A rational framework for public sector scrutiny?

• Strengthening accountability, governance & control

• Prioritisation of principles of effective scrutiny• Allocation of responsibilities, including lead roles• Strengthening the citizen & service user focus

The Place of Scrutiny within Public Service Delivery

Service users

ScrutinyRegulation

AuditInspection

Complaints Handling

Service providers

ImprovementStandardsAssuranceRedress

Scottish Parliament

ScrutinyCommittees, Ombudsman, Commissions

Scottish ExecutivePolicy making, and evaluation

80%10%

Validation Advice

Disseminationof Good Practice

Of which 0.05%SeriousService Failure

Investigation

Innovative ServicesResponding to Individual User

Needs

Standard Service Distribution

10%

The regulatory response to risk

Risk emerges over time

Misperceptions areNot communicated

Specific incident

Amplified by mediaIncomplete public debate:“Something must be done!”

Risk perception emergesNot always backed up by facts

Unreasonable expectationsAbout what can be achieved

Pressure on governmentAs the default risk manager

Regulatoryresponse

Some unidentified side effectsSome hazards

prevented

Frustration withState interference

Diminished civil libertiesAnd enterprise

More regulatoryAction needed

(regulatory creep)

The Scrutiny Maze – Information sharing arrangements

Care Commission

SWIA

Mental Welfare

Commission

SFHEFC

HMIC

Audit Scotland HMIP

HM Fire Service Inspectorate

NHS NSS

NHS QIS

HMIECommunities

Scotland

OSCR

SPSO

Information Commissioner

Water Industry Commissioner

WaterWatchScotland

Drinking Water Quality Regulator

SEPAHSE

The Scrutiny Maze – Joint scrutiny 2001-2006

Care Commission

SWIA

Mental Welfare

Commission

HMIE

HMIC

Audit ScotlandHMIP

HM Fire Service Inspectorate

Inspectorate of Prosecution

NHS QIS

WaterWatchScotland

Drinking Water Quality Regulator

Comprehensive Performance Assessment 2007

Direction of travelImproving strongly

Improving wellImproving adequately

Not improving adequately/Not improving

CPA category4 stars3 stars2 stars1 star0 stars

Corporate assessmentAmbition

PrioritisationCapacity

PerformanceManagementAchievement

Use of resourcesFinancial reporting

Financial managementFinancial standing

Internal controlValue for money

ChildrenAnd young

people

SocialCare

(adults)Housing Environment BenefitsCulture Fire

Comprehensive Area Assessment – a new model

Neighbourhoodarrangementsand parishes

Otherpartnerships:

Children’strusts/CDRPs/

Health andwell being

Localstrategic

partnership/Council

Central government/Government

office

Neighbourhoodcharter

PartnershipDelivery arrangements

National and localtargets/information

Nationaloutcome

requirements

Residential and customer

intelligence

Reports fromInspectorates

and otherAgencies,especiallyconcerningvulnerable

people

RISK

ASSESSMENT

Local improvement

Activity

Sector selfsupport

Peer challenge/peer review

Risk-basedInspection/

Assessment,especiallyconcerningvulnerable

people

Directive actionreferral toSecretaryof State

Improvement notices/intervention

Sustainablecommunity strategy/

Localdevelopmentframework

Local areaagreement:

Nationaland localoutcomes

LSP evaluationof local areaperformance

Individualbody selfappraisal

Local scrutinyand otherevidence

Performanceinformation

Audit/useof resources

Direction of travel

Structures Outcomes delivery framework Risk-based assurance Improvement support

Dimensions of Best Value

1. Commitment and Leadership2. Sound Governance at a Strategic and

Operational Level3. Accountability4. Sound Management of Resources 5. Responsiveness and Consultation6. Use of Review and Options Appraisal 7. A Contribution to Sustainable Development8. Equal Opportunities Arrangements9. Joint Working