Performance and Improvement Framework - East Ayrshire Self

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EAST AYRSHIRE COUNCIL

26 AUGUST 2021

Report by the Chief Executive

PERFORMANCE AND IMPROVEMENT FRAMEWORK: EAST AYRSHIRE SELF

ASSESSMENT MODEL (EASAM)

PURPOSE

1. To set out proposals for the introduction of an East Ayrshire Self-Assessment Model (EASAM) to replace EFQM, ensuring continued compliance with the Best Value Audit characteristics contained within the Local Government in Scotland Act (2003). RECOMMENDATIONS

2. It is recommended that Council: (i) Note the Scottish Government’s refreshed guidance on Best Value and the

new arrangements for external Best Value audit and assurance work; (ii) Consider and approve the introduction of a new Council Service level Self-

assessment model - EASAM; (iii) Remit officers from the Policy, Planning and Performance Division to liaise

with Heads of Service to put in place a programme of EASAMs building on the new Service Improvement Plans to be approved by Cabinet in August and September 2021;

(iv) Agree that Service EASAM Improvement Plans be submitted to future meetings of Cabinet;

(v) Agree to receive a report back to a future meeting of Cabinet on proposed arrangements for the Council-wide Strategic Self-Assessment in 2021/22, and

(vi) Otherwise note the contents of the report. BACKGROUND

3. The Local Government in Scotland Act 2003 provides a statutory requirement for all councils to:

“make arrangements to secure continuous improvement in performance (while maintaining an appropriate balance between quality and cost); and in making those arrangements and securing that balance, to have regard to economy, efficiency, effectiveness, the equal opportunities requirements and to contribute to the achievement of sustainable development.”

4. To achieve compliance, East Ayrshire Council has developed a comprehensive Performance Management and Improvement Framework. This Framework encompasses a number of component parts, including:

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A Council-wide Strategic Self-Assessment of Performance;

A programme of Best Value Service Reviews, linked to the Council’s Workforce Plan and Transformation Strategy Service redesigns;

Sound arrangements for Service Improvement Planning; and

Service-level self-assessment.

5. The Council has used the European Foundation for Quality Management Model (EFQM) as its Service-level quality assessment methodology since 1997.

6. In October 2019, Quality Scotland (the national partner organisation of the European Foundation of Quality Management and the official home of the EFQM in Scotland) launched an update to the EFQM Model. This provided the Council with an opportunity to review the revised EFQM model against other self-assessment improvement models and to reflect on whether it met our current needs with regard to continuing to secure Best Value and meet our statutory duty. The opportunity was also taken to consider whether continued use of EFQM offered value for money for the Council, reflecting on the value derived and the availability and effectiveness of alternative Service-level self-assessment methodologies.

7. Following a period of review, the Council Management Team agreed to discontinue our subscription to Quality Scotland and to develop a bespoke self-assessment model. This was developed in the course of 2019/20 but was not implemented due to the impact of the Covid-19 pandemic. It is now being brought forward for implementation in 2021/22.

8. The core elements of the EFQM Model required all participants to consider and record the strengths and areas for improvement of their Service against the requirements of a detailed question set. Through a process of facilitated discussion and consensus meetings with Services, an Improvement Action Plan was produced to help inform the development of Service Improvement Plans and support our Council-wide Strategic Self-assessment. All of this activity will continue to be delivered using a new bespoke Service-level self-assessment process that is explicitly structured around the Best Value characteristics and criteria as set out in the Scottish Government’s revised statutory guidance.

9. This report, therefore, describes the new Service-level self-assessment process for the Council – East Ayrshire Self-Assessment Model (EASAM). BEST VALUE DUTY

10. The new EASAM has been developed to ensure compliance with the Local Government in Scotland Act 2003. It also reflects the shift away from periodic Best Value Audit and Assurance work that was delivered by Audit Scotland and the Accounts Commission. Audit Scotland will replace their current Best Value Audit Review process in 2022 once all 32 Scottish Councils have been subject to the current review process.

11. A new code of audit practice will now be carried out by external auditors as part of the annual audit process, with Best Value work being fully integrated in to annual audit

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work. This was presented to Members through the Audit Wider Scope report at the meetings of Council and the Governance and Scrutiny Committee in June 2021.

12. External auditors will have responsibility to determine how effectively a Council complies with Best Value guidance; in general terms auditors will be looking for evidence to demonstrate:

Strong Leadership (managers and elected members);

Continuous Improvement;

Clarity of vision;

Performance management;

Stakeholder reporting;

Council’s preparations to meet future challenges (i.e. resource focused, long term planning, support sustainability of services, decisions making and how decisions / transformation of services are made; and

Self-evaluation processes that drive continuous improvement.

13. Audit Scotland’s audit approach is intended to be proportionate, risk based and reflective of the context, risks and performance of each individual council. It draws on the intelligence from audit and scrutiny work carried out in previous years. Best Value Audit work will therefore look to ensure compliance with Audit Scotland’s Best Value Strategic Priorities generally in addition to Council specific areas that they perceive the Council needs to improve, based on previous audit work. THE EAST AYRSHIRE SELF-ASSESSMENT MODEL APPROACH

14. The East Ayrshire Self-Assessment Model (EASAM) is intended to provide a Framework based on the Best Value criteria against which we can rigorously compare ourselves. It is used to highlight the strengths and achievements of individual services, and identify where improvements are needed.

15. A number of principles underlie the model, including importance of continuous improvement, a focus on what results are actually achieved, and the customer’s perceptions and how they are served.

16. Through EFQM, the majority of Council services carried out a bi-annual assessment of how well they deliver their services using EFQM. Whilst Education Services and Health and Social Care are subject to regulation from Education Scotland and the Care Inspectorate Scotland, there are opportunities for the methodology proposed through the EASAM approach to be adapted and applied in these settings to assist with preparation of the related inspection activity.

17. In March 2020 the Scottish Government published ‘Best Value: Revised Statutory Guidance 2020’ which is framed around seven Best Value themes. The previous Best Value guidance was structured around ten Best Value characteristics but this refreshed guidance reconfigured these characteristics into seven themes that better reflected the significantly changed policy and public service delivery landscape within which local authorities now operate. Local authorities need to be able to demonstrate a focus on continuous improvement in performance around each of these themes. It

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https://www.gov.scot/binaries/content/documents/govscot/publications/advice-and-guidance/2020/03/best-value-revised-statutory-guidance-2020/documents/best-value-revised-statutory-guidance-2020/best-value-revised-statutory-guidance-2020/govscot%3Adocument/best-value-revised-statutory-guidance-2020.pdf

https://www.gov.scot/binaries/content/documents/govscot/publications/advice-and-guidance/2020/03/best-value-revised-statutory-guidance-2020/documents/best-value-revised-statutory-guidance-2020/best-value-revised-statutory-guidance-2020/govscot%3Adocument/best-value-revised-statutory-guidance-2020.pdf

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is for this reason that the new EASAM uses these seven themes as a basis for the new model. The seven themes are:

The list of the 7 themes, the 23 related questions and the evidence required against each is contained at Appendix Three. THE EASAM PROCESS

18. The new EASAM is a distinctive approach taking the Council’s self-assessment model beyond EFQM. It is bespoke to the needs and requirements of East Ayrshire Council and supports the shared Community Planning Partnership and Council strategic priorities, our Transformation Strategy, Recovery and Renewal Plans, Service Improvement Plans, BVSR/Service Redesign processes and the priorities of individual Services.

19. The new Service level self-assessments will be conducted on a three yearly basis aligned to the cycle and the requirements of the Service Improvement Planning process, the Community Planning review cycle and the Council’s Strategic Self-Assessment process.

20. The old EFQM Model utilised the RADAR scoring system as part of the Service consolidation meetings. Feedback from Services has indicated, however, that this scoring methodology diverted focus from the main objective of the process which was to develop an improvement action plan. Consequently, the new EASAM will not use a scoring system but will utilise a traffic light Red, Amber, Green (RAG) assessment process, thus ensuring that the focus of the process will be to deliver an action plan which reflects the outcome of the self-assessment. To facilitate this a feedback report and an associated action plan will be completed at the conclusion of each EASAM session. Appendix One provides an example of a feedback report template.

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21. The Red, Amber and Green (RAG) approach will support the identification of areas for improvement and the development of an action plan against each of the seven Best Value themes and the sub-set of 23 questions.

22. Each EASAM will be carried out by colleagues from the Council’s Policy, Planning and Performance Division (PPPD). The PPPD Officer will use the RAG assessment criteria as part of the Compliance Meeting and the EASAM Feedback Report process. The RAG assessment will be based on the following criteria: RAG Assessment Criteria

Green

Fully Compliant: fully embedded processes with no issues identified against each criteria.

Amber

Partially Compliant: some progress towards meeting the criteria made with improvement actions already in place.

Red

Limited or Non-Compliance: no or limited progress made towards meeting the criteria, dates for improvement actions are being missed, and further recovery plans and actions are required.

23. Prior to the process being undertaken, officers from PPP will agree a suitable date for

the Consensus Meeting with respective Heads of Service and a schedule of EASAM consensus meetings for all Services is currently being finalised.

24. A structured process will be followed in order to carry out the assessment.

Desktop Review: A Desktop Review of documents will be carried out by officers

from the PPP Division to establish evidence that can be used to inform the discussion at the Consensus Meeting where the 7 themes and 23 questions are considered. Various documents and evidence will be reviewed by PPP officers as part of the Desktop Review. Examples of documents that could be considered as part of the review are listed in Appendix Two.

Consensus Meeting: A Consensus Meeting involving a cross-section of managers and staff from across the Service, where the 7 themes and 23 questions will be discussed in detail and considered and evidence will be presented. The officer from PPP will facilitate this meeting and will use evidence presented at the meeting, information gathered as part of the desktop review and information gathered from any available engagement activity such as workforce surveys will be used to assess and provide a RAG allocation for each question. During this

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meeting the officer from PPP will challenge the Service based on information from the evidence gathered in the Desktop Review and information provided during the Consensus Meeting to explore areas where the Service could improve performance and service delivery. In embracing new, more efficient and digital ways of working it is possible that consensus meetings could take place virtually and virtual input utilised to ensure evidence is displayed and shared.

EASAM Feedback Report: The officer from PPP will use the information from the desktop Review and the Consensus Meeting to complete an EASAM Feedback Report (including strengths, achievements, areas for improvement and a RAG assessment) and an associated action plan for the Service. The RAG assessment will be based on evidence gathered from the Desktop Review and the Consensus Meeting in accordance with the requirements of the EASAM themes as detailed in Appendix Three.

Head of Service Meeting: A feedback session with the Head of Service and the PPP colleagues will take place. During this meeting there will be a discussion of the contents of the EASAM Feedback Report and agreement of the agreed improvement actions contained within the improvement action plan. It is proposed that the Improvement Action Plans produced from each Service EASAM process will be reported to Cabinet.

LEGAL IMPLICATIONS

25. The proposed EASAM approach will ensure continued compliance with the Council’s statutory duty of securing Best Value. HUMAN RESOURCE IMPLICATIONS

26. There are no Human Resources implications arising from this report.

EQUALITY IMPACT IMPLICATIONS

27. There are no equalities implications arising from this report. FINANCIAL IMPLICATIONS

28. There are no direct financial implications arising from this report. RISK/POLICY IMPLICATIONS

29. There are no risk or policy implications arising from this report.

COMMUNITY PLANNING/TRANSFORMATION IMPLICATIONS

30. The proposed EASAM approach aligns with the strategic intent described in the East Ayrshire Community Plan and builds on the work of the Transformation Strategy.

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NET ZERO IMPLICATIONS

31. There are no Net Zero implications arising from this report. One of the EASAM themes relates to Sustainable Development and, therefore, each completed Improvement Plan, where appropriate, will include actions in support of the overarching aspirations set out in the Council’s Climate Change Strategy. CONCLUSION

32. The proposed EASAM model contained within this report is intended to ensure that the Council continues to meet its duties in relation to Best Value and Self-assessment. Background papers: Nil Implementation Officer: Iain Tough, Strategy and Performance Manager

Tel: 01563 576575 Email: [email protected]

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mailto:[email protected]

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APPENDIX ONE:

EASAM Assessment – Feedback Report Directorate/Service: (insert name) Introduction The EASAM assessment of the ……… service was undertaken (insert date) 2021 by a team of internal assessors (insert details) from the Policy, Performance, Planning and Communications Division. The team followed the agreed structured process in order to carry out the assessment, which involved:

A desktop review of evidence and documents, including the Service Improvement Plan, performance reports and survey results.

A consensus meeting involving a cross-section of officers from across the Service. (details of who attended the meeting)

Completion of this feedback report (including strengths, weaknesses and areas for improvement) and an associated action plan.

A feedback session with the Head of Service. (Insert date)

1. Vision and Leadership

RAG:

Strengths:

Achievements:

Outcomes:

Areas for Improvement:

2. Governance and Accountability

RAG:

Strengths:

Achievements:

Outcomes:


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3. Effective Use of Resources

RAG:

Strengths:

Achievements:

Outcomes:


4. Partnership and Collaborative Working

RAG:

Strengths:

Achievements:

Outcomes:


5. Working with Communities

RAG:

Strengths:

Achievements:

Outcomes:


6. Sustainable Development

RAG:

Strengths:

Achievements:

Outcomes:


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7. Fairness and Equality

RAG:

Strengths:

Achievements:

Outcomes:


East Ayrshire Self-Assessment Model ACTION PLAN

Service:

No. Action Responsible Timescale

1

2

3

4

5

6

7

8

9

10

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APPENDIX TWO The Desktop Review Examples of the information which can be considered as part of the Desktop Review (this is not an exhaustive list and will be adapted for each Service)

Progress towards and support for national objectives such as equalities, the environment, etc.

Progress towards corporate objectives such as information contained in the Community Plan, LOIP, Service Delivery Plans, etc.

Service Improvement Plans and associated action plans

Internal Audit reports and related recommendations

Service Reviews

Performance indicator information

Performance targets

Trend analysis

Benchmarking information

Evidence of continuous improvement

Risk register

Staff survey information

Customer feedback and survey results

Community feedback and survey results

Evidence of utilising survey information for learning and improvement

Evidence of reporting of performance information to stakeholders

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APPENDIX 3 - EASAM MODEL CRITERIA, QUESTIONS AND EVIDENCE TEMPLATE – BASED ON THE SCOTTISH GOVERNMENT BEST VALUE AUDIT MODEL GUIDANCE 2020

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BV CRITERIA BV QUESTIONS BV MODEL EVIDENCE (SUGGESTED BY SG) CORPORATE EVIDENCE (SSA / EASAM) SERVICE EVIDENCE (EASAM) EASAM ASSESSMENT (RAG SCORE)

1. Vision and Leadership

Do members and senior managers have a clear vision for their area that is shared with citizens, key partners and other stakeholders?

1. The local authority’s vision for its area is developed in partnership with its citizens, employees, key partners and other stakeholders.

Community Planning Consultations across stakeholder groups;

3 yearly review of the community plan, associated delivery plans and strategic priorities;

Triennial community survey;

Triennial staff survey

Community Led Action Plans

Vibrant Communities Budget Consultations (annually)

Tenant Satisfaction Survey (Sep 2020)

2. Members set strategic priorities that contribute to achieving the local authority’s vision, reflect the needs of communities and individual citizens, and are aligned with the priorities of partners. They take decisions that contribute to the achievement of those priorities, in particular when allocating resources and in setting and monitoring performance targets.

Strategic priorities set by CP Partners as part of the biannual review of CP and Delivery plans, CPP resources are allocated to ensure delivery of these priorities.

3. The local authority’s vision and strategic priorities are clearly communicated to its citizens, staff and other partners.

Community Planning embedded across East Ayrshire 2003-30;

Community Planning web pages;

Community Planning EOG and Board Meeting, agenda, papers and minutes available;

Community Plan Delivery Plan / Delivery groups operational;

Community Led Action Plans developed 28 communities;

Community Plan Annual Review Reports.

4. Strategic plans reflect a pace and depth of improvement that will lead to the realisation of the local authority’s priorities and the long-term sustainability of services.

Strategic plans set by CP Partners as part of the biannual review of CP and Delivery plans, these reflect the strategic priorities and long term sustainability through joint working and resource sharing.

5. Service plans are clearly linked to the local authority’s priorities and strategic plans. They reflect the priorities identified through community planning, and show how the local authority is working with partners to provide services that meet community needs.

Service Improvement Planning process in place, the SIP’s reflect LA priorities and community planning outcomes.

6. Priority outcomes are clearly defined, and performance targets are set that drive continuous improvement in achieving those outcomes.

LA and CP strategic priorities are defined and agreed by Council and CP Board. Strategic Priorities have outcomes and actions with targets set, performance is monitored and reported annually.

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7. There are clear and effective mechanisms for scrutinising performance that enable the taking of informed decisions and the measuring of impacts and service outcomes.

Community Planning annual report, reported at Joint meeting of Council and Community Planning Partnership Board (annually September)

8. There is a corporate approach to continuous improvement, with regular updating and monitoring of improvement plans.

All CP / Service improvement Plans are monitored regularly using Pentana Risk performance management system.

9. The local authority and its partners agree on how the key elements of Best Value will contribute to achieving the commonly agreed local priorities and outcomes. These key elements include the need to:

secure continuous improvement, in particular for those services aligned to the local authority’s priorities

provide customer- and citizen-focused public services, which meet the needs of diverse communities

achieve the best balance of cost and quality in delivering services (having regard to economy, efficiency, effectiveness and equalities)

contribute to sustainable development

encourage and support innovation and creativity.

The Council and Community Planning Partnership agree and set the agreed strategic priorities for East Ayrshire.

All partners then work to deliver those priorities within the CPP Delivery Plans x 3, progress against the delivery plans is reported annually the through the LOIP, which is reported to a joint meeting of the Council and the CPP Board.

EAC also produce and deliver Service Improvement Plans to deliver the strategic priorities

Customer / Community Focus is demonstrated through the 3 yearly community planning partnership community survey / CLAP development consultations and service consultations

The Council is committed and has demonstrated through 3 BVAR to deliver Best Value as laid out in the LGGA 2003 i.e. cost and quality with regard to economy, efficiency, effectiveness and equalities

Sustainable Development is central to the vision of the Council and Community Planning Partnership and is laid out in the Community Plan;

Transformation Strategy and FACE Values / criteria demonstrate how the Council encourage and support innovation and creativity.

10. Members and senior managers communicate the approach to Best Value methodically throughout the local authority in terms that are relevant to its staff and set out clear expectations of them. The local authority has a positive culture in which its people understand its vision and objectives and how their efforts contribute to their achievement, and they are engaged with and committed to improvement.

Council Communication Strategy

Best Value embedded within East Ayrshire Council

Staff surveys show a positive culture

FACE Employee Review Process, staff are aware of their role in delivering outcomes that ensure that we meet our Best Value obligations.

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11. Members and senior managers are self-aware. They commit to training and personal development to update and enhance their knowledge, skills, capacity and capabilities to deliver Best Value and perform their leadership roles, and they receive sufficient support to do so.

Annual EAGER / FACE Review Process for both staff and Councillors.

Training is provided for staff and Councillors in line with the current and future requirements of their roles.

12. Leadership is effective and there is good collaborative working. Members and senior managers have a culture of cooperation and working constructively in partnership, informed by a clear understanding of their respective roles and responsibilities and characterised by mutual respect, trust, honesty and openness and by appropriate behaviours.

Annual FACE Review Process

Open door policy chief officers

Regular meetings of CMT

Regular meetings with all political groups within the Council

Do members set strategic priorities that reflect the needs of communities and individual citizens, and that are aligned with the priorities of partners?

Elected Members consult on and set strategic priorities (x 3) with CP and LOIP updated every 4 years.

Does effective leadership drive continuous improvement and supports the achievement of strategic objectives?

Strategic objectives set by leaders and contained within the Community Plan and associated delivery plans / LOIP / SIP the achievement of these actions is monitored through Pentana.

2. Governance and Accountability

Does the service has a clear understanding and the application of the principles of good governance and transparency of decision-making at strategic, partnership and operational levels?

1. Members and senior managers ensure accountability and transparency through effective internal and external performance reporting, using robust data to demonstrate continuous improvement in the local authority’s priority outcome measures.

Pentana Risk system utilised to track performance against CP, SIP, EFQM action plans.

LGBF, APSE, SCOTS etc. benchmarking carried out

2. Management information and indicators that allow performance to be assessed are widely and consistently used by the local authority. Senior management regularly receives information that is used to inform members about performance.

Pentana Risk system utilised to produce service score cards, indicators are updated and reported 4weekly, monthly, quarterly and annually

3. Performance is reported to the public, to ensure that citizens are well informed about the quality of services being delivered and what they can expect in future.

Annual Performance Report,

Annual LOIP Report,

EAP x 4 per year

4. Learning from previous performance, and from the performance of other local authorities, informs the review and development of strategies and plans to address areas of underperformance.

LGBF, APSE, SCOTS etc. benchmarking is used in the development of policy and strategy such as SIP’s

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5. Key organisational processes are linked to, or integrated with, the planning cycle; these include strategic analyses, stakeholder consultations, fundamental reviews, performance management, staff appraisal and development schemes, and public performance reporting.

All these are in place and carried out by EAC.

Community Planning 2015-30 (3 year review cycles)

Service Improvement Plans (3 year review cycles)

CPP Community Consultation (3 year yearly)

Staff Surveys (3 year yearly)

Best Value Service Reviews(3 year yearly)

Transformation Reviews

Pentana Performance Management System to monitor performance against CPP / LOIP, SIP, EFQM, Risk Register etc

Staff Appraisal via EAGER / FACE review process

Annual Public Performance Report / LOIP Annual Report

6. The local authority has a responsible attitude to managing risk, and business continuity plans (including civil contingencies and emergency plans) are in place to allow an effective and appropriate response to planned and unplanned events and circumstances.

Business Continuity Plans in place for all services

Strategic Resilience Group and Safety Review Group in place.

7. Key discussions and decision-making take place in public meetings, and reasonable measures are taken to make meeting agendas, reports and minutes accessible to the public, except when there are clear reasons why this would be inappropriate.

All committees and boards are public, agendas, reports and minutes of committee and board meetings are available from the Council website.

8. The local authority’s political structures support members in making informed decisions.

The Council operates a Cabinet and Committee Structure to support members to make informed decisions.

9. The scrutiny structures in the local authority support members in reviewing and challenging its performance.

EAC Governance and Scrutiny Committee

10. Members and senior managers promote the highest standards of integrity and responsibility, establishing shared values, mutual trust and sound ethics across all activities. Effective procedures are in place to ensure that members and staff comply with relevant codes of conduct and policies. This includes ensuring that appropriate policies on fraud prevention, investigation and whistleblowing are established and implemented.

Code of Conduct for Elected Members

Code of Conduct for EAC Employees

Scheme of Delegation with member / officer responsibilities identified

Anti-Fraud Strategy in operation

Whistle Blowing Policy in operation

11. Members and senior managers understand and effectively communicate their respective and collective roles and responsibilities to members and staff. They understand that effective delegation enables and supports the local authority’s ability to achieve Best Value.

Scheme of delegation with responsibilities identified for elected members and council officers

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12. An information governance framework is in place that ensures proper recording of information, appropriate access to that information including by the public, and legislative compliance.

Information Governance Manager in post.

Information Governance Framework in place to deal with FOI / EIR and Data Protection requests

13. Technological innovation and digital transformation are promoted and used to ensure accessibility of performance information and public accountability.

Transformation Strategy Theme: Digital Transformation

14. Members and employees across the local authority understand and implement their responsibilities in relation to its Standing Orders and Financial Regulations.

Scheme of Delegation / FACE Review

Standing orders

Elected Members Code of Conduct

Financial Regulations / Financial APB’s

Annual Chief Officer Governance Statements produced and signed off

15. There are clear governance and lines of accountability when delivering services via a third party, and there is evidence of the application of the principles within the ‘Following the Public Pound’ guidance when funding is provided to external bodies.

Contracts, Shared Service Agreements and Service Level Agreements are in place for third party delivery, these follow the principles of following the public pound

Contract monitoring and reporting is undertaken by relevant boards and committees

Does the service have robust arrangements for scrutiny and performance reporting?

East Ayrshire Performs reported to Cabinet (x 4 annually).

Service Score Cards monitored using Pentana.

SIP Action Plan / EFQM Action Plan / Risk Register monitored through pentana.

Annual Performance Report produced

Annual LOIP Report produced

Does the service have strategic service delivery and financial plans that align the allocation of resources with desired outcomes for the short, medium and long terms?

All services operate a 4 year service improvement plan. Resources are allocated to deliver the service improvement plan with outcomes set across short, medium and long term with progress against the SIP being monitored and reported to G&S Committee annually.

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3. Effective Use of Resources

Does the service make the best use of its financial and other resources in all of its activities?

Staffing 1. A workforce strategy is in place that sets out expectations on how the local authority’s staff will deliver its vision, priorities and values.

EA Work Force Plan 2019-22 in place. The Council’s Plan ensures that we have the right people in the right place at the right time with the correct skills, qualities, and behaviours to deliver the outcomes and objectives of the Council as set out in the Community Plan and our Transformation Strategy.

The workforce plan sets out how the Council is supporting employees to develop the skills required to support the Council’s period of organisational transformation.

The associated action plan contains a number of detailed actions including reskilling / redeployment, succession planning, career change opportunities and developing the young workforce. Oversight of implementation is maintained by the workforce planning board chaired by the DCE (Safer Communities).

The delivery of the workforce plan is overseen by the Workforce Planning Board made up of managers and Heads of Service and is chaired by the Head of Human resources.

The strategy is translated into workforce plans, covering employee numbers, skills, knowledge, competencies and organisational structures that demonstrate how staff will be deployed to deliver the services planned for the future. Plans are regularly reviewed at appropriate intervals according to a clear review cycle.

EA Work Force Plan 2019-22 in place, this is reviewed annually.

3. All employees are managed effectively and efficiently, and know what is expected of them. Employee performance is regularly assessed through performance appraisal, with individuals and teams being supported to improve, where appropriate.

EAGER / FACE reviews carried out annually.

4. Members and senior managers understand and demonstrate that effective delegation is an important contribution to the local authority’s ability to achieve Best Value.

Scheme of Delegation in operation in East Ayrshire.

5. The contribution of staff to ensuring continuous improvement is supported, managed, reviewed and acknowledged.

EAGER / FACE reviews carried out annually.

FACE promotes continuous improvement.

All strategic action plans have actions with staff / managers allocated to those actions. Achievement of actions are reviewed regularly. Achievement of these actions are monitored and acknowledged.

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6. The local authority demonstrates a commitment to fairness, equity and safety in the workplace; it adopts relevant statutory guidance through progressive workplace policies and a commitment to best practice in workplace relationships.

HR Policies and Procedures (including equalities and Diversity)

HR Circulars

Health and Safety Standards / Bulletins and Safety Flashes

7. Leaders ensure that there is the organisational capacity to deliver services through effective use of all employees and other resources. They communicate well with all staff and stakeholders, and ensure that the organisation promotes a citizen- and improvement-focused culture that delivers meaningful actions and outcomes.

CP / LOIP / SIP’S set strategic direction and outcomes to be achieved.

Resources are allocated to achieve the desired outcomes

FACE Approach and Characteristics (Flexible / Approachable / Caring and Empowered) implemented across EAC.

FACE Review undertaken annually with staff by line managers

Through FACE review staff responsibility is aligned to the service and Councils strategic priorities and outcomes.

Are decisions on allocating resources based on an integrated and strategic approach, are risk-aware and evidence-based, and contribute to the achievement of its strategic priorities?

Asset Management 1. There is a corporate approach to asset management that is reflected in asset management strategies and plans, which are subject to regular review.

Corporate Asset Management Framework / Plan is in place, this is monitored and reviewed 4 times per year in East Ayrshire Performs report submitted to Cabinet.

The Corporate Asset Management Plan / Framework reviewed annually by Cabinet.

2. There is a systematic and evidence-based approach to identifying and managing risks in relation to land, buildings, plant, equipment, vehicles, materials and digital infrastructure.

Corporate Asset Management Plan / Framework

Capital Programme

Corporate Procurement Strategy

Corporate and Service Risk Registers

3. The local authority actively manages its asset base to contribute to its objectives and priorities.


4. Fixed assets are managed efficiently and effectively, taking account of availability, accessibility, safety, utilisation, cost, condition and depreciation.

Corporate procedures are in place to securely control buildings, equipment and other assets.

Corporate Procurement Strategy


Does the service have robust procedures and controls in place to ensure that resources are used appropriately and effectively, and are not misused?

Information 1. Information is regarded as a strategic resource and is managed accordingly.

Information Management Strategy and information governance procedures ensure compliance with data protection and FOI requirements

The Council is GDPR compliant

2. There is a clear digital strategy in place, which includes resilience plans for information systems.

Business Continuity Plans is in place for F&ICT

EAC IT Systems are Public Service Network Compliant

3. Information is shared appropriately, and the local authority seeks to develop data compatibility with its partners.

EAC IT Systems are Public Service Network Compliant

EAC is fully complaint with General Data Protection Act 2018

The Council is GDPR compliant

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Does the service have robust procedures and controls in place to ensure that resources are used appropriately and effectively, and are not misused?

Financial management and planning 1. There is clear alignment between the local authority’s budgets and its strategic priorities.

Service budgets are aligned to the Council’s strategic priorities as set out in the CP and SIPS.

2. Regular monitoring and reporting of financial outturns compared with budgets is carried out, and corrective action taken where necessary to ensure the alignment of budgets and outturns.

Group Financial Management linked to services; Finance Strategy; adherence to financial regulations; robust budget planning; effective audit scrutiny, regular financial reporting and scrutiny by members.

Monthly meetings are held with the group financial service manager / accounts.

Budget monitoring and realignment / corrective action is taken as required

3. Financial plans show how the local authority will fund its services in the future. Long-term financial plans that include scenario planning for a range of funding levels are prepared and linked to strategic priorities.

The budget setting process links to the Council and CPP strategic priorities

Budget setting processes take account of the short / medium and long term budgetary position

Annual budget setting processes are in place, this is scrutinised by Cabinet and Council

A capital budget and strategy is in place this is scrutinised by Cabinet and Council

Transformation Strategy developed to determine how services will be delivered going forward whilst achieving savings

4. An appropriate range of options is considered when taking decisions, and robust processes of option appraisal and self-assessment are applied.

The annual budget setting process provides elected members with a range of budgetary options to ensure that the Council delivers a balanced budget that meets the strategic priorities of the Council and CPP’s and needs of our communities.

5. The local authority has clear plans for how it will change services and realise efficiencies to close future budget gaps.

Best Value Reviews / Transformation Reviews are carried out, the recommendations of these reviews are fully costed.

6. Members and senior managers have a clear understanding of likely future pressures on services and of how investment in preventative approaches can help alleviate those pressures, and they use that understanding to inform decisions.

Future pressures and investment decisions are regularly discussed by EMT / CMT and service managers.

Investment decisions to alleviate budget pressures are taken with the support of the Chief Financial Officer

7. Financial performance is systematically measured across all areas of activity, and regularly scrutinised by managers and members.

Financial Performance reporting at DCE / Head of Service and Service Manager level occurs on a 4 weekly basis.

The CFO reports Council Financial Performance to elected members via the East Ayrshire Performs Report, this is presented to Cabinet 4 times per year

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8. There is a robust system of financial controls in place that provides clear accountability, stakeholder assurance, and compliance with statutory requirements and recognised accounting standards.

Finance Strategy; adherence to financial regulations; Accountancy Policy Bulletins, robust budget planning; effective audit scrutiny, regular financial reporting and scrutiny by members.

9. The local authority complies with legal and best practice requirements in the procurement and strategic commissioning of goods, services and works, including the Scottish Model of Procurement. There is clear accountability within procurement and commissioning arrangements.

EA Procurement Strategy Approve by Cabinet Annually, this a legal requirement under the Procurement Reform (Scotland) Act 2014

In addition an annual Procurement Report on regulated procurement activity is approved by Governance & Scrutiny Committee.

10. There are clear and effective governance and accountability arrangements in place covering partnerships between the local authority and its arm’s-length external organisations (ALEOs), including for performance monitoring and the early identification of any significant financial and service risks; there is evidence of the application of the principles of ‘Following the Public Pound.’

Contracts / Service Level Agreements are in place for ALEO’s and shared services. These arrangements are compliant with the Following the Public Pound Principles.

Performance is reported to Ayrshire Shared Services Committee (ARA and ACCT) and at the EA Leisure Trust Board

East Ayrshire Council Elected Members are on the committees and boards of these organisations.

11. The local authority has a reserves policy that supports its future financial sustainability, and its reserves are held in accordance with that policy.

East Ayrshire Council Financial Strategy

Does the service work with its partners to maximise the use of their respective resources to achieve shared priorities and outcomes?

Performance management 1. Effective performance management arrangements are in place to promote the effective use of the local authority’s resources. Performance is systematically measured across all areas of activity, and performance reports are regularly scrutinised by managers and elected members. The performance management system is effective in addressing areas of underperformance, identifying the scope for improvement and agreeing remedial action.

Pentana Performance Management System in operation.

Service Score Cards / SIP Action Plan / EFQM Plan / Risk Management performance are monitored through Pentana.

EA Performs report x 4 per year to Committee.

2. There is a corporate approach to identifying, monitoring and reporting on improvement actions that will lead to continuous improvement in priority areas. Improvement actions are clearly articulated and include identifying responsible officers and target timelines.

Pentana Performance Management System in operation to promote continuous improvement.

Service Score Cards are monitored by DCE’s and their management teams on a monthly basis.

Heads of Service Managers have performance score cards to monitor performance.

Actions are time specific and are allocated to responsible officers.

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3. The local authority uses self-evaluation to identify areas for improvement. This includes the use of comparative analyses to benchmark, monitor and improve performance.

EFQM Self-Assessment Model used from 1997 to 2021.

This was replaced by EASAM a bespoke self-evaluation model developed by the Council.

This produces an improvement action plan which is input in to Pentana performance management system, this is utilised to monitor action plan completeness.

4. The local authority takes an innovative approach when considering how services will be delivered in the future. It looks at the activities of other organisations, beyond its area, to consider new ways of doing things. A full range of options is considered, and self-assessment activity and options appraisal can be demonstrated to be rigorous and transparent.

Best Value Service Reviews / Transformation Reviews

Horizon scanning, best practice examples out with East Ayrshire and Optional appraisal are identified and utilised in these reviews.

5. Evaluation tools are in place to link inputs, activities and outputs to the outcomes that they are designed to achieve. There is evidence to demonstrate that improvement actions lead to continuous improvement and better outcomes in priority service areas.

Community Planning / Delivery Plan Review

6. The local authority seeks and takes account of feedback from citizens and service users on performance when developing improvement plans.

Community Planning / Residents Survey (3 yearly)

Service Specific service user surveys carried out e.g. housing tenant’s survey etc.

7. Improvement plans reflect a pace and depth of improvement that will lead to the realisation of the local authority’s priorities and the long-term sustainability of services.

Community Planning Delivery Plans x 3.

Service Improvement Plans.

The SIP’s are reviewed annually, with new improvement actions added as required to ensure the plans meeting changing priorities.

8. Performance information reporting to stakeholders is regular and gives a balanced view of the local authority’s performance, linked to its priority service areas. The information provided is relevant to its audience, and clearly demonstrates whether or not strategic and operational objectives and targets are being met.

Annual Performance Report

Local Outcome Improvement Plan Report, reported annually

Service Improvement Plans, updated and reported annually

9. The local authority demonstrates a trend of improvement over time in delivering its strategic priorities.

Annual Performance Report

Local Outcome Improvement Plan Report, reported annually

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4. Partnership & Collaborative Working

Have members and senior managers established and developed a culture that encourages collaborative working and service provision that will contribute to better and customer-focused outcomes?

1. Members and senior managers actively encourage opportunities for formal and informal joint/integrated working, joint use of resources and joint funding arrangements, where these will offer scope for service improvement and better outcomes.

Ayrshire Roads Alliance (East and South Ayrshire Council)

East Ayrshire Health and Social Care Trust (East Ayrshire Council and Ayrshire & Arran NHS)

Ayrshire Civil Contingencies Team (3 x Ayrshire Councils)

Ayrshire Criminal Justice Authority (3 x Ayrshire Councils)

Ayrshire Economic Partnership (3 x Ayrshire Councils)

East Ayrshire Community Planning Partnership

2. The local authority is committed to working with partner organisations to ensure a coordinated approach to meeting the needs of its stakeholders and communities. This includes: • scenario planning with partners to identify opportunities to achieve Best Value • collaborative leadership to identify Best Value partnership solutions to achieve better outcomes for local people • proactively identifying opportunities to invest in and commit to shared services • integrated management of resources where appropriate • effective monitoring of collective performance, including self-assessment and reviews of the partnership strategy, to ensure the achievement of objectives • developing a joint understanding of all place-based capital and revenue expenditure.

Ayrshire Roads Alliance (East and South Ayrshire Council)

East Ayrshire Health and Social Care Trust (East Ayrshire Council and Ayrshire & Arran NHS)

Ayrshire Civil Contingencies Team (3 x Ayrshire Councils)


Ayrshire Economic Partnership (3 x Ayrshire Councils)

East Ayrshire Community Planning Partnership

3. Members and senior managers identify and address any impediments that inhibit collaborative working. The local authority and its partners develop a shared approach to evaluating the effectiveness of collaborative and integrated working.

East Ayrshire Community Planning Partnership- Executive Officer Group

4. In undertaking its community planning duties the local authority works constructively with partners to agree a joint vision for the Community Planning Partnership and integrates shared priorities and objectives into its planning, performance management and public reporting mechanisms. Service plans clearly reflect the priorities identified through community planning, and show how the local authority is working with partners to provide services that meet stakeholder and community needs.

East Ayrshire Community Planning Partnership- Executive Officer Group agree the community plan, its vision, priorities and associated delivery plans.

All council plans and strategies reflect the aims, vision and actions contained within the Community Plan and the associated delivery plans. This includes the Service Improvement Plans.

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Have effective governance arrangements for Community Planning Partnerships and other partnerships and collaborative arrangements been put in place, including structures with clear lines of responsibility and accountability, clear roles and responsibilities, and agreement around targets and milestones?

Governance arrangements for CP and other partnerships are set out below

East Ayrshire Community Planning Partnership reports to the Community Planning partnership Board

Ayrshire Roads Alliance (East and South Ayrshire Council) reports to the Ayrshire Shared Services Joint Committee

East Ayrshire Health and Social Care Trust (East Ayrshire Council and Ayrshire & Arran NHS) reports to the East Ayrshire Integration Joint Board

Ayrshire Civil Contingencies Team (3 x Ayrshire Councils) reports to the Ayrshire Shared Services Joint Committee

Ayrshire Economic Partnership (3 x Ayrshire Councils) – report to the Ayrshire Economic Joint Committee


Police, Fire and Rescue Committee

5. Working with Communities

Does the service undertake early and meaningful engagement and effective collaboration with communities to identify and understand local needs, and in decisions that affect the planning and delivery of services?

1. Members and senior managers ensure that meaningful consultation and engagement in relation to strategic planning take place at an early stage and that the process of consultation and engagement is open, fair and inclusive.

Community Planning EOG initiate the Community Planning Residents Survey which is carried out every three years.

Community Planning Engagement events.

Community Led Action Planning (CLAP) are undertaken with communities, a CLAP sets out the priorities of the community concerned, based on these priorities an action plan is developed agreed and implemented. So far 28 CLAP’s have been produced.

2. Members and senior managers are proactive in identifying the needs of communities, citizens, customers, staff and other stakeholders; plans, priorities and actions are demonstrably informed by an understanding of those needs.

The needs an priorities of stakeholders are sought through:

Community Planning Residents Survey

Community Planning engagement events

EAC Employee Survey

FACE Events

Community Led Action Plan Consultations

3. Communities are involved in making decisions about local services, and are empowered to identify and help deliver the services that they need. Suitable techniques are in place to gather the views of citizens, and to assess and measure change in communities as a result of service interventions.

Community Led Action Plan Consultations

4. Active steps are taken to encourage the participation of hard-to-reach communities.

Vibrant Communities / Health and Social Care input / Education Services

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5. The local authority and its Community Planning Partnership work effectively with communities to improve outcomes and address inequalities.

SIMD Ward Analysis carried out.

Community Led Action Plans x 28 developed and implemented / being implemented

Community Empowerment Act

6. A locality-based approach to community planning has a positive impact on service delivery within communities, and demonstrates the capacity for change and for reducing inequality in local communities by focusing on early intervention and prevention.

Community Led Action Plans x 28 developed and implemented / being implemented.

EAC and CPP strategic priorities set to address inequalities across communities in East Ayrshire Council i.e. Safer Communities / Economy and Skills / Health and Wellbeing Delivery Plans.

7. Members and senior managers work effectively with partners and stakeholders to identify a clear set of priorities that respond to the needs of communities in both the short and the longer term. The local authority and its partners are organised to deliver on those priorities, and clearly demonstrate that their approach ensures that the needs of their communities are being met.

A review of the Community Plan Delivery Plans ongoing, new priorities are agreed to meet communities needs across the short and longer term.

Community Led Action Plans x 28 developed and implemented / being implemented. CLAPS action plans are reviewed annually for delivery.

Partnership working is embedded and is continuing to grow in its scope and complexity and is delivering for communities.

8. The local authority engages effectively with customers and communities by offering a range of communication channels, including innovative digital solutions and social media.

CPP’s utilise a range of communication channels to facilitate customers and communities engagement i.e. Face to face, email, phone, text, twitter, Facebook, etc.

CP Partners are keen to expand the number of communication channels to engage with as many customers / communities as possible.

9. The local authority plays an active role in civic life and supports community leadership.

Provost / Deputy Provost civic leaders of the Council.

The Vibrant Communities Service support community groups and community leaders to develop their community and personal competencies.

Does the service have a commitment to reducing inequalities and empowering communities to effect change and deliver better local outcomes?

Community Empowerment (Scotland) Act 2015



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Can the service show that engagement with communities has influenced strategic planning processes, the setting of priorities and the development of locality plans?


A review of the Community Plan Delivery Plans ongoing, new priorities are agreed to meet communities needs across the short and longer term.


Annual Report - Local Improvement Plan quantifies the performance of the CPP’s against the 3 x Service Delivery Plans.

6. Sustainable Development

Sustainable development is reflected in its vision and strategic priorities.

1. Leaders create a culture throughout the local authority that focuses on sustainable development, with clear accountability for its delivery across the leadership and management team.

Community Plan (Vision and strategic priorities including sustainability)

FACE Reviews / Work Force Plan 2019-22

Budget Sustainability – Annual Budgeting Process

Service Sustainability – Best Value Service Reviews / Transformation Reviews

Clean, Green and Vibrant approach

Waste Recycling / Clean Streets - approach and statistics

Energy efficiency buildings and housing

CO2 reduction targets

Fleet Management and Procurement

Electric Vehicle Fleet (Increasing) / Electric Vehicle Charge Points

Sustainable Development and Planning Services

Asset Management Framework

Sustainable Procurement – EA Procurement Strategy

Sustainable Economic Development

ARA – Sustainable Development e.g. Flood Prevention Schemes and development, road building and environmental issues

Food Sustainability / Brexit

Food Poverty / Dignified Food

Food miles

Risk Management Score Cards include sustainability

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2. There is a clear framework in place that facilitates the integration of sustainable development into all of the local authority’s policies, financial plans, decision making, services and activities through strategic-, corporate- and service-level action. In doing so, the local authority will be able to demonstrate that it is making a strategic and operational contribution to sustainable development.

As above all strategies and plans have operational action plans associated.

3. The local authority has set out clear guiding principles that demonstrate its, and its partners’, commitment to sustainable development.

Climate Change Scotland Act 2009

Community Plan 2015-30

4. There is a broad range of qualitative and quantitative measures and indicators in place to demonstrate the impact of sustainable development in relation to key economic, social and environmental issues.

A broad range of sustainability measures are collected and reported across the range of Council and Partner services i.e. SPI’s, LGBF, CP, Cabinet,G&S Committee.

Annual Returns External bodies

Climate Change Public Sector Return

5. Performance in relation to sustainable development is evaluated, publicly reported and scrutinised.

Community Plan delivery Plan / LOIP Annual Report

Cabinet / Committee Reports

East Ayrshire Performs Report – 4x per year to Committee

Sustainable development considerations are embedded in its governance arrangements.

Governance Arrangement are via range of committees and boards

Resources are planned and used in a way that contributes to sustainable development.

Resources are allocated in line with service improvement plans, The SIP’s support sustainable development.

Sustainable development is effectively promoted through partnership working.

Community Planning Partnership

EAHSCP

EALT

ARA

7. Fairness & Equality

Does the local authority have equality and equity considerations at the heart of strategic planning and service delivery?

1. The local authority demonstrates compliance with all statutory duties in relation to equalities and human rights.

EAC Complies with the Equalities Act 2010

2. The local authority is taking active steps to tackle inequalities and promote fairness across the organisation and its wider partnerships, including work and living conditions, education and community participation.

Equality Impact Assessments carried out on all policy and strategies, service developments and against the protected characteristics.

3. The local authority and its partners have an agreed action plan aimed at tackling inequality, poverty and addressing fairness issues identified in local communities.

EA Community Planning Partnership have identified and are seeking to tackle inequalities, poverty and fairness through prevention and mitigation actions.

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4. The local authority engages in open, fair and inclusive dialogue to ensure that information on services and performance is accessible to all, and that every effort has been made to reach hard-to-reach groups and individuals.

Community Consultation through 3 yearly survey;

Vibrant Communities - Community Led Action Planning x 28 plans developed in consultation and partnership with communities, these set out the communities’ priorities.

Social Media utilised to reach hard to reach groups and individuals.

5. The local authority ensures that all employees are engaged in its commitment to equality and fairness outcomes, and that its contribution to the achievement of equality outcomes is reflected throughout its corporate processes.

Equality Impact Assessments carried out,

Compulsory Equalities Training undertaken by all employees,

Service redesign is subjected to equality impact assessment.

Equal Opportunities Policies

6. The local authority engages with and involves equality groups to improve and inform the development of relevant policies and practices, and takes account of socio-economic disadvantage when making strategic decisions.

EAC Equalities Group(s) meet regularly

7. The equality impact of policies and practices delivered through partnerships is always considered. Equality impact information and data is analysed when planning the delivery of services, and measuring performance.

Equality Impact Assessments carried out on all policy and strategies, service developments and against the protected characteristics.

Human Resources collect a range of equality information on staff, annually

Equalities Information Collected through SPI / LGBF Information

8. The local authority’s approach to securing continuous improvement in delivering on fairness and equality priorities and actions is regularly scrutinised and well evidenced.

LOIP Annual Report

Does the local authority have a commitment to tackling discrimination, advancing equality of opportunity and promoting good relations both within its own organisation and the wider community?


EAC Equal Opportunities Policies


Does the Local authority have equality, diversity and human rights embedded in vision and strategic direction and throughout all of its work, including its collaborative and integrated community planning and other partnership arrangements?




Does the local authority have a culture that encourages equal opportunities and is working towards the elimination of discrimination?




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Documents

Performance and Improvement Framework - East Ayrshire Self