Building Standards Verification Key Performance Outcomes ... · 3.2 Quality Customer Experience 3.3 Operational & Financial Efficiency Annex A KPO4 template – national customer

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BUILDING STANDARDS DIVISION Building Standards Verification

Key Performance Outcomes Handbook (from May 2012)

This electronic document will be published on the Scottish Government website and will be reviewed and updated as necessary. This is a .pdf version of the handbook, and also includes the templates for:

KPO Reporting,

National Customer Charter,

Balanced Scorecard, and

Continuous Improvement Plan

Table of Contents

1. Introduction 2. How to use this guidance 3. Key performance outcomes 3.1 Professional Expertise & Technical Processes 3.2 Quality Customer Experience 3.3 Operational & Financial Efficiency Annex A KPO4 template – national customer charter Annex B Balanced Scorecard template (including Continuous Improvement Plan templates) Annex C Key Performance Outcomes 1, 2, 3, 6 returns template Annex D Quarterly summary reports VERSION RECORD Version Number Amendments Made Date 1.0 Inclusion of references to the

ScotXed web platform for the quarterly reporting of performance and annual return data and details of the new approach to the reporting of Continuous Improvement Plans and Balanced Scorecards.

20 August 2014

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1. Introduction

The building standards system in Scotland was established as a result of the Building (Scotland) Act

2003. The remit of the building standards system is to protect the public interest by setting out the

standards to be met when building or a conversion takes place, to the extent necessary to meet the

building regulations. The public interest is a critical success factor ‐ ensuring compliance with

regulations and above all – keeping the public safe.

The Act provides for the appointment of verifiers by Scottish Ministers. At present the only

appointed verifiers are the 32 Scottish local authorities, each covering their own geographical area.

The main function for local authorities in their verification role, is granting building warrants and

accepting completion certificates. This work is central to the delivery of the following key objectives

contained in the 2003 Act:

To secure the health, safety, welfare and convenience of persons in and about

buildings and others who may be affected by buildings or matters connected with

buildings

Furthering the conservation of fuel and power and

Furthering the achievement of sustainable development.

The current verification system was launched on 1 May 2005. A requirement of their appointment

is for verifiers to submit an annual ‘balanced scorecard’ to the Building Standards Division of the

Scottish Government.

Local authorities were re‐appointed on 1 May 2011 for a further six‐year period. The Scottish

Government’s re‐appointment of local authorities as building standards verifiers was on the

understanding that a new performance framework be put in place to improve the quality,

compliance, consistency and predictability of verification activities.

Building Standards services have been operating a balanced scorecard performance framework

approach since 2005. This new advanced performance framework for building standards

introduced in 2012 builds on what has already been achieved and aims to drive forward better

compliance with the building regulations, particularly during construction. This is supported by

introducing a revised balanced scorecard, continuous improvement plans and is underpinned by the

introduction of a range of new Key Performance Outcomes (KPOs) (9 in total). This framework has

been developed by the Building Standards Division of the Scottish Government and the approach is

supported by Local Authority Building Standards Scotland (LABSS).

The balanced scorecard approach has also been taken forward by the Local Authority Heads of

Planning who introduced a new Planning Performance Framework in 2012 that addresses the issues

and recommendations made by Audit Scotland in their recent review of the planning services in

Scotland. Part of this measure was to introduce a balanced scorecard approach of gathering

information for the first time.

As a result of the balanced scorecard performance framework for 2005‐2011, all verifiers have now

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embedded into their service the following:

Risk management protocols that determine the management of work on building

warrant and completion certificates

Customer charters that encompass: guidance to stakeholders; accessibility of

service; measurable performance targets; and customer views

Formal plan for internal business since September 2005

Since 2005, a rolling 3‐year strategy for continuous improvement

Since 2007, systems have been in place to record costs and the management of

costs against income streams for the verification process.

This new building standards performance framework was introduced from the 1 May 2012 and was

measurable from 1 October 2012. It seeks to address a wide range of actions and behaviours

which, between them, demonstrate a strong customer‐focused service. It allows the assessment of

building standards performance outcomes over a range of key national objectives, including:

Overall time taken in the decision making process

Certainty of timescales in respect of decision making, the assessment process and

the provision of advice

Delivery of compliant development

Management and assessment of building warrants and completion certificates

Clear communications and open engagement

Sharing of best practice

An overall ‘open for business’ attitude.

Continuous improvement embedded in the culture of an effective building standards service is a

critical success factor in relation to raising the bar for compliance and consistency. Continuous

improvement may look towards:

Delivery (customer valued) processes which are constantly evaluated and improved

in the light of their efficiency, effectiveness and flexibility

Changes to and demands from the business environment

Incremental improvements over time, with a focus on the ongoing changing

business environment

Peer review, benchmarking and sharing best practice.

Continuous improvement is a dynamic evolving process which continually seeks to respond to

customer needs. As well as incremental improvements, there may be breakthrough improvements

in specific priority areas. For example they may be directly linked to each verifier’s readiness to

implement the new performance framework over the next year or so.

This framework ties performance assessment to specific improvement actions through the local

authorities’ balanced scorecards, quarterly continuous improvement plan updates and quarterly

national statistical KPO returns. This handbook and the associated templates set out the aspects of

performance that will be measured. The Scottish Government intends to collate the information

taken from all building standards returns and produce a Scotland‐wide annual report on the

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performance of the building standards verification system. This may include a statement of

ministerial priorities for future improvements.

The introduction of the balanced scorecards in 2005 resulted in positive progress and a stronger

focus on customer service in particular, but this did not enable a consistent approach to monitoring

and measuring performance. Subsequently during 2011 research was conducted to develop and

test a robust set of national KPOs that will form part of the new performance framework for local

authorities responsible for building standards verification. The KPOs will contribute towards wider

changes to the performance framework for building standards verification and will ensure that the

activities of local authorities can be better compared to ensure consistency and quality in terms of

outputs and overall service.

The research sought the views of all 32 local authority verifiers and key stakeholders in the

construction industry so that KPOs were developed collaboratively. This has resulted in the

development of three core perspectives for the outcomes:

Professional Expertise & Technical Processes The aim of this perspective is to ensure that verifiers possess the necessary professional expertise to efficiently and effectively undertake all technical aspects of building standards verification. This is expected to be underpinned by on-going training and development and a commitment to delivering streamlined and transparent technical processes that meet customer needs and are compliant at all times with relevant legislation.

Quality Customer Experience The aim of this perspective is to ensure that verifiers provide high quality standards and services to customers, underpinned by clear and transparent communications, and an understanding of different customer and stakeholder types and their differing needs. These insights and actions taken in response to them are intended to bring about continuous improvement of the customer experience, which will be regularly measured and assessed.

Operational & Financial Efficiency

The aim of this perspective is to ensure that verifiers are managing the building standards verification operations and finances in the most efficient and effective way possible, underpinned by efficient utilisation of funds and resources, high levels of productivity and fit-for-purpose infrastructure such as IT systems.

These perspectives are supplemented by two themes which are cross‐cutting and span all three

perspectives. They cover all aspects of building standards verification including strategy,

operational delivery, internal and external relationships:

Public Interest The aim of this theme is to ensure that all actions taken by verifiers in alignment with the three perspectives outlined above are in the best interest of the general public. Also, that building standards verification is undertaken in a consistent way regardless

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of verifier organisation or region and that will always protect the public interest through compliance with building regulations.

Continuous Improvement The aim of this theme is to encourage an on-going culture of commitment to ‘raising the bar’ and ensuring that there is a consistent effort to improve building standards verification across all of the three core perspectives as outlined above.

The framework for the KPOs is therefore summed up in the following diagram:

PUBLIC INTEREST

PROFESSIONAL EXPERTISE &TECHNICAL PROCESSES

QUALITY CUSTOMER EXPERIENCE

OPERATIONAL & FINANCIAL EFFICIENCY

CONTINUOUS IMPROVEMENT

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2. How to use this guidance

The purpose of this guidance is to give a clear understanding of each of the Key Performance

Outcome perspectives and what they are designed to achieve in supporting the building standards

system.

Section 3 of this handbook describes each KPO in a standard template as set out below:

Title i.e. the desired outcome Purpose

Requirements of verifiers

Measurement (targets) and reporting

Implementation date

General principles Continuous improvement is a critical success factor in relation to ‘raising the bar’ for customer

service, compliance, and in particular ‐ consistency. KPOs have been developed with a view to

embedding a culture of continuous improvement underpinned by a greater focus on peer review,

benchmarking and sharing of best practice.

KPOs should be adopted by all verifiers and reviewed after a period of 2 years (when fully

implemented) to ensure they remain fit for purpose, with any necessary changes to KPOs, targets

and/or timescales implemented in order to maintain continuous improvement.

Verifiers should report accurate and evidence based information on performance against KPOs to the

Scottish Government (generally on a quarterly basis). This will enable issues to be identified and

actioned on an on‐going basis, and trigger targeted interventions such as audit or peer review where

poor performance is flagged up as a concern. Poor performance will be expected to be improved.

KPOs 1‐3 are segmented by building type and value. This is to gain a greater understanding of the

type of building warrants and how they are treated as they flow through the system. The

segmentation is intended to cover all building types (new buildings, extensions and alterations).

Mixed building types, demolitions and conversions should be reported in the most appropriate

segment.

The performance framework was launched in May 2012 consisting of 9 KPOs in three broad perspectives. Reporting by verifiers under the framework started from 1 October 2012 and applies to those applications for building warrants and amendments to building warrants received on or after that date.

Verifiers should ensure they refer to the latest version of this KPO handbook for quarterly reporting

templates, dates and targets as it may be updated periodically. The Scottish Government will provide

information about updates as they are published.

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Since 2009, the Scottish Government has requested annual returns from all local authorities covering

the numbers of building warrant applications; completion certificates; fees; costs; certificates

(certification, energy performance; sustainability and enforcement cases). This information gives an

insight into the trends affecting building standards services across Scotland. It also provides key

information to keep Ministers and local authorities informed of the significant contribution building

standards is making to Scotland’s economy. From April 2014 these returns have been integrated into

the quarterly KPO reporting cycle to make use of the web platform and any duplication has been

removed. Therefore the last annual return in the ‘annual’ format covers 2013‐14.

Unless otherwise specified, quarterly returns will be for each three monthly period. Quarterly

reporting provides a means to calculate cumulative performance and a quarterly and yearly summary

will be published. The annual return data requested in recent years has been embedded into this

process.

From April 2014 all returns to the Scottish Government are made via the ScotXed web platform,

available at: https://procxed.scotxed.net/ProcXed/Security/Logon.aspx?ReturnUrl=%2fProcXed

It was recognised that not all verifiers would be at the same starting point and so it was to be

expected that there may be differing timescales for adoption. However, all verifiers were expected to

have systems and KPOs in place by the agreed implementation dates and these are explained within

the handbook. Construction Compliance and Notification Plans should be issued for all buildings

under KPO2 from October 2012. However the risk‐based methodology underpinning it was

introduced in two phases. Initially the methodology for domestic buildings, followed by the

methodology for non‐domestic buildings once fully developed. The methodology for non‐domestic

buildings was introduced from 1 October 2013.

Key Performance Outcomes (KPOs)

Professional Expertise & Technical Processes

KPO1 Year-on-year reduction in the average time taken to grant a building warrant

KPO2 Increased quality of assessment and compliance during the construction processes

Quality Customer Experience

KPO3 Commitment to meeting customer expectations

KPO4 Adherence to service commitments of a National Customer Charter

KPO5 Improvement of the customer experience

Operational & Financial Efficiency

KPO6 Financial governance

KPO7 Improved partnership working underpinned by engagement with a National Forum

KPO8 Development of and adherence to objectives outlined in balanced scorecard

KPO9 Commitment to continuous improvement

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3. Key Performance Outcomes

3.1 Professional Expertise & Technical Processes

KPO1

Year-on-year reduction in the average time taken to grant a building warrant1

Purpose Research indicates that speed of turnaround is important for the majority of customers seeking a building warrant, as this allows them to start work.

The intention of this KPO is to minimise the time taken for customers to obtain a building warrant whilst importantly, maintaining the appropriate levels of competent plan assessment.

It is recognised that the average time includes, in addition to the assessments by the verifier, other influencing factors such as performance of customers (applicants and agents) and the quality of submissions.


1. Maintain records of the time taken to grant a building warrant. 2. Have mechanisms in place to record the breakdown of time taken by verifier

and by customer (applicant or agent). 3. Seek to minimise the time taken to grant a building warrant whilst maintaining

high standards of verification.

Measurement and reporting

The trigger for KPO1 is the issue of a building warrant (or amendment to warrant) within the reporting period. Quarterly reporting to the Scottish Government commenced on 1 October 2012 using the template. Reporting from 1 April 2014 is by the ScotXed web platform.

Data reporting:

Total number of building warrants granted

Total number of working days from receipt of a valid2 application to granting the building warrant3

Context reporting (if deemed necessary):

Commentary on any significant changes from quarter to quarter

Implementation date

For all applications for building warrants and amendments to building warrants received on or after 1 October 2012 (domestic and non‐domestic).

Notes 1 For the purpose of this KPO, “building warrant” includes associated amendments to warrant for design changes or for building warrant stages. 2 For the purpose of this KPO, a valid application is one that has sufficient information for the verifier to undertake a substantive technical check and be able to issue a first report if one is necessary. 3 Reporting from April 2014 includes average time taken by the verifier for use by verifiers who can provide further breakdown of the time taken to grant the building warrant.

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KPO2

Increased quality of compliance during the construction processes

Purpose The development of safe and compliant buildings is of paramount importance to building standards verification. This means protecting the public interest by minimising the occurrence of non‐compliance with building regulations. The “relevant person” (usually the building owner or the developer) is responsible for complying with building regulations. When the work is finished, they must sign the completion certificate confirming compliance with building regulations. The verifier is responsible for accepting or rejecting the completion certificate submission but only after they have made reasonable inquiry. The verifier will carry out site visits or other means of inspection to satisfy themselves that the work carried out has been satisfactorily completed. A key aspect of the relevant person’s role is to notify the verifier at the necessary stages of work. This will enhance the likelihood of compliance by assisting the verifier to carry out their inspections as work progresses. It is hoped that this approach will promote partnership working on the project between the relevant person and the verifier. It should also give the relevant person a better understanding on both their and the verifiers roles and responsibilities. The intention of this KPO is to promote quality and consistency of compliance assessment by undertaking timed and proportionate reasonable inquiries using a risk‐based approach to inspection and other forms of assessment e.g. photographic evidence.


1. Embed the risk assessment methodology into normal working practices for reasonable inquiry and:

apply to “domestic buildings” from 1 October 2012

apply to “non‐domestic buildings” from 1 October 2013. 2. Issue Construction Compliance Plans (CCNP) with all building warrants1 applied

for on or after 1 October 2012 (domestic and non‐domestic buildings2). 3. Record the numbers of CCNPs for “accepted” completion certificates, and of

these, how many were fully achieved in terms of:

notification by the relevant person

inspection by the verifier. Provide reasons why CCNPs were not fully achieved.

4. Record aspects of construction non‐compliance3 locally and report issues with

a national impact to drive forward improvements in the verification system. Escalate construction non‐compliance trends to the National Forum for discussion.

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Measurement and Reporting

The trigger for KPO2 is the acceptance of a completion certificate within the reporting period. Quarter reporting to the Scottish Government commenced on 1 October 2012 using the template. Reporting from 1 April 2014 is by the ScotXed web platform. Data Reporting:

Number of CCNPs4 for “accepted” completion certificates

The number of these CCNPs fully achieved5

Context reporting (if deemed necessary):

The main reasons why CCNPs were not fully achieved (prioritised)

The main aspects of construction non‐compliance3 found through reasonable inquiry (prioritised)

Implementation date

For all applications for building warrants and amendments to building warrants received on or after 1 October 2012: a) CCNPs to be issued with all building warrants (domestic and non‐domestic) b) Risk assessment methodology to be applied to:

all domestic buildings from 1 October 2012

all non‐domestic buildings from 1 October 2013

Notes 1 For the purpose of this KPO, “building warrant” includes associated amendments to warrant for design changes or for building warrant stages. Staged warrants may require review of the CCNP at each stage as the design progresses.

2 CCNPs should be issued for all building types from 1 October 2012. CCNPs for non-domestic buildings should be based on current practices until the methodology for non-domestic buildings is developed for implementation from 1 October 2013. This approach will promote partnership working on each project between the relevant person and the verifier for all buildings. The methodology for non-domestic buildings was introduced from 1 October 2013. 3 “Construction non-compliance” in this context is a reference to the failure of a building to meet a minimum building standard. The intention being that these areas of non-compliance are recorded for use locally or for escalation to the National Forum – see KPO7. 4 Building warrants covering multiple dwellings need a completion certificate for each dwelling. Therefore, CCNP achievement should be reported for each completion certificate, not for the building warrant.

5 Reporting from April 2014 includes the number of CCNPs fully achieved by the relevant person and the number of CCNPs fully achieved by the verifier for use by verifiers who can provide further breakdown.

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3.2 Quality Customer Experience

KPO3

Increased commitment to meeting customer expectations

Purpose The current system does not allow customers an alternative option if they are dissatisfied with the level of service provided. The purpose of this KPO is to provide an “escape route” for any customers that are dissatisfied with the agreed processing time of building warrant and amendment to building warrant applications.


1. Meet key performance targets for the time in working days from receipt of a valid1 building warrant2 application to the time to issue “first report3” (20 working days or as detailed in the customer agreement).

2. Customer Agreements4 can apply to building warrant applications and be used

when the standard 20 working days target is not appropriate. They should be agreed between the verifier and the applicant for the building warrant and include a project specific first report target.

3. Provide the “escape route” for customers who are dissatisfied with service

provision regarding the time taken to process a building warrant.

4. Identify and record the reasons targets have not been met and why customers have chosen the escape route.

5. Utilise customer reasons for choosing the escape route to identify and embed

process and customer experience improvements.


The trigger for KPO3 is the issue of a first report for a building warrant (or amendment) within the reporting period (or if the building warrant or amendment can be granted immediately, the trigger is the granting of the building warrant or amendment). Quarterly reporting to the Scottish Government commenced on 1 October 2012. First report target and backstop are measured in working days. Reporting from 1 April 2014 is by the ScotXed web platform. Data reporting:

a) The number of first reports issued (without Customer Agreement)

number within customer target (1 ‐ 20 working days)

number within the 15 day backstop period (21 – 35 working days)

number after backstop period (35 days) but within statutory 3 month5 period

b) The number of first reports issued (with Customer Agreement)

number within customer target (as set out in CA)

number after customer target but within statutory 3 month5 period Context reporting (if deemed necessary) :

Commentary on any significant changes from quarter to quarter (as KPO1)

The main reasons why building warrant first report targets not met

The main reasons why the escape route trigger not met

Commentary on any issues arising from Customer Agreements

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Implementation date

For all applications for building warrants and amendments to building warrants received on or after 1 October 2012 (domestic and non‐domestic). The escape route needs to fully address customers concerns. To allow the concerns to be fully understood, from 1 October for a trial six month period, all building warrant applicants will be able to report any dissatisfaction of a verifier failing to meet the appropriate level of service for their building warrant first report response time. The outcome of this trial will be used to inform future development of the escape route. Reporting will be through the Scottish Government Building Standards Division, who will contact both the local authority concerned and Local Authority Building Standards Scotland. The key stages are set out below:

1. Customer notifies Scottish Government Building Standards Division (BSD) at: [email protected] or 01506 600400

2. BSD contacts the local authority concerned (and informs Local Authority

Building Standards Scotland (LABSS))

3. Local authority investigates the case

4. Local authority notifies the customer of expected issue date for first report (and informs BSD and LABSS)

5. Local authority issues the first report within the timescale (and informs

BSD and LABSS)

Notes 1 For the purpose of this KPO, a valid application is one that has sufficient information for the verifier to undertake a substantive technical check and be able to issue a first report if necessary. 2 For the purpose of this KPO, “building warrant” includes associated amendments to warrant for design changes or for building warrant stages. 3 If the verifier, following a full technical assessment of the application, cannot grant the warrant, they will issue the “first report”. This report indicates any failures to comply or areas requiring further clarification and should provide a level of detail sufficient to identify clearly which standards must be addressed or what further information is required. When a first report is not needed and the warrant can be granted immediately, the date the building warrant is granted should be used for reporting. 4 A Customer Agreement for a project is likely to cover a range of aspects from pre-application through to completion on site. The first report target is only one aspect. 5 The statutory 3 month “deemed refusal” period can be extended.

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KPO4

Adherence to service commitments of a National Customer Charter

Purpose Local customer charters have been embedded in all verification services since 2007. A national customer charter will complement the local charter and will demonstrate the shared commitment to service levels and a consistent standard of quality across all verifiers.


1. Incorporate local information into the national customer charter template (see Annex A).

2. Ensure the national customer charter is published on verifier’s website and is clearly accessible for customers online and in printed form.

3. Ensure the requirements of the customer “escape route” are detailed in the

customer charter.

4. Publish data on performance against national KPOs within the national customer charter on an annual basis (with rolling 3 years data entered beginning with year 2012/13).

5. Maintain checks on localised information to ensure contact details and

appropriate website links are kept up‐to‐date on an on‐going basis.

6. BSD and LABSS to carry out an annual review of customer charter at national and local level and update the charter where appropriate.


Quarterly reporting through the continuous improvement plan should note when the national customer charter is changed or updated and for what reasons.

Implementation date

Verifiers to have national customer charter published by 1 October 2012

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KPO5

Improvement of the customer experience

Purpose Ensuring customer satisfaction is an essential part of building standards verification. The purpose of this KPO is for verifiers to gain a more detailed understanding of their different customer groups and to be able to respond most appropriately to their needs.


1. To assist the Scottish Government Building Standards Division to supply customer data for research purposes.

2. Inform customers that they may be contacted for research purposes. 3. Use findings from the national survey for the purpose of customer

segmentation.

4. Use survey findings to identify and make improvements to the customer experience.

5. Develop an improvement plan in relation to customer experience and

monitor/report progress.


Progress in relation to improving the customer experience should be reported on a quarterly basis through the continuous improvement plan and outcomes from the survey findings, if appropriate.

Implementation date

First survey to be carried out by Scottish Government spring 2013 and annually thereafter. Initially the survey will be funded by the Scottish Government.

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3.3 Operational & Financial Efficiency

KPO6

Financial governance

Purpose It is vital that resources including funds, employees, IT and other infrastructure are fully harnessed to ensure efficiencies are maximised. The purpose of this KPO is to monitor verification fee income compared with the costs of running the service: a) to identify where efficiencies can be improved and b) to determine whether verification fees are of a sufficient level to ensure a high quality service can be offered.


1. Provide data on the income received from building warrant and related statutory fees and the expenditure incurred (staff costs only) to run building standards verification services.

2. Have in place systems to support the accurate and timely collection of these

data.

3. Ensure that time recording systems identify the percentage of time spent on verification activity, and thus enable direct staff costs required to run the verification system to be calculated.

4. Undertake regular reviews of income and cost streams in order to inform and

embed efficiency savings where possible.

5. Adhere to the national approach for identifying staff1 costs:

Identify total staff costs which are: wages and salaries; social security costs; pension costs and temporary staff costs

Identify time spent on verification work from the time recording system

The example below is for a verifier with 6 staff and verification time of 75%.

EXAMPLE: VERIFIER A COSTSTotal staff costs for all activity (6 staff) £200,000

Total Verification staff costs (75% of all activity) £200,000 x 75%

TOTAL VERIFICATION STAFF COSTS £150,000


Verifiers will be required to report data on verification fee income and staff costs. Quarterly reporting to the Scottish Government commenced on 1 October 2012. Reporting from 1 April 2014 is by the ScotXed web platform.

Implementation date

All financial data to be recorded from 1 October 2012

Notes 1Staff costs are the costs for technical and support staff directly involved in the verification service.

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KPO7

Improved partnership working underpinned by engagement with a National Forum

Purpose To develop a national construction forum within Scotland that will bring together key stakeholders in the construction industry and encourage collaborative partnership working. This approach will underpin greater consistency and seek solutions to issues in the public interest.


1. Attendance by Local Authority Building Standards Scotland (LABSS), and individual verifiers when appropriate, at national forum meetings with peers and industry stakeholders to discuss key issues.

2. Gain a better understanding of stakeholders’ priorities, ensuring that

partnership working realises benefits and minimises areas of potential conflict.

3. Utilise through LABSS and individually the forum and other forms of

communications to share best practice with peers and industry stakeholders.

4. Initiate ideas for improving the performance of those involved in the construction industry.

5. Work towards the improvement of key business processes.


Full meetings to be held twice yearly through a systematic, flexible agenda in response to issues raised by forum members. Regular meeting reports to be published for dissemination.

Implementation date

First meeting to be arranged by Scottish Government to take place in spring 2013.

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KPO8

Development of and adherence to objectives outlined in balanced scorecard (Business Plan)

Purpose The balanced scorecard approach introduced for the period 2005‐2011 enabled verifiers to report performance to Scottish Ministers across five key areas. Research into the development of KPOs has identified three core perspectives with two cross‐cutting themes underpinning them – therefore balanced scorecards need to be refined to take this into account. The balanced scorecard template will enable a consistent approach to reporting that has not been delivered in previous years.


1. Produce a new balanced scorecard using the relevant template covering the following:

Core perspectives:

Professional expertise & technical processes

Quality customer experience

Operational & financial efficiency Cross cutting themes:

Public interest

Continuous improvement

2. Submit balanced scorecard to the Scottish Government by 30 September 2012.


Verifiers to submit annual balanced scorecard using the template. The template is available as a separate document. From April 2013, verifiers to publish their balanced scorecards on their website, instead of submitting to the Scottish Government. From April 2014, verifiers to update their balanced scorecards to incorporate the Continuous Improvement Plan summary updates in section 4 (see KPO9), and review quarterly.

Implementation date

Verifiers to submit balanced scorecards to cover the period April 2012‐ March 2013 by 30 September 2012.

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KPO9

Increased commitment to continuous improvement

Purpose The introduction of a Continuous Improvement Plan will enable verifiers to demonstrate their commitment to continuous improvement which cuts across all aspects of their balanced scorecards. Although initially focussing on the implementation of the performance framework, verifiers can still be creative in their pursuit of improvements without concentrating solely on the data reporting aspects, such as response times. The plans will allow the Scottish Government to assess the current position of verifiers and see both their business ambitions, and their progress. Also initially, to understand how close verifiers are to implementing the new framework and achieving KPO targets, and the actions planned in order to meet the implementation and the targets.


1. Produce a Continuous Improvement Plan using the relevant template, outlining achievement time; current level of distance from KPO and plans in place to meet the KPO targets.

2. Identify and include key milestones within the Continuous Improvement Plan.

3. Allocate responsibility to members of the verification team for monitoring

and reporting progress against the targets outlined in the Continuous Improvement Plan.

4. The template highlights the baseline information required for the framework.

Verifiers may include more advanced or creative improvement actions as they see appropriate to their business.


Verifiers will be required to report progress against the Continuous Improvement Plan. Quarterly reporting to the Scottish Government commenced on 1 October 2012. From April 2014, a simplified reporting approach to focus on the key improvements was introduced using updated Continuous Improvement Plan Templates. Verifiers to migrate to the “Detailed CIP“ template, and provide quarterly “Summary of CIP” updates. Quarterly reporting to Scottish Government should be made using the “Summary of CIP” template.

Implementation date

Verifiers to develop their first Continuous Improvement Plan by 30 September 2012 and return to BSD by 31 October 2012. Quarterly reporting will be required from 1 October 2012.

ANNEX A: KEY PERFORMANCE OUTCOME 4 - National Customer Charter Template Purpose of a National Customer Charter:

A National Customer Charter for Building Standards Verification provides information about the minimum standards of service that all local authority

verifiers should meet. This gives customers the reassurance that a consistent, high quality service will be delivered no matter which local authority

provides the service.

Our Aims: To grant building warrants and accept completion certificates:

To secure the health, safety, welfare and convenience of persons in and about buildings and others who may be affected by buildings or

matters connected with buildings

Furthering the conservation of fuel and power and

Furthering the achievement of sustainable development.

Our vision/values: To provide a professional and informative service to all our customers.

Our Commitments: Nationally all local authority verifiers will:

1. Seek to reduce the average time it takes for customers to obtain a building warrant

2. Ensure continuous improvement around the robustness of our verification assessments to ensure compliance

3. Meet and seek to exceed customer expectations

4. Carry out local customer satisfaction surveys

5. Address feedback obtained through a National Customer Satisfaction Survey to improve the customer experience

6. Provide accurate financial data that is evidence‐based

7. Engage with our peers and stakeholders through a National Forum that will identify and embed service improvements at a national level

8. Develop and adhere to a Balanced Scorecard approach outlining our objectives and targets

9. Fully adhere to the commitments outlined in this Charter (including information regarding the escape route* process for dissatisfied customers

in relation to building warrant processing timescales.

10. Provide a consistent format for our continuous improvement plans

Information: National information on verification performance can be found at the Scottish Government website www.scotland.gov.uk/bsd

Locally: ADD YOUR OWN LOCAL CUSTOMER CHARTER TO THIS TO COMPLETE

* Each local authority should include details of the trial for customers to report dissatisfaction in the level of service for their first report response time.

ANNEX B: BALANCED SCORECARD TEMPLATE (INCLUDING CONTINUOUS IMPROVEMENT PLAN TEMPLATES)

Local Authority name and logo to be inserted here

Building Standards Verification Service

Balanced Scorecard Template 2014-2015

Table of Contents

1. Introduction to the Local Authority

2. Building Standards Verification Service Information

3. Strategic Objectives

4. Key Performance Outcomes

5. Building Standards Additional Data

1. Introduction

As part of the new performance framework, it has been agreed that all verifiers must produce an

annual balanced scorecard on the agreed template. It should then be published on their website.

The following sections detail the minimum information and standard paragraphs that should be

included throughout the balanced scorecard.

The information on each of the bullets listed below should also be included in the introduction

section.

Include balanced scorecard standard statement (see below for wording) Size of the local authority by population and geographical size Insert a map of the area Describe the physical environment – mainly rural, urban, mixture of both and concentration of

population in urban vs. rural areas State the major employers and main employment sectors Detail the full range of responsibilities the local authority building standards service delivers Organisational chart of the Local Authority (CEO to BSM level see example below)

Standard balanced scorecard statement. (All balanced scorecards should contain the following paragraph in the introduction section)

The balanced scorecard is a strategic planning and management tool that is used in business

organisations to align business activities to the vision and strategy of the organisation, improve

internal and external communications, and monitor performance against strategic goals.

Building standards verifiers in Scotland are required to utilise the balanced scorecard as a means to

manage, monitor, review and develop strategies for their business with a focus on the three core

perspectives listed below and the public interest and continuous improvement cross‐cutting themes:

Professional Expertise & Technical Processes Quality Customer Experience Operational & Financial Efficiency

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Service Director

Head of Planning

Head of Environment

Head of Infrastructure

Building Standards Manager

Chief Executive

2. Building Standards Verification Service Information

This section should include the following information:

Location of office (if the department is located in one office or across separate offices, if so a description of allocation of provision is required here)

Detail verification services and functions delivered Include public interest statement (listed below) Include organisation chart (BSM and below) which should include vacant and occupied

positions and job titles. Chart should include links into other departments that work closely with building standards verification e.g. planning (see example below)

Public Interest Statement (to be included in all balanced scorecards) The purpose of the building standards system is to protect the public interest. The system sets out

the essential standards that are required to be met when building work or conversion of a building

takes place in order to meet building regulations.

The building standards system checks that proposed building work or conversion of a building meets

standards; inspections are limited to a minimal necessary to ensure that legislation is not avoided.

The control of work on site is not down to the system but is a matter for contracts and arrangements

in place between a builder and client.

Verifiers, appointed by Scottish Ministers are responsible for the independent checking of

applications for building warrants to construct or demolish buildings, to provide services, fittings or

equipment in buildings, or for conversions.

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Building Standards Manager

Team Leader Team Leader Team Leader

Surveyor Inspector Surveyor Inspector Admin Admin

3. Strategic Objectives

This section should include a short narrative covering the following bullets under each of the headings

The overarching goal/vision of the service Departmental issues to be addressed in the coming year The key strategic objectives for the coming year (should align with continuous improvement

plan)

4. Key Performance Outcomes –(Professional Expertise & Technical Processes, Customer Experience & Operational & Financial Efficiency)

This section should include a narrative covering the following bullets under each of the headings

Professional Expertise & Technical Processes Protocols for dealing with work Performance management systems Training and development/CPD Benchmarking/shared services/partnership work Commitment to work together on technical issues Succession planning


Customer communication strategies Charter (local/national) Engagement (national and local forums) Customer feedback (local and national)/analysing and changes systems. Accessibility of service Escape route Recognised external accreditations

Operational & Financial Efficiency Team structures e.g. (area splits/specialist teams) Time recording system Financial monitoring/governance IT systems Finance systems Internal communication strategies

This section should include a summary of the Continuous Improvement Plan.

The Continuous Improvement Plan (CIP) Summary template is provided below. (A suggested detailed CIP template is also provided however it should be noted that the detailed CIP does not form part of the balanced scorecard and is intended to be retained at local authority level.)

Key actions from previous quarter (Q_ 20__):

Relevant to KPO1-2 (from list):

Target completion date: Status (from list): Outcomes:

12345 etc.

Key actions planned for next three quarters:


Target completion date: Priority level (from list): Proposed outcomes:

12345 etc.




12345 etc.




12345 etc.




12345 etc.




12345 etc.

Professional Expertise and Technical Processes

Commentary: (This is an important requirement and should include a narrative summary of progress, as well as the context and rationale for any changes to current and planned actions.)

CONTINUOUS IMPROVEMENT PLAN - SUMMARY (PART 4 OF BALANCED SCORECARD)

Commentary (optional): (This could look at longer term priorities (one to three years)):



Operational and Financial Efficiency




Actions from previous quarter (Q_ 20__):


Target completion date(s): Status (from list): Owner (e.g. individual): Reasons if behind schedule/not yet started:

Outcomes (progress, outputs and impact):

1

2

3

4

5 etc.

Planned actions for next three quarters:


Target completion date(s): Priority (from list): Owner (e.g. individual):

1

2

3

4

5 etc.





1

2

3

4

5 etc.

Planned actions next three quarters:



1

2

3

4

5 etc.





1

2

3

4

5 etc.

Planned actions next three quarters:



1

2

3

4

5 etc.

Coverage of continuous improvement relating to: Efficient utilisation of funds and resources (including people); high levels of productivity; fit-for-purpose infrastructure (including IT); effective partnership working with key stakeholders.

SECTION 2: Quality Customer Experience

Proposed outcomes:

SECTION 3: Operational and Financial Efficiency

SECTION 1: Professional Expertise and Technical ProcessesCoverage of continuous improvement relating to: Appropriate levels of competent plan assessment; quality and consistency of compliance assessment; streamlined and transparent

technical processes; effective performance management; commitment to training and development; partnership working.

Proposed outcomes:

CONTINUOUS IMPROVEMENT PLAN - DETAILED (RETAINED AT LOCAL AUTHORITY LEVEL)

Coverage of continuous improvement relating to: Providing high quality customer service; understanding and meeting customer needs; delivering clear and transparent communications; adhering to the national customer charter.

Proposed outcomes:

5. Building Standards – Additional Data (Local Authority Return)

The Scottish Government requested annual returns from all local authorities from 2009 until 2013. These

covered the numbers of building warrant applications; completion certificates; fees; costs; certificates

(certification, energy performance; sustainability); enforcement cases.

From April 2014 these returns have been integrated into the quarterly KPO reporting cycle on the newly

introduced web based data collection platform. The last annual return in the ‘annual’ format covers 2013‐14.

Below is the new quarterly report template.

ANNEX C: KEY PERFORMANCE OUTCOMES 1, 2, 3, 6 Returns

Local Authority name and logo to be inserted here

Building Standards Verification Service

Key Performance Outcomes 1, 2, 3 and 6 Returns Template

2014-2015

KEY PERFORMANCE OUTCOMES - QUARTER PERIOD (Insert Q1, Q2, Q3, Q4) - 2014-15

Local Authority:

Contact details:Breakdown into "days taken by verifier provided"

CATEGORY (by building type and value of work)

Number of CCNPs for "accepted"

completion certificates

Number of CCNPs fully achieved

(OPTIONAL FOR 2014-15)

Number of CCNPs fully achieved by

"Relevant Person"

(OPTIONAL FOR 2014-15)

Number of CCNPs fully achieved by

"Verifier"

0 - £10,000£10,001 - £50,000£50,001 - £250,000£250,001 - £1,000,000£1,000,001 and above

0 - £10,000£10,001 - £50,000£50,001 - £250,000£250,001 - £1,000,000£1,000,001 and above

0 - £10,000£10,001 - £50,000£50,001 - £250,000£250,001 - £1,000,000£1,000,001 and above

0 - £10,000£10,001 - £50,000£50,001 - £250,000£250,001 - £1,000,000£1,000,001 and above

0 - £10,000£10,001 - £50,000£50,001 - £250,000£250,001 - £1,000,000£1,000,001 and above

KPO2 Total ALL CATEGORIESProvide Verifier's view of the main reasons why CCNPs were not fully achieved

Provide Verifier's view of the main aspects of technical non-compliance identifed through reasonable inquiry (prioritised)

Other comments on CCNPs

KPO2 - COMPLIANCE DURING CONSTRUCTION

KPO2 - DOM1 - Domestic New Build - MULTIPLOT

KPO2 - DOM2 - Domestic New Build - OTHER

KPO2 - DOM3 - Domestic Existing Building- EXTENSION

KPO2 - DOM4 - Domestic Existing Building - ALTERATION

KPO2 - NDOM5-9 - Non Domestic building - ALL

ANNEX D: QUARTERLY SUMMARY REPORTS

Documents

Building Standards Verification Key Performance Outcomes ... · 3.2 Quality Customer Experience 3.3 Operational & Financial Efficiency Annex A KPO4 template – national customer