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The Performance Management System
Frameworks for performance management
and continuous improvement
Managing quality
Monitoring casework
Business planning
Management information
Setting targets
Performance measures - measuring what matters
Reporting performance
Responding to external scrutiny
Financial management
Integrating performance management
Frameworks for performance management
and continuous improvement
Councils should develop a coherent framework for
performance management which meets the requirements of the Government's
'Best Value' initiative and their own local needs. They can develop
their own bespoke system tailored to meeting their specific needs and
circumstances or they can utilise a number of performance management models
and tools to develop their framework. To be successful, frameworks have
to:
- Demonstrate a clear direction and linkages
between corporate objectives and the jobs people do in the organisation
- so that individuals know their contribution to achieving the broader
goals of the council, and those relating to social services in particular
- Explain what Social Services is wanting to achieve
in simple terms to staff, partners, service providers and (most importantly)
service users
- Form objectives, and force any potential conflicts
between objectives into the open, to enable the organisation to be managed
better
- Play a part in changing culture and behaviour
- using the system can encourage people to work differently, with the
result that they see the outcomes and potential benefits
The Commission has developed a model for performance
'breakthroughs':
EXHIBIT 3 Audit Commission - 'A
model for Performance 'Breakthroughs'

Source: Audit Commission
There are a number of factors that prevent frameworks
from working well:
- A lack of clarity about the framework and what you
want it to do
- Not tailoring an 'off the shelf' system to your
organisation
- Focusing too much on the mechanics of the system,
rather than its purpose which is to help improve services for service
users
- A lack of discipline about information collected
- only collect the information necessary to run the organisation effectively
- Making the framework too complicated
- Applying the framework inflexibly
- Expecting the framework to do the analytical thinking
- it should only provide you with the information to enable analysis
- Not ensuring the framework is properly implemented
- with too little planning, too little training, and failing to review
whether the framework is operating in the way intended
- Failing to involve staff, service users and other
partners
There are a number of models and tools available
to councils to support performance management, and these can be used as
the basis for their framework or to support their own approach. These
models and tools can be used in different ways to support a council's
approach, and it is possible to utilise all of them to support different
aspects of the performance management system because of their different
characteristics and purposes.
When selecting which model or tool will be used
it is necessary to be clear about what you are trying to achieve and why.
In particular, the following need to be considered:
- What are you aiming to change or improve?
- Does the improvement need to be holistic covering
all of the organisation's activities, or designed for a specific task,
service or area of activity?
- What is the timescale for change?
- What resources are available?
- To what extent do you want to involve staff in
the changes?
The Audit Commission and the Improvement and Development
Agency (IDeA) have a joint project - 'Performance management - measurement
and information' (PMMI) - which has reviewed a number of models and tools
and identified relative strengths and implementation issues of each of
them - Read
More
Information is provided below about those models
and tools most frequently used by councils in their social services:
Models:
Models provide a holistic framework designed to give structure and rigor
to an organisation's performance management approach.
EXHIBIT 4 The Basic Building Blocks
for a Performance Management Model

Source: Audit Commission and IDeA project - performance management
measurement and information
All models aim to address one or more of the following
objectives with the aim of improving performance:
- Provide a structured approach to strategic
management
- Create links between individual, service and
corporate objectives
- Translate strategy into performance measures
and targets, and in doing so rationalise performance information
- Help demonstrate individual staff contributions
to organisational objectives
- Identify strengths and areas for improvement
- Help organisations become more results orientated
- Aid internal and external communication
This should be an organisational improvement framework
for assessing strengths and areas for improvement across the whole spectrum
of the organisation's activities.
Aims:
- To give a comprehensive overview of organisational
health
- Provide evidenced levels of achievement that
can be used for year on year assessment
- Facilitate comparison with a range of private
and overseas organisations
- Provide an opportunity for achieving a nationally
recognised quality award
- Aid internal communication and staff contribution
to improvement
European Foundation for Quality Management (EFQM)
- the 'Business Excellence model'
The 'Business Excellence Model' has been developed by
the European Foundation
for Quality Management and is widely used in major UK and European
organisations as a means of reviewing performance against internationally
recognised best practice. The model allows organisations to use a structured
self assessment approach to support continuous improvement.
Continuous improvement in organisations can be seen
as including four key elements:
- Define: Using internal planning processes and
management information to define the direction of travel for the organisation
- what you want to achieve
- Assess: Assessing where you are currently against
your desired aims
- Prioritise: Agree expectations over a desired
timescale and the improvements you desire. Develop and agree performance
improvement plans to support the process
- Deploy: The actions you intend to take
and the resources to be invested to achieve the improvements
The 'Excellence' model is based upon nine elements,
five of which are classified as 'Enablers' of excellence which in turn
drive excellence of achievement in the four other 'Results' elements.
The nine elements are:
Enablers:
- Leadership: Is leadership effective?
- People: Are people in the organisation well managed?
- Policy and Strategy: What is the direction of
travel, and how will we get there?
- Partnership and Resources: Is best use made of
partnerships and resources?
- Processes: How well are things done?
Which lead to:
Results:
- People Results: Are people motivated and performing
well?
- Customer Results: Are customers satisfied?
- Society Results: What is the contribution to the
local community?
- Key Performance Results: Are targets being achieved?
Because of the broad structure of the model, it is possible
to incorporate other quality models to support the Excellence Model. For
example, Investors in People can be used to provide the evidence for the
people elements of the model.
The 'Balanced Scorecard'
Provides a multi-dimensional framework for managing
vision and the strategies for delivering that vision by linking objectives,
initiatives, targets and performance measures across four key corporate
perspectives:
- Financial perspective
- Learning and growth perspective
- Customer perspective
- Informal process perspective
Aims: to achieve a balanced set of performance measures
and targets that allow managers to track progress in key areas.
It is used to:
- Formulate and refine strategies
- Communicate strategies and priorities throughout
the organisation
- Link strategic objectives to long-term targets
and budgets
- Monitor progress and introduce initiatives
to improve performance
Scorecards can be cascaded to the various levels
in the organisation, with scorecards for the senior management, service
unit, and individual levels. The balanced scorecard approach can be used
to support other performance management models and tools such as EFQM
self assessment and Investors in People self assessment
EXHIBIT 5 'The Balanced Scorecard'
approach

Source: Jane Shuttleworth Consultancy and Training
Tools:
The following tools aim to improve the efficiency of
organisations.
Investors in People
A national standard for improving organisational performance by training
and developing people to achieve organisational goals - Read
More. The standard is based upon four key principles:
- Commitment to invest in people to achieve
business goals
- Planning how skills, individuals and teams
are to be developed to achieve these goals
- Action to develop and use necessary skills
in a well defined and continuing programme directly tied to business
objectives
- Evaluating outcomes of training and
development for individuals' progress towards goals, the value achieved
and future needs
It also has four other objectives:
- Provide business benefits
- Provide a framework for workforce development
- Improve motivation, morale, job satisfaction
and retention
- Increase skill levels of staff
The approach can be used incrementally across services
or departments, or a council-wide approach can be taken. Implementation
is usually handled by a council's human resources department.
Chartermark
Chartermark
is the government's national standard and quality improvement scheme aimed
at improving customer service in the public sector. The scheme focuses
on results (namely, the service the customer actually receives).
Aims:
- To drive customer focused quality improvement programmes
and a culture of continuous improvement
- Improve the quality of service the customer is receiving
- Provide a recognised standard that users and customers
will equate to quality services
- Communicate more effectively with customers
and service users, and respond to their needs
ISO 90001 (2000)
This is a global standard and approach for quality management
systems. It focuses on the management of processes and documentation in
order to meet customers' needs and expectations.
Aims:
- To establish excellent working practices through
effective processes
- To document processes in order to improve
understanding among staff
Once a system is in place and established, the organisation
can seek independent assessment by the UK Accreditation Service (UKAS)
which is recognised by the Department of Trade and Industry. Only organisations
accredited by UKAS can use the national accreditation mark.
Managing Quality
Quality Standards
Quality standards should be set for all services
provided by social services and must apply equally to services provided
in-house by councils or commissioned from the voluntary or private sectors
under contract. Standards should be set for all aspects of the work
of social services which have a direct impact on service users. This will
include:
- Services which relate to the care management
processes, such as the processes for assessment and care planning. Standards
should be clear about user involvement, timescales and process
- Directly provided and commissioned services,
which are delivered either by the council or under contract with a voluntary
sector organisation or independent sector provider
- Support services directly affecting service users,
such as arrangements for charging and financial assessments, and for
handling complaints
- All services which are delivered jointly
with other agencies, where quality standards should be produced which
apply to all agencies in the partnership
There are a number of factors which need to be
considered when setting quality standards:
- They should be developed with the involvement
of service users and frontline staff
- They should be written in plain English and in
a form which is meaningful to service users
- They should be measurable. Standards have to
be set in a way which enables service users and social services managers
to monitor whether the standards are being met
- They should be made available to all service
users and frontline staff, and in different formats to meet the needs
of individual users and carers
Quality Assurance
Having set the quality standards for services, councils
should ensure that all of the business processes related to the delivery
of services should help ensure that those standards are delivered comprehensively
and consistently. All aspects of service planning
and delivery should be focused on quality assurance (Exhibit 6):
EXHIBIT 6 Quality Assurance - The
processes for ensuring quality standards are achieved

Source: Joint Reviews
Strategic Commissioning
(See Commissioning module):
Arrangements for commissioning services
at a strategic level must ensure that potential service providers are
able to meet the standards for the service:
Care needs to be taken to ensure that the forms of contracts
chosen do not have an adverse effect on the provider's capacity for meeting
the standards. While, for example, spot contracting has attractions for
the council in that it allows it to purchase only the service needed,
it can make it more difficult for the service provider to anticipate and
plan for the number of service users to be supported. This, in turn, can
create problems for recruiting, retaining and training suitably skilled
staff.
Ensure the timescales set for contracts enable service
providers to develop and sustain the capacity in their organisations to
meet the standards.
Ensure that arrangements for re-letting contracts do
not have an adverse impact on the quality of services provided. Careful
consideration needs to be given to the problem of balancing the need to
get the best price in the contract with the impact that changing service
providers will have for service users. If it is decided to change a service
provider, this will need to be planned carefully to ensure that users
are not disadvantaged and that standards are still met.
Social Services need to be clear about their future
purchasing intentions, and then design their commissioning arrangements
around this expected level of activity. This may include using a mix of
contract arrangements to deliver a service.
Contract specifications and monitoring
(Read More):
Contract specifications and conditions should include
the quality standards for the service, all other requirements expected
in the delivery of a quality service, and the arrangements for monitoring
compliance. This should include:
- A full service specification to support the
contract that includes the quality standards and all other requirements
laid down by social services to ensure a quality service such as minimum
staffing requirements, staff skills and qualifications, and the availability
of the service
- Operational processes to
clarify the expectations social services have of contractors in the
day-to-day delivery of the service. This would include such issues as
having to notify social services about any changes in the circumstances
of users, varying the agreed level of service in emergency or one-off
situations
- The arrangements and timescales
for implementing a new contract. This would recognise the initial investment
needed to support effective implementation and the potential to stage
the implementation over a period of time
- The expectations in respect
of collecting information from users about their satisfaction with the
service, and arrangements for managing complaints
- The arrangements for contract
monitoring should include the frequency of monitoring meetings, who
should represent both of the parties involved in the contract, and the
arrangements for dealing with poor performance
- The management information required from service
providers and the frequency with which it is required, to support the
contract monitoring and quality assurance processes
Accreditation of service providers:
Accreditation of service providers is an important
way for social services to satisfy themselves that a prospective service
provider has the capacity to provide a particular service.
This is most important if a spot contract approach is to be adopted, as
it provides a mechanism for a council to be satisfied about the provider's
ability to deliver the contract ahead of services being commissioned.
It is also a means of limiting the organisations involved in tendering
for 'block' or 'cost and volume' contracts, by restricting applicants
to those that have already been accredited.
An accreditation process would need a service
provider to demonstrate that:
- It has the ethos and values required to deliver the
services being commissioned
- It has the ability to meet service standards and
contract conditions
- It has managers with the experience and track record
of delivering the service
- It has the numbers of staff with the necessary skills
and qualifications
- It has the ability and systems to ensure the quality
of its services and meet such things as health and safety requirements
- It has a sound financial standing
A number of factors need to be considered in
relation to any process of accreditation:
- The relationship between the accreditation process
and the requirements of the regulatory body for social services (the
Commission for Social Care Inspection (CSCI), which assumes responsibility
from the National Care Standards Commission [NCSC] on 1st April, 2004).
NCSC currently has responsibility for registering organisations involved
in the provision of a range of services including residential services,
home care services and foster care
- The process has to be consistent and fair across
all providers. Failure to ensure this would leave the council vulnerable
to challenge from organisations that had failed to be accredited
- Whether the council would be prepared for providers
to advertise the fact that they had 'accredited' status as a way of
attracting other business
- The process and circumstances for withdrawing
accreditation status from a provider, any appeals process, and its relationship
with findings of the external regulatory body
Management information:
The availability of accurate and timely information
about the quality of services delivered either directly by the council
or by voluntary or private sector providers is a key part of gathering
evidence to enable monitoring of quality in service provision -
Read More
Too frequently, management information is seen as the
gathering of statistical data and the quantitative input to monitoring
and measuring performance. Not enough attention is given to gathering
qualitative information to ensure standards are being met. In order to
gather qualitative management information, councils need to ensure that
qualitative standards are expressed in ways which are measurable to enable
management. For example, a quality standard for home care of 'providing
a timely and reliable service for users' could be supported by measurable
outcomes such as:
- The number of occasions when new carers arrive without
the service user being informed
- That all carer visits should have a specified time,
and information is provided about the number of occasions when visits
are made outside of that specified time (within a given tolerance)
Regulation (external registration and inspection
processes):
Managers need to ensure that information from agencies
responsible for the regulation and inspection of social services is available
to them and is used to monitor the quality of the services being delivered,
whether in-house or by voluntary sector or private sector providers.
Close working relationships with the inspectorates need to be developed
to ensure that appropriate responses are made to the findings of inspectors
and to ensure that the council's responsibilities to service users are
met through action taken to deal with findings of poor performance - Read
More
Case reviews:
Reviewing care plans makes a major and often under-estimated
contribution to ensuring quality services are delivered for service users.
Review processes should ensure that the needs of users are re-assessed
and services changed to reflect the most up-to-date position, and that
care plans adequately address these needs. The needs of users and carers
cannot be assumed to remain static. Review processes should ensure that
users and their carers are actively engaged in the process, including
being given the opportunity to comment on the standards of the services
they have been receiving.
Failure to regularly review cases can cause drift and
an inability to ensure that the response to previous assessed needs is
having the desired impact. It can also result in over-provision of services
as needs change and this can waste valuable resources.
In spite of this, performance in this area of care management
has been patchy. In adult services, there has been a slow improvement
in performance from a very low base reaching only 51.4 per cent of users
receiving a scheduled review or re-assessment in 2002/3. The best councils
achieve results in excess of 90 per cent.
Supervision and case file audits:
Staff supervision and other casework
monitoring arrangements are an essential means of ensuring the quality
of services - Read More on Staff Supervision
or Casework Monitoring.
Feedback from users and carers:
Processes to encourage and act on user and carer feedback
are a critical part of any quality monitoring system. Information from
user sources needs to be systematically recorded to provide an overview
of performance against quality standards - Read More
Monitoring casework
The quality of casework and caseloads should be regularly
monitored through routine casework supervision, supported by a systematic
process for auditing case files. Supervision should monitor the quality
of the casework, support and record decisions about the future direction
of the case, and monitor whether previous decisions and actions have been
followed through. Overall, case files should be reviewed to establish
whether they provide a coherent and comprehensive record of the casework
and there has been an effective response to meeting user needs - Read
More about what needs to be put in place to ensure an effective staff
supervision system
Case file audits:
Arrangements for auditing case files should explicitly
be put in place. This can be undertaken through the supervision process,
independently of that process, or preferably through elements of both
approaches. Separate mechanisms for audit allow managers to assess
the quality of supervision as well as providing a check on the quality
of direct work. A systematic approach to auditing files will also provide
collective hard data for management about how key elements of casework
activity are being delivered. This can give an overall picture of performance
within a council as well as a quality assurance check on the individual
case.
To support this systematic approach, councils should
develop a checklist of essential requirements to support the audit process.
This will ensure consistency of approach and enable comparisons across
locations, teams and trends over time.
Each council wants to put together its own requirements
but information about key national priorities and indicators should form
part of the audit and be included in the checklist. Some of the core
elements that should be included in a checklist are shown below (Exhibit
7):
EXHIBIT 7 Checklist of essential
requirements
Source: Joint Reviews
Business planning
Business planning forms the link between the broad policy objectives
for social services, both national and local, and the delivery of day-to-day
support to vulnerable people. It is the bedrock of effective performance
management. Business planning, therefore, ranges between an overarching
strategic plan for social services (or separately for children's services
and services for adults), through to specific service plans (for example
for older people or people with a learning disability), through to plans
for teams or service delivery units. The actual structure of business
planning should match the organisational structure for social services
within a council, or with partner organisations. An effective mechanism
for connecting plans up, down and across the organisation, within a common
framework, is critical. In some councils, processes are too cumbersome
and can create the impression of serving the needs of the top of the council
rather than the front line.
| GOOD PRACTICE TIPS |
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The ingredients of a business planning
system
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- There should be clear linkages between social
services plans and the council's corporate plan. Social services
responsibilities for meeting
corporate objectives should be explicit as should the corporate
contribution to the delivery of social services
- There should be a cascade of plans from the
overarching strategic plan for social services down to team and
service unit plans. It is essential that all aspects of the council's
social services are covered by the planning system within a common
framework
- Plans should cover at least a three-year timescale
- Where joint management arrangements are in
place, joint business plans should be produced
- The strategic plan should be clear about the
priorities for service development and improvement, and clear
about the council's capacity for delivering them
- Service plans should be supported by financial
and human resource plans over the same timescales. Service plans
should lead the planning process (see Exhibit 8 below)
- Plans at all levels should be clear about their
objectives, and should set targets and milestones for delivery.
These should link back to the priorities identified in the strategic
plan
- The strategic plan and supporting service plans
must translate the commissioning strategy for social services
into precise statements of the level of services to be commissioned
within the resources which are planned to be made available. For
services that are to be commissioned from voluntary and private
sector providers, the plans should include clear statements about
the intended levels of services to be purchased and how they will
be purchased - Read
More
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EXHIBIT 8 Service plans should lead
the planning process

Source: Joint Reviews
Management Information
The availability of accurate and timely management
information is central to any performance management system. However,
this task often presents serious problems for social services. Arrangements
frequently fail to produce the information necessary to run services well
and cost effectively; consequently, managers are ill equipped to manage
performance and make evidenced-based decisions. Managers can also struggle
to provide accurate information for national, as well as local, scrutiny
and monitoring purposes. Too often, the cause of the problem is cited
as information technology when in reality there is lack of clarity as
to what information is required to support good management.
Nevertheless, the nature of the task is complex.
Some of the challenges are caused by:
- The number and complexity of individual transactions
that have to be tracked. For example, an older person may have a weekly
home care package but the precise nature of the service provided may
change frequently due to the user's changing circumstances, for example
visits to family and friends, or ill health and hospital visits. These
changing dynamics can be replicated across large numbers of service
users creating a significant number of changes that have to be tracked
- The complexity of the definitions of some data sets.
For example PAF indicator C28 (BVPI 53) for intensive home care requires
those individuals who receive more than 10 contact hours of home care
and 6 or more visits a week to be separately identified
- Information systems (mainly IT systems) that are
too inflexible and cumbersome to respond to changing information and
business process needs
- Data is often held on more than one system making
reconciliation difficult
- Capacity problems on councils IT networks. Often,
new social services systems are implemented without a thorough analysis
of the impact on the council's network
- Under capacity results in slow response times. Frustrated
staff then develop paper systems. This duplicates data collection and
requires the data to be input at a later date, increasing the risk of
error
- Administrative and business processes are often
not organised or configured to support IT systems (ie the system software
assumes that data will be handled in a particular way but the processes
are organised differently)
- Responsibility for data management is usually spread
among many staff in the organisation and through different management
streams, with little clarity about the accountabilities of individual
members of staff or managers
- Frequently, there is no one manager in the
organisation who has the ultimate responsibility for ensuring the production
of accurate and timely information
- The staff responsible for inputting data are usually
not the same staff that have to use the data. This means that those
responsible for input are often unaware of how critical their work is
to the organisation or of the needs of managers and other staff who
need the data. Equally, those who use the data can be ill informed about
the problems and difficulties faced by those staff responsible for data
collection.
- Administrative staff who are usually key to effective
data collection and management are often seen as a low priority in organisations
- Problems of reconciling finance and activity data
prevent managers and councillors from being clear about the cost implications
of decisions regarding services and so undermine efforts to improve
efficiency
EXHIBIT 9 Management Information
is central to effective performance management
in Social Services

Source: Joint Reviews
There are a number of key issues for social services
managers to address if these problems are to be avoided (see good practice
tips). Primarily though, there needs to be a culture in place that sees
information as central to the management task. Councils that are information
conscious and evidence driven are more likely to solve the day-to-day
practical problems that thwart access to good information. 'The more you
use it the better it will get'. See
Good Practice
- Derbyshire County Council - Devolving Responsibility
for Performance
| GOOD PRACTICE TIPS |
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Management action needed to ensure quality
and timely management information
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- Be clear about what is needed and why
- Expect information to drive decision-making.
Use information routinely at all levels. Expect it to be reliable.
When staff know this it will help to improve accuracy
- Ensure that staff responsible for data management
are clear on how they will be held to account
- Ensure that one senior manager is designated
as having overall responsibility for management information, and
has the authority to address any problems of staff performance,
IT system performance, and business processes
- Ensure that the full implications of implementing
and then running social services IT systems have been evaluated
and addressed. This must include the impact on areas which are
usually the responsibility of council's corporate IT support teams,
and a re-engineering of business processes to ensure that they
align with the operational functionality of IT systems
- Undertake regular audits of the quality of
management information
- Ensure there is a robust process for linking
finance and activity data - read more on Budget
Setting or Unit Costs
or Financial Management
- Ensure that the administrative functions that
generate, analyse and report management information for performance
management purposes (national and local) are adequately resourced
and that staff are appropriately skilled
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Setting targets
Targets should be set in order to drive improvement
and meet service development objectives. Targets need to stretch the
organisation at all levels, but also recognise the constraints that the
organisation is working under and the resource capacity it has to support
the desired improvements and developments. A small but well selected set
of targets is much preferable to a target for everything! Targets should
always be:
SPECIFIC
MEASURABLE
ACHIEVABLE
REALISTIC
TIME BOUND
Performance measures - measuring what
matters
Performance measures or indicators should be designed
to inform how well the organisation is performing against key national
and local policies and objectives. They should facilitate progress in
tackling service weaknesses and the tracking and monitoring of improvement.
There are some important issues to be considered when deciding what information
needs to be collected and what areas of performance need to be measured,
but generally it is better to focus on fewer, better quality outcome measures
- Read More
| GOOD PRACTICE TIPS |
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Measuring what matters
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- To be most useful, data needs to be seen as
part of a package of evidence that when brought together gives
a richer picture of changes and improvements against plans. Trends
over time give a more reliable impression than snapshots
- Make arrangements to collect whatever information
is needed to manage services effectively. Don't just collect what
is available
- Ensure that indicators and measures are focused
more on the delivery of outcomes and rather less on the inputs
and outputs to deliver those outcomes
- Different sets of data and other management
information may be required to ensure accountability regarding
national targets and standards as well as supporting local service
developments and improvement
- Ensure that soft issues are measured, such
as those related to culture change, as well as the hard performance
targets. Examples might include racial awareness or achieving
an appropriate balance between the need to promote the independence
of service users with the need to manage risk
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Reporting
performance
Councils need to create a framework for reporting
on performance in social services. Reporting should be comprehensive
and give a rounded, recognisable view of progress in terms of outcomes.
A comprehensive approach should include, for example, not only bald performance
indicators but also:
- Performance against quality standards
- Compliments and complaints
- Outcomes from staff appraisal processes
- Outcomes from staff training and development programmes
- Recommendations from inspectorates, regulators
and independent people or bodies.
Finance and service reporting needs to connect in a
way that shows how money is being spent and to what effect.
It is sensible to develop a coherent structured approach
to who needs what information and how often. For example:
- Reporting to the Mayor, Cabinet or Executive on
matters of corporate and strategic importance to the council would focus
on areas of major financial and service risk and overall performance
in social services
- Senior management in social services would require
more detailed focus on progress against strategy for each of the major
user groups. Information on activity, cost and performance should be
integrated to form an overall picture of the state of services. Routine
monitoring of PAF indicators would be part of this, especially those
which reflect current national priority areas.
See Good
Practice - Derbyshire County Council -
Devolving Responsibility for Performance
- First line management and middle management levels
would require differentiated information relevant to their responsibilities.
This should support comparisons with others and drive adjustments that
further the achievement of team or service objectives
- At an individual level performance reporting should
be through supervision and staff appraisal processes
- Key stakeholders require access to reports on performance
in respect of service interface issues, for example, delayed discharges
from hospital. Where more formal partnerships are in place, there needs
to be joint agreement about performance measures and reporting. In respect
of service providers matters, the outcome of contract monitoring arrangements
would need reporting
- Users and carers too, through the formal machinery
that is put in place for engagement and consultation, need to see feedback
on how services of relevance to them are doing
Responding to external scrutiny
Councils need to work with the external
bodies responsible for the regulation and inspection of social services
and use feedback from independent sources as a further way of validating
progress and good practice, identifying weakness and making improvement.
The main regulatory bodies whose responsibilities have
a direct bearing on the provision of quality social care services are:
The Commission for Social Care Inspection:
This new inspectorate has been formed to take over responsibilities
from:
- The Social Services Inspectorate, which has had
responsibility for the overall assessment of a council's performance
in the delivery of social services leading to its star rating. SSI has
undertaken the inspection of broad areas of service delivery. It has
taken part in joint inspections with other inspectorates for example,
OfSTED and CHAI
- The National Care Standards Commission, which has
had the responsibility for the registration and inspection of individual
service providers covering a range of social care services such as residential
care units, home care and foster care
- SSI/Audit Commission Joint Reviews which have had
responsibility to undertake a comprehensive assessment of a council's
delivery of its social services functions, including whether it secures
'value for money' in its provision of those services
The Audit Commission:
Provides assessment of councils through its Comprehensive
Performance Assessment process. It provides an 'external auditor' to ensure
probity and propriety particularly in respect of the council's arrangements
for:
- performance and risk management
- procurement of services
- securing value for money
- sound finances
The Health and Safety Executive:
Ensures that services provided by the council or by
independent providers meet all health and safety requirements.
Financial
management
Councils need to ensure their performance management
and financial management systems are well integrated. There are a number
of aspects to integration which councils need to address - Read More on
Budget Setting or Unit Costs
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Integrating Performance Management and
Financial Management
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- Service activity levels must be agreed during
the budget setting process so that the budget reflects that agreed
level of activity
- Budget monitoring arrangements must include
monitoring of activity levels against those agreed in the budget
setting process. Failure to do so could result in the budget being
on target but the council securing fewer services than when the
budget was set, meaning that the unit cost of the service increases,
and the council may need to purchase additional services to meet
demand
- Activity levels must be monitored and activity
trends identified if the forecasting of financial commitments
is to be effective
- Monitoring of activity changes is essential
to the effective monitoring of unit costs
- Forecasting future demand through analysing
trends in activity levels is essential to medium-term financial
planning
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Integrating Performance Management
Councils need to understand the
performance management arrangements in place in Hospital and Primary Care
Trusts. Some integration of performance management is necessary if joint
or related services are to be effectively delivered and monitored. For
example, performance monitoring of intermediate care services would want
to track user outcomes in terms of re-admissions to hospital and residential
care.
The integration of performance arrangements
is most likely to be achieved if there is explicit agreement on joint
objectives and targets and a mutual understanding of the framework in
which respective organisations operate.
Learning how to operate in this partnership context
is important as integration is a trend that will continue. Councils are
currently planning their response to the Government's requirement for
Children's Trusts to be established by 2006. In adult services, use of
the flexibilities allowed under the Health Act 1999 has meant that there
are an increasing number of integrated joint management arrangements with
some moving to full Trust status. For further information see the
Partnership module.
While systems and approaches to performance management
in the Health Service and local government are different, there are also
similarities which need to be developed and built upon:
- Each sector has targets, performance indicators
and star ratings
- Both have formal systems of self review, Best Value
and clinical governance
- Activities in both are scrutinised by elected members
and non-executives
There are a number of issues which need to be addressed
by agencies involved in these joint management arrangements:
- Integration should merge and transform systems,
rather than allow duplication
- There needs to be a greater concentration on outcomes
for users and carers, rather than on the inputs to or outputs from processes
- Performance management processes must be orientated
towards action (they are a means to an end and not an end in themselves)
- Frontline staff working together in joint teams
should find the performance management processes both motivating and
supportive. New arrangements need to ensure that potential tensions
between the performance requirements and the data collection systems
of the participating agencies are tackled
While there are some PAF indicators which are interface
indicators monitoring performance at the interface between social care
and health, there are currently no joint indicators. A performance development
group has been established by the Department of Health to look at how
to develop and implement joint performance indicators for services where
staff from the two organisations already work closely together, such as
in community mental health teams, or in multi-disciplinary teams in children's
services. In the latter case, emphasis will be placed on the five broad
outcomes identified in the Green Paper 'Every Child Matters'.
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