Drafter
Clerk 06/05/2014
Title
AN ORDINANCE related to performance management and accountability; amending Ordinance 11980, Section 2, as amended, and K.C.C. 2.10.020, adding new sections to K.C.C. chapter 2.10 and repealing Ordinance 11980, Section 3, as amended, and K.C.C. 2.10.010, Ordinance 16202, Section 5, and K.C.C. 2.10.035, Ordinance 16202, Section 6, as amended, and K.C.C. 2.10.045, Ordinance 16202, Section 7, and K.C.C. 2.10.055, Ordinance 16202, Section 8, as amended, and K.C.C. 2.10.060, Ordinance 16202, Section 9, and K.C.C. 2.10.070, Ordinance 16202, Section 10, as amended, and K.C.C. 2.10.080 and Ordinance 16202, Section 11, as amended, and K.C.C. 2.10.090.
Body
BE IT ORDAINED BY THE COUNCIL OF KING COUNTY:
SECTION 1. The following are each hereby repealed:
A. Ordinance 11980, Section 3, as amended, and K.C.C. 2.10.010;
B. Ordinance 16202, Section 5, and K.C.C. 2.10.035;
C. Ordinance 16202, Section 6, as amended, and K.C.C. 2.10.045;
D. Ordinance 16202, Section 7, and K.C.C. 2.10.055;
E. Ordinance 16202, Section 8, as amended, and K.C.C. 2.10.060;
F. Ordinance 16202, Section 9, and K.C.C. 2.10.070;
G. Ordinance 16202, Section 10, as amended, and K.C.C. 2.10.080; and
H. Ordinance 16202, Section 11, as amended, and K.C.C. 2.10.090.
NEW SECTION. SECTION 2. There is hereby added to K.C.C. chapter 2.10 a new section to read as follows:
A. It is the intent of the King County council to establish within the county government a performance management and accountability system that ensures an ongoing, systematic approach to improving county governmental operations and ensures government program results through a system of strategic planning, evidence-based decision making, continuous performance improvement and a focus on accountability in the achievement of prioritized goals.
B. The performance management and accountability system shall:
1. Engage the public and county leadership in the development of countywide priorities;
2. Demonstrate achievement in meeting the county's goals;
3. Increase the ability of county managers and staff to continuously improve performance and customer service and to assess program effectiveness; and
4. Assist county elected leaders in making policy and budget decisions in support of county goals and objectives.
C. The performance management and accountability systems shall consist of:
1. A system of strategic planning including:
a. vision and policy priorities;
b. strategic innovation priorities; and
c. business plans;
2. The King County budget as authorized under K.C.C. chapter 4.04;
3. A system of implementation, performance measurement and continuous improvement consistent with authorities and responsibilities of the King County Charter; and
4. Regular reporting and evaluation of results.
SECTION 3. Ordinance 11980, Section 2, as amended, and K.C.C. 2.10.020 are each hereby amended to read as follows:
The definitions in this section apply throughout this chapter unless the context clearly requires otherwise:
A. (("Accountability" means a process to set priorities, measure performance, and inspire the workforce to improve the overall performance and customer service of county government. County leadership should relentlessly follow up on commitments made in strategic and business plans and should also regularly monitor results over time to verify that change is real and sustainable.
B.)) Activities" means the specific, measureable processes, products and services implemented by an agency to achieve strategies and objectives.
B. "Agency" means the council administration and independent offices of the legislative branch, ((prosecuting attorney's office, superior court, district court, sheriff's office, the assessor's office and the office of economic and financial analysis)) the executive branch, including departments, divisions and offices, the prosecuting attorney, the superior court, the district court, the sheriff, the assessor, the department of elections and the office of economic and financial analysis.
C. (("Benchmarks" means internal or external points of comparison to help understand performance results and should be used to help set targets and provide context for county results.
D.)) "Business plan" means ((a plan that reflects how individual agencies, departments, divisions or offices will contribute to achievement of the goals identified in the strategic plan during the next one to two years. The business plan provides an opportunity for continuous monitoring of the strategic plan. In addition to stating the agency's vision, mission and goals, the business plans shall identify internal and external change dynamics and strategies and evaluate how they will affect budget priorities and program direction. Business plans should be aligned with the budget and should provide performance measures that support budget decisions)) the strategic planning documents that articulates the proposed activities and resources necessary to achieve specific targets for an agency during a prospective six to ten year period.
D. "Cross-functional strategic teams" means the leadership teams charged with coordinating achievement of each of the goals of the vision and policy priorities.
E. (("Executive branch departments and offices" means all county departments and offices directly reporting to the county executive.
F.)) "Goals" means the ((results that the organization plans to achieve within a defined period of time)) statements of direction, purpose or intent that describe the future state or result to be achieved.
((G. "King County" or "countywide" means all county agencies and executive branch departments and offices.)) F. "Guiding principles" means the values that reflect the beliefs about the roles and responsibilities of an agency and its employees;
G. "Measure" means a quantitative value, characteristic or metric used to track the internal or external performance of objectives, strategies and actions.
H. (("Mission statement" means the purpose of the organization. The purpose shall be described in terms of the outcomes or results the organization intends to achieve. ))"Mission" means the statement that identifies the county's or agency's purpose or reason for existing that will guide its actions and strategies in the achievement of its vision.
I. "Objectives" means ((the identification of some of the specific ways in which goals are to be achieved)) a statement of the specific, measureable results stated to achieve a goal. Objectives inform the development of strategies and activities.
J. (("Operational master plan" means the comprehensive plan for an agency setting forth how the organization will operate now and in the future. An operational master plan builds on an organization's strategic plan and shall include analysis of agency strategies, alternatives and their lifecycle costs to accomplish defined goals and objectives, performance measures, projected workload, needed resources, implementation schedules and general cost estimates. The operational master plan shall also address how the organization will respond in the future to changed conditions. K.C.C. 4.04.200 requires that an operational master plan is done in conjunction with the director of the office of performance, strategy and budget. The completed operational master plan includes an implementation plan and schedule and feeds into capital planning efforts for an organization.
K. "Outcomes" means results that are expected to be achieved and assessed by the use of performance measures that can indicate a rate of change over time. They measure the extent to which goals and objectives have been achieved.
L. "Performance management" means the systemic use of performance measurement information to help set performance goals, allocate and prioritize resources, inform decision making about program performance, policy and budget, to evaluate results achieved and to report on the success of meeting goals.
M. "Performance measure" means a quantifiable, enduring measurement of the amount, quality, efficiency or effectiveness of products or services produced by an agency, department, office or program.
N.)) "Performance measurement" means ((the identification and ongoing monitoring and reporting of program or agency results, particularly progress toward preestablished goals)) collecting, analyzing and reporting data with regard to the performance of an agency, objectives, strategies, activities, programs or, services.
K. "Result" means the outcome of a program, service, set of activities or strategy used to describe the impact of the activity or strategy as it relates to meeting goals, objectives and strategies.
L. "Strategic innovation priorities" means the prioritized cross-functional strategic planning efforts or activities that that have the greatest likelihood of advancing the goals identified in the vision and policy priorities. Strategic innovation priorities are:
1. The county's immediate planning priorities for the next biennium that will require significant cross-functional planning and resource coordination;
2. Reflected in the subsequent executive's proposed budget and council adopted budget; and
3. Based on recommendations of the council and in consideration of the recommendations of the cross-functional strategic teams.
((O. "Strategic plan" means a plan that clarifies the strategic direction on where an organization will be in five years and how it intends to get there. A strategic plan should define the current status of the organization, including its vision, mission and goals. It should also identify strengths, weaknesses, opportunities and challenges, both internal and external, that will either advance or impede the execution of the plan. A strategic plan should include prioritized strategies and actions that describe how goals will be achieved given the projected opportunities and challenges. The strategic plan should also include a monitoring plan that describes, tracks and evaluates key outcomes to be achieved and high-level performance measures relevant to the stated goals.))
M. "Strategies" means the specific, measureable systems, methods and approaches to achieving an objective. Strategies guide the development of activities and the products and services delivered to achieve the strategy.
((P.)) N. "Target((s))" means a ((quantified statement of what level of performance a program or agency plans to achieve. Targets help to evaluate performance and should be based on baseline data, regulatory or industry standards, policy decisions, program evaluation, or the performance of comparable organizations or benchmarks)) desired number or level related to a performance measure that the county or an agency is striving to achieve through activities, strategies and objectives.
((Q.)) O. "Vision" means the ((vision statement that describes what the agency, department, office or program would like to achieve by delivering on the stated mission. The vision should be stable and can be very long-term and difficult to achieve. The vision shall be specific to the mission of the organization)) statement that identifies what the county or agency strives to be in the future through the achievement of its goals and objectives.
P. "Vision and policy priorities" means the high-level statement of long-range strategic goals and priorities for King County government, generally with a ten to twenty-year planning horizon, that are used countywide to prioritize decision making, business planning and resource allocation.
Q. "Vision and policy priorities reporting" means the biennial, public reporting on the county's results in achieving the targets of the goals and objectives of the vision and policy priorities.
NEW SECTION. SECTION 4. There is hereby added to K.C.C. chapter 2.10 a new section to read as follows:
A. Agencies shall use the process in this chapter to develop vision, mission, goals, objectives, strategies and activities.
B. In carrying out this section, agencies shall:
1. Regularly engage the public to identify and provide feedback on countywide priorities;
2. Work collaboratively with other agencies and between the legislative and executive branches to develop prioritized goals, objectives and strategic innovation priorities while respecting separate authorities established in the King County Charter;
3. Annually measure and report on how well it is meeting its goals, objectives and targets;
4. Use performance measurement for planning, evaluation, continuous improvement and resource allocation;
5. Use results to support continuous organizational evaluation and improvement in collaboration with the workforce rather than punitive purposes; and
6. Implement the performance management and accountability system consistent with the fair and just principle under K.C.C. 2.10.210 through 2.10.230.
NEW SECTION. SECTION 5. There is hereby added to K.C.C. chapter 2.10 a new section to read as follows:
A. The vision and policy priorities include the county's:
1. Vision;
2. Mission;
3. Guiding principles;
4. Goals;
5. Objectives; and
6. Measures and targets for each objective.
B. The executive shall transmit the vision and policy priorities for adoption by ordinance.
NEW SECTION. SECTION 6. There is hereby added to K.C.C. chapter 2.10 a new section to read as follows:
A. The executive shall transmit a report and motion of the recommended strategic innovation priorities by March 31 of each budget adoption year.
B. The results of strategic innovation priority planning may result in implementation strategies and performance management recommendations for integration into business plans, as well as recommendations for updates to the vision and policy priorities.
C. It is council's intent that no more than six separate strategic innovation priorities shall be identified for any budget period.
NEW SECTION. SECTION 7. There is hereby added to K.C.C. chapter 2.10 a new section to read as follows:
A. Each agency shall develop a business plan, which shall include:
1. Policies and prioritization criteria affecting implementation, including, but not limited to, operational, facilities, asset management, technology and climate action;
2. The agency's results for each of its targets for the last two years and, as available, ten-year results trends;
3. Strategies and actions to be implemented;
4. Specific results and targets to be achieved for the period of the business plan;
5. Identification of the operational and capital resources necessary to deliver strategies and actions, including facilities and technology for the period of the business plan;
6. A financial plan for the period of the business plan;
7. A two-year implementation plan, including detail regarding strategies and actions, additional capital resources, proposed fund expenditures and estimated revenues and targets to be achieved; and
8. Analysis of alternatives considered and the estimated costs, as well as the criteria used to evaluate alternatives to accomplish goals and objectives.
B. Each business plan must align to the vision and policy priorities, as well as reflect policies contained in other county planning documents adopted by ordinance.
D. Business plans shall be transmitted with the executive's proposed budget consistent with K.C.C. 4.04.030.
NEW SECTION. SECTION 8. There is hereby added to K.C.C. chapter 2.10 a new section to read as follows:
A. By February 28 of each budget adoption year, the council shall adopt a motion regarding the vision and policy priorities and strategic innovation priorities.
B. The motion shall reflect:
1. The council's review of the vision and policy priorities report required by subsection 12; and
2. A review with the separately elected officials of results, trends and emerging issues related to achieving the vision and policy priorities.
NEW SECTION. SECTION 9. There is hereby added to K.C.C. chapter 2.10 a new section to read as follows:
A. A county performance management advisory committee shall be established to facilitate legislative and executive branch collaboration and to review and make recommendations to the executive and the council regarding the performance management and accountability system.
B. The committee shall consist of:
1. The chair of the council, who shall serve as cochair of the committee;
2. The chair of the council's budget and fiscal management committee or its successor;
3. The chair of the council's committee of the whole; and
4. The executive, who shall serve as cochair of the committee.
C. The committee is charged with review of and making recommendations to its members' respective branch of government for the:
1. Vision and policy priorities and recommendations of the corresponding cross-functional strategic teams;
2. Strategic innovation priorities;
3. Performance results reporting; and
4. Opportunities for cross-branch performance management and accountability system collaboration.
B. The committee shall work on a consensus basis, respecting that recommendations of the committee are not binding.
NEW SECTION. SECTION 10. There is hereby added to K.C.C. chapter 2.10 a new section to read as follows:
A. An interbranch team shall be established to support the performance management advisory committee.
B. The interbranch team shall consist of:
1. Up to three staff designated by the executive;
2. Up to three staff designated by the chair of the council;
3. One member of each cross-functional team, as designated by each team; and
4. The county auditor as an ex officio member.
C. The interbranch team shall be cochaired by one of the executive and chair of the council designees.
D. The deputy county executive and council chief of staff shall serve as advisors to the interbranch team.
NEW SECTION. SECTION 11. There is hereby added to K.C.C. chapter 2.10 a new section to read as follows:
A. A cross functional strategic team shall be established for each of the goals identified in the vision and policy priorities.
B. Cross functional strategic teams shall:
1. Annually review the internal and external performance and financial data, trends and capabilities associated with achieving its goal and objectives;
2. Identify opportunities or conditions that have a likelihood of affecting the county's achievement of its goal and objectives;
3. Identify solutions and coordinate the achievement of its goal and objectives;
4. Make recommendations to the performance management advisory committee for the results, measures and targets of its goal and objectives;
5. Facilitate cross-agency collaboration and alignment of strategies and activities to improve efficiency and effectiveness;
6. Transmit to the executive and members of the performance advisory interbranch team an annual goal report summarizing the results, challenges and opportunities by July 31 of each year.
C. For each goal, the team shall consist of:
1. The separately elected officials or their designees responsible for implementing the strategies and activities of the goal;
2. The executive-designated department or division directors responsible for implementing the strategies and activities of the goal;
3. One staff designated by the executive; and
4. One staff designated by the council.
D. The office of performance, strategy and budget, shall convene and facilitate the teams, as charged by the performance management advisory committee.
NEW SECTION. SECTION 12. There is hereby added to K.C.C. chapter 2.10 a new section to read as follows:
A. The executive shall post the vision and policy priorities report on the county's website and transmit a vision and policy priorities report by September 30 of each non-budget adoption year. The report shall be filed in the form of a paper original and an electronic copy with the clerk of the council, who shall retain the paper original and distribute electronic copies to all councilmembers and separately elected officials.
B. The vision and policy priorities report, produced by the office of performance, strategy and budget, shall reflect the results identified in business plans and reports transmitted by the cross functional strategic teams as identified in section 11 of this ordinance. The report shall include, at a minimum, an evaluation of:
1. The status of achieving the stated goals and objectives; and
2. The effectiveness of the strategies and activities in achieving goals and objectives.
NEW SECTION. SECTION 13. There is hereby added to K.C.C. chapter 2.10 a new section to read as follows:
A. The auditor shall annually conduct an audit of at least one goal of the vision and policy priorities in order to assess the county's effectiveness and efficiency in achieving its goals and objectives.
B. The audits shall include, at a minimum, an assessment of:
1. The stated goals, objectives and strategies;
2. The effectiveness of the strategies and activities in producing the desired results;
3. The measures and measurement of target achievement; and
4. The relationship between resource allocation and achievement of results.
C. The audits shall also include findings [consistent with] the achievement the goal.