There are five core principles for good performance management. They are:

1. Clear objectives
2. Good quality data
3. Meaningful insight
4. Accountability
5. Action

Good performance management requires an effective performance management system and a strong performance management culture.

Our approach to performance management The Performance Management Cycle

Effective performance management is based on a continual process:

• Plan
• Act
• Track
• Review

Good performance management is not achieving objectives, but understanding why objectives are, or are not, achieved and acting appropriately to optimise success.

Plan

Everyone needs to manage their performance to a clear set of objectives.

The strategic planning process cascades down Council Plan objectives from the organisational level to directorate to team to individual.

That means even at the individual level, everyone should be working towards clear objectives with understanding of how they support the Council Plan.

Act

Carrying out the actions in the plan to achieve the objectives.

This phase includes the gathering and collecting of robust data to allow effective review of progress towards the plan's objectives.

Track

Data is compared to expected outcomes, often using Key Performance Indicators (KPIs), and reported via scorecards and dashboards.

This needs to be done at regular intervals. However, data, information and insights should be at the fingertips of everyone to ensure on-going awareness.

Reviewing, and understanding how to improve the plan, also needs to include the wider context - for example, national policy, internal audit recommendations, public priorities, resident, and community feedback, learning from complaints, and feedback from staff.

Review

Adjusting the plan to better support achievement of objectives.

Positive progress must be acted on to build success, whereas problematic progress must be acted upon to correct it.

Each insight will require a decision on what action to take. Actions can include changes to systems, process, resources, policies, and procedures.

Making changes can improve the chances of successfully meeting the plan's objectives.

Effective performance management cascades up understanding through the organisation identifying what has and has not worked well - and what we can learn from this to revise the plan.

Our performance management process

The Council Plan sets out the overall strategic direction and context. This is aligned to the medium-term financial strategy which provides an overarching framework extending beyond the current budget period and draws together all known factors affecting the financial health of the Council over the medium term.

Underlying the Council Plan is the Delivery Plan which sets out activity in support of the Council Plan, usually significant activity or programmes that impact across the whole (or a large part) of the organisation, place, or population.

A range of other plans from individual Directorates and specific services plan activity and resources for delivery, together with higher level objectives that are either of significant importance or cut across more than one team or service.

These include annual service plans produced at Assistant Director level. Service and team plans help define the objectives and individual’s contribution to the Council Plan for individual employee appraisals.

Other plans may be produced as a result of self-assessments, peer reviews, audits, or other inspections. Project plans are produced for major projects so that timescales, milestones, governance arrangements and resources are mapped out.

Identifying and assessing risks are part of effective delivery and the Council will proactively mitigate any risks that might stop it achieving its aims. Risks to good quality data are also assessed and, where possible, steps taken to address them.

Individuals have a responsibility to ensure that they are clear about their role and what is expected of them in achieving team objectives and promoting organisational values.

The individual appraisal process ensures personal objectives link to team objectives and the Council’s priorities.

Specific targets are set for staff annually at appraisals. In many cases, targets align to directorate plan objectives and, in some cases, to actions set out in the Delivery Plan.

Effective performance management is not just about systems or developing technically good indicators and measures. It is equally important to establish a culture that allows performance management to be approached positively.

We aim to develop a performance management culture that supports our organisational values as follows:

Strategic

We are ambitious with a desire and commitment to have an evidence-based improvement approach and aim to support robust corporate and service planning and intelligence-based forecasting. We aim to improve integration between performance, risk, and financial information.

Collaborative

We will work effectively with internal and external stakeholders to share data and optimise service planning and horizon scanning. There is a willingness to share ideas and to learn from poor performance. There is good internal communication of performance management by promoting good practice and communicating successes.

Accountable

We will ensure accountability and ownership across the organisation making sure this is in line with the ‘golden thread’ of governance from Council Plan to individual performance.

Forward thinking

We will be innovative and embrace new opportunities and technological developments to ensure we optimise our efficiency and effectiveness. We will make sure that staff are involved and appropriately trained so that they can suggest better ways to deliver individual, team and corporate outcomes. We will look for new ways to present and analyse information and provide insight.

Progressive

We will foster a culture of being a learning organisation, empowering staff to test their ideas and learn from mistakes. We will understand our strengths to drive continuous service development and delivery.

Informed

We ensure we have access to robust, timely, integrated information at all levels to understand the impact of what we are doing. We will be compassionate, ensuring that our people have the right skills, capabilities and behaviours that enable them to deliver in their role, providing support, training, and advice where it is needed.

Performance and risk information will be reviewed on a regular basis to allow continuous improvement.

The approach will be to:

• focus on the delivery of Council outcomes as set out in Council Plan and related planning framework documents
• use information as up to date as possible
• make the information easily accessible for elected members, managers, customers, and the public

All action plans, key projects, initiatives, and performance indicators are monitored regularly by various means.

Plans are reviewed and revised using the latest information and intelligence available including:

• operational performance (benchmarking where appropriate)
• financial performance
• assessment of risk
• resident and community feedback
• learning from complaints - feedback from staff
• internal audit recommendations
• external audit and inspection findings

Performance data is distributed via reports to the Senior Leadership Team, Directorate Management Teams, quarterly director performance clinics and a quarterly corporate report, which goes to Executive and Overview and Scrutiny Committee and is available publicly.

Requests for ad hoc data and analysis work are assessed on a priority basis and programmed into the work schedule accordingly.

Reporting of performance and risk

Executive members and the Business and Resources Overview and Scrutiny committee monitor performance through formal reports.

Formal reporting of quarterly performance information will include a review of actions in the Council Plan Delivery Plan and corporate performance measures in the Corporate Performance Framework.

This will enable Executive to review performance against the Council Plan Delivery Plan and will also support Overview and Scrutiny in their role.

The Strategic Risk Register will support Audit Committee to have an overview of the risk profile and the effectiveness of risk management actions. It will be presented to the committee every eight weeks.

Performance clinics Performance clinic meetings occur with individual directorates on a quarterly cycle.

These meetings consider each directorate’s performance service metrics, financial performance, and HR performance. These meetings also include content on directorate project and programme activity.

Performance clinics provide the Leader and Chief Executive with an opportunity to have meaningful performance conversations with directors and portfolio holders.

Apart from ensuring directors have ownership of, and understand, their directorate data, the clinics are designed to:

• evaluate and improve the performance of the council's directorates in terms of priorities, budget performance, forecasting, and service performance data
• provide an opportunity to look retrospectively at performance but also identify future priorities and resource prioritisation

Individual officers are responsible for relevant performance indicators and are required to keep this performance data updated in preparation for these regular meetings.

Management information - scorecards and dashboards

Performance indicators and tailored scorecards can be built from management information to provide an overview of how a team, service area, directorate, or corporate priority is performing, depending on the user requirements.

Further to our monitoring, we undertake data quality checks and benchmarking to identify how our services are performing against others.

Cumberland Council’s centralised performance team provides performance management support.

Its overarching ambition is to support directorates and service areas in embedding effective performance management, with service area managers using performance in a systemic way to support learning and development to achieve objectives, from service plans to individual appraisals.

Due the volume and complexity of performance management in complex service areas (such as social care, public health, economic analysis), individuals with business area expertise are essential to work collaboratively with the performance team.

The performance team’s responsibilities include:

• supporting service areas in embedding the principles, skills, and tools to support an effective Performance Management Framework
• providing training and communications to support effective development of performance reporting across the organisation
• helping to embed a robust performance management and service user orientated culture in the new organisation
• supporting implementation of the Data Quality policy

The centralised team also has key performance and intelligence reporting responsibilities, including:

• corporate reporting
• statutory reporting
• statutory assessments
• external partnership collaboration

Services have responsibilities for effective performance management within their service, and application of information and analysis to support the successful achievement of objectives as outlined in service plans from directorate level to individual appraisals.

Performance management is the responsibility of everyone in the Council. Accountability for performance follows the 'golden thread' of the Council Plan - which provides the overall strategic priorities for the council which then determines the organisation’s priorities.

Elected members

The key roles and responsibilities in relation to performance and risk for members.

Full council responsibilities

Approve the Council Plan, key strategies, and medium-term Financial Plan.

Executive responsibilities

These include:

• approving the Performance Management Framework
• ensuring strategic delivery of Council Plan and MediumTerm Financial Plan
• evidence progress against corporate priorities
• provoking debate about what should happen next
• challenging financial and non-financial performance of all services • Receive quarterly performance reports to evaluate and improve directorate performance

Portfolio holders responsibilities

These include:

• regularly monitor, review and challenge performance to ensure delivery in relation to their portfolio
• participating in quarterly performance clinics with the Leader, Chief Executive, and directors to monitor, review and challenge performance (where required)

Scrutiny members responsibilities

These include:

• holding Executive to account
• scrutinising the Council’s performance, including via the quarterly performance report
• undertaking specific reviews of any identified performance issues which can be undertaken through the Council’s arrangements for Scrutiny

Audit Committee responsibilities

These include:

• gaining assurance over the governance of risk
• receiving regular updates and reviews on the effectiveness of risk management
• supporting the development and embedding of good practice in risk management
• gaining assurance over financial and non-financial performance as reported

Officers

The key roles and responsibilities in relation to performance and risk for officers.

Senior Leadership Team responsibilities

These include:

• overseeing the Performance and Risk Management Frameworks
• overseeing the development of the Council Plan Delivery Plan
• ensuring commitment to the delivery of Council’s priorities through the allocation of responsibilities and resources
• taking responsibility for the delivery of the annual revenue budget, capital programme and Medium-Term Financial Plan
• taking strategic responsibility for the delivery of the Council Plan. This includes reviewing risks on an eight-week cycle and reviewing performance

Directorate Management Team responsibilities

These include:

• ensuring that a relevant planning and risk framework underpins performance with the Council Plan
• responding to service and organisational workflow and workload issues
• revising plans to reflect current activity
• facilitating learning

We also regularly review relevant performance and risk at Directorate Management Team meetings. Formal service/Assistant Director review of operational risk registers:

• quarterly - high-risk scores (Red)
• half-yearly – medium-risk scores (Amber)
• annually – low-risk scores (Green)

Service Managers responsibilities

These include:

• contributing to and produce relevant plans and objectives which contribute to the Council Plan
• seeking support to improve performance and review systems and processes
• informing workforce development and continuing professional development
• providing data in accordance with performance reporting requirements

Team Managers responsibilities

These include:

• informing planning, resourcing, quality management and service delivery
• providing data in accordance with performance reporting requirements
• seeking support to improve performance and manage risks
• managing staff performance and undertake appraisals
• informing workforce development and continuing professional development
• encouraging staff to seek support when needed to improve performance and provide support when requested

Individuals responsibilities

These include:

• being responsible for personal development and performance
• participating in annual appraisal
• understanding how work contributes to the Council Plan
• seeking support to improve performance and manage risks
• raising specific issues regarding risk and performance with Managers
• ensuring that activity listed within individual appraisals is implemented on schedule