Quality Management Framework The ...

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Quality Management FrameworkThe Surrey Way November 2010

APPENDIX ONE

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Contents

Introduction – Quality Management at Surrey County Council

Purpose, scope and context

The Council’s Approach - the Surrey Way

Characteristics of the Surrey Way

Governance

Revising and reviewing the Surrey Way

Further Information and Support

Appendix One – Universal elements: Plan - Do - Review & Revise

Version control

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Introduction Quality Management at Surrey County Council Effective quality management is essential to help Surrey County Council achieve its ambition to become a world class Council and improve outcomes for residents and businesses. The Surrey Way is Surrey County Council’s quality management framework. This ‘quality manual’ describes the framework which is designed to:

- ensure that sufficient and appropriate measures are in place to prevent mistakes from happening or poor services being delivered;

- provide clarity and guidance for customers, Members, partners and staff about the quality of what the Council plans to deliver; and

- systematically review and challenge the quality of what is being delivered to provide assurance and drive continuous improvement in outcomes for residents.

The quality of a service or activity is not static – it will change over time and these changes can be a driven by a range of factors such as customer expectations, needs or feedback, or the resources available. The quality standards applied to the range of activities described in this framework (and within the more detailed Directorate frameworks) are defined in different ways – through for example, customer feedback, performance indicators and targets, and / or through requirements set out in legislation or guidance (local or national).

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Figure 1: The Council’s ambition and corporate objectives

Making a Difference, Surrey County Council’s Corporate Strategy, sets out the Council’s ambition and corporate objectives (see Figure 1). These objectives are also the Council’s quality objectives and they are supported by a set of key measures to enable the Council to track progress. Progress is reported quarterly to the Cabinet. Quality management is something that everyone at the Council has a role in. This means that everyone needs to understand the Council’s approach to quality management, what it means for their team and job day to day, and how effective quality management can help the Council to achieve its ambition to be world class. Specifically, named accountable owners (see pages 10 – 14) will have their specific quality management responsibilities included within both their job profiles and Step Ahead appraisal objectives. Underpinning the quality management framework are the Council’s core values that guide the behaviour of all officers and Members. The values are:

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Purpose, scope and context Purpose and scope The Council’s quality management framework applies to all Surrey County Council services and functions and describes the Council’s overall approach to quality management. This document is the Council’s ‘quality manual’ – it is deliberately high level, ‘sign-posting’ more detailed information that is available elsewhere. It is intended for internal use only. Appendix one of this document describes the elements of the quality management framework that apply consistently across all areas of the Council (the universal elements of the framework) and links to more specific and detailed quality management arrangements within each Directorate. The Council also ensures that all organisations that supply services on it’s behalf have appropriate quality management mechanisms in place through robust procurement and commissioning of services. The framework covers internal and external activities that support the delivery of the Council’s objectives. Where the framework refers to ‘customers’ it means both external and internal customers. Context

This framework is a key part of the Council's Code of Corporate Governance and it fits together with a number of Surrey County Council, local and national frameworks and policies. The Council’s quality management framework is linked to and supported by other frameworks and policies that apply across the whole organisation, including: • Performance Management Framework • Financial Regulations and Instructions • Risk Management Strategy

• Partnership Governance Framework • Step Ahead – the performance management requirements

for individuals.

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The Council’s approach - the Surrey Way

The Surrey Way, has been developed by adopting principles from other nationally or internationally recognised standards or quality management frameworks and translating them to best suit the needs of Surrey County Council, focussing on the delivery of improved outcomes for the residents of Surrey. These include ISO9001 and the definition of a ‘quality’ organisation set by the Chartered Quality Institute. This framework seeks to achieve a balance between providing the necessary and appropriate levels of quality assurance while reducing bureaucracy. The Surrey Way reflects a risk based and proportionate approach to quality management that focuses on outcomes rather than processes. The Surrey Way is based around a cycle of three activities: Plan – Do – Review & Revise. In practice these activities overlap rather than being three linear stages in a process but the distinctions help to draw out the various features of the Surrey Way.

Figure 2: The Plan – Do – Review & Revise cycle

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Customer insight informs the Council’s planning, prioritisation and improvement activity (including helping to define quality standards). A clear vision, aims and objectives are supported by robust plans which state how the Council will achieve its objectives, who is responsible, when they will be delivered and the quality to which they will be delivered. Staff and elected Members are equipped to deliver services (to the agreed standard), including the provision of good quality data and information to inform decision-making.

Supporting documents (policies, procedures, guidance, processes etc) are clear, accessible and up-to-date.

Characteristics of the Surrey Way The diagram below sets out the ten characteristics of the Surrey Way. These characteristics define the Council’s approach to quality management and should be applied when designing or assessing quality management systems, mechanisms or tools.

Clear and transparent commitments are madeabout the quality of delivery for each activity or

service.

A professional and consistent approach isadopted through ensuring appropriately qualified

and experienced staff are in place and keydisciplines such as project, programme and

contract management are consistently applied.

Residents and communities are involved in thedelivery of activities or services.

Progress is robustly and regularly monitored against the agreed standards with clear escalation routes for underperformance.

Service delivery is rigorously reviewed and challenged, looking at why and

how services are delivered as well as who is best placed to deliver them.

A culture is created which encourages innovation, learning and improvementwith external / independent / peer validation of services and activities an

integral part of the Surrey Way.

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Governance The Council’s Quality Board is responsible for overseeing the implementation of the Surrey Way.

The Board will meet quarterly and the membership will be: • The Corporate Leadership Team (chaired by the Chief Executive) • A member of the Council Performance Team (Head of Service / Assistant Director) on a rolling basis • The Deputy Leader of the County Council

To provide independent challenge, the Surrey Chief Executive’s Group has also been asked to nominate a representative to sit on the Board.

The broad aims of the Board are to: • provide clear leadership, focus and improved coordination of ‘quality’ related activities; • focus on improving outcomes for Surrey and Surrey residents, not on nationally prescribed targets; • oversee the implementation and ongoing effectiveness of the Surrey Way Quality Framework; and • take on the remit of a number of existing boards, thereby streamlining the Council’s existing mechanisms and reducing

bureaucracy.

Appendix one details a range of more specific governance arrangements in place for the Council-wide elements of the Surrey Way.

The role of Members

The Deputy Leader is the lead Member for quality management and is a member of the Council’s Quality Board. The Deputy Leader is supported in this role by Cabinet Members who are accountable for the implementation and ongoing effectiveness of quality management and assurance mechanisms for Services and functions within their portfolios.

In taking an overview of the Council’s performance, Select Committees play a vital role in monitoring the successful implementation of the Surrey Way, scrutinising delivery against the Council’s objectives. Fundamental to the success of the Surrey Way is the role Select Committees have in ensuring that the views and concerns of local residents and businesses are reflected in the policies of the Council.

The Audit and Governance Committee provides independent assurance of the Council’s governance arrangements and internal control environment including quality assurance and performance arrangements.

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Reviewing and revising the Surrey Way The Council aims to continuously improve its approach to quality management, prompted by new ideas from officers and Members, and the latest thinking and innovation from outside the Council. This framework will be reviewed annually (led by the Performance and Audit Service) and revised to reflect any changes. If you have any queries or comments on this document please contact: Daniel Shurlock Performance and Audit Chief Executive’s Office 020 8541 7681 [email protected] Further information and support Many of the links found within this document direct you to further and more detailed information located on s::net. Below is a contact list for leads on quality management for in different areas within the Council: Directorate Quality management lead Contact details Chief Executive’s Office Justin Newman 020 8541 8750 Change and Efficiency Sergio Sgambellone 020 8541 8524 Adult Social Care Charlotte Langridge / Joelle 020 8541 8781 / 020 8541 8748 /

Bevington / Kathy Saunders 01932 795064 Children, Schools and Families James Brown 020 8541 8745 Customers and Communities Chris Wiffen 020 8541 7410 Environment and Infrastructure Karen Miller 03456 009 009

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APPENDIX ONE – Universal elements of the Surrey Way For each of the universal elements of the Surrey Way, the table below sets out some of the key mechanisms of the plan-do-review & revise cycle. These are supplemented by more specific and detailed arrangements within Directorates. This list is intended to provide a clear indication of how the Council ensures quality rather than an exhaustive list.

Activity Accountable officer

Plan What do we have in place to ensure we get ‘it’ right first time?

Do What are the standards that define the quality of the activity? (or where are they set out)

Review & Revise How do we monitor progress in the delivery of these standards, review the standards and drive improvement?

Business Continuity (BC) / emergency management

Head of Corporate Policy

Staff training, Corporate (and Service) Business Continuity Planning, Corporate Policy Statement

Civil Contingencies Act 2004, British Standard BS25999

Council Resilience Forum, Surrey Resilience Forum, Business Continuity Plan testing, Peer Review

Customer Service

Head of Customer Services

Staff training, Complaints Policy, Customer Promise

Local Government Ombudsman (LGO), Standards set in the Customer Promise, Complaints targets, Staff KPIs

Customer Relations Monthly Feedback Report, Customer Relations Network, Local Government Ombudsman Annual Letter, Customer Service Monthly Scorecard (measuring around 100 Key Indicators), Quarterly Accountability Reports, Quarterly Reporting to the Cabinet Office, Reports to the Safer and Stronger Select Committee.

Communication (internal and external)

Head of Commun’tions

Staff training, Branding guidelines, Communicating with Everybody policy, Communications and Engagement Strategy 2010 – 2013, Reputation Strategy, Media protocols, Campaign briefing and planning process, Forward planning and budget allocations for publicity activities, STARS training to skill up colleagues in other services

‘House Style’, Standards for s:net, Plain English Campaign, Branding guidelines.

Employee survey, Monthly/quarterly reporting, Customer satisfaction survey, Media monitoring, Campaign evaluation, Readership surveys, Budget monitoring and reporting, EIAs for different areas of communications activities, including campaigns and key publications

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Plan

Do

Review & Revise

Equalities (service design and access)


Equality and Diversity Policy, Single Equality Scheme, Equality Action Plans, Equality Impact Assessments, Staff and Member Training

Public Sector Equality duties, Equality Act 2010, Equality Framework for Local Government, workforce composition targets

Equality monitoring (monthly workforce reports, quarterly Cabinet Business Report/monthly CLT scorecard), 3rd Party Review of the Equality Framework, Corporate Equality Group and Directorate Equality Groups

Employee Relations

Head of Human Resources and Organisational Development

Employee assistance programme, Code of Conduct Policy, Grievance Policy, Capability Policy, Ending Harassment, Bullying and Discrimination Policy, Disciplinary Policy, Absence Management, Change Management Policy

Internal Mediation Service, Standards set out in a range of employment related legislation (e.g. Equal Pay Act).

Workforce Reports, Change and Efficiency Select Committee, Change Team/ Change Board,

Estates planning and management

Asset Strategy Manager / Technical and Contracts Development Manager

Asset Management Plan, Carbon and Energy policy, Premises security policy, Space standards

Department for Education (DfE) Standard (condition surveys), Carbon Trust Standard, Disability, Discrimination Act 1995, Health and Safety Act 1974

Change and Efficiency Select Committee, Change Team and Change Board/CLT updates, C&E SMT

Financial management and planning

Head of Finance

Staff training, Medium Term Financial Planning, Statement of Accounts, Financial Regulations, Financial Instructions, S151 Officer role

Local Government Act 1972, CIPFA Code of Ethics

Change and Efficiency Select Committee, Change Team and Change Board/CLT updates, month end reporting, Monthly/Quarterly report (to CLT and the Cabinet), Internal and External Audit, Finance Leadership Team

Information management and technology (incl. data quality/security)

Head of IMT / Head of Performance and Audit

Multi-agency data sharing protocol, Data Quality Strategy, Staff training, email/internet acceptable usage policies, information and data security guidance (s::net), Data Governance Policy, Records Management Policy

Email/internet usage policies, ITIL Standards (and internal IMT standards), data security standards (set in corporate guidance), Security Policy (GCSX Government Connect), Data Protection Act, Freedom of Information Act

Change and Efficiency Select Committee, Change Team and Change Board/CLT updates, Caldicott Board, Technology Boards (in each Directorate)

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Plan

Do

Review & Revise

Internal audit Chief Internal Auditor

Professionally qualified staff (and continual professional development), Internal Audit Terms of Reference, Annual Audit Plan, Internal Audit Strategy 2010-2014, The Audit Manual, Reporting and Escalation Policy, Local Authority Audit Networks

Accounts and Audit Regulations 2003, (SI 533/2003) (as amended by the 2006 and 2009 Regulations), CIPFA “Code of Practice for Internal Audit In Local Government in the United Kingdom 2006, Standards set in the Audit Manual, Customer satisfaction targets

Annual Effectiveness Review, Review, Audit & Governance Committee, Select Committees, Customer Satisfaction Surveys, External Audit, Governance Panel, Annual Governance Statement

Legal advice Head of Legal & Democratic Services

Professionally qualified staff Lexcel practice management standard, Law Society Standards

Monitoring Officer Role, The Law Society

Managing the Change Programme (Fit for the Future)

Assistant Chief Executive & Strategic Director of Change and Efficiency

Change Team Working Group, Change Team, Stakeholder Management Plan, s::net guidance pages (See also Programme/Project Management below)

Approach, targets and standards agreed through the Change Team and Change Programme review meetings with Directorates (See also Programme/Project Management below)

Monthly progress report to CLT, Change Programme review meetings with directorates, six-monthly health checks (See also Programme/Project Management below)

Organisational development

Head of Human Resources and Organisational Development

People Strategy, STARS staff training programme (all staff, management and leadership programmes), Change Management policy, Corporate Workforce Strategic Plan 2009/2013, Step Ahead appraisal process, Relationship Management approach

Investors in People, ILM accreditation, Skills for Life courses, National Apprenticeship scheme, Staff survey targets (incl. corporate measures)

People, Performance and Development Committee, Staff survey, monthly/quarterly reporting (corporate measures), monthly workforce reporting, HRLT, Change Team, Performance & Reward Panel,

Performance management

Head of Performance and Audit

Corporate and Directorate-specific performance management arrangements, Staff training, s-net guidance documents and tools, Data Quality Strategy, Performance Plus software and guidance, Business Planning framework

Performance management framework, Data Quality action plans, corporate / quality objectives, management measures, local (and national) indicators and targets, audit assurance sheets, Performance Plus guidance, Directorate strategies and business plans, Service Plans, Step Ahead appraisal process

Monthly / Quarterly report card (to CLT and Cabinet), accountability meetings, Select Committee Performance, Finance and Risk Review Groups, scrutiny reviews, external review by inspectorates (e.g. Care Quality Commission and Ofsted), benchmarking (e.g. PWC, CIPFA) and comparing best practice, customer satisfaction survey

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Plan

Do

Review & Revise

Policy Development / Partnership working


SCC Policy Framework Partnership Plan (Sustainable Community Strategy), Corporate Strategy, Partnership Governance Framework, Single Equality Scheme/Action Plans, Equality Impact Assessments, Surrey Compact, staff training, SURREYi (tool and guidance)

SCC and partnership performance management frameworks, local and national performance indicators and targets, Local Government Act 2000, Local Government and Public Involvement in Health Act 2007,Surrey Compact (as a code of best practice), Public Sector Equality duties, Equality Act 2010, Equality Framework, Consultation Framework, Partnership Governance Framework

Surrey Strategic Partnership (SSP), SSP Delivery Management Group, Quarterly performance reporting, Accountability meetings, Policy Managers Group, Surrey Compact Implementation Group, E&D Stakeholders (external reference group), VCFS Assembly, Customer insight and satisfaction surveys, 3rd Party review against the Equality Framework, Step Ahead appraisals.

Procurement and commissioning

Head of Procurement

Procurement Corporate Strategy, Procurement Standing Orders, Purchasing (SRM) guidance and training for staff (procurement, SRM and contract management), professionally qualified staff (CIPS), standard toolkit and templates, Sustainable Procurement Framework, VCFS Strategy, Framework for working with the VCFS

Local Government Act 1972, EU Public Procurement Directive, Standards set out in the Procurement Standing Orders, process efficiency targets, UK Government VFM Policy, Practical Quality Assurance System for Small Organisations - PQASSO

Procurement Review Group, SRM Support Community, Change Team and Change Board/CLT updates, dashboards (process efficiency monitoring), Annual customer survey, VCFS Commissioning Strategy Group, Contracts Review Group (CRG), monitoring of VCFS groups, VCFS Policy & Compact Group, reports to CLT and Select and Local Committees

Programme / project management


Project and Programme Management (PPM) Competency Framework, PPM Development Tool (integrated with Step Ahead process), Staff training to enhance PPM capability and competence across the organisation, encouragement of PPM skills and experience through secondments and other non-classroom based learning

PPM Competency Framework, PPM job descriptions, PPM Community of Practice (Subject Matter Experts and Specific Interest Groups). Project Manual and templates. Training to build capability and competence.

Continuous assessment of capability of competence through PPM Development Tool, Step Ahead, consultation and engagement with project management community and key stakeholders, benchmarking of PPM training and development provision against industry best practice

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Plan

Do

Review & Revise

Public Value Reviews


Guidance / toolkit (s::net), Terms of Reference/Project Plans for individual reviews, Scoping/Gateway Preparation meetings, Training for Officers and Members

Overall PVR programme objectives and review methodology (set out in guidance documentation), specific objectives agreed for each review

PVR Steering Board, Member Reference Group, Review Implementation Reporting, Leads network (sharing best practice and feeding back comments), Gateway reporting for each review, Cabinet reports, Change and Efficiency Select Committee reports, Change Team and Change Board/CLT updates

Recruitment Head of Human Resources and Organisational Development

Equal opportunity in Employment Policy, Recruitment and Selection Policy, Safer Recruitment Policy, Equality & Diversity Toolkit.

Contracts of employment, Service Level Agreements, Key Performance Indicators, Audit Programme, Annual inspection by SGS group, Annual hiring manager surveys.

Safeguarding Children Board, Equality monitoring (monthly workforce reports, quarterly Cabinet Business Report/monthly CLT scorecard),

Risk management and corporate governance

Head of Finance

Risk Management Strategy, Risk Management Framework, Code of Corporate Governance, Staff Training and Induction Packs, Leadership, Strategic Director and Service Risk Registers, Network of Risk Champions and Policy Custodians

Standards set in the Code of Corporate Governance and Risk Management Framework, CIPFA/SOLACE framework, ALARM (benchmarking/best practice)

Audit & Governance Committee, Governance Panel, Change and Efficiency Select Committee, Monthly reporting to CLT, Quarterly Reporting to the Cabinet, Managers Monthly reporting, Strategic Risk Forum, Corporate Risk Group

Sustainability Head of Waste and Sustainability

Surrey Sustainability Framework* Surrey Climate Change Strategy, Carbon and Energy Policy

Surrey Sustainable Energy Plan*, Surrey Sustainability Framework*, Carbon Reduction targets, CRC Energy Efficiency Scheme User Guide, Climate Change Act 2008

Surrey Climate Change Partnership Renewable Energy Task Group

*Under development

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