building standards balanced scorecard re- …...purpose of report to update the committee on the...

PURPOSE OF REPORT To update the Committee on the Building Standards Balanced

Scorecard Process and to seek approval for the revised Scorecard.

COMPETENCE

1.1 There are no legal, financial or other constraints to the recommendations being implemented.

SUMMARY

2.1 The process of performance management submissions in the form of a balanced scorecard and audit by the SBSA is imposed on the Comhairle from legislation arising from the Building (Scotland) Act 2003.

2.2 The Comhairle’s Building Standards service was audited by the SBSA in June 2007. Four out of the five perspectives were found to be satisfactory. A further audit was undertaken in February 2008 in respect of the outstanding perspective.

2.3 A revised Balanced Scorecard has been prepared in line with the requirement to re-submit the scorecard on an annual basis and approval for this is sought from the Comhairle. The revised scorecard has been reviewed in light of SBSA guidance and the previous audit reports.

RECOMMENDATION

3.1 It is recommended that the Comhairle approve the revised Balanced Scorecard for the Building Standards Service at Appendix 1 to this Report.

APPENDIX 1. Revised Balanced Scorecard Submission Contact Officer John A. Gillies Tel. 01851-709256

Background Papers: 1. None KB/ 11/08/2008

REPORTS//BALANCED SCORECARD

ENVIRONMENT AND PROTECTIVE SERVICES COMMITTEE: 17 JUNE 2008

BUILDING STANDARDS BALANCED SCORECARD RE-SUBMISSION

Report by Director for Sustainable Communities

REPORT DETAILS

BACKGROUND

4.1 Under the Building (Scotland) Act 2003, which came into operation in May 2005, the 32 local authorities in Scotland were appointed to the role of Verifier in respect of their building warrant approval function. This Act also places responsibles on these local authorities in respect of performance monitoring and reporting. This is in the form of a Balanced Scorecard submission to Scottish Building Standards (SBS) which are part of the Scottish Government. Before 1 May 2008 an agency known as the Scottish Building Standards Agency (SBSA) had responsibility for verification in Scotland.

4.2 The continuing appointment of the Local Authorities as Verifiers will depend on the regular audit of authorities by the SBS and each authority being able to satisfy the SBS that it can meet the performance measures it sets. The Comhairle was one of six local authorities to be audited in 2007, the audit being carried out in the first week in June.

THE BALANCED SCORECARD AUDIT PROCESS

5.1 The Scorecard is a comprehensive performance management tool, incorporating a ‘Best Value’ approach, which measures verifier performance in relation to 5 perspectives, i.e. Public Interest, Private Customer, Internal Business, Continous Improvement and Financial. Each perspective contains a number of actions determined by the verifier which will contribute to service improvement and will seek to ensure ‘best value’ service delivery to the public. These actions should be linked to the strategic objectives of the Comhairle.

5.2 The Scorecard is assessed using the following grades to mark each assessment: Excellent – Major strengths Good – Strengths outweigh weakness Satisfactory – Strengths balance weaknesses Cause for concern – Weakness outweigh strengths Serious cause for concern – Major weakness

5.3 From the assessment carried out during the audit in June 2007 the service’s balanced scorecard was marked as follows:

Public Interest – Good Private Customer – Satisfactory Internal Business – Satisfactory Continuous Improvement – Cause for concern Finance – Good

5.4 In general the audit reflected well on the service and its staff. However, in view of the fact that one perspective was marked as ‘Cause for concern’ a further re-audit was necessary which took place in February 2008. Putting this into context, out of the 15 audit reports published on the SBS website only nine were able to achieve a marking of ‘Satisfactory’ or better in all their perspectives.

5.5 The outcome of the re-audit report was that the Agency concluded that the Service scored satisfactorily against the ‘Continuous Improvement’ perspective of the scorecard and that therefore there were no further plans for future audits within this current verification appointment period.

5.6 The latest version of the balanced scorecard incorporates points raised both during the original audit and the re-audit in February. In the light of the changes to the scorecard over the past year the main emphasise is on monitoring and reviewing each of the actions under the different perspectives. In addition other actions include benchmarking with other authorities and ensuring that procedures and protocols are in place for the essential verification functions.

CONCLUSIONS

6.1 The Comhairle, as one of 32 Scottish local authorities appointed as verifiers, have an obligation to provide SBS with evidence that they are meeting their performance requirements under current building standards legislation. This evidence is in the form of a ‘balanced scorecard’ business plan.

6.2 The Comhairle’s Building Standards verification function has now been audited and assessed as being ‘satisfactory’ by the Scottish Building Standards Agency.

6.3 The balanced scorecard must be updated and submitted anually. The revised scorecard is being presented to the Committee for approval along with this report (Appendix 1).

11/08/2008

APPENDIX 1

BUILDING STANDARDS BALANCED SCORECARD Authority: COMHAIRLE NAN EILEAN SIAR Part of local authority which is verifier: DEPARTMENT FOR SUSTAINABLE COMMUNITIES - DEVELOPMENT SERVICES SECTION Key contact: John Gillies – Principal Officer Building Standards

INTRODUCTION

The Building Standards Service of the Comhairle is delivered by officers who also deliver

elements of Housing Grants and Disability Access advice.

This multifunctional arrangement arises from the particular demands of providing a

comprehensive service of interrelated disciplines to a small population of about 26,000

scattered throughout a chain of islands that stretch over 150 miles from north to south.

STRUCTURE AND REPORTING LINES

The Structure of the Development Services Section is shown on the attached diagram

(Appendix 1).

Under the terms of the Constitutional Documents of the Comhairle, determination of Building

Warrants is delegated to the Director for Sustainable Communities. This power is then

further delegated in accordance with Departmental Procedures to Building Standards

officers who oversee the determination and issuing of building warrants.

KEY STAFF AND RESOURCES

The diagram at Appendix 1 shows the staff involved in the delivery of the Building Standards

service.

The service is financed from the Revenue Budget of the Comhairle in addition to income

received from Building Warrant fees. Financial resources for the service are managed

through a central Financial Management System. FMS reports are issued monthly. The

Principal Officer reviews these and has the responsibility for reporting on any significant

variations. He is also responsible for assessing resource needs and for contributing to the

setting of annual budgets. The Head of Service maintains an overview on all Development

Services budgets on a monthly basis.

OFFICE ARRANGEMENTS

The Comhairle has adopted a policy of decentralisation to optimise its service to a

widespread population. Two of the Building Standards staff are based in the Comhairle

Offices at Balivanich, on the Isle of Benbecula, to serve the area of Uist and Barra. One of

these officers works at least one day a week in an office in South Uist. Two other officers

are based in Ness at the northern end of Lewis, but occasionally work out of the principal

offices in Stornoway where all other Building Standards staff are based.

CORPORATE PRIORITIES

The Corporate Strategy (2007-11) for Comhairle nan Eilean Siar lists the following amongst

its corporate priorities:

• To “direct investment to maintain and improve local infrastructure and the built environment”.

• To “lead the development and delivery of a strategy to ensure that the Outer

Hebrides, and the Comhairle, are carbon neutral”.

• To give “support to communities to deliver an accessible, affordable and sustainable range of community amenities”.

Building Standards, provided in the Sustainable Communities Department, has a role in

each of these priorities either directly or indirectly.

The principal aim of Building Standards is to safeguard the health and safety of people in

and around buildings. This is principally achieved through the application of the Building

Standards (Scotland) Regulations in considering applications for building warrant. The

speed and efficiency of this service can have significant impacts on the above Corporate

Priorities, namely:

• Commitment to the continual professional development of Building Standards staff

seeks to ensure that awareness and application of standards are maintained and

enhanced. Monitoring of performance by the Principal Officer seeks to ensure

achievement and, insofar as possible, betterment of national targets.

• The allocation of distinct geographical areas of responsibility to each officer, coupled

with decentralisation of working arrangements helps to foster public awareness of

and accessibility to the building standards service.

• Implementation of the Building Standards seeks to ensure that buildings and

infrastructure are of a standard fit for the 21st century and that principles of

sustainability are applied. Officers supplement the determination of building warrants

with advice based on shared technical knowledge and experience. This may include

a range of practical tips that help to improve the quality and sustainability of building

works. For example, advice may be given on techniques for thermal insulation;

sustainable energy options; and private sewage treatment facilities.

• One of the Building Standards Officers has particular responsibility for disability

access. Knowledge and expertise on access issues, however, is shared with other

Building Standards staff.

• The multifunctional role of the Building Standards Officers places them at the ‘front

line’ of house improvement work. Severe weather and a legacy of restricted building

options in the past combined to leave the islands with high levels of ‘Below Tolerable

Standard’ houses and fuel poverty. Building Standards Officers are also involved in

an element of the processing of housing grants (namely enquiries into eligibility for

grant) through inspections of houses to award of grant and, finally, to monitoring of

implementation of works. Their expertise allows for promotion of appropriate

specifications that help to secure warm, well-maintained homes.

PROGRESS TO DATE ON BALANCED SCORECARD ACTIONS

Appendix 2 indicates the progress made to date on the previous scorecard submission.

Public Interest – Verifiers will have in place risk management protocols which will determine the management of work on building warrants and completion certificates.

Introduction by verifiers. The Public Interest may be defined as protecting the users of buildings through assured quality of regulation. This requires systems to be in place that risk manage the work done by Building Standards on building warrants and completion certificates.

Actions intended to be taken

Performance measures to assess effectiveness of actions

Desired outcomes

1. Develop procedures for non-certified work – Electrical and Structural

Procedures drafted in consultation with staff and in place by September 2008.

Consistent approach to checking of non-certified work.

2. Develop audit procedures to monitor correct use of risk assessment protocols.

Audit procedure in place by November 2008.

To achieve quality and consistency of plan-checking in terms of matching experience of officer with complexity of application.

3. Develop protocol and regime to ensure risk management approach to site inspections.

Protocol in place by January 2009.

Risk managed approach to site inspection.

Private Customer – Verifiers will have in place a customer charter which encompasses: guidance to stakeholders, accessibility of service, measurable performance targets and customer views.

Introduction by verifiers. The Private Customer perspective is concerned with providing services that meet the needs of our customers. This requires systems to be in place and maintained that:

Provide an effective and efficient response service. Address standards of performance in an accountable and measurable way.



Desired outcomes

1. Revise customer feedback questionnaire by August 2008 to produce simplified form.

Increase in the numbers of forms returned

Feedback obtained via forms completed and returned and used to improve service.

2. Review performance indicators in relation to customer feedback and recorded performance to date

Performance indicators reviewed and new performance indicators in place by end of financial year.

New customer focused performance indicators in place which are realistic but challenging.

3. Develop focus groups in conjunction with stakeholders

At least 2 focus groups meetings held per year.

Feedback gained on service and processes.

Internal Business – Verifiers will have prepared a formal plan for the internal business perspective.

Introduction by verifiers. Internal Business refers to “systems, policies and procedures; and how effective they are”. This requires management, staffing distribution and business and action plans to be in place that:

Ensure provision of quality information and advice to customers to facilitate efficient and effective determination of applications.

Seek to provide an equitable delivery of service throughout the Comhairle area.

Monitor performance against SPIs and any local targets. Enable the continuous professional development of staff.



Desired outcomes

1. Benchmarking with other LA verifiers to be undertaken (see continuous improvement).

Benchmarking with other verifiers achieved by December 2008.

Analyse comparisons with other verifiers and develop action plan.

2. Review internal business processes in the light of departmental review undertaken in April 08 by Chief Executive.

Review undertaken by Principal Officer by January 09.

Revised procedures implemented by beginning of new financial year – April 09.

3. Review staff roles in relation to experience and qualifications (in the light of single status implementation) and produce report on any necessary changes to maintain staffing levels at adequate level to meet corporate and verifier objectives.

Staffing review undertaken by March 09

Full complement of professional and well trained staff in place to meet targets and objectives of business plan and achieve corporate objectives.

Continuous improvement – Verifiers will have prepared a 3 year strategy for continuous improvement.

Introduction by verifiers. Continuous Improvement will be achieved through setting a yearly target for each of the projects undertaken within a 3 year programme. For the period in view, 2009 – 2011, the emphasis is on improvements through benchmarking with other authorities, staff training, and the improvement of ICT resources in line with requirements for scanning. (It is proposed that the definition of ‘year’ be the same as the local authority business year that commences on 1 April and concludes on 31 March of the following calendar year. This will allow compatibility with the Comhairle’s budget and business planning.)



Desired outcomes

Year 1 - 2008/9

Join benchmarking group consisting of North of Scotland LA Verifiers.

Benchmarking achieved by December 2008.

Analyse comparisons with other verifiers and develop action plan for implementation of any service improvement points.

Undertake training needs assessment for all staff as part of SDA process and ensure adequate future budgetary provision to fulfill training needs.

Assessments completed by August 2008 and 2009/10 budget adjusted to allow adequate provision to implement necessary training.

Staff training available to meet demands of workplace and corporate objectives.

Year 2 - 2009/10 Review scanning requirements and implement upgrades to hardware and software as required to enable compatibility with latest versions of ERDMS software (IDOX).

Hardware and software upgraded by June 2009.

Maximise utilisation of document management system and online register.

Review feedback from focus groups to analyse and develop service improvements.

Feedback analysis carried out and action plan developed.

Improved service delivery.

Year 3 - 2010/11

Introduce programme of scanning of warrant applications to include all applications from point of validation.

Scanning of archives to begin by June 2010.

All archived files available by electronic access.

Develop scanning of warrant applications to include all applications from point of validation

Scanning of applications to commence by January 2010.

All archived files available by electronic access.

Finance – Verifiers shall have systems in place to record costs and the management of costs against income streams for the verification process.

Introduction by verifiers. The financial perspective refers to the budgeting and general financial management processes that inform performance measures and targets. There will be a requirement to have systems in place that:

Maximise opportunities to generate income and provide a value for money service framed to meet the needs of users of the service.

Maintains a robust checking mechanism on fees. Monitor expenditure on the core verifier function.



Desired outcomes

1. Continue to develop and re-view time recording software to ensure staff costs are allocated against verifier or non-verifier cost streams.

Accurate time sheets completed and submitted on weekly or monthly basis.

Cost of resources allocated accurately to verifier and non-verifier functions

2. Review budget provision for training to ensure adequate budget to meet requirements of training needs assessment. (See continuous improvement).

2009/10 budget completed. Adequate budget in place to meet training needs.

APPENDIX 1

BUILDING STANDARDS - STRUCTURE AND REPORTING LINES WITHIN DEPARTMENT MARCH 2008

APPENDIX 2

PROGRESS ON ORIGINAL BALANCED SCORECARD SUBMISSION

Public Interest Actions intended to be taken


Desired outcomes

Comments on progress and transition to new scorecard

1.Carry out audit of risk management procedures for warrant assessments and ensure written risk management protocol documents are produced.

Regular (bi-annual) monitoring of utilisation of risk management protocol. First review due November 2007

Protocol used effectively on all occasions. Efficient use of staff resources. Improved and consistent standard of processing applications.

2.Carry out audit of risk management procedures for certificate of completion assessments and ensure written risk management protocol documents are produced.

Regular (bi-annual) monitoring of utilisation of risk management protocol. Written protocol in place by end June 2007 First review due January 2008

Protocol used effectively on all occasions. Efficient use of staff resources. Improved and consistent standard of processing applications.

Risk protocol in place.

Risk protocol for certificates of drafted but not yet implemented. Consultation with staff ongoing.

3. Investigate supporting IT functions that could assist in officer caseload distribution.

Annual audit of IT systems and processes for workload distribution Overall Assessment of IT systems and requirements of section by March 2008, thereafter reviewed annually.

Efficient distribution of officer workload having a regard to relevant criteria.

Review complete – No further IT support required at present. Existing caseload distribution procedure working well.

Private Customer Actions intended to be taken


Desired outcomes

COMMENTS ON PROGRESS AND TRANSITION TO NEW SCORECARD

1. Improve Customer feedback by:

- arranging face to face meetings with stakeholders

- developing customer focus groups

- developing website to include section to gauge customer feedback on service delivery

including customer feedback forms with each warrant approval.

Customer feedback First meeting with stakeholder group by June 07. Two further meetings with focus/stakeholder groups to be achieved in 2007. System introduced by which customer feedback can be gathered and analysed by end 2007.

Increased feedback on service delivery to assist development of service improvement plans.

Feedback analysis procedure completed and in operation. One meeting arranged with architect’s group in 2007 but it is hoped that further focus groups can be arranged. This action point is taken forward to new Balanced scorecard under action point No.3 Private Customer.

2. Ensure Customer Charter is accessible and visible at Council premises and website.

Benchmarking with other authorities to ensure high standard of customer care. Contact with other local authorities to be established during attendance at mainland meetings.

Customer Charter published. Positive customer feedback.

Customer Charter published.

3. Introduce ‘e-government’ measures, including potential to allow submission of and response to applications on line.

Level of interest shown in electronic applications.

Use of website to receive applications.

Taken as far as possible in conjunction with e-planning but difficulties encountered as no provision has been made nationally for building standards portal. Improvements in scanning possible, taken forward under Continuous Improvement.

4. Produce meaningful customer focused performance indicators

Assessment against performance indicators. Level of customer feedback obtained.

Positive customer feedback in relation to indicators.

No negative feedback received to date on Performance Indicators. Taken forward on new scorecard as action point 2 in Private Customer.

Internal Business Actions intended to be taken


Desired outcomes


1. Streamline Balanced Scorecard with internal business plan – BSC to be main driver in terms of service improvements for verifier function.

Annual reviews of business plan to take place in January – February each year.

Up to date communication of key targets and aims of section to stakeholders.

Balanced Scorecard now integrated into Business Plan.

2. Review Balanced Scorecard and internal procedures in terms of risk protocols and performance monitoring.

Annual review of Balanced Scorecard to take place in January of each year.

Balanced Scorecard and internal procedures maintained up to date and relevant to service improvement targets

Balanced Scorecard reviewed and updated annually.

3. Review use of IT in service delivery.

Review achieved by March 2008 Efficient and appropriate use of IT This is taken forward in item 3 of Private Customer.

4. Maintain performance reviews based on weekly access reports derived from the Uniform database.

Turn around times of applications and certificates of completions

Effective communication of performance of team in regard to PIs on a weekly basis leading to improved performance.

Weekly workload reports successful and will continue.

5. Electronically circulate monthly reports of building warrants and completion certificates received and decided to Council Members.

Production and circulation of electronic reports by May 2007

Efficient reporting of applications received to council Members

Completed.

Continuous improvement Actions intended to be taken

Performance measures to assess effectiveness of actions.

Desired outcomes


STAFF DEVELOPMENT AND APPRAISAL

Yr.1. (i)Ensure all SDA outcomes have a PDP which is reviewed on a half yearly basis.

(ii)Ensure all staff that are not yet fully qualified are on a course to achieve relevant qualifications and invest in training of staff to attain full professional qualifications and accreditation.

Yr.2. Ensure full review of

SDAs and PDPs are undertaken.

1.Comprehensively implement the council’s staff development and appraisal program 2.Sucessful re-integration of career-grades for relevant posts by April 2007 3.Integration of staff objectives within PDP with strategic objectives of business plan SDA program to be cascaded from Principal Officer to rest of section by August 2007

Enhanced and comprehensive professional competence among staff with improved knowledge, skills and attitudes, and a PDP programme which addresses verifier needs.

Mutual understanding between managers and staff of key issues, aims and resource requirements of the service.

Clear link between PDPs and strategic objectives.

SDAs being done according to annual programme with reviews at six monthly periods. Attention is now being given to training needs (Yr 3) within the team – see current scorecard.

Yr.3 Undertake a comprehensive training needs assessment within section as part of SDA program.

QUALITY ASSURANCE AND BEST VALUE

Yr.1 Review and refine internal quality systems. Through feedback forms and meetings with stakeholders, assess customer satisfaction levels. Issue forms and arrange meetings. Yr.2 Implement feedback or outcomes of audit from year 1

Yr.3 Develop action plan to implement agreed system.

Customer feedback and satisfaction levels. Customer Care policy and feedback monitoring system to be established by end 2007

Establishment of acceptable quality management system.

Enhanced service.

Review by Principal Officer completed and action plan being implemented.

Introduce On-line Submission System

Yr.1 Investigate best options for, and commission an on-line system.

Implementation of on-line system utilising CAPS Public Access software.

Provision of a real time, web

based Building Standards Register, creation of a paperless archive and

On-line options taken forward as far as possible (see comments under Private Customer).

Yr.2 Develop electronic document management system and investigate on-line applications. Yr.3 Review system and processes to identify potential enhancements.

System to go live by end August 2007 Document management to be by Idox and Caps Uniform system.

Procedures for scanning and

archiving to be in place by

October 2007.

utilisation of electronic document management system.

Improved opportunities for customers to access the Service.

Steps being taken to upgrade scanning hardware and software to facilitate improved online service.

Finance Actions intended to be taken


Desired outcomes


1. Development of Building Standards specific budget in light of section review.

Building Standards budget produced and agreed within the context of overall departmental budget.

BS specific financial reporting facilitating accurate costing of verifier function. Implemented by April 2007.

Achieved.

2. Retain regular review of budgets using the Comhairle Financial Management System (FMS).

Maintenance of monthly review and requirement for Head of Development Services to comment on the budget to the Head of Policy and Management.

Financial stability and transparency.

Understanding of any trends that may suggest a need to review use and allocation of resources.

Reviews continuing.

3. Ensure that systems (in addition to FMS if required) are in place to record costs and the management of costs against income streams for the verification process.

Implemented by March 2007. Financial stability and ‘self-sufficiency’.

Value for money.

Identification of “verification” costs and income.

Maintenance of a balanced budget.

Achieved.

4. Revise and Enhance system to record staff resources applied to verification function.

Production of reports for staff resources applied to verification function.

To provide appropriate information relating to staff resources expended on

Ongoing improvements to time recording software. See current Scorecard.

Improved timesheet software to be trialed during July 2007 and fully implemented by September 2007

verification functions.