HB/CTB Performance Standards: March 2007
Introduction
Background
1.0 The Performance Standards were first launched in April 2002 in response to a commitment given by the Department for Work and Pensions (DWP) in their response to the “Housing Green Paper” (published November 2000) to develop a performance framework for Housing Benefit (HB).
1.1 The Performance Standards were developed to cover the full picture of what makes up effective and secure HB delivery, and, drawing on the expertise and experience of the Benefit Fraud Inspectorate (BFI), incorporated a self-assessment package to assist local authorities (LAs) to analyse risks in the process of benefits administration and their counter-fraud activity.
1.2 The Performance Standards are firmly founded on what needs to be achieved to deliver an effective HB and Council Tax Benefit (CTB) system that meets wider strategic objectives and strengthens accountability for the service in LAs.
1.3 They are designed to provide a
- benchmark for performance assessment
- means of assessing performance over time
- common basis for DWP, BFI and LAs to assess performance.
1.4-1.9
Review of the Performance Standards
1.10 In 2004 Ministers commissioned a review of DWP’s programme of inspection, monitoring and support of LAs’ service delivery of HB and CTB. One of the review’s recommendations was that the Performance Standards should be revised to more clearly differentiate between
- the outcomes expected
- the key enablers reflecting strategies, policies, practices and processes, that should be in place in every LA to ensure good performance and conformity with legislation
- a larger set of good practices and processes which have been shown to underpin good performance and are generally desirable but may not be appropriate for all LAs or may be done equally effectively in other ways.
1.11 The Performance Standards have been rewritten to incorporate these changes.
1.12-1.19
What the Performance Standards cover and why
1.20 The Performance Standards cover the full picture of what makes up effective and secure delivery of HB and CTB. They allow inspectors and auditors to assess whether an LA provides a modern, efficient, effective, secure, and customer-focused HB and CTB service that it is continuously seeking to improve. For ease of use the Standards are divided into 4 themes, which are subdivided into 3 components. The 4 themes are
- Claims administration – claims processing, quality and reducing error and overpayments. Does the LA
- meet the standard performance required on processing all types of claim?
- monitor the impact of efforts to process claims and changes of circumstances and amend its approach in the light of results?
- have a claim form that meets the standard set by the DWP series of HCTB claim forms?
- act to avoid overpayments occurring?
- minimise repossessions by maintaining effective working arrangements with public and private sector landlords?
- check the quality and accuracy of claims and take steps to reduce error?
- manage the calculation, classification and recovery of debt effectively?
- Security – security of administration, counter-fraud activities and sanctions. Does the LA
- verify claims to standard?
- minimise the risk of fraud and error?
- operate working practices designed to ensure all referrals reach the most logical outcome, such as no further action, administrative penalty, prosecution?
- manage and train sufficient employees to meet the demands of countering the particular risk of fraud it faces?
- use all appropriate methods to detect fraud?
- User focus – take-up, customer service and appeals and complaints. Does the LA
- have a written strategy to encourage take-up?
- hold recent evidence of how well it meets the needs of all those eligible to claim HB and CTB, or with a legitimate interest in a claim?
- monitor its service to customers and amend its approach in the light of results?
- Resource management – strategic management, value for money and assurance. Does the LA
- set targets, and have plans and monitoring arrangements in place to achieve these targets?
- provide for a skilled and competent workforce?
- achieve value for money?
- have systems in place to prevent internal fraud
1.21-1.29
How to use the Performance Standards
1.30 The Performance Standards will, for the different people who are involved in the delivery of the Benefits Service, have a number of purposes. These are
- Members – the highest point of accountability within the LA. The Standards will help them maintain effective corporate governance over HB and CTB administration and counter-fraud activity
- Chief Executives and senior officers – responsible for informing Members of performance on HB and CTB administration. The use of the Standards will offer a means of monitoring performance and reporting on it
- Benefit and Counter-fraud Managers – the Standards provide a framework for measuring performance and ensuring an effective and secure service that meets the requirements of Members, senior managers, customers and landlords
- Benefit and counter-fraud staff – the Standards provide reference material, including good practices, and offer them help to ensure an effective and secure service that meets the requirements of Members and senior managers
- Internal Auditors – can help the LA by using the Standards to do an independent assessment of the Benefits Service
- External Auditors – as a point of reference when planning an audit of the Benefits Service
- Customers – the Standards will improve understanding of the quality of service they can expect
- Other stakeholders – the Standards will help LAs to provide the assurance that the interests of other stakeholders are being considered.
1.31-1.39
Why use the Performance Standards?
1.40 There are advantages in using the Standards as they provide a common framework against which LAs can plan and set objectives. For example, to
- provide a clear foundation for locally driven improvement plans that deliver results and drive up performance over time
- prepare for BFI inspection
- prepare for the Audit Commission’s comprehensive performance assessment in England
- benchmark performance with other LAs and share good practice.
1.41-1.49
Getting started
1.50 This manual is divided into 8 sections, including this one
- Introduction
- Scoring methodology
- Claims administration
- Security
- User focus
- Resource management
- Circulars
- Local information.
1.51 Local Information is for LAs to use to file local data or provide a reference point to electronically held records. It is for LAs to decide what, if any, to include but this could be the latest self-assessment, list of evidence to support a positive self-assessment, action plans and progress reports where improvements in performance are needed. The binder should be wide enough to allow you to file any relevant circulars.
1.52 The Standards are divided between a suite of performance measures and a suite of enablers. The performance measures and enablers are numbered and run sequentially with the prefix
- PM to denote a performance measure
- E to denote an enabler.
1.53 As with the previous editions of the Performance Standards, we recommend that you consider each individual theme in turn. However, for this edition we have tried to remove much of the duplication between the themes that existed in the modular approach adopted for the first edition. Therefore it is important that a full self-assessment is undertaken annually to ensure that improvement plans comprehensively address all the issues.
1.54 For example, any plans to improve the speed of processing, as well as reflecting the Standards of the claims processing and quality and reducing error components of “Claims administration”, also need to incorporate action to meet the verification Standard in the “Security” theme, and to be considered against the accessibility Standard in “User focus” and the training Standard in “Resource management”.
1.55-1.59
Performance measures
1.60 Three of the themes, Claims administration, Security and User focus, include a number of performance measures. These are volume-based and LAs are asked to provide data quarterly to DWP. Further information on the detailed definitions of the performance measures can be found in the HB/CTB MIS Guide.
1.61-1.69
Key enablers
1.70 Each of the 4 themes contains a number of enablers that set out a strategy, policy, procedure or practice that should be in place in every authority. LAs are asked to undertake an annual self-assessment against these enablers, and submit the data to DWP on the electronic form provided. This manual contains a clerical version of the self-assessment form, which consists of a series of Yes/No questions for each theme. It also includes examples of the evidence that would support the LA’s assessment that it has the enablers in place.
1.71-1.79
Overall score
1.80 The LA can determine its overall 1-4 score against the Performance Standards by combining the total score for its performance against the performance measures with the total score from its self-assessment against the enablers. The “Scoring methodology” is set out in more detail in the next section.
1.81-1.89
Good practice
1.90 Each theme contains good practice. Compliance with these practices does not form part of the self-assessment process and will therefore not be scored against. However, the good practices will provide a useful point of reference for LAs to consider when
- diagnosing why performance is below standard
- reviewing business processes
- preparing improvement plans
- preparing process maps
- considering training requirements.
1.91 BFI may draw on the good practices when making recommendations for improvement in their reports.
192
Various tools and good practice checklists which you might find useful can be found on our website http://www.dwp.gov.uk/housingbenefit/publications/perf-stands/
These will be updated and added to from time to time.
1.93-1.99
Other guidance
1.100 The Performance Standards are not intended to replace other manuals issued by DWP to assist LAs in the administration of HB and CTB. The following manuals should also be referred to for guidance and good practice
- HB/CTB Guidance Manual
- HB/CTB Security Guidance
- HB/CTB Subsidy Guidance Manual
- HB/CTB Overpayments
Guidance Manual (1.7MB)
- HB /CTB: Council Tax Benefit Take-Up – Best Practice Guide
- Outsourcing Housing and Council Tax Benefits: A Good Practice Guide.
Note: this list is not exhaustive.
1.101-1.109
Scotland and Wales
1.110 Where possible we have tried to reflect the different local government arrangements and, in Scotland, different civil and criminal legislation, that apply to local authorities in these countries. Where we may have inadvertently only referred to arrangements that exist in England please be guided by the corresponding arrangements set out by the Scottish Executive/Audit Scotland or the National Assembly for Wales/Audit Commission for Wales.
1.111-1.199
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