and opportunities for improvement. ManagersManagersManagersManagers All Managers have a responsibility to lead and support individual employees and teams to achieve success and to improve services. Managers are expected to encourage individuals and teams to challenge the status quo and are expected to support employees to exploit opportunities for achieving continuous improvement. Supporting employees to participate in problem solving teams would be one way of achieving this (see paragraph 7). All Managers also have a responsibility to conduct appraisals for staff within their team, which includes the setting of performance objectives, with the involvement of employees, identifying actions and targets for the current year, together with any relevant training/personal development needs. Managers should involve employees in the setting of service and personal objectives and targets, and Managers are responsible for implementing formal procedures and support mechanisms to address persistent cases of underperformance. ManManManManagers, agers, agers, agers, EmployeesEmployeesEmployeesEmployees and Appraisalsand Appraisalsand Appraisalsand Appraisals

All employees are responsible through their appraisal or performance and development review to contribute towards the organisation’s strategic goals and objectives. Managers are also expected to use the appraisal process to encourage, support and enable employees to achieve improvement, to foster a culture of success and to ensure that there is transparent accountability for use of Council resources. Each member of staff will agree specific performance targets as part of their annual annual annual annual appraisal.appraisal.appraisal.appraisal. This should identify actions and targets for the current year along with any relevant training/personal development needs. Employees should be involved in the setting of service and personal objectives and targets.

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Overview and ScOverview and ScOverview and ScOverview and Scrutiny rutiny rutiny rutiny The Scrutiny Management Board has the responsibility to take an overview of performance, to review and scrutinise the performance of the Council in relation to its policy objectives, performance targets and/or particular services. The Scrutiny Management Board will have access to the Corporate Performance Scorecard and Directorate Scorecards (for Chief Executive’s Office, Resources and Organisational Development) on a quarterly basis, where it will scrutinise any exceptions to performance and it will make recommendations on areas of concern to Cabinet. Each Scrutiny Board has the responsibility to review and scrutinise any area of the Council’s performance or its policy objectives. The Scrutiny Boards will receive the relevant Directorate Performance Scorecard/s on a quarterly basis, they will scrutinise any exceptions to performance and it will refer any recommendations on areas of concern to the Scrutiny Management Board.

Management Audit Management Audit Management Audit Management Audit UnitUnitUnitUnit & Audit and Assurance Committee & Audit and Assurance Committee & Audit and Assurance Committee & Audit and Assurance 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 and Assurance Audit and Assurance Audit and Assurance Audit and Assurance CommitteeCommitteeCommitteeCommittee, through the work of the Management Audit Management Audit Management Audit Management Audit UnitUnitUnitUnit, 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.

Chief Executive’s OfficeChief Executive’s OfficeChief Executive’s OfficeChief Executive’s Office

The Chief Executive’s OfficeChief Executive’s OfficeChief Executive’s OfficeChief Executive’s Office provides advice on both maintenance and implementation of the performance management framework, and is responsible for maintaining the Council’s data quality assurance strategy. The team is responsible for coordinating the production of the Council Plan and co-ordinates and supports the timely production of Corporate Performance Scorecards for Council, Cabinet and CMT.The quarterly reporting cycle, with responsibilities and accountabilities for performance management is covered in the next section of the framework. Our Our Our Our PerformancePerformancePerformancePerformance ScorecardsScorecardsScorecardsScorecards We have a robust corporate performance monitoring and reporting system to ensure we regularly and comprehensively monitor resources, performance and risk at service, directorate and corporate level.

To achieve this, the Council operates a system of integrated Performance Scorecards:

• Corporate Corporate Corporate Corporate Performance Performance Performance Performance Scorecard Scorecard Scorecard Scorecard

• Directorate Directorate Directorate Directorate Performance Performance Performance Performance ScorecardScorecardScorecardScorecardssss

• Area Area Area Area Performance Performance Performance Performance ScorecardScorecardScorecardScorecardssss

Corporate support for developing and maintaining the scorecards Corporate support for developing and maintaining the scorecards Corporate support for developing and maintaining the scorecards Corporate support for developing and maintaining the scorecards

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PerformancePlus (P+) provides a single council wide database for storing and reporting performance and risk information in a consistent way using common standards across the council. It is an interactive system that holds both numerical and text based information.

PerformancePlus is being developed to hold the core data set for the Corporate, Directorate and Area scorecards, this core data set will feed a variety of mechanisms for performance reporting and interrogation. The following section describes the scorecards

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The Corporate Scorecard

Scorecard Scorecard Scorecard Scorecard Individual or Individual or Individual or Individual or BoBoBoBodydydydy

FrequencyFrequencyFrequencyFrequency Purpose of ScorecardPurpose of ScorecardPurpose of ScorecardPurpose of Scorecard AccountabilityAccountabilityAccountabilityAccountability ResponsibilityResponsibilityResponsibilityResponsibility

Corporate Performance Scorecard

Cabinet

Quarterly Progress toward achievement of the Council Plan and Workforce Development Plan.

Cabinet – Collectively accountable to Public for use of Council resources.

Cabinet – Responsibility to determine how expenditure on services should be undertaken.

CMT

Quarterly Any remedial action required to get performance back on track, Acknowledge and communicate successes and achievements, and Sign-off scorecard prior to presentation to Cabinet.

CMT – Collective management accountability for use of Council resources.

CMT – Collective management responsibility to deliver services in line with Cabinet priorities.

Scrutiny Management Board

Quarterly Review and scrutinise performance using the Corporate Scorecard & Directorate Scorecards from Chief Executive’s Office, Resources and Organisational Development.

(tbc) Highlight any areas of concern to Cabinet. Initiate specific pieces of performance led work as part of a single SMB work programme.

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The Directorate Scorecard

There will be one balanced scorecard per Directorate. There will be common basket of performance indicators for the Resources and People perspectives which Directorates can add to. The performance indicators for the Customer and Processes perspectives will be unique to each directorate.

Scorecard Scorecard Scorecard Scorecard Individual or Individual or Individual or Individual or

BodyBodyBodyBody FrequencyFrequencyFrequencyFrequency Purpose of ScorecardPurpose of ScorecardPurpose of ScorecardPurpose of Scorecard AccountabilityAccountabilityAccountabilityAccountability ResponsibilityResponsibilityResponsibilityResponsibility

Directorate Performance Scorecard

Corporate Director

Quarterly

Any remedial action required to get performance back on track, Acknowledge and communicate successes and achievements, and Sign-off scorecard prior to presentation to CMT

Corporate Director –accountable to Chief Executive for resources used to deliver Directorate plan.

Corporate Director -responsible for overall performance of the Directorate. Responsible for ensuring Directorate performance is managed at DMT and Cabinet Portfolio holder is fully engaged.

DMT

Cabinet Portfolio Holder

Quarterly

Achievement against priorities within their respective Cabinet portfolios.

Cabinet Portfolio Holder – Accountable to Cabinet and Public for use of Directorate Resources

Cabinet Portfolio Holder – Responsible for holding Corporate Director to account for Service Plan Performance Responsibility to influence Cabinet to determine how expenditure on

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services should be undertaken.

The Directorate Scorecard continued

Scorecard Scorecard Scorecard Scorecard Individual or Individual or Individual or Individual or BodyBodyBodyBody

FrequencyFrequencyFrequencyFrequency PurpoPurpoPurpoPurpose of Scorecardse of Scorecardse of Scorecardse of Scorecard AccountabilityAccountabilityAccountabilityAccountability ResponsibilityResponsibilityResponsibilityResponsibility

Directorate Performance Scorecard

4 Scrutiny Boards

Quarterly Review and scrutinise the performance of the Directorate Scorecard content (Children’s Services, Adults and Local Services, Environment and Safer & Stronger Directorates).

To Scrutiny Management Board for delivery of the Board’s work programme.

Highlight any concerns and make recommendations to SMB. Initiate specific performance led pieces of work for inclusion in the Board work programme.

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The Area Scorecard

There will be one scorecard per Local Committee area and each scorecard will contain performance information from our public facing services. All area scorecards will contain the same performance indicators in the Processes, Resources and People

perspectives, the Customer perspective performance indicators will reflect the local priorities for that area. The scorecards will be presented by the Assistant Director linked to each Local Committee.

ScoScoScoScorecard recard recard recard Individual or Individual or Individual or Individual or BodyBodyBodyBody

FrequencyFrequencyFrequencyFrequency Purpose of ScorecardPurpose of ScorecardPurpose of ScorecardPurpose of Scorecard AccountabilityAccountabilityAccountabilityAccountability ResponsibilityResponsibilityResponsibilityResponsibility

Area Performance Scorecard (1 for each of 6 Local Committee Areas)

CMT

Quarterly

Any remedial action required to get performance back on track, acknowledge and communicate successes and achievements, and Sign-off scorecard prior to presentation to DMT

Assistant Director -accountable to Corporate Director for resources used to deliver Directorate service plan in the area.

Assistant Director – management responsibility for overall performance of their service in the Area.

DMT

Portfolio Holder

Quarterly Achievement against priorities within their respective portfolios.

Cabinet Portfolio Holder – Accountable to Cabinet and Public for use of Service Resources in the area.

Cabinet Portfolio Holder – Responsible for holding Corporate Director to account for Service performance in the area.

Local Committees

Quarterly Review the performance of the Area Scorecard content and highlight any concerns and opportunities for improvement.

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6. 6. 6. 6. IIIImprovement Planningmprovement Planningmprovement Planningmprovement Planning

There are a number of opportunities for individuals and teams to identify areas for improvement , including:

• appraisal (personal performance & development review).

• use of customer feedback

• regular monitoring of contracts and service level agreements

• audit and inspection recommendations

• benchmarking performance with other organisations

• value for money analyses

• service reviews

• risk assessments

• self-assessments Problem Solving TeamsProblem Solving TeamsProblem Solving TeamsProblem Solving Teams The Business Improvement Team based in Organisational Development is a corporate resource to assist the Council and its component Directorates and Services to improve service delivery, reengineer business processes and to realise efficiency savings. While much of the team’s work supports large strategic programmes, such as the various ‘Better’ initiatives, the team is also available to work with managers in tackling specific problems and challenges. One element of this approach is to provide the tools, techniques and skills required to apply some core techniques against real problems in the workplace. The team will deliver facilitated training across the Authority in order to embed and disseminate the approaches available. This training will help staff

– Understand how and why a structured approach to problem solving is beneficial

– Be able to utilise & adapt a simple problem solving structure – Be able to explore and define problems – Be able to explore, develop and implement creative solutions – Be able to review and apply learning to subsequent problems

In addition, the Business Improvement Team is available to work on service specific or cross-cutting projects which have the potential to improve service delivery and/or generate efficiency savings. The approach taken is one of facilitation and support in order that the problem and the solution remains with the Directorate and the skills of the team complement rather than replace. This work can include hands-on support, the provision of “communities of practice”, access to other practitioners and the sharing of best practice and lessons learned from previous improvement projects along with dedicated programme management and support.

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7. 7. 7. 7. Communication wCommunication wCommunication wCommunication with Employees, Stakeholders, ith Employees, Stakeholders, ith Employees, Stakeholders, ith Employees, Stakeholders, CustomersCustomersCustomersCustomers and Trades and Trades and Trades and Trades UnionsUnionsUnionsUnions Our workforce is the critical factor in performance management. Ensuring people are involved and informed at every stage is vital to maintain a high performance culture. All employees should have their views sought and acted upon regularly, so that they have a greater understanding and ownership of the council’s priorities. We are committed to keeping people informed and we provide regular updates about our performance and the services available. The channels we use to deliver this performance information include:

• Your Cumbria – our residents’ newsletter • Newsroom - our employee newsletter

• Update – regular update of current news for staff • Corporate Messages – by e-mail or fax

• Local and national media

• Residents’ and Community Voice surveys

• Website and intranet

Employee REmployee REmployee REmployee Relations Framework and Joint Consultative Groups elations Framework and Joint Consultative Groups elations Framework and Joint Consultative Groups elations Framework and Joint Consultative Groups –––– The Employee Relations Framework is the mechanism for the council to hold discussions with it’s recognised trade unions. Within this framework Joint Consultative Groups (JCG’s) have been established at Directorate, HR, Corporate and Member level. The County Council JCG is the highest level of this framework within which the council will carry out it’s obligations to consult and inform the recognised trade unions on matters of strategic and corporate importance affecting the workforce.

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8. 8. 8. 8. GlossaryGlossaryGlossaryGlossary oooof Abbreviationsf Abbreviationsf Abbreviationsf Abbreviations CIPFA Chartered Institute of Public Finance and Accountancy

CMT Corporate Management Team

DMT Directorate Management Team

PI Performance Indicator

PM

Performance Management

PMF Performance Management Framework

SMART target This is a target that has the following characteristics:

§ SSSSpecific

§ MMMMeasurable

§ AAAAchievable

§ RRRRealistic

§ TTTTime-based

SMB Scrutiny Management Board

VFM Value for Money

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Appendix 1Appendix 1Appendix 1Appendix 1

Data Quality Assurance: AccountabiData Quality Assurance: AccountabiData Quality Assurance: AccountabiData Quality Assurance: Accountabilities and Responsibilities lities and Responsibilities lities and Responsibilities lities and Responsibilities

Responsibility Responsibility Responsibility Responsibility

Directorate M

anagem

ent

Directorate M

anagem

ent

Directorate M

anagem

ent

Directorate M

anagem

ent

Teams

Teams

Teams

Teams

Service Managers

Service Managers

Service Managers

Service Managers

Directorate Perform

ance

Directorate Perform

ance

Directorate Perform

ance

Directorate Perform

ance

Leads

Leads

Leads

Leads

Chief Executive’s O

ffice

Chief Executive’s O

ffice

Chief Executive’s O

ffice

Chief Executive’s O

ffice

Perform

ance Team

Perform

ance Team

Perform

ance Team

Perform

ance Team

Managem

ent Audit Unit

Managem

ent Audit Unit

Managem

ent Audit Unit

Managem

ent Audit Unit

1.1.1.1. Ensuring that there is an overview of the balance of indicators being presented, on a regular basis, that best reflects the environment in which the service is operating.

2.2.2.2. Owner of the performance measure and is responsible for developing measures and associated targets that are linked to Directorate Service Plans and the Council Plan

3.3.3.3. Ensuring that there is a written, up to date record of the system used for collating performance information. This must include sources of information, internal and external to the Council, when information is collected, in what format and from whom.

4.4.4.4. Accountable to the Chief Executive for the adequacy of systems used for collecting performance information

5.5.5.5. Carrying out a rolling programme of systems checks to ensure that the systems in place for generating performance information are regularly tested and fit for purpose.

6.6.6.6. Ensuring information accuracy and that adequate checking arrangements are in place.

7.7.7.7. Updating Directorate Performance Lead Officers on any changes to Government guidance.

8.8.8.8. Passing information relating to changes in Government guidance or definitions to relevant Service Managers.

9.9.9.9. Ensuring that all staff and external bodies involved in generating information understand the latest guidance and definitions for performance measures, ensuring that there is a written record of guidance and a written definition.

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Data Quality Assurance: Accountabilities and ResponsibilitiesData Quality Assurance: Accountabilities and ResponsibilitiesData Quality Assurance: Accountabilities and ResponsibilitiesData Quality Assurance: Accountabilities and Responsibilities

ResponsibilityResponsibilityResponsibilityResponsibility

Directorate M

anagem

ent

Directorate M

anagem

ent

Directorate M

anagem

ent

Directorate M

anagem

ent

Teams

Teams

Teams

Teams

Service Managers

Service Managers

Service Managers

Service Managers

Directorate Perfo

Directorate Perfo

Directorate Perfo

Directorate Perform

ance

rmance

rmance

rmance

Leads

Leads

Leads

Leads

Chief Executive’s O

ffice

Chief Executive’s O

ffice

Chief Executive’s O

ffice

Chief Executive’s O

ffice

Perform

ance Team

Perform

ance Team

Perform

ance Team

Perform

ance Team

Managem

ent Audit Unit

Managem

ent Audit Unit

Managem

ent Audit Unit

Managem

ent Audit Unit

10.10.10.10. Challenging what the performance information is telling us, ensuring that where applicable, Service Managers provide explanations for the causes of variances from estimates and targets.

11.11.11.11. Challenging the Service Manager, where applicable, to develop an action plan to remedy a variance and bring performance back on track to meet a target.

12.12.12.12. Preparing and reporting action plans resulting from audit reviews of performance measures to Service Managers

13.13.13.13. Reporting action plans resulting from audit reviews of performance measures to Directorate Management Teams

14.14.14.14. Preparing and reporting action plans resulting from audit reviews of performance measures to the Audit and Assurance Committee on a regular basis.

15.15.15.15. Challenging the balance of performance measures being used to measure performance in particular Service Areas and against Corporate priorities. In this way best practice from other authorities could be shared.

16.16.16.16. Using performance measures from Council and Service Plans to prepare an annual performance report for Cabinet.

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