N:\QUALITY\Performance Indicators\IG-REP-OPPLAN2003Review-AH-16DEC2003.doc


STRATHCLYDE EUROPEAN PARTNERSHIP LTD

2003 OPERATIONAL PLAN

2003 PERFORMANCE INDICATORS

AND TARGETS

PERFORMANCE INDICATORS AND TARGETS2003

KEY TARGETS
Activity / Performance Indicator / Target / Progress towards Targets
A3 Improve the commitment and expenditure rate of the 2000-2006 Programme /
  • Increase number of project applications received and approved
/
  • Achieve at least 100% of 2003 Programme allocation
  • Achieve 85% of Programme Expenditure by end 2003
/
  • The 2003 ERDF Objective 2 allocation is £43.656 million at December 2003 exchange rates. Commitments in 2003 (Rounds 6-9 and reserve list) were £157.292 million giving a commitment rate of 361%. It should be noted that this was largely due to a lower level of commitments in previous years. To date78% of the total Programme allocation of £291.222 million has been committed
  • The 2003 ESF allocation is £6.639 million at December 2003 exchange rates. The commitments in 2003 (Rounds 6-9 and reserve list) were £14.248 million giving a commitment rate of 215%.To date 59% of the total Programme allocation of £44.519 million has been committed.
  • The 2003 URBAN II programme allocation is £1.527 million at December 2003 exchange rates. The commitments in 2003 (Rounds 2-4 were £3.765 million giving a commitment rate of 247%. To date 56% of the total Programme allocation of £8.949 millionhas been committed.
  • The key expenditure targets for 2003 were the N+2 targets
ERDF Objective 2 €118.05 million
ESF Objective 2 €13.368 million
URBAN II € 0.764 million
All targets were met.
A4 Successfully implement Business Process Review /
  • Partners successfully using BPR process by June 2003
/
  • 100% of partners registered on new system
  • 100% of partners submitting projects to June deadline on new system
/
  • Approximately 50% of partners on database have registered on DCS. This will increase as previous partners wish to submit new applications
  • 100% of partners submitted projects on new systems in June (ESF) and September (ERDF)

B3 Implement financial Programme compliance procedures. / All approved project applications are tracked and action taken as appropriate, in line with the compliance procedures /
  • Copy of Offer of Grant letter and plus approved application to SE within 5 days of production
  • Acknowledge and process signed Offer of Grant letters within 10 days of receipt
  • Production of quarterly exception report of overdue claims
  • Production of monthly exception report of overdue Offer of Grant letters acceptances
/
  • 80% of ERDF Offers of Grant sent to SE within 5 days of productions . Scottish Executive introduced new system for ESF which nullified the target
  • Round 6 – 82 %, Round 7 80%
  • Exception report generated on weekly basis

B4 Develop actions to resolve N+2issues / Implement N+2 Action Plan /
  • Regular revisions and monitoring of N+2 Action plan
  • Regular reporting against targets in action plan to PMC/PIC and Board of Directors
/
  • Discussions on N+2 Action Plan progress at each SMT meeting
  • Special N+2 Programme Managers meetings established
  • N+2 Action Plan reports to each PMC and PIC meeting

B6 Successful completion of Western Scotland Objective 2 and Urban ll mid –term evaluations / Contracts managed effectively /
  • Complete mid-term evaluations
  • Disseminate evaluation findings
  • Prepare proposals for Programme revisions based on evaluation findings
/
  • Initial report completed to agreed timescale in September 2003. Supplementary annexe requested by Scottish Executive and completed in November 2003. MTE report approved by PMC on 17 December
  • Dissemination of evaluation findings delayed until early 2004 due to delay incurred by supplementary annexe to MTE
  • Programme revisions completed, approved by PMC and submitted to European Commission by 19 December

A. Processing applications and projects / Performance Indicator / Target / Progress towards Targets
  1. Hold information, application and claims seminars for partners in new BPRprocess
/
  • Information, application and claims seminars held.
/
  • A minimum of 10 application or claims seminars in 2003
/
  • Seven application seminars were held for partners focussing on changes to the application system as a result of BPR, open to both O2 and Urban II Programme partners.
  • Five claims seminars were held covering both ERDF and ESF elements of the O2 Programme and UII Programme.
  • An additional test scripting session was held again as part of the BPR process.

  1. Receive applications, verify receivability and undertake technical assessment.
/
  • Applications processed from receipt to project decision.
/
  • Acknowledge receipt of applications within 10 working days of deadline.
  • Feedback from technical assessment to 95% of partners within 20 working days of deadline.
  • Issue advisory group recommendation within 15 working days of final appraisal meeting
/
  • 94% of ERDF applications and 96% of ESF applications were acknowledged within 10 days
  • 60% of ERDF and 90% of ESF applicants received a technical assessment feedback within 20 days, 80%-30days, 90%-40days. However, this date is updated on IT system with any changes and therefore provides slightly unreliable data
  • 65% of ERDF and 48% of ESF applicants received details of the AG recommendation within 15 days. However, within this Round 6 met the target by 97 % and Round 7 by 38% due to staffing and annual leave difficulties

  1. Improve the commitment and expenditure rate of the 2000-2006 Programme
/
  • Increase number of project applications received and approved
/
  • Achieve at least 100% of 2003 Programme allocation
  • Achieve 85% of Programme Expenditure by end 2003
/
  • The 2003 ERDF Objective 2 allocation is £43.656 million at December 2003 exchange rates. Commitments in 2003 (Rounds 6-9 and reserve list) were £157.292 million giving a commitment rate of 361%. It should be noted that this was largely due to a lower level of commitments in previous years. To date78% of the total Programme allocation of £291.222 million has been committed
  • The 2003 ESF allocation is £6.639 million at December 2003 exchange rates. The commitments in 2003 (Rounds 6-9 and reserve list) were £14.248 million giving a commitment rate of 215%.To date 59% of the total Programme allocation of £44.519 million has been committed.
  • The 2003 URBAN II programme allocation is £1.527 million at December 2003 exchange rates. The commitments in 2003 (Rounds 2-4 were £3.765 million giving a commitment rate of 247%. To date 56% of the total Programme allocation of £8.949 millionhas been committed.
  • The key expenditure targets for 2003 were the N+2 targets
ERDF Objective 2 €118.05 million
ESF Objective 2 €13.368 million
URBAN II € 0.764 million
All targets were met.
  1. Successfully implement Business Process Review
/
  • Partners successfully using BPR process by June 2003
/
  • 100% of partners registered on new system
  • 100% of partners submitting projects to June deadline on new system
/
  • Approximately 50% of partners on database have registered on DCS. This will increase as previous partners wish to submit new applications
  • 100% of partners submitted projects on new systems in June (ESF) and September (ERDF)

  1. Create, develop and service committee structures
/
  • Committee members undergo relevant training and induction.
  • All papers are circulated to committees by the agreed deadlines
/
  • One induction meeting held with each replacement / new advisory group member
  • The agenda and supporting papers will be distributed no less than 15 working days before PMC meetings and no less than 10 working days before PIC, advisory and policy groups meetings
  • List of PIC approved projects sent to SE within 5 working days of PIC for final confirmation
  • Minutes of PMC and PIC agreed internally (SEP) within 12 working days and placed on website within 10 working days of receipt of approved version from SE
/
  • Induction meeting for new PIC member held in May 2003. From June 2003 onwards it was agreed not to replace committee members until the review in early 2004
  • Target met for PMC (except March PMC – 13 days)
  • Target fully met for PIC
  • Target fully met
  • Average of 13 days for internal clearance of PMC and PICminutes
  • Website target met fully for PMC and PIC minutes with the exception of June PIC minutes which were delayed due to reserve list arrangements

  1. Support and provide information to PMC, PIC advisory and policy groups, members and partners.
/
  • All requests for information responded to and dealt with satisfactorily
/
  • One operational issues meeting with each advisory and policy group per year.
  • 75% satisfaction level from committee members about service
/
  • Operational issues discussed at each advisory group meeting
  • Information from MTE not broken down by committee however average score for SEP staff in Focus Groups with Committee members was 4.1 out of 5

  1. Payment claims procedures
/
  • Payment claims received, processed and passed to the Scottish Executive for payment
  • 80% of payment claims queried with partners and amendments made
/
  • 80% of payment claims checked and either returned to applicants or passed to SE if correct within 10 days of receipt.
/
  • The internal SEP claims database records receipt of claim version one, receipt of correct claim and date passed to SE. The average time for a correct claim to be passed was:
ERDF 4.5 Days and 87% of claims passed within 10 Days,
ESF 2.3 Days and 80% of claims passed within 10 Days
Urban 1.7 Days and 100% of claims passed within 10 Days.
Strategically SEP continued to input to the Scottish Executive web-based systems development for turnaround claims. These claims are now active for very recent rounds (ERDF Round 9, ESF Rounds 8, 9 and Reserve List and Urban Round 4)
B. Managing Compliance / Performance Indicator / Target / Progress towards Targets
  1. Production and dissemination of annual implementation reports to EC, Scottish Executive, Scottish Parliament European Committee, PMC and partners
/
  • Internal arrangements established for completion of work required for AIR
  • Produce annual implementation reports to agreed format
/
  • AIR approved by PMC and the Scottish Executive within the agreed deadline (June 2003)
/
  • AIR approved by PMC on 10 June 2003

  1. Conduct monitoring visits.
/ Programme of monitoring visits reports successfully completed and follow-up actions recorded and completed. /
  • A minimum of 10% of the 2000-2006 programme funding claimed and approved will have been the subject of an on-site monitoring visit. (Annual target of 10% minimum set )
  • Partner and the Scottish Executive provided with report within 20 working days
  • Follow-up action with partners agreed and dealt with within 20 working days
/
  • Scottish Executive guidance adopted into SEP internal procedures and also made available on SEP’s Website.
  • 10% of Programme funding claimed was subject to an on site monitoring visit as at 6 October 2003. It should be noted that due to N+2 the significant bulk of claims were received in the last quarter of 2003 and will be subject to on site visits in early 2004. The Scottish Executive was advised and agreed this position in connection with the data collection for the performance reserve calculation.
  • Of the four monitoring visits carried out in 2003, three reports were issued within 20 working days. The other report was delayed largely due to N+2 work commitments.
  • No significant issues were raised during these visits, follow up action was agreed with partners during each visit.

  1. Implement financial Programme compliance procedures.
/ All approved project applications are tracked and action taken as appropriate, in line with the compliance procedures /
  • Copy of Offer of Grant letter and approved application to SE within 5 days of production
  • Acknowledge and process signed Offer of Grant letters within 10 days of receipt
  • Production of quarterly exception report of overdue claims
  • Production of monthly exception report of overdue Offer of Grant acceptances
/
  • 80% of ERDF Offers of Grant sent to SE within 5 days of productions . Scottish Executive introduced new system for ESF which nullified the target
  • Round 6 – 82 %, Round 7 80%
  • Continuous exception reports available to teams from the SEP claims database.
  • Continuous exception reports available to the teams from the SEP applications database

  1. Develop actions to resolve N+2issues
/ Implement N+2 Action Plan /
  • Regular revisions and monitoring of N+2 action plan
  • Regular reporting against targets in action plan to PMC/PIC and Board of Directors
/
  • Discussions on N+2 Action Plan progress at each SMT meeting
  • Special N+2 Programme Managers meetings established
  • N+2 Action Plan reports to each PMC and PIC meeting

  1. Transfer project and payment claims data to ScottishExecutive
/ All relevant information downloaded to Scottish Executive /
  • 100% of approved projects to provide financial and monitoring data
  • Relevant information transferred to Scottish Executive on agreed basis
/
  • In ERDF Objective 2 there were 329 projects that were able to submit a claim in 2003. 319 of these projects submitted a claim during 2003, this is 97%
  • In ESF Objective 2 there were 183 projects able to submit claims during 2003. 164 ESF projects submitted claims during 2003 this is 90%
  • In URBAN II there were 22 projects able to submit claims during 2003. 20 of these projects submitted claims in 2003. This is 91%
  • Claims are passed to the Scottish Executive as soon as they are correct and have been authorised by the appropriate manager. Refer to A7

  1. Successful completion of Western Scotland Objective 2 and Urban ll mid –term evaluations
/ Contracts managed effectively /
  • Complete mid-term evaluations
  • Disseminate evaluation findings
  • Prepare proposals for Programme revisions based on evaluation findings
/
  • Initial report completed to agreed timescale in September 2003. Supplementary annexe requested by Scottish Executive and completed in November 2003. MTE report approved by PMC on 17 December
  • Dissemination of evaluation findings delayed until early 2004 due to delay incurred by supplementary annexe to MTE
  • Programme revisions completed, approved by PMC and submitted to European Commission by 19 December

C Servicing partners and Key Stakeholders / Performance Indicator / Target / Progress towards Targets
  1. Strengthen links with stakeholders through improved communication and consultation.
/
  • Meetings attended with stakeholders.
  • Comprehensive database of contacts established
/
  • 100% attendance at and participation in the Structural Funds Liaison Group and Scottish Co-ordination Team.
  • Two updates per year for Programme related contacts and ongoing changes up-dated at least weekly
/
  • 100% attendance at SFLG
  • One update completed only due to staff illness.
  • Database contacts updated regularly but slightly affected by staff illness

  1. Consult with partner organisations.
/
  • Feedback methods established
/
  • Two focus group meetings
/
  • Five focus group meetings conducted by CeiS in September/October
  • Final report produced in December 2003

  1. Provide guidance to partners and potential partners to ensure quality submissions.
/
  • Website content maintained on regular basis
  • Advise partners of policy developments resulting from advisory and policy groups, PMC or PIC
  • Offer support for partners wishing to register on GM2
/
  • Regular internal marketing and PR meetings
  • Policy updates communicated to partners and posted on the web-site within one month of agreement
  • Two open sessions in IT room for partners wishing to register
/
  • Three meetings of the internal Marketing and PR Group were held. In addition to this, numerous ad hoc meetings of some members of the group were convened to take forward specific tasks eg events and review of our website.
  • Target fully met
  • Open sessions not required as information provided at seminars and by letter appeared adequate. Significant 1:1 contact on phone.

  1. Initiate a series of good practice and development seminars forpartners.
/
  • Good practice and development issues established.
/
  • Six good practice or development sessions for partners per year.
/
  • 8 Lunchtime Seminars were held throughout the year: Ivan Turok 11 April; John Bachtler 11 and 16 May; Scottish Foundation Council 18 June; Andy McGuire 9 June; Sandra Taylor 24 Oct; Alan McGregor 28 Nov; Ken Collins 5 Dec.
  • 6 Good Practice events were held: Private Eye(opener) on 24 March; P2 on 3 December; ESF on 29 October; M/E on 20 Nov; P1 on 26 Nov; HTs Conference on 19 Nov.
  • 4 Others: AGM 20 June; UII 2 Feb; UII 20 Feb; UII 11 March.

  1. Communicate Committeedecisions
/
  • Committee decisions reported to partners
/
  • Website updated with committee decisions within 10 working days of receipt of final list from SE
/
  • Target fully met

  1. Production and dissemination of publicity material
/
  • The Programme and Structural Funds promoted through a range of publicity materials
/
  • Communications plan successfully implemented
  • Quarterly newsletter published
  • Production of brochures and reports
/
  • 2003 Calendar of Activities continually updated and on Sepnet for all to view.
  • SEP News published four times - Issue 21 on 24 March; Issue 22 on 9 June; Issue 23 on Sept; Issue 24 on 1 Dec.
  • Other publications - 2002 AIR on 19 June; reprints of UII Programme leaflet and promotional leaflets for good practice seminar series.
  • Private Eye(opener) CD Rom;
  • Beginner's Guide to ESF DVD

D. Learning and Sharing good practice / Performance Indicator / Target / Progress towards Targets
  1. Dissemination of good practice on projects.
/
  • LEDIS- style sheets completed and posted on web-site.
/
  • 20 projects to complete case study sheet and posted on web-site during 2003
/
  • 13 new project case studies on website bringing total available to 27. These case studies are generated by good practice seminars and this year the style and content of two of these (ESF beginners guide and Monitoring/Evaluation) meant that they were not project specific and therefore no case study could be completed.

  1. Implement staff development programme.
/
  • Training and development targets reviewed annually for all staff
/
  • Minimum of 5 days training/ development per member of staff a year
  • 2003 Training Plan and schedule agreed by Board annually
/
  • Most staff have received at least 5 days training through a combination of ECDL, BPR and Myers Brigss
  • Training Plan and Schedule approved by Board on 11 March 2003

  1. Continue with Personal Development Review system.
/
  • PDR meetings held with all staff twice a year
/
  • Two PDRs per year for every member of staff
  • Annual survey of staff attitudes
/
  • One PDR conducted during 2003 due to pressures of N+2 at end of year. Informal discussions held.
  • Company survey conducted during September and results circulated to all staff and presentation given at all staff meeting

  1. Monitor organisationalachievement
/
  • Co-operation with proposed PME review
/
  • All Scottish Executive targets met
  • Performance reserve achieved.
/
  • All targets met except MTE dissemination due to delay incurred by supplementary annexe
  • Performance reserve achieved and confirmed by Scottish Executive in December 2003

  1. Ensure external commissioned work is handled efficiently andeffectively.
/
  • Research topics identified and work commissioned
/
  • Work completed to a satisfactory standard, completed on time and within agreed budget
/
  • Two pieces of work commissioned externally, MTE evaluations for Objective 2 and Urban ll. Both were completed to a satisfactory standard, on time and within agreed budget
  • Ceis Focus Groups were also commissioned and completed to a satisfactory standard, on time and within budget

  1. Continuous review of quality systems through Quality Scotland EFQM, Leadership Trust and others.
/ Internal Quality Team continues to meet and explore ways of improving quality /
  • Regular Quality team meetings
  • Annual company survey action plan
  • Review of internal working groups
/
  • Quality team meetings held at least monthly
  • Company survey action plan developed in September 2003
  • Review delayed until early 2004

E. Financial Management of Company / Performance Indicator / Target / Progress towards Targets
  1. Technical Assistance application and payment clams
/
  • TA application completed
  • Regular monthly payment claims submitted to the Scottish Executive
/
  • Annual Operational Plan approved by Board and PMC
  • The Scottish Executive make regular payments
/ Operational Plan approved Board on 11 March and PMC on 25 March
Regular TA payments received
  1. Management fee invoices
/ Management fee invoices issued with offers of grant /
  • Partners income received within 28 days of invoice
  • Overdue management fee debts should be less than 10% of invoices
/ The debtors’ position is reported to each Finance and Audit Sub-Committee. Overdue management fee debts (i.e. outstanding for more than 30 days) as at 31 December represent 14% of all invoices issued. However one significant debt was cleared on 5 January 2004 reducing the level of debt to 8%.
  1. Management Accounts
/ System established to prepare monthly management accounts /
  • Monthly management accounts prepared for SMT
  • Quarterly management accounts prepared for board
/ Target fully achieved
Target fully achieved, accounts presented to each Finance and Audit sub-committee
  1. Cashflow monitored regularly and action taken to maintain positive cashflow balances
/ System established to monitor cashflow /
  • Cashflow projections prepared frequently
  • Bank reconciliation’s made at least weekly
  • Monthly cashflow reports prepared
/ Target fully achieved
Bank reconciliation’s completed on receipt of bank statements
Target fully complete

N:\QUALITY\Performance Indicators\IG-REP-OPPLAN2003Review-AH-16DEC2003.doc