Building Standards Verification Service Balanced Scorecard

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Building Standards Verification Service Balanced Scorecard 2015-2016

Planning and Economic Development Economy & Skills East Ayrshire Council The Johnnie Walker Bond, 15 Strand Street, Kilmarnock KA1 1HU

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Table of Contents

1. Introduction to the Local Authority

2. Building Standards Verification Service Information 3. Strategic Objectives

4. Key Performance Outcomes & Continuous Improvement Plan Summary

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Balanced Scorecard Amendment Record

Amendment Pages Amended Amended By Date

Quarterly update to Summary CIP

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1.0 Introduction to the Local Authority

1.1 Balanced Scorecard

The balanced scorecard is a strategic planning and management tool that is used in business organisations to align business activities to the vision and strategy of the organisation, improve internal and external communications, and monitor performance against strategic goals.

Building standards verifiers in Scotland are required to utilise the balanced scorecard as a means to manage, monitor, review and develop strategies for their business with a focus on the three core perspectives listed below and the public interest and continuous improvement cross‐cutting themes:  Professional Expertise & Technical Processes

 Quality Customer Experience  Operational and Financial Efficiency

These high level Key Performance Outcomes are fully detailed within Section 4.0 below.

1.2 Service Structure

The Planning and Economic Development Service is split into three strategic sections consisting of Operations (Building Standards, Development Management with Administration and Technical Support), Development Planning and Regeneration (Local Plans) and Economic Development. The Service is managed by the Head of Planning and Economic Development with a manager servicing each of the three functions. The structure provides a joint service approach with the Service Manager having a span of control over the Building Standards and Development Management Services and provides a one stop shop for development.

The service covers an area of 1,268km2 and has a population of approximately 120,000, stretching some 70km from north to south with a concentration of urban areas within a rural landscape. Located within the northern part of the district is Kilmarnock with a population of some 43,588. Cumnock is the second largest town in the area with a population of some 9,358 and is an important settlement in strategic terms as regards both its size and location. There are nine other main centres of population in the area and the Council has Service Hubs supporting the communities within Stewarton, Galston, Dalmellington and as noted above Cumnock.

The economy of East Ayrshire has been based, historically on textile, heavy engineering, food and drink and coal industries. The decline in these traditional industries has been significant. Notwithstanding, there has been a change of economic development priorities leading to business opportunities for the small to medium business sector. The area is now

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focused on retail, engineering and leisure and tourism. Additionally, there has over the past 10 years been a significant development opportunity throughout the district including major projects in the private and public sectors through Local Authority and NHS projects along with the regeneration of Listed Buildings within Kilmarnock town centre through the Conservation Area Regeneration Scheme (CARS).

Figure 1:- Building Standards Service Teams

The service is illustrated in Figure 1 above and is split into two geographical sections which are responsible for the operational service delivery of the verification and enforcement duties within their specific area. Surveying staff are trained to multi-task accordingly between the two functions. The only specialist area within the service relates to the disabled applications where a Disability Awareness Advisor delivers a fast track service for domestic and non domestic works which propose adaptations for disabled persons. All other work is allocated to staff according to their qualifications and experience in accordance with the Risk Management Protocol.

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1.3 Building Standards Service Staff Structure

Forecasts for 2015/16 suggest that the local economic situation will continue to be challenging, there was a slight increase in building warrant application numbers during 2014/15. During the financial year 2014/15 the value of the building warrant applications applied for showed a downward trend from the previous year’s figure which has had a negative impact on the income generated while application numbers increased by 1%, income has decreased by 19%.

The Service has been continually developed each year following the Scottish Government Audit in 2009 and a sound structural base remains intact for service delivery. While finance continue to be stretched there has been a restructure of the service, with 3 members of staff leaving the service via voluntary severance, with one staff member leaving the service at the end of 2013/14 and the other 2 leaving the service at the end of 2014/15. During financial year 2014/15 there was also been a diversification of staff resources within the Planning and Economic Development Service where building standards surveyors and admin officers have assisted with planning duties which allows Development Management resources to be reallocated to focus on planning application assessment. This is expected to decrease now given the reduced number of building standards staff.

The next few years will be a period of significant change for the Council in general with the Depute Chief Executives and Heads of Service tasked with implementing the actions agreed within the 2015/16 budget.The Cabinet meeting of 29th October 2014 approved an updated of the Transformation Strategy for 2012 to 2017.

Over the last two years, the council has identified savings totaling £35 million, helping to ensure a balanced budget going forward. This includes delivery against a broad range of work streams and efficiency savings, all of which the Depute Chief Executives and Heads of Service were tasked with implementing and which have been monitored closely throughout the year.

Heads of Service will continue to monitor and identify their demand pressures, including factors such as cost increases and increasing demand from service users. Whilst this may impact on the level of savings required in future years, at this stage it is not anticipated that any additional in-year departmental efficiencies, beyond those which have already been agreed for 2015/16.

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The existing Building Standards Service staffing structure is detailed in Figure 2 below and currently consists of 11 professional staff and 2.6 FTE Admin staff and is overseen by the Operations Manager. The number of professional staff has reduced by 3 over the last two financial years.

The staff breakdown is as follows:-

 2 Building Standards Team Leaders;  2 Senior Building Standards Surveyors;  1 Disability Awareness Surveyor;  6 Building Standards Surveyors; and  2.6 Admin Officers.

The admin function has now been centralized to service both Building Standards and Development Management and managed by the Technical Support Manager. Technical Support have a total staff numbers of 10.4 with 3.6 Admin officers previously dedicated to Building Standards one member of staff is now full time on planning work although can provide support Building Standards where required.

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2.0 Building Standards Verification Service Information 2.1 Public Interest

The purpose of the building standards system is to protect the public interest. The system sets out the essential standards that are required to be met when building work or conversion of a building takes place in order to meet building regulations. The building standards system checks that proposed building work or conversion of a building meets standards; inspections are limited to a minimal necessary to ensure that legislation is not avoided. The control of work on site is not down to the system but is a matter for contracts and arrangements in place between a builder and client. Verifiers, appointed by Scottish Ministers are responsible for the independent checking of applications for building warrants to construct or demolish buildings, to provide services, fittings or equipment in buildings, or for conversions.

2.2 Service Delivery

The Building Standards Service within East Ayrshire Council operates from the refurbished former Johnnie Walker Whisky Bond and Grade B Listed Building within the Kilmarnock town centre. The staffing resource within one office along with colleagues in Planning and Roads and with the Environmental Health Service in the adjacent campus building greatly assists in delivering a one stop shop for developers.

2.3 Services and Functions Delivered

East Ayrshire Building Standards Service has been appointed by the Scottish Ministers as a Verifier until 31st April 2017.

As the verification role primarily deals with the construction work from design to completion it is also necessary to have an independent body to enforce building legislation, with local knowledge and resources. The Act therefore places the responsibility for enforcement with the local authority for the area in which the building work is taking or has taken place. Therefore, the service also fulfils a vital public safety role within all sectors of the community on behalf of the Council in controlling, co-ordinating and above all ensuring Public Safety, in and around buildings, which are identified as being defective or structurally dangerous.

Furthermore, where unauthorised works are identified, measures are undertaken to regularise the illegal work. This is carried out by both formal and informal measures in accordance with the Act and the enforcement concordat. The non-statutory process of using Letters of Comfort in areas of minor unauthorised work carried out prior to 1st April 1991 has been adopted. This process works in conjunction with the Act aims to streamline historic unauthorised works where minimal associated risk is identified. However, all works carried out since this deadline is subject to the current requirements for retrospective building warrants or

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late completion certificates. Following the revisions to the Building Regulations in 2005 and 2007 certain works in residential and non residential buildings are now deemed as exempt and/or not warrantable and to deal with this an Exemption Survey was introduced to service applications and streamline property transactions.

In addition to the statutory functions noted above the Service also provides a Disability Awareness Advisors role e.g. supporting Access Panel as an external group and delivers a professional assessment and surveying role on Licensing matters in relation to the safe use of buildings and events Licensed under the Licensing (Scotland) Act 1976 and 2005, The Civic Government (Scotland) Act 1982, The Cinema Act 1984, the Theatres Act 1968, the Safety at Sports Ground Act 1976 and allied licensing legislation.

2.4 Review of Operational Environment

Development forecasts for 2015/16 suggest that the local economic situation will continue to be challenging, there was a slight increase in building warrant application numbers during 2014/15. During the financial year 2014/15 the value of the building warrant applications applied for showed a downward trend from the previous year’s figure which has had a negative impact on the income generated while application numbers increased by 1%, income has decreased by 19%. Work from non-verification duties such as Dangerous Buildings and Licensing Surveys has remained high during this period.

In May 2012, the Scottish Government issued new guidance on the Affordable Housing Supply Programme introducing Strategic Local Programmes which bring together Council and Registered Social Landlord funding streams into one budget. The Council published its Strategic Local Programme (SLP) in late 2012 to deliver over 547 new affordable homes. This key commitment will benefit building standards income in future years.

The updated Capital Investment Strategy, along with the Transformation Strategy Update, incorporating the 2015/16 Revenue Budget, was presented to Cabinet on 10th December 2014 and to Council on 11th December 2014. The report provided an update on progress with the Council’s Transformation Strategy and makes proposals in respect of General Services Capital Investment, General Services Revenue Account and Housing Revenue Account matters.

The report indicated that the Council received notification on 10th October 2014 that the Scottish Government had awarded additional revenue support for the new Learning Campus project in Kilmarnock through the NPD Investment model. As a result a significant proportion of the funding

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allocation previously set aside by the Council as capital contribution for the project is released. However, in awarding the additional revenue support the Scottish Government requires that the capital contribution released is invested in the refurbishment or replacement of existing schools. The announcement confirmed that the released funding would be invested in the replacement of six schools, subject to the necessary statutory consultation process.

The progress report presented to Cabinet on the 10th December 2014 also provided details on the agreement to extend to the Kilmarnock Townscape Heritage Initiative Grant Expiry Deadline, approval of the reallocation of the remaining balance of £2m on the Kilmarnock Regeneration Fund to meet the costs associated with the refurbishment of the Civic Centre North building and the approval of the allocation of £4m for the development of Phase 3 Moorfield Industrial Estate. These commitments should benefit building standards income in future years.

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3.0 Strategic Objectives

3.1 The overarching vision of the service

The Service has been continually developed each year following the Scottish Government Audit in 2009 and a sound structural base remains intact for the service delivery.

During financial year 2014/15 there was also been a diversification of staff resources within the Planning and Economic Development Service where building standards surveyors and admin officers have assisted with planning duties which allows Development Management resources to be reallocated to focus on planning application assessment. This is expected to decrease now given the reduced number of building standards staff.

As can be demonstrated by the Performance Indicators and customer feedback coupled to the service improvements introduced the Service is achieving its objective. The Service continues to deliver a high quality performing service to all our customers while through our inspection regime maintain and where necessary raise Building Standards for the benefit of the building users.

3.2 Departmental issues to be addressed in the coming year

The next few years will be a period of significant change for the Council in general with the Depute Chief Executives and Heads of Service tasked with implementing the actions agreed within the 2015/16 budget. The update of the Transformation Strategy details a series of management actions which could be taken by departments with no significant adverse impact on service levels or policies.

The implementation of the Department’s new management structure was finalized on the 27th April 2015 with the new Head of Planning and Economic Development taking up his position. The new management structure is based on a set of principles which will deliver a streamlined management structure, designed to reflect the emerging models of service delivery and with the capacity to adapt and respond to change. The Council’s new management structure as a whole will release savings of £0.405m and will ensure a better alignment with the Community Plan and an enhanced focus on priorities and resilience within a streamlined structure.

Heads of Service will continue to monitor and identify their demand pressures, including factors such as cost increases and increasing demand from service users. Whilst this may impact on the level of

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savings required in future years, at this stage it is not anticipated that any additional in-year departmental efficiencies, beyond those which have already been agreed for 2015/16.

3.3 The key strategic objectives for the coming year

While the 2015/16 period will see the continued implementation and development of the Building Standards Performance Framework for all 32 Verifiers with the intention of raising national standards to enhance consistency and customer service delivery it is one of the strategic objectives being considered this year. The key strategic objectives for the coming year are as follows:-

 Continued Implementation of the Transformation Plan;

 Continued Implementation of the Building Standards Performance Framework and development of reporting for the web-platform data collection;

 Maintenance of the ISO 9001 Accreditation;

 Maintenance of high performance standards and consistent service delivery;

 Preparation and replacement of the current ePlanning portal with a new system for ePlanning and eBuilding Standards (eBS). The expected rollout date for the launch of the eBS system is June 2016.

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4.0 Performance Outcomes & Continuous Improvement Plan Summary Professional Expertise & Technical Processes

4.1 Protocols for dealing with work

All building warrant and completion certificate applications are allocated to a member of staff via the approved Risk Management Protocol (RMP). The RMP sets the type and complexity of work which can be allocated to a member of staff which is based on the experience and competency of the individual Surveyor. The RMP therefore ensures that work is allocated a member of staff who is competent to fulfil the work with limited supervision or in the case of training and development work may be allocated to a member of staff with a greater level of supervision to ensure that the individuals competency levels are increased accordingly to fulfil the wide range of work.

To ensure that the entire Building Warrant, Site Inspection and Completion Certificate process is consistently applied by all Building Standards staff the entire process is documented and published through the ISO Management System. Building Standards Procedure (BSP) 1-5 details the verification processes all of which are subject to review with the processes audited internally annually by BM Trada as part of the maintenance of our ISO accreditation.

4.2 Performance Management Systems

The Building Standards Service has an internal Performance Management System which supports the Corporate Electronic Performance Management System (EPMS) through the CORVU software. The Service Performance Standards are set down in the Customer Charter and to supplement these backstop standards internal performance measures have been introduced to proactively ensure that the Customer Charter Standards are continually met.

Internally, the Building Standards Management procedures requires that Surveyors workload is reviewed on a weekly basis to consider peaks and troughs in the workload and to cater for any planned and unplanned staff absences. The monitoring procedure continues to assist with the delivery of a high performance response to the customer. This is supported by the Admin 'chasing' process introduced to target Surveyors' applications approaching their targeted date and assist management to establish where attention is required to ensure that the performance targets are met.

The performance response to each of the Building Standards performance measures are reported monthly to the Depute Chief Executives and Heads of Service in a Performance Scorecard and ultimately to the Council in an annual performance variance review. The

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Building Standards performance measures are also published on the Service’s web page and can be viewed via the following link:-

http://www.east-ayrshire.gov.uk/BusinessAndTrade/PlanningAndBuildingStandards/Buildi ngControl-BuildingRegulations/BuildingStandardsMonthlyFigures.aspx

4.3 Training and Development/CPD

The Council’s Occupational Development Strategy requires each member of staff to be provided with an annual competency based review of their performance and development for the preceding year and also plan for the forthcoming year. The East Ayrshire General Employee Review (EAGER) allows the staff member to reflect on their competencies and meet their line manager to establish areas of strength and any area where the staff member would benefit from additional training and development to deliver results within the workplace. The process also delivers a Personal Development Plan (PDP) for each member of staff. The Building Standards Staff reviews were completed for 2014/15 and the next review will be carried out during 2015/16.

To maximise the data held on training with the service and EAGER database has been set up to host all the training and development information and provide comprehensive information on both training requirements and completed training. However, given the Services financial position external training has been limited due to the available funds. Notwithstanding this financial position, both training and continued professional development has been delivered to Building Standards staff during 2014/15.

A succession planning process was introduced during 2006 which is linked to a risk management protocol to develop and increase staff competencies to undertake the Surveyors role. This has been successful and was commended by the Scottish Government’s Building Standards Division when they audited the Service during 2009. Although given the process of reducing staff numbers and restructuring the service we continue to provide a training development plan for each staff member.

The development of staff remains a high priority and has seen continued high performance achieved, coupled to this internal processes are targeted to provide a high performance and meet customer expectations.

The service will continue to provide training and continued professional development over the forthcoming year predominantly from internal events, free external events and through The South West Building Standards Consortium (SWSBSC) Peer Group training.

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4.4 Benchmarking, Shared Services and Partnership Work

The SWSBSC consisting of Dumfries and Galloway and East, North and South Ayrshire Councils continues to undertake a range of common Building Standards work, training and benchmarking to review processes and establish best practice which can be utilised by other Services. Through Local Authority Building Standards in Scotland (LABSS) there is also significant benchmarking carried out on strategy, policy and processes.

4.5 Commitment to work together on technical issues

Internal technical issues on interpretation and policy are raised frequently within the service both by staff and customers alike. When this occurs the specific enquiry is dealt with immediately where possible, and in cases where further clarification and/or research is required, a referral through the ISO system to a surveyor is undertaken. The Surveyor will review the issue and bring together the options to the Team Leader and where necessary, Operations Manager. Once a clear interpretation is identified this matter will be discussed at a staff meeting to raise awareness with other staff and where necessary seek other experiences. The outcome will be recorded within the minutes of the staff meeting. Thereafter, in cases where it is clear that the matter requires national consistency, the item will be raised with the members of South West Building Standards Consortium in order to gain a consortium perspective. The enquiry will also be feed into the other consortium/LABSS Technical representatives to agree a national approach. The ultimate decision is fed back to staff and where necessary the customer with the finalised LABSS Technical Policy note added to the website to support consistent interpretation. East Ayrshire is fully supportive of this process and fostering national consistency of policy and procedures.

4.6 Succession Planning

Since 2005 succession planning has been at the forefront of our review of staff resources particularly given the limited number of staff available within the industry at that particular time.

Now given the economic climate and reduction in workload, Building Standards was one of the service groups highlighted as having capacity for staff reductions. While finance continues to be stretched there has been a restructure of the service, with 3 members of staff accepting offers of voluntary severance. The service restructure was completed at the end of 2014/15.

We continue to provide a training development plan for each staff member. Notwithstanding this financial position, both training and continued professional development has been delivered for Building

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Standards staff during 2013/14. Quality Customer Experience

4.7 Customer Communication Strategies

The Service has BSP20 Customer Consultation Strategy which details the services commitment to engage with its customers, stakeholders and partners and the following principles underpin this Consultation Strategy. The strategy defines:-

 Who our customers are;  Why we need to consult;

 How we consult and receive feedback;

 Provision of clear about the purpose and scope of each consultation exercise we undertake;

 We will give clear information;

 We will consult customers in different ways taking account of their different service requirements;

 We will provided sufficient time will be allowed for consultees to respond;

 We will monitor and develop our capacity to conduct consultation activities in accordance with this Strategy; and

 How customer feedback is monitored; 4.8 Building Standards Customer Charter

The Building Standards Customer Charter details the prescribed standards to be delivered and performance targets for assessing and determining Building Warrants and Completion Certificates. The Customer Charter has been in place now for 5 years and is reviewed annually. As part of the national key performance outcomes the Charter has been updated to reflect the local and national position and the service will work towards maintaining the high standards previously achieved. On review of the standards of performance set within our Customer Charter, for period 2014/15 we have met these requirements where possible and will endeavour to maintain this level of performance. 4.9 Engagement with Service Users

The introduction of the Focus Group to develop a national construction forum within Scotland bringing together key stakeholders in the construction industry and encourage collaborative partnership working is welcomed by this authority. Particularly, as this national approach shall enhance greater consistency and seek solutions to issues in the public interest.

As a consortium group we continue to foster links with industry. As a service we have continued to investigate different methods of customer engagement and have continued to publish our six monthly newsletters

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for stakeholders.

In addition, the local forum meeting with architects assists in identifying service direction and collates feedback on service improvements for the future service delivery. There has also been an initial review to promote inclusive design within the council and beyond.

4.10 Customer feedback and Service Improvements

As part of Building Standards commitment to continuous improvement in the overall Building Warrant process, customers are actively encouraged to provide feedback to the Operations Manager following the issue of a Building Warrant and Acceptance or Issue of a Completion Certificate. All customers can, using a pre-paid envelope issued with the questionnaire at each decision stage, provide feedback relating to the service indicating where the service did or did not meet their expectations. In addition, feedback is also integrated into the service review process directly from customers' comments and observations; via the stakeholders’ focus group meetings and through the Council’s complaints procedure. Where customer complaints, customer feedback are provided the service has a structured process for analysis of this information to establish trends and any service improvements. Alternatively customers are given the option of completing the questionnaire online at:

http://eac.eu/warrantcompletionfeedback

4.11 Accessibility of Service

The Service has been developed over the preceding years to provide a high level of accessibility to all service users whether professional or to the general public. The office is open from 09:00 to 17:00 Monday to Thursday and 09:00 to 16:00 on a Friday. The office accommodation provides reception and meeting facilities at a central point to cater for the demands of the service. To facilitate enquiries, a duty Surveyor will provide daily advice both at the public reception and for any phone calls. In respect of specialist enquiries a site meeting can be progressed to establish all the relevant facts before finalising an enquiry response. Online enquires are encouraged to our Building Standards electronic mail box [email protected] . The Service also provides an online Building Standards Register which offers service users detailed information on the progress on an application. In addition meetings can be progressed at one of the local offices to cater for service users who cannot, or find it difficult to attend the main office.

It is our aim to deliver a one stop shop for development and facilitate the development through the Building Standards system to encourage economic development within the area. Therefore, pre application

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meetings are encouraged to discuss the key issues of the application prior to any formal submission. Additionally, when a Planning application is approved for construction works requiring a Building Warrant the applicant/agent are contacted to verify whether any pre-application meeting is required. The purpose of this is to ensure that all applications can be progressed quickly and smoothly through the Building Warrant system.

Application Fast Tracking

Sometimes building warrants and completion certificates need to be processed as a priority application. These are dealt with more quickly than applications processed against the customer charter performance targets. The prioritisation of applications or fast tracking will be considered by the building standards management team where the applicant/agent provides a letter requesting the application to be fast tracked and suitable justification is given that the application meets the following criteria:

 the application is for the benefit of a disabled person;

 the application is for minor works and the works are linked to a house sale;

 the application relates to a project with social or economic benefit to the community;

 other special circumstances are identified; and

 the application relates to a Scottish Type Approval System (STAS) On each validated application the applicant and agent will receive an acknowledgement letter which defines the application processing timescales and the relevant case officer and contact details assigned to the application.

Additionally, to raise awareness of Building Standards matters and service delivered we publish a six monthly Building Standards Newsletter which is circulated to all our customers. A copy of the most recent newsletter can be viewed at:-

http://www.east-ayrshire.gov.uk/Resources/PDF/B/BS-Newsletter-Issue-6.pdf

4.12 Escape route

With the introduction of the new Performance Management Framework the Scottish Government has introduced the ability for a customer to seek an “escape route” from verifiers who have performed badly with the determination of a Building Warrant application. While this process is in its infancy and used as a backstop to customers who application is not assessed within the Customer Charter standards it is clear to this

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authority that all applications will be assessed within the stated timescales and this has been delivered consistently over the previous financial year and can be reviewed from the web site statistical performance figures.

Customers are advised in the acknowledgement letter received when the application is validated of the “escape route” provision and the timescale for assessing the application.

4.13 Recognised External Accreditations

During 2009, the Building Standards Service secured ISO 9001 Accreditation in relation to the “Provision of the Building Standards Verification and Enforcement Process” and have continued to develop the service using this framework. The accreditation is subject to an annual assessment from BM TRADA.

BM TRADA audited the Building Standards Service on the 26th February 2015 to establish whether the ISO 9001: 2008 Accreditation standard Quality Management System (QMS) could be certified for another three years. As a result of the Audit, BM TRADA extended the Accreditation for this duration subject to the standard annual surveillance audits being undertaken.

The last EFQM assessment of Planning and Economic Development was carried out during 2012 under the revised EFQM Pathway process. The departmental service improvement plan has taken cognisance of this and has targeted an EFQM assessment during 2015/16. A detailed action plan will be developed from the assessment which interacts with the overarching Planning and Economic Development Service Plan.

Operational and Financial Efficiency 4.14 Team Structures

The Building Standards Service has two teams consisting of 11 professional staff to service the geographical areas as illustrated in Figure 1. The teams are multi disciplined covering all Building Standards functions with a Disability Awareness Surveyor providing specialised advice. Each Team is led by a Team Leader with staff resources detailed in Figure 2 above. The admin function has now been centralised to service both Building Standards and Development Management and managed by the Technical Support Manager.

While finance continues to be stretched there has been a restructure of the service, with 3 members of staff accepting offers of voluntary severance, this process was completed at the in March 2015.

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4.15 Time Recording System

To provide detailed financial information on the continued deployment of staff resources an activity based costing database was developed during 2007. The database is updated by Surveying and Admin staff on a daily basis to maintain accurate data on the building standards activities carried out. This will include all verification and enforcement activities and allows clear data on the time taken by surveying staff on plan assessment and site inspection. The reporting module allows detailed reports to be provided on the activities of the overall service which can also focus on individual staff activities over the designated periods requested. This enables the verification and enforcement periods to be quantified on a monthly basis thus providing information on all activities to support the financial information. During 2014/15 the duties the service undertook are summarised as 89% verification with 11% non-verification works.

4.16 Financial Monitoring and Governance

Financial monitoring and sound governance is at the heart of the management of the Service. The financial budget is monitored by the Operations Manager who works closely with a senior accountant on the income and expenditure trends for the Operations. Therefore, income is monitored on both a weekly and monthly basis and from these figures, comparison with previous financial years are reviewed to establish trends with application submissions. Additionally, all major development Planning Application determinations are monitored and included within the budget forecasts. This assists to establish timescales for Building Warrant applications, income peaks and resource deployment to assess the applications.

The budget is set over thirteen, four week periods and income and expenditure is also considered by the Service Manager and Head of Service at the monthly management team meetings. There is also a monthly review of the all departmental financial issues by the Depute Chief Executive and Heads of Service which precedes the report to Cabinet of revenue and expenditure.

4.17 IT Systems

The back office IT system used to assist the operation of the Building Standards function is Uniform operated by CAPS. The IT system is split into modules which cover all aspects of software delivery for Local Authorities in areas such as Planning, Environmental Health, Contaminated Land Electoral Administration, Trading Standards, Housing, Licensing, Estate Management as well as Building Standards. The Building Standards system is networked within the Service and supported from Oracle with the latest version being used. The software adopted corporately for the Gazetteer is GGP which integrates the

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address data into a Scottish Gazatteer which is co-ordinated by the Scottich Executive under the Definitive National Addressing (DNA) scheme. Proposals for 2015/16 include further development of the IDOX as a document management system linked to the Planning System which will house all approved plans and reports which fall to Part 2 of the Building Standards Register to deliver greater efficiency to staff assessing applications. Initial works have started in scanning approvals and plans. The Service will implement the Enterprise Module over the period 2015/16 which will provide interactive performance management software to assist and streamline workloads. MS Outlook is utilized throughout the service for staff and various access databases are set up for the Activity Based Costing Module, Stakeholder and Customer Feedback database and the EAGER training database during 2014/15. The Scottish Government is replacing the online planning portal. The new portal will include a facility to also make building warrant applications online. The new system is being developed by Scottish Government Information Systems Information Services (ISIS) and procured on behalf of Local Authority partners. The SG will pay for the implementation and the Local Authority will pay for ongoing maintenance. The expected rollout date for the launch of the eBS system is June 2016.

Online Services in the context of Building Standards can be summarised as:-

1. Dedicated Web Pages;

2. Downloadable Application Forms;

3. Downloadable Building Standards Guidance Documents; 4. The Building Standards Register;

5. Online banking and Financial Transactions;

6. Integrated Geographical Information Services (GIS);

7. Construction Information Service Technical information Portal; 4.18 Finance Systems

The Service links to the corporate financial software supporting the Council both in terms of income and expenditure. For income the radius systems is the software for registering all income which interfaces with the CAPS Uniform Building Standards Module. In terms of financial requisitions and invoices, the Council utilises the PECOS Internet Procurement Manager ("PECOS") which is an Internet-based application available from your desktop through your browser. It is particularly convenient for ordering maintenance, repair, and operations (MRO) items, that is, goods and services that the Service requires to run its day-to-day business. Through this process all expenditure is attained at the most competitive price through national procurement.

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4.19 Internal Communication Strategies

The internal communications within the service is crucial to ensure that all deadlines are met and the service continually meets achieves the Service Objectives. The strategy for communication within the service is summarised below:-

Head of Service

 All Managers within the Planning and Economic Development Service meet the Head of Service every four weeks to discuss corporate business, health and safety, service performance, management priorities and budgetary control.

 Weekly meetings are held between the Head of Service and the Operations Manager to discuss the progress of the development and implementation of the Building Standards and Development Management’s strategic issues, policies and procedures as well as operational issues.

Operations Manager

 A Building Standards Management meeting, carried out on a four weekly basis with both Building Standards Team Leaders to discuss: - staff workloads, the progress and development of policies and procedures, the personal development programme, management decisions and proposed action plans, priorities during the forthcoming weeks and feedback from management and staff.

 A Building Standards staff meeting will be initiated on a regular cycle with the Building Standards Team Leaders and all Surveying staff to discuss Building Standards interpretation and technical issues, which can feed into the development of Building Standards Policy.

 An annual meeting will be carried out with the focus group, which consists of service users such as local Architects etc.

 The Operations Manager will review the weekly exception reports to establish with the Building Standards Team Leaders which outstanding applications require to be prioritised.

 Supplementary meetings will be arranged as necessary with all staff to discuss progress and feedback from issues affecting the Service.  The Licensing Committee and the Licensing Board will be attended by

the Building Standards Manager to provide formal guidance on the suitability of premises, events and sports stadia for public safety matters.

 Maintain an open door policy and frequently meet the staff in their work place and assess the effectiveness of the service changes first hand.

 A meeting will be held on a bi-monthly basis with one of the Building Standards Team Leaders and the Disability Awareness Surveyor to discuss issues relating to Disability Access Panel Meetings, Building Standards Policy re applications for adaptations to enhance

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accessibility etc.

 Counselling of individual members of staff will be carried out as necessary.

 Under the Personnel Development Review (EAGER) an annual assessment will be carried out of the training needs and requirements for the Building Standards Team Leaders and all Surveying staff which is linked to the Service Training Plan.

 A quarterly ISO 9001 meeting will be held between the Building Standards management team and the Skills Development and Employability Service;

 A quarterly meeting will be held between BS Admin and the Management Team.

Building Standards Team Leaders

 Building Standards Team Briefings between each Building Standards Team Leaders and their respective teams will be initiated on a regular basis to discuss staff performance, work allocation, technical and administrative difficulties, management decisions, new Council policy and planning forthcoming operations etc.

 Under the Personnel Development Review (EAGER) the Building Standards Team Leaders will carry out an annual assessment of the training needs and requirements for Surveyors. However, this shall be supplemented by RICS APC supervisor meetings as necessary.  A monthly ISO 9001 meeting is held between the Building Standards

Team Leaders and document controller responsible for inputs to the management system.

Information Technology and Communications

 In order that office information can be circulated to all staff with specific in the most cost-effective manner each member of staff should have direct access to the Council’s e-mail, Intranet Service including the ISO 9001 Management hub and Internet.

 Each member of staff should have direct access to the Building Standards Uniform computer system to review the applications, input site notes, update CC&NP information and provide detailed information relative to public enquiries and status of applications.

 Each Surveyor is provided with a mobile (camera) phone to enable staff to have direct contact with the office during site visits as part of the Lone working requirements.

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4.20 Continuous Improvement Plan Summary

LOCAL AUTHORITY:

East Ayrshire Council

REPORTING PERIOD: QUARTER 2 YEAR 15/16

Key actions from previous quarter (Q2 2015/16):

Relevant to KPO1-2 (from list):

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

Collate and submit KPO returns for Q2 2015/2016 via online web platform

KPO1 Oct-15Completed All reports submitted by deadline as required.

Collate and submit KPO returns for Q2 2015/2016 via online web platform

Progress procedures and trial report created within Uniform to record breakdown of time taken by verifier and time by customer (applicant or agent) relative to average time to grant a building warrant

KPO1 Oct-15On target Further development of report and procedures to

provide accurate evidence of breakdown of time during the warrant process that has been split between verifier and customer. Trial period for testing to be completed within the next quarter.

Progress Uniform update to determine number of CCNPs fully achieved by verifier and number fully achieved by relevant person

KPO2 Sep-15Behind schedule Other work streams have been prioritised but will be

progressed in the forthcoming quarters to enable required reporting to Scottish Government.

Develop reporting system to extract additional data required by the Scottish Government for KPO returns

KPO1 Ongoing On target Further development and refine existing reports to

ensure more efficient and effective collation of information from back office system.

Attendance of LABSS General meetings

KPO1 Ongoing Quarterly meetings Completed To provide partnership working, improved

consistency in technical process and improved professional expertise.

Consortium engagement KPO1 Ongoing -Various meetings Completed To improve partnership at a local level CONTINUOUS IMPROVEMENT PLAN - SUMMARY (PART 4 OF BALANCED SCORECARD)

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Undertake staff EAGER reviews KPO1 Feb-16On target To ensure employee reviews are carried out within the required timeframes

Production of e-learning Modules for staff development

KPO1 Sep-15Behind schedule One module produced and available on eLearning

Academy accessible to all staff. Work in progress to develop further modules for inclusive design. Attendance at Access Panel Meetings KPO1 Ongoing - Monthly meetings Completed To provide support to work of the group as required

under equality legislation and assist in promoting an awareness of inclusive design

Key actions planned for next three quarters:

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

Collate and submit KPO returns for Q3 2015/2016

KPO1 Jan-16Medium To report to Scottish Government as required by

performance framework Collate and submit KPO returns for

Q3 2015/2016

performance framework Implement procedure to record

breakdown of time taken by verifier and time by customer (applicant or agent) relative to average time to grant a building warrant

KPO1 Nov-15High To provide accurate evidence of breakdown of time

during the warrant process that has been split between verifier and customer.

Progress Uniform update to determine number of CCNPs fully achieved by verifier and number fully achieved by relevant person

KPO2 Apr-16Low To enable required reporting to Scottish

Government.

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

actions.)

The Service has continued with the development and implementation of procedures and reporting systems in relation to the performance framework and KPO reporting requirements. To improve quality, compliance, consistency and predictability of our verification activities we have undertaken a period of continuous monitoring and improvement actions. Further development work of Uniform reports to provide additional breakdown of time taken by verifier has been completed and new procedures will be implemented in the early part of this forthcoming quarter. Developmental work has also begun for the production of an eLearning module on inclusive design and this will be further progressed during the next quarter.

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Consortium engagement KPO1 Ongoing - Various meetings and correspondence

Low To improve partnership working at a local level

Undertake staff EAGER reviews KPO1 Feb-16Low To ensure employee reviews are carried out within the required timeframes

Production of e-learning Modules for staff development

KPO1 Jan-16Medium To develop further inclusive design learning modules

to increase awareness of differing customer groups requirements.

Attendance at Access Panel Meetings KPO1 Ongoing - Monthly meetings Low To provide support to work of the group as required under equality legislation and assist in promoting an awareness of inclusive design

The Service will continue with the development and implementation of procedures and reporting systems in relation to the performance framework. The main focus for the coming year will be further development of our reporting systems, recording and reporting of optional indictors in relation to KPO1 & 2.

Regular monitoring and reviewing of work streams ensures performance continues to achieve satisfactory levels and contributes to effective delivery of service.

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Monitor surveyors workloads following conclusion of staff reductions to ensure quality of service is maintained

KPO3 Ongoing Completed Ongoing review of surveyors workloads and

workload within areas to ensure quality service maintained.

Building Standards to support economic development to react swiftly to incoming investment

KPO3 Ongoing Completed Fast track application procedures reviewed and

procedure updated. Weekly monitoring of planning applications.

Review uptake of pre warrant discussions and react to requests for customer agreements

KPO3 Ongoing Completed Customer agreements have not been required in the

past quarter due to high performance levels achieved by the service. Given the improvement in the economic climate locally this will continue to be promoted as an option.

Continue to record e-mail addresses for customers who do not opt out from the national survey if an e-mail is indeed provided

KPO5 Ongoing Completed To allow the Scottish Government (Building

Standards Division) the opportunity to contact customers in the future for feedback as part of the national customer satisfaction survey for building standards. This information has been forwarded to the Scottish Government as requested within the required time.

Collate and publish online customer satisfaction reports for 2014/2015

KPO5 Aug-15Behind schedule To provide customers with evidence on our

customer satisfaction achievements. Develop reporting system to allow

information customers who wish to take part in the national survey to be extracted and provided to Scottish Government as and when required

KPO5 Sep-15Completed Further develop procedures and report within

Uniform to enable information to be extracted in a more efficient format.

Produce building standards

newsletter e-mail to stakeholders and

KPO5 Jan-16 Not started Newsletter issued to all stakeholders and published

on the website. Quality Customer Experience

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performance framework

Monitor surveyors workloads following conclusion of staff reductions to ensure quality of service is maintained

KPO3 Ongoing Medium Ongoing review of surveyors workloads and

workload within areas to ensure quality service maintained.

Building Standards to support economic development to react swiftly to incoming investment

KPO3 Ongoing Medium Weekly monitoring of planning applications and

allocation of fast track applications as required.

Review uptake of pre warrant discussions and react to requests for customer agreements

KPO3 Ongoing Low Customer agreements have not been required in the

past quarter due to high performance levels achieved by the service. Given the improvement in the economic climate locally this will continue to be promoted as an option.

Collate and publish online customer satisfaction reports for 2014/2015

KPO5 Nov-15High To provide customers with evidence on our

customer satisfaction achievements.

Implement new procedure within Uniform to extract contact

information for customers who do not

KPO5 Dec-15Medium To allow the Scottish Government (Building

Standards Division) the opportunity to contact customers in the future for feedback as part of the

actions.)

The service continues to receive excellent responses from our Customer Feedback Surveys. As part of the Building Standards commitment to continuous improvement customers are actively encouraged to provide feedback to the Operations Manager. All customers can, using a pre-paid envelope issued with the questionnaire at each decision stage, provide feedback relating to the service indicating where the service did or did not meet their expectations. An online version of the questionnaire has also been introduced and customers offering customers a choice of response method. In addition, feedback is also integrated into the service review process directly from customers' comments and observations; via the stakeholders’ focus group meetings and through the Council’s complaints procedure.

The required customer information has also be forwarded to the Scottish Government for use in a national customer survey which will measure customer service performance in line with KPO5

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Produce building standards

newsletter e-mail to stakeholders and publish on the web site

KPO5 Jan-16Medium To continue to engage with customers and provide

information relevant to verification and non verification role.

Development of Communications Plan for ebuilding standards

KPO5 Dec-15Medium Develop actions within a communication plan

ensuring that customer awareness is targeted in a variety of methods to raise awareness of ebuilding standards.

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

Where customer complaints, customer feedback are provided the service has a structured process for analysis of this information to establish trends and any service improvements required. Given recent staff reductions and service restructure a managed approach will be undertaken to ensure that the quality of service is maintained. This will continue to be monitored given the changes implemented.

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Collate and submit KPO returns for Quarter 2 2015/16 via online web platform

KPO6 Oct-15Completed All reports submitted by deadline date as required.

Balanced scorecard and Continuous Improvement Plan to be updated and published on online

KPO8 Oct-15Completed Updates made as required and published on website

Review charging matrix in relation to building standards services and charges for both verification and non verification roles and publish on website

KPO6 Apr-16On target To maximise financial efficiency the new charging

matrix has been produced and published on website.

Review and report staff manual activity records

KPO6 Oct-15Completed All records updated as required to enable reporting

for quarterly returns.

Continue developing ISO Management system

KPO9 Feb-16On target ISO audit successful and accreditation awarded for

a further 3 years. Existing system to be further refined.

Peer review and bench marking KPO9 Ongoing On target The South West Building Standards Consortium consisting of Dumfries and Galloway and East, North and South Ayrshire Councils to undertake a range of common Building Standards work, training and benchmarking to review processes and establish best practice which can be utilised by other Services. Also through Local Authority Building Standards in Scotland (LABSS) there is significant benchmarking carried out on strategy, policy and processes.

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Investment in workflow software (Enterprise)

KPO9 Dec-15On target The Enterprise software provides a daily

management of workflow to be carried out within the Service. The software will be introduced during 2015 to support management in performance monitoring of workloads. This will provide greater internal scrutiny of all performance and assist with the prioritisation of staff workloads. Service performance will be enhanced by the use of this software.

eBuilding Standards engagement events

KPO9 Feb-16On target Further engagement with Scottish Government and

idox software solutions as project progresses. eBuilding Standards Project

Management

KPO9 Jun-16On target Production of Project Initiation Document and

finalised project plan. Management of the business and technical requirements for implementation of eBuilding Standards.

Business change management for eBuilding Standards

KPO9 Jun-16On target To determine process change requirements for

procedures and business, Carry out staff training to ensure readiness for implementation date.

ebuilding Standards Communication Plan

KPO9 Dec-15On target To develop and implement a communication plan to

ensure all external stakeholders and customers have the required information for the implementation date.

Collate and submit KPO returns for Quarter 3 2015/2016 via online web platform

performance framework

actions.)

The Service successfully achieved re-accreditation under the ISO 9001:2008 quality management system for a further three years. The accreditation recognises our verification and non verification process consistently provides a quality service that meets customer and statutory requirements.

The Service has been continually developed and a sound structural base remains intact for service delivery. While finances continue to be stretched there has been a restructure of the service together with the conclusion of staff voluntary severance. There has also been continued diversification of staff resources within the Planning and Economic Development Service.

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Review charging matrix in relation to building standards services and charges for both verification and non verification roles and publish on website

KPO6 Apr-16Low To maximise financial efficiency.

Review and report staff manual activity records

KPO6 Jan-16Medium To enable analysis of time spent on verification roles

for quarterly reports and analysis of all building standards activities.

Continue developng ISO management system

KPO9 Feb-16Medium ISO audit succesful and accreditation awarded for a

further three years. Exisiting system to be further refined.

Internal auditors to undertake training for ISO 9001:2015

KPO9 Dec-15Medium Given the update to ISO 9001 organisations have

until the end of 2018 to systematically update their Quality Management System procedures in compliance to ISO 9001:2015 and meet their Certification Body's requirements. During much of this grace period, the Quality System will continue to run and be certified to ISO 9001:2008. Training will be provided to internal auditors in order to determine the scope of these changes and the impact on our own Quality Management System

Undertake ISO Management review meeting prior to external surveillance audit

KPO9 Jan-16Low To ensure all areas of the management system have

been reviewed and preparatory work has been undertaken prior to surveillance audit.

Undertake regular building standards ISO Meetings

KPO9 Ongoing monthly Medium To review the management system and identify

areas of action for process performance, product conformity and determine actions required under the procedural review action plan.

Carry out ISO building standards reviews and audits

KPO9 Feb-16Medium To enable progression and improvement of the ISO

Management system. Monitor staff workloads given

reduction in staffing levels and service restructure.

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Peer review and bench marking KPO9 Ongoing Medium The South West Building Standards Consortium consisting of Dumfries and Galloway and East, North and South Ayrshire Councils to undertake a range of common Building Standards work, training and benchmarking to review processes and establish best practice which can be utilised by other Services. Also through Local Authority Building Standards in Scotland (LABSS) there is significant benchmarking carried out on strategy, policy and processes.

Installation of workflow software (Enterprise), development of the system and staff training.

KPO9 Dec-15High The Enterprise software provides a daily

management of workflow to be carried out within the Service. The software will be introduced during 2015 to support management in performance monitoring of workloads. This will provide greater internal scrutiny of all performance and assist with the prioritisation of staff workloads. Service performance will be enhanced by the use of this software. The software has been installed and staff training will be undertaken Nov 15.

eBuilding Standards engagement events

KPO9 Jun-16Low Further engagement with Scottish Government and

idox software solutions as project progresses. eBuilding Standards Project

Management

KPO9 Nov-15High Production of Project Initiation Document and

finalised project plan. Management of the business and technical requirements for implementation of eBuilding Standards.

Business change management for eBuilding Standards

KPO9 Dec-15High To determine process change requirements for

procedures and business, Carry out staff training to ensure readiness for implementation date.

ebuilding Standards Communication Plan

KPO9 Jun-16Low To develop and implement a communication plan to

ensure all external stakeholders and customers have the required information for the implementation date.

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The re-structure within Planning and Economic Development Services, of which Building Standards is a part, and the appointment of the new Head of the Planning and Economic Development Services, will ensure that the QMS remains appropriate for the purposes of the Planning and Economic Development Services and confirms the Building Standards commitment to delivering a Best Value service to their customers by ensuring that ISO9001:2015 is integral to all that they do and improve the effectiveness of the management system. Going forward there is still some uncertainty due to the economic climate locally and a reduced investment in the residential, public, leisure and industrial sectors. This has resulted in significant parts of the Local Plan development areas within the district remaining undeveloped with both Planning Permission and Building Warrant Approval in place for many sites. Development forecasts within the public and private sector highlight an uncertain growth in applications and income over the next 12 months. However, development applications for new large private housing developments remain unchanged with a reduced potential for new developments due to the number of approvals that were extended due the Memorandum of Understanding between Homes for Scotland (HFS) and Local Authority Building Standard Scotland (LABSS).

The development of staff remains a high priority and has seen continued high performance achieved, coupled to this internal processes are targeted to provide a high performance and meet customer expectations.

The forthcoming quarters will require the Service to upgrade both software/hardware and to upgrade systems and processes in preparation for eBuilding Standards. The Project team with the supporting project plan will continue to develop towards a fully electronic platform.