Executive Management Team Tuesday 15 September 2015 at 10.30 a.m.

Ochil House, Stirling AGENDA

Paper

1. Apologies

2. AOB – (1) Business Plan 2016/17 (2) New Corporate Website

EMT report - Draft timeline BP1016-17.docx

3. Minute of Meeting held on 6 August 2015

Accuracy Matters Arising

EMTMinute6August2015.doc

4. Board Agenda

Agenda24September

2015.doc

5. Managers Event De-brief

Verbal

6. LSM Consultation Exercise

High level summary of LSM consultation.docx

New LSM role Jan2015.docx

7. Performance Management Framework

Performance Management Framework - Board Report August 2015 v2.docx

8. Spending Review – draft Board report

Spending Review Board report Sep 15.doc

9. Operational Support for Ayrshire & Dumfries

Draft AS_LDG -

additional resourcing - EMT report - v 6 040915.doc

10. Property

Rivergate House, Irvine

Inverness & Stornoway Perth

2015-09 Irvine update.doc

Item102015-08 Inverness and Stornoway.docx

Item10Perth.docx

11. 2016/17 Budget Timetable

Draft 1617 budget timetable.docx

12. Single Corporate Drive

EMT Paper - Single Corporate Drive.doc

13. CMS User Support Update

CMS User Support Update to EMT 07 Sept 2015.docx

14. Risk

Strategic Risk Register

New Risk

April15Strategic Risk Register.doc

15. Date of Next Meeting: 20 October 2015

1

Scottish Children’s Reporter Administration Executive Management Team

Minute of Meeting held on 6 August 2015

Present: Neil Hunter (Chair), Tom Philliben, Alistair Hogg, Malcolm Schaffer, Susan Deery In attendance: Janis McDougall Apologies: Ed Morrison

Timescale Action

1. Minute of Meeting held on 11 June 2015 The minute was agreed as a correct record. Matters Arising: Complaints: Noted: The Head & Practice & Policy and Senior Operational Manager (North West) will attend a forthcoming Ombudsman event. OD Strategy Noted: The strategy has been discussed at the National Partnership Forum and the recent meeting of the Forum considered the Management Standards. Translation & Interpretation Noted: 1. The paper setting out SCRA’s national position on

translation and interpretation is being finalised by the Practice Manager. The timescale for circulation of the final version is end August 2015.

2. Discussion will take place with Scottish Government and it is proposed to hold a special session on the issue of translation and interpretation at a future CHIP meeting.

Environmental Reports Noted: The reports were submitted to the June Board meeting. Digital Strategy Noted: An update on the progress of the Digital Strategy was given at the recent National Partnership Forum. The group expressed that it is content with the approach and direction of travel.

Aug 15

MS

2

Timescale Action

2. EMT Off-line Approvals Noted: EMT has dealt with the following two reports off-line:

Capital Budgets - Minor Works – noting the programme of priority works and additional emerging works as detailed in the report. Agreed to review the budgetary position again at the end of Quarter 2.

Gladstone Place – agreed to accept the offer as detailed in the report and to instruct our solicitors, to work towards early conclusion of this transaction.

3. Research Officer Business Case Noted: 1. The report detailing the business case for recruitment

to the vacant Research Officer post. 2. The implications for the work of the research team if

the vacancy is not filled particularly in the light of the wide range of functions performed by the Information and Research Manager around data protection/publication scheme/records management.

Agreed: 1. In principle to support recruitment to this post but in

the first instance to hold the post vacant for a period of three months (as with other posts). A further review to be undertaken on filling the vacancy at the conclusion of the three months taking account of the operational/budgetary context.

2. In the meantime there is the potential for the remaining Research Officer to work additional hours.

4. Records Management The Head of Practice & Policy updated members on the significant amount of work underway/required in relation to SCRA’s Records Management Plan. Noted: 1. The Head of Practice & Policy is reviewing options

within his Team to provide additional support to the Information & Research Manager to undertake this work.

2. Arrangements will be made for appropriate awareness of the Plan by the Board – options are report to November Board detailing the Plan or reference the Plan at the September meeting and remit to EMT to finalise this for submission to the Keeper of the Records of Scotland.

Sept 15

NH/JMcD

3

Timescale Action

5. Rivergate House, Irvine Noted: 1. The Care Inspectorate will be vacating Irvine at the

expiry of their Memorandum of Terms of Occupation. 2. A further report will be submitted to the September

EMT outling proposals for the provision of appropriate hearings facilities for North Ayrshire.

Sept 15

EM

6. PSN Noted: 1. The issues surrounding local authority secure email

addresses from August 2015. SCRA require local authorities to have, as a minimum a secure team mail inbox for receipt of electronic communications.

2. The current MOU’s will local authorities will need to be revised.

3. SCRA needs to ensure that all Reporters send emails to secure addresses – there is evidence of poor practice in this area by Reporters.

4. Police Scotland have indicated they will write to SCRA to outline their concerns around electronic communications.

Agreed: 1. The Head of Practice & Policy will raise this issue at

IG Leads Group. 2. PR/CE, SIRO, Head of Finance & Resources, and

Head of IT to meet with Paul Craig, Head of Cyber Security and Sponsor Team. (Head of Planning & Strategy to prepare draft letter seeking meeting).

Sept 15

EJ

7. Staff Survey 2015 Noted: 1. The results of the 2015 Staff Survey and the 7 year

analysis. 2. The Health & Wellbeing Group scheduled to meet on

12 August 2015 will review the results. 3. The general message from the results is that progress

is being made. 4. The focus going forward will be to reassess

interventions, continue to build on successes and to identify where improvements are needed.

5. The results will be included in the Chief Executives routine report to the September Board and will also feed into the planning process.

6. The Chair has already been provided with the analysis and is supportive of the response rates and results. The Chair will also follow-up with Board members on the wider issue of a staff reward scheme and the Partnership view on this.

4

Timescale Action

General: A comparison of pay, terms and conditions is undertaken by the HR Team for every Pay Remit. It was agreed it would be helpful to conduct a broader benchmarking review for the next Pay Remit.

By Dec 15

SD

8. Audit & Risk Committee Noted: 1. The agenda for the Audit & Risk Committee meeting

on 20 August. 2. Issues arising during discussion of the agenda items

as follows:

At the recent Practice & Quality Network meeting, there was an acknowledgement from the Locality Reporter Managers that they were feeling out of touch with day to day practice/case work. Options will be explored to address this.

Case sampling – there is a consistent theme from case sampling reports of poor recording and non-compliance. There is a need to look at ways to measure compliance beyond case sampling. The Performance Review meetings will build in an practice element.

The potential to have categories/degrees of compliance rather than straight compliance or non-compliance.

Devolution/empowerment is set within a framework and Practice Direction is one of those parameters.

9. Managers’ Event 9 September 2015 Noted: The proposal to extend the session for Locality Reporter Managers in the form of an informal network meeting for the afternoon session. This will be discussed at the event planning meeting scheduled to take place next week. The potential to use the session for action learning sets was noted.

Aug 15

NH

10. Operational Group Minute of 29 May 2015 The draft minute was noted.

11. UNISON Correspondence Noted: The HR Manager will prepare a response to the correspondence received from UNISON in relation to creation of new roles and subsequent recruitment to posts.

Aug 15

SD

5

Timescale Action

12. Central Locality Management Noted: Options will be explored in relation to future management requirements for Central Locality but in the meantime support will continue to be provided from South East.

13. Head of IT – Joint Post Noted: The recruitment process has now been completed and arrangements being finalised prior to announcement of successful applicant.

At the conclusion of the meeting, the PR/CE referenced that this was Elliot Jackson’s last EMT meeting prior to taking up his new appointment as Depute Chief Executive with CHS. Neil Hunter thanked Elliot for his significant contribution to the work of SCRA – he was a valued member of the team who would be missed by all his colleagues and wished him well in his new role.

Papers

1.1 AOB

1.2 Apologies

2. Declarations of Interest

3. Updates

4. Minutes

4.1 Minute of Meeting held on 25 June 2015 Board Action Log and Workplan Matters Arising

4.2 Nominations Committee

Draft Minute of 6 August 2015

4.3 Audit Committee

Draft Minute of 20 August 2015

Reports

5. Programme of Meeting Dates

6. Chief Executive’s Report

7. Organisational Performance Report

8. Senior Operational Managers Review and Development of Functions

9. Performance Management Framework

10. Budget Monitoring

11. Efficiency Plan and Procurement Update

12. Draft Spending Review Submission

13. Annual Report

14. Annual Accounts

15. Communications Strategy

16. OD Strategy

17. Records Management Plan

18. Health & Safety Annual Report

19. New Risks

20. Date of Next Meeting: Board Development Day: 5 November 2015 Routine Board Meeting: 10 December 2015

SCRA Board Meeting

Thursday 24 September 2015 at 10.30 a.m.

Ochil House, Stirling

A G E N D A

High Level Summary of LSM Consultation Exercise Following the LSM consultation programme, which took place June through to August, a high level summary of responses to the consultation is outlined below. The purpose of the consultation was to identify the business need for the new role and to determine the current duties undertaken by LSMs to support the review of the current JD.

Description Outcome Possible Action

Involved in JD development

Less than half of LSMs were involved in the development of the JD (44%). Overall 72% of those staff who should have been involved in the role development were not.

Action Complete – consultation exercise to identify duties of current LSM role and business need for proposed role

Accountability within LMT

70% agree that LSMs are a full member of LMTs but that the LRM role has final accountability for the actions/decisions of LMT. (broken down by 74% of LSMs, 64% of LRMs and 83% of EMT)

Revise the proposed JD in terms of tone to reflect final accountability lies with LRM

Final Decision Maker in area of contention

70% of respondents advise that where there required a final decision maker the LRM role would be the one to take that decision – this was broken down by 83% of EMT, 74% of LRMs and 64% of LSMs.

Consider accountability of role in JD

Added value of proposed JD

44%* of staff involved in the consultation see that there is added value of the role as proposed in the new JD. Less that 40% of LSMs see a value of the new role and less that 50% of LRMs see the added value. There were a range of comments as follows:- LRMs still driving the bus - don't believe LSMs do this. Proposed JD is aspirational

LSM are the engine room of the locality and the new role would allow them to take on more responsibilities, releasing LRMs for practice issues.

LSM should be more accountable and involved but can't see business need for new role

LSMs involved in operational and strategic aspects and the role has evolved from command and control to staff engagement. Collegiate management and accountable for implementation of decisions.

More LSM responsibility has created change but the new role would not necessarily add value

No added value and can't see where the need for the new role came from

Role not needed and doesn't happen so can't see the value in the role.

The autonomy implicit in the new role would free the LSM to make swift day-to-day decisions.

Would provide a strong leadership focus for Support staff.

Accountability. LSMs are perfectly capable of making changes to process e.g. IT. LRMs not always best placed to take things forward. Liked JD as it was filling a gap that is there e.g. consistent process and customer care

*(EMT 50%, LRM 44%, LSM 44%)

Do we consider 56% a big enough divide re added value

PA1 – Lead, direct and manage all staff groups ……

70%* advise that LSMs do not lead and direct ALL staff groups. This accountability should be focused on admin only, where LSMs do lead the admin group, sometimes in seeking advice from the LRM. LSMs involved in wider discussions and decision making as part of LMT that may affect all staff groups and may be first point of contact for issues such as IT and admin processes for all staff. *(EMT 100%, LRM 76% and LSMs 57%)

Revise JD

PA 2 - Jointly develop strategic/operational objectives….

90%* of those consulted agreed that LSMs jointly develop strategic and operational objectives and are fully involved in the planning process, being responsible for leading a number of objectives that are admin related or have a locality wide impact e.g. processes *(EMT 100%, LRM 88%, LSM 87%)

Review wording but agree with responsibility

Accountable for admin performance

81%* agreed that LSMs are accountable for the admin performance within the Locality. They would be expected to monitor KPIs and take appropriate action. *(EMT 67%, LRM 80%, LSM 87%)

Review wording and perhaps split this accountability into two PAs.

PA 3 – Joint accountability within LMT to manage risk and performance

Overall 52% stated that the LSM role has joint accountability within LMT to manage risk and performance across the locality. However, this is slightly skewed due to 70% of LSMs agreeing they have this accountability. 100% of EMT and 52% of LRMs don’t agree that LSMs have joint accountability in this area. Suggest that accountability for risk remains with LRM and LSM provides insight, support and implementation of decisions in response to risk. Performance already dealt within PA 2

EMT to agree where risk likes. Potentially review JD

PA 4- Lead the Locality on IT, performance and process….

63%* agree that the LSM leads the Locality on the implementation of IT related issues and other processes. LSMs are responsible for the laptop in hearings, the first point of contact for CMS issues locally. Performance already dealt with in earlier accountability. *(EMT 83%, LRM 60%, LSM 61%)

Review JD to ensure performance covered in earlier PA and more specifics around accountability for IT/process

PA5– Recruitment/ induction/ absence management etc.

This accountability should be related to support staff only – number of comments on the limited opportunities to develop in this area. LSMs may be part of discussions re Reporters in LMT but not responsible for Reporter role

Ensure wording is appropriate in JD

PA6 – Joint Accountability for budget management

52%* agreed that LSMs are jointly accountable for budget management within the Locality. Further to that 61%^ of all respondents are clear that final budget accountability lies with LRM but LSM jointly manages the budget process through monthly monitoring, discussions in LMT and FPM/petty cash. *(EMT 33%, LRM 52%, LSM 56%)

^(EMT 83%, LRM 60%, LSM 57%)

Ensure clarity of wording in JD

PA 7 – Represent Localities with external partners

57%* advise that the LSM does not represent Localities with external partners. A large number of LSMs attend meetings with LRMs to be able to respond to admin issues but that accountability feels slightly different to representing SCRA at meeting. Where they are involved on an individual basis it is normally with ASTs re hearings schedules/rotas etc. A number of respondents felt that this could perhaps be developed for the future *(EMT 50%, LRM 56%, LSM 61%)

Consider whether this accountability should remain within the JD for future development

PA 8 – Arranging and chairing LMTs and improving comms across the locality

70%* of all respondents advise that LSMs do not arrange and chair LMTs. This has historically remained as the role of the LRM. The LSMs may take the action note of the meeting and circulate and may communicate beyond the LMT to the wider locality regarding actions. A number of respondents felt that there this function could be better developed in the future. *(EMT 33%, LRM 76%, LSM 74%)

Consider whether this accountability should remain within the JD for future development

PA 9 – Lead on SARs and data breaches

73%* advise that LRMs have accountability for leading on data breaches. The LSM can and does investigate the issue particularly when it is related to support staff breaches and will take the learning back to the staff group. In one or two localities, whoever picks up the breach investigates it, regardless of staff group. However, in the majority the LRM has the responsibility for ensuring data breaches are signed off and recorded appropriately. Nearly 100% of respondents advise that SARs are dealt with by I&R or Practice Teams. *(EMT 100%, LRM 80%, LSM 57%)

Consider wording of this accountability to remove SARs. Replace the word lead with investigate

PA 10 – Act as Fire Risk Assessor

87%* agree that the LSM should act as the Fire Risk Assessor across the Locality. There was some commentary that anyone could carry out the role but that the LSM was well placed to do so. *(EMT 83%, LRM 92%, LSM 83%)

No further action

Requirement for HND/DPSL

50%* advise that LSMs should hold an HND and the DPSL. However, nearly half of all LSMs don’t agree with the need for those qualifications. *(EMT 50%, LRM 64%, LSM 35%)

Review need for qualifications given low response by LSMs themselves

Business Need for role

46% of staff involved in the consultation agreed there was a business need and 50% did not see a business need for the new role. This breaks down further in that 48% of LRMs and 48% of LSMs see a need for the role and the same percentages again do not see a need.. (EMT 33% Business Need – 67% No Business Need). A number of comments were made by those identifying a business clarifying the need to reduce LRMs if the proposed LSM job were implemented and in the no business need category a number of comments to pitch a revision of the current LSM role not as high as the proposed JD but somewhere closer to the current JD.

Decision required on business need for role.

Next Steps EMT to consider the data Review the Job Description in light of the consultation process – who does that EMT/HR or LSMs/ HR Sub Group Reviewed by Job Evaluation Committee Benchmark the role of LSM across public and private sector for salary comparison

1. JOB TITLE LOCALITY SUPPORT MANAGER 2. JOB PURPOSE

As part of the Locality Management Team, lead and manage staff across the Locality, with specific responsibility for administrative support services. To deliver an effective and efficient service to children and families, ensure that resources are directed, monitored and maintained in response to competing and changing priorities.

3. ORGANISATIONAL POSITION Immediate Line Manager Locality Reporter Manager Peers Reporters and Assistant Reporters Other LSMs Business Manager / Partners Management Responsibilities Support Staff in the Locality 4. DIMENSIONS Support staff in locality team Approximately 10 FTE Cash Handling Petty Cash up to £1500 Budgets Authorise day to day spend and invoices up to value of £5k Jointly manage budgets ranging from £1.1 million to £2.8 million 5. PRINCIPAL ACCOUNTABILITIES

As a member of the Locality Management Team, effectively lead, direct and manage Locality staff, creating a high performing, high morale environment working collaboratively with Locality Managers and staff partners in the deployment of locality resources jointly taking decisions with regard to all staff groups.

Jointly develop the locality plan to reflect the Locality’s strategic and operational objectives. With specific responsibility for administrative casework and child/family liaison, manage and direct the operation, performance and workload of the Locality as a member of the Locality Management Team (LMT) ensuring that adequate support is directed where required, including

Outreach Hearing Centres, to enable the delivery of an effective and high quality service for children and families which meets the SCRA Customer Charter.

As part of the LMT, manage risk across the Locality including tracking performance and KPIs, outstanding CMS tasks, work queues and work processes as well as jointly ensuring that the Locality meets their Information Governance and Data Protection responsibilities and that data is held securely. Monitor and manage work across staff groups to ensure that quality standards are met, liaising with staff to highlight any areas of concern and support all staff to resolve issues in the management and processing of caseloads.

Lead the Locality Team with regard to IT, performance and process issues, hearing room equipment, training as well as provide first line CMS support to all staff in the Locality.

Nurture and develop talent within the Locality through effective recruitment, induction, absence management, efficient performance management and supervision, ensuring that SCRA policies and practice instructions are properly communicated and implemented.

Jointly manage the devolved locality budget which includes accurately forecasting, analysing, reconciling and monitoring Locality spend on a monthly, quarterly and annual basis with responsibility for reimbursement of Travel & Subsistence, payroll processes, the use of petty cash and GPC processes in compliance with SCRA’s financial policies and procedures.

Participate and actively contribute in a range of SCRA meetings and projects. Represent the Locality at partnership meetings with Police Scotland, Social Work and Panel Chairs/ASTs to improve administrative processes and protocols as well as on a range of matters such as non-disclosure and data reports.

Working closely with the Business Support Team ensure that supplies, services and properties are adequately managed and maintained Arrange, chair and support Locality meetings including co-ordinating schedules, accessing and distributing information etc, providing administrative expertise where required. Actively maintain and improve links within the Locality to ensure the free flow of information between Support Staff, the Business Support Function, Locality Reporter Managers and Reporters.

Liaise and engage with Head Office colleagues and Support Services Business Partners on a range of issues including subject access requests, data breaches, Finance, Performance information and staff management issues.

Implement SCRA’s health and safety policies and procedures and act as local designated Risk/DSE Assessor, Fire Risk Assessor ensuring accident and

incident reports are maintained as well as undertake monthly H&S Facilities checks.

6. QUALIFICATIONS, TRAINING, EXPERIENCE, KNOWLEDGE AND SKILLS

HND in relevant discipline or equivalent experience.

2 years experience of providing administrative services.

Diploma in Public Service Leadership or equivalent or willingness to work towards

Excellent interpersonal and people management skills, including nurturing and motivating staff.

Excellent communication skills, oral and written.

The ability to foster and contribute to collaborative working.

Excellent partnership working with partners and staff and commitment to employee engagement strategies.

Driven towards continuous improvement.

Excellent administrative skills.

Ability to handle difficult or challenging situations.

Flexible and adaptable approach.

Competent in the use of Microsoft Office applications. 7. COMMUNICATIONS Internal All SCRA staff External Children and families, panel members, staff in other agencies, suppliers and contractors 8. PRINCIPAL CHALLENGE Leading the Locality, work collaboratively to ensure that resources are properly directed, managed and maintained, and nurture a high performing, highly motivated team in delivering an effective and efficient service to children and families against a background of competing and changing priorities.

SCOTTISH CHILDREN’S REPORTER ADMINISTRATION

Performance Management Framework

Accountable Director: Chief Exec/Principal Reporter Date: 24 September 2015

Recommendation:

To note the improvements to SCRA’s Performance Management Framework, the steps already taken to implement the new framework, and the further steps planned to enable full implementation.

Reason for Report: Board to note

Resource Implications: Within available resources

Strategy: Within agreed plans

Consultation: Locality Managers and Business Partners

Document Classification: Not protectively marked

PERFORMANCE MANAGEMENT FRAMEWORK 1 Introduction 1.1 The purpose of this report is to advise the Board of a series of changes that

are planned in SCRA’s planning and performance management mechanisms, and of progress that has already been made in implementing these changes.

2 Background 2.1 One of the actions in SCRA’s Business Plan 2015/16 is “We will adjust our

performance management framework to better link organisational, locality and individual planning, and to include accurate reporting, analysis and appraisal of locality performance”. This is a key element in the Sustainability, Quality & Performance Strategy.

2.2 This paper sets out proposals that will deliver the required improvements to

SCRA’s Performance Management Framework (PMF). Development of these proposals has taken account of parallel developments relating to the Review and Development of Functions of Senior Operational Managers (SOMs) and the creation of an Organisational Development Strategy (ODS). The proposed PMF sets out an integrated approach that incorporates key elements of the revised SOM role and of the ODS.

2.3 In March 2015, a briefing paper was prepared for EMT outlining the plans to

develop an enhanced PMF. This highlighted the key aims of this work, the approach that was envisaged, and the intention to link this work to recommendations within the Review and Development of Functions of Senior Operational Managers, and the Organisational Development Strategy, to maximise cohesion of our emerging approaches. It also provided information on the consultation on this work that had taken place at the Performance Improvement Network (PIN), and on the changes to locality planning guidance that were being made to enable transition to the emerging PMF. The intention was to introduce these changes during the 2015/16 planning cycle which was already underway, rather than wait for completion of the framework and have to wait a further year to reap the potential benefits. The EMT response to the overall approach was positive, and approval was given for new guidelines for Locality Plans, with adjustments to the timescales for their completion and for the setting of appraisal objectives for 2015/16 to ease the transition.

2.4 Review of the PMF and design work on its improvement has now been

completed, and implementation of the new framework is well underway. This paper sets out the PMF itself, defines its aims, identifies the main areas that required improvement, explains how these are to be addressed, summarises progress to date in implementation, and sets out the timescales for full implementation.

3 Review of the Performance Management Framework 3.1 Although planning and performance management mechanisms are well

established within SCRA, there has been recognition for some time that there was scope for improvement in some of these mechanisms, and in how well these are integrated. The effectiveness of our planning processes, particularly at Locality level, was also questionable, with limited evidence in some cases of monitoring, reviewing, evaluating or achieving successful delivery of plans. Managing alignment of plans at corporate, locality and individual levels within an empowerment ethos was also challenging.

3.2 The key aims of this review were to achieve the following outcomes:

Plans within SCRA should fully align and move the organisation forward in a consistent direction.

Planning should be a core capability within SCRA that enables individuals, localities and the organisation to focus on priorities and drive improved performance, with plans cascaded from organisational level (Corporate Plan, Business Plan), to locality level (Locality Plans), to individual level (Appraisal Objectives).

Performance should be monitored, reported, reviewed and managed at each of these levels on a regular, structured basis, with assessment and evaluation of what’s working, what’s not, and what changes need to be made.

3.3 To achieve this, it was envisaged that the PMF would set out the key steps in

a cyclical process whereby plans are developed, cascaded, implemented and reviewed, within set timescales and following a logical sequence. The cycle would include provision for upward, downward and lateral communication of views on priorities, approaches, targets and outcomes, and for Board and Scottish Government liaison as required. It would also set out the timescales and sequence for monitoring, reporting and review of performance at all levels.

3.4 Several areas of existing arrangements were identified where there was

significant scope for improvement:

Locality planning took place on an annual basis, which was not well suited to managing longer term developments and improvements. There was no obvious link to SCRA’s Corporate Plan, despite the fact that locality contributions are central to successful delivery of corporate outcomes.

Locality Plans were inhibited by over-prescriptive guidance that essentially required them to mirror in detail the contents of SCRA’s Business Plan. This limited the ability of localities to focus on their own issues, devise solutions within a local context, engage meaningfully with staff about priorities and how best to address them, and resulted in plans with limited ownership and commitment.

Locality Plans were not recognised as a framework within which empowerment could thrive, and endorsement of these plans as the main focus of future locality performance was lacking.

Appraisal objectives for managers and staff within localities were not always aligned to the key objectives in Locality Plans, and the potential for using appraisal objectives to focus staff on key elements of plans was often neither recognised nor used.

While monitoring of Corporate and Business Plan delivery and outcomes occurred regularly, this was not mirrored for Locality Plans. In most cases, review of plans did not feature as a key element of Locality Management Team discussions, and there is only limited evidence of effective follow through on delivery of planned actions.

3.5 The revised PMF incorporates the following elements in response to these

identified improvement opportunities:

Locality Plans prepared on a 3 yearly basis, linked to SCRA’s Corporate Plan, and centred on approaches that will deliver key corporate strategies and outcomes but set within a local context. Plans will be updated twice annually following on from a SOM led performance review process.

A less prescriptive framework for locality planning, with a shift from the requirement for every locality to mirror every element of the Business Plan. Instead, there is an expectation that they will consider these and decide which ones they need to address and how best to do so in a local context.

Sign off of Locality Plans by SOMs, with an element of challenge and constructive discussion where lack of alignment with overall national direction may be perceived.

Appraisal objectives for LRMs, LSMs and all locality staff derived directly from key objectives in the locality plan, thereby matching individual and team effort directly to the most important elements of Locality Plans (and, in turn, the Corporate Plan).

Whilst monitoring and review of Corporate and Business Plan delivery and outcomes is unchanged at this point, this will be a major area for improvement at locality level. The introduction of Locality Performance Reviews twice yearly introduces the necessary focus and discipline to locality planning and performance management. These will be SOM led, but fully participative, with the Locality Plan and Locality Monthly Overview Report as key enabling elements. (see section 4)

Re-launched appraisal and supervision arrangements are another key strand, with appraisal objectives matched to Locality Plan objectives providing greater consistency of approach, allowing the cascading of objectives down to individual level, and providing a mechanism to help staff see their part in the big picture.

4 Review of Senior Operational Managers 4.1 Work on revision of the PMF has closely monitored the Review and

Development of Functions of the Senior Operational Managers, and the preceding Review of Devolution and Empowerment (reported to the Board in June 2014 and June 2015 respectively). The underlying concepts covered in these reports, particularly those of SOM practice in an ‘empowered locality model’, development of the SOM role around performance review and

improvement of localities, and the need for enhanced support arrangements, have all being key considerations in the PMF review.

To ensure that the performance review process is operated consistently

across all Localities, it is proposed that a standard approach be adopted for the first round of reviews during September/October 2015. This will subject to review at a future meeting of PIN, with attendance augmented by SOMs, and adjusted if required. There will, of course be an element of variability across Localities due to variability in Locality Plans, but the structure, content and overall approach will be consistent. Key elements proposed are as follows:

4.2 Format and Structure

4.3 The overall environment should be supportive. The process should be

challenging and stretching, but also positive, constructive and fair. It is designed to hold LMTs accountable for performance in delivering their Locality Plan, providing reassurance for the Board, Chief Executive/Principle Reporter and EMT that delivery of corporate priorities is being planned and actively managed in a variety of local contexts. Discussions should be solution/improvement focused, taking account of contextual issues but ultimately centred on sustainable improvement.

4.4 The review will centre on progress in delivery of the Locality Plan and evaluation of the extent to which this is feeding through to successful performance against Locality targets as well as qualitative aspects of performance. It will involve both looking back and looking forward, determining what’s working, what’s not and what needs to change.

4.5 Leading the Review 4.6 The review meeting will be chaired by the SOM for each Locality. This will be

done using an agenda prepared in advance by the LMT (or nominated lead) and agreed by the SOM.

4.7 The agenda will follow the structure of the Locality Plan and, for each

objective in the plan, will explore: Progress in implementing planned actions Assessment of how successful these have been to date in contributing

towards desired outcomes Is targeted performance being achieved/are qualitative measures being

met/are there improvement issues that need to be addressed? Any contextual issues or unforeseen pressures that have impacted on

delivery of the plan or help to explain performance

4.8 There will be assessment of how well balanced performance is across the scope and entirety of the Locality Plan. Operation of the Locality Risk Management Plan will also be examined (in future review cycles this will have been incorporated into the Locality Plan).

4.9 Any decisions reached on planned future actions/adjustments to Locality Plan will be accurately recorded, including details of timescales and accountabilities. This applies to commitments made either by LMT members or by SOMs/Business Partners. An Action Log will be used to capture core information at each review meeting (and monitored at LMT discussions between review meetings).

4.10 Performance and Quality Business Partners will be a key source of support

before, during and after review meetings. Provision of data reports, training/guidance/familiarisation in their use and interpretation, and provision of more detailed or customised reports where needed all fall within the remit of this team. Assistance with preparation of review agendas, re-drafting of plans, adjustments to their content, restructuring of performance discussions, action planning and support/facilitation for improvement initiatives are some of the more obvious areas in which they can also provide support.

4.11 HR, Finance and Practice Business Partners should also be important source of support prior to review meetings. If LMT leads in these areas are to be able to lead discussion in an informed manner, it is likely that they will wish to meet with these Business Partners in advance to ensure that they are properly prepared. 5. The Organisational Development Strategy 5.1 The Organisational Development Strategy (ODS) being considered by the

Board for approval in September 15 (agenda itemXXX) has also had implications for the conduct of the PMF Review, due to the overlap of several of the recommended areas of activity. Areas which are already under consideration from a PMF perspective are centred on driving improved quality and performance and on accessing increased organisational capacity, both of which will involve Quality and Performance Business Partners in promoting the 3 Step Improvement Framework for Scotland’s Public Services and facilitating its deployment.

5.2 The revised SOM role and introduction of bi-annual Locality Performance

Reviews have been embedded in the revised PMF. Other elements mentioned above were explored at a staff engagement event in July 2015. As additional elements of the Organisational Development Strategy are brought closer to implementation, these will continue to be ‘sense checked’ against the PMF. There are no elements of the ODS that conflict with the revised PMF, but it may be necessary to further adjust planning guidance as implementation progresses, to ensure that they continue to align seamlessly.

6. The Revised Performance Management Framework 6.1 The revised PMF is shown at Appendix A. For ease of interpretation, the

boxes lined in red show corporate planning & performance management activity, the boxes lined in blue show locality planning and performance management activity, and the box with the blue shadow shows the most logical starting point from which to follow the cycle. The same general approach is followed each year, but a more in-depth approach is involved

every third year, when a more fundamental appraisal of overall direction and priorities feeds the new Corporate Plan and Locality Plans.

7 Implementation 7.1 Implementation of these improvements is already underway, given the need

to avoid missing the appropriate launch point in the planning cycle and thereby losing the potential benefits for a further 12 months:

Localities have initiated the shift to 3 year planning by projecting their focus and priorities to March 2017. Complete alignment and full 3 year planning will be in place for the 2017/20 Corporate Plan cycle.

New Locality planning guidelines were adopted to better align activity with the Corporate Plan, and enhance the focus on performance and sustainable improvement.

Appraisal objectives for 2015/16 have been linked directly to the key objectives in the updated Locality Plans.

Revised appraisal and supervision arrangements have been implemented, with all managers trained in their operation.

Detailed proposals for operation of Locality Performance Review have been discussed and agreed, with the first round of reviews scheduled for September/October 2015, and evaluation planned before the end of 2015.

Enhanced support arrangements to enable adoption of the revised PMF have also been discussed and agreed, with Head Office business partners providing support and facilitation across performance, quality, HR, finance and practice functions.

The monthly overview report was rolled out to Localities in Spring 2015, and managers are now familiar with the contents and how it can be used. This report adopts a balanced scorecard approach with information across 4 perspectives – performance measures; workload; resource availability (HR & finance); local measures. It enables a more informed approach to analysing performance and making strategic decisions than has previously been possible. Quality & Performance Business Partners are working closely with Locality Managers to support them until they become fully comfortable with their use and capable of gaining optimum benefit.

7.2 The next phase of implementation will centre on adoption of the 3 Step

Improvement Framework for Scotland’s Public Services, aimed at better equipping Localities to manage sustainable improvement, and putting supports for this in place.

7.3 It is intended that regular reporting arrangements to the Board on operation

and evolution of the PMF will be developed, but consideration of the most appropriate medium for doing so has yet to be carried out. This may either involve supplementing an existing Board report or developing a separate, standalone reporting mechanism.

8 Conclusion 8.1 In order to accrue the benefits from introduction of the new PMF as early as

possible, implementation to date has involved adoption of changes concurrent with their development. Inevitably, such an agile approach has involved an element of uncertainty in some case, and Locality Management Teams need to be allowed time to evolve their approaches further. Nevertheless, some early benefits are already being seen, with a noticeable improvement in Locality Management Teams’ commitment to planning and managing performance and more fully engaging staff.

8.2 The new PMF serves to make Locality Management Teams more

demonstrably accountable, requires them to focus more heavily on performance and improvement, and makes their priorities, planned actions and measures much more visible.

8.3 The new PMF will promote greater maturity in the management styles and

capacity of Locality Management Teams, providing a firm basis for the development of high performing Localities.

8.4 Operation of the PMF will be reviewed following each round of Locality

Performance Review, with necessary adjustments being made until it is considered that the framework is operating effectively and fully meeting the needs of the Board, EMT and Localities.

9 Recommendations 9.1 That the Board note the improvements to SCRA’s Performance Management

Framework, the steps already taken to implement the new framework, and the further steps planned to enable full implementation.

Appendix A

EMT & Board set direction &

priorities using:

Key operational priorities

Workforce planning issues

Budgetary overview

Key issues from self assessment

Stakeholder priorities (from surveys)

Performance trends

Environmental scanning

Risk assessment

Consultation with Board &

Scottish Government

Localities consider priorities for next

planning year using:

Issues from performance review

Key operational priorities

Staffing & budgetary issues

Key issues from self assessment

Stakeholder priorities (from surveys)

Performance trends

Environmental scanning

Risk assessment

Mid year adjustments to Locality

Plans (where necessary)

Set appraisal objectives

(aligned to Locality objectives)

Set appraisal objectives

(aligned to Corporate/Business

Plan objectives)

Localities project targets for next

planning year

Locality Performance Review using:

Locality Plans

Locality scorecard reports

Discussion points and actions from

monthly LMT meetings

Commitments made at previous

Locality Performance Reviews

Locality Performance Review using:

Locality Plans

Locality scorecard reports

Discussion points and actions from

monthly LMT meetings

Commitments made at previous

Locality Performance Reviews

Operational Performance Report

Operational Performance Report

Operational Performance Report

Operational Performance Report

Final Locality Plan

Update

(annual)

Final Locality Plan

(3 yearly)

Draft Locality

Plan Update

(annual)

Draft Locality Plan

(3 yearly)

Draft Business

Plan

(annual)

Draft Corporate

Plan

(3 yearly)

Final Business

Plan

(annual)

Final Corporate

Plan

(3 yearly)

APR

MAY

JUNE

JULY

AUG

SEPT

OCT

NOV

DEC

JAN

FEB

MAR

PERFORMANCE MANAGEMENT FRAMEWORK

Ap

pra

isa

l a

nd

su

pe

rvis

ion

at re

qu

ire

d in

terv

als

Ap

pra

isa

l a

nd

su

pe

rvis

ion

at re

qu

ire

d in

terv

als

1

SCRA(SEP15)

SCOTTISH CHILDREN’S REPORTER ADMINISTRATION

Spending Review 2015

Accountable Director: Principal Reporter/Chief

Executive Date: 7th September 2015

Report Author: Head of Finance and

Resources

Recommendation:

1. To comment on the key inputs to the 2015 Spending Review submission

and approve for continued consultation with Sponsor Team.

Reason for Report: For approval

Resource Implications: Outwith approved budgets

Strategy: Outwith approved plans

Consultation: EMT, Sponsor Team

Equalities Duties: An Equalities Impact Assessment has not been carried out.

Document Classification: For Internal Use Only

2

1. Introduction and Background 1.1 In December 2014 the Board approved an updated Financial Plan for the period

2014/15 to 2016/17. The revenue figures used in the plan are attached at Appendix 1. This report sets out the main inputs to SCRA’s Spending Review submission for the period 2016/17 to 2018/19.

1.2 The Sponsor Team and Finance Business Partner have provided a series of

messages on the 2015 Spending Review and these are set out in section 2. Section 3 recaps on information already provided by SCRA in relation to future years funding requirements and section 4 provides an overview of the main inputs to the Spending Review submission. Section 5 outlines the main funding scenarios as discussed with Sponsor Team.

2. Spending Review 2015 2.1 At the Finance Accountability meeting in May 2015 SCRA’s Scottish Government

(SG) Finance Business Partner warned that significant cuts will be made to revenue funding over the period 2016/17 to 2018/19. The Business Partner advised that capital budgets may not be so severely affected.

2.2 It was confirmed at the meeting that the Scottish Government spending review

will cover the three years from 2016/17, with figures at portfolio level expected late September and final figures to be published in late October. Since May the Scottish Government timetable has slipped as a result of a revised timetable for the Spending Review led by HM Treasury which will now be published on 25 November 2015.

2.3 At the May 2015 meeting SCRA were advised to start looking in detail at the

implications for service delivery of different scenarios including standstill and reduced funding. It was suggested that in developing these scenarios SCRA should prioritise its activities as follows:

Legal commitments

Ministerial Commitments

Manifesto Commitments

New commitments for 2016 Election

Current and planned activity in support of the activity above

2.4 The Business Partner advised that where an activity may have to be stopped, the implications, including any possible upfront costs, should be made clear.

3. Information already provided to Sponsor Team

Forward capital figures 3.1 In February 2015 SCRA were asked to provide forward capital figures to the SG

Central Finance Team. Figures were requested for 2015/16 and 2016/17 together with an indication of which projects were legally committed.

3.2 The figures provided in late February 2015 are attached at Appendix 2. Although

not requested figures were also provided for 2017/18.

3

3.3 In relation to the Digital Strategy an accompanying Implementation Plan and

Business Case will be developed in the coming months with support from the SG Digital Transformation Service and this will lead to a refinement of the draft revenue and capital figures shown in Appendix 2.

3.4 SG recently confirmed that additional in year capital funding in 2015/16 and

2016/17 will be made available to SCRA to progress the Perth project. Forward revenue figures 3.5 At the request of the SG Directorate Finance Manager the SCRA Finance Team

updated the December 2014 Financial Plan revenue figures to show required revenue funding over the next two years.

3.6 The updated figures, attached at Appendix 3, largely reflect technical adjustments

for pay (cost of living and progression), pensions (deficit repayments) and national insurance increases (loss of opt-out rebate). It is assumed these staff cost pressures, totalling £620k, are unavoidable. No further staffing reductions were assumed beyond the round five voluntary severance in 2015/16.

3.7 On Property, Travel and supplies and services it was assumed that following the

efficiencies achieved in recent years there is limited scope to make substantial reductions in costs without radical change to SCRA’s business model. Legal expenses and Hearings costs (including translation, interpretation and outreach hearing centre hire costs) are expected to increase.

3.8 Benefits Realisation Programme (BRP) savings will be delivered as SCRA moves

increasingly to electronic communication with partners and completes a panel papers proof of concept in 2015/16. Finally it is assumed that current levels of income can be maintained in the short term.

3.9 The resultant required revenue grant in aid is £21.442m for 2016/17 and

£21.771m for 2017/18, representing year on year increases of 3.1% and 1.5%, based on a baseline of £20.8m for 2015/16.

Spending Review meeting July 2015 3.10 At the May 2015 Finance Accountability meeting it was agreed that additional

meetings would take place over the summer to allow a closer look at Spending Review issues. The first of these meetings took place on 14th July 2015.

3.11 It was confirmed that the implications of standstill funding and 2% and 5%

reductions in revenue funding should be assessed. It was acknowledged by Sponsor Team that a cash reduction of 2% was in effect a real terms reduction of 5% when the impact of pay, national insurance and pension pressures is added.

3.12 It was agreed at the meeting that the Spending Review submission should

positively set out SCRA’s contribution to Scottish Governance policy priorities. Examples given by Sponsor Team included equality of opportunity, poverty, educational attainment, preventative spend (early intervention) and permanence.

4

3.13 Pay strategy was discussed and Sponsor Team acknowledged the difficulties experienced prior to agreement of the multi-year award ending in March 2016.

3.14 The consequences of a further reduction in staff numbers on performance, delay,

service quality and risks to individual children and young people was discussed. 4. Inputs to the Spending Review 4.1 At a meeting on 29th July 2015 EMT agreed a number of inputs to the Spending

Review 2015 submission. The first grouping covers the organisations statutory roles and functions and how these have developed and continue to develop, including the following areas:

Children’s reporters – functions, changing workforce, current demands, future direction and shape.

Operational managers – reshaping into current arrangements , contribution to partnership and interagency work/community planning.

National support functions – significant reshaping and value add, policy and practice, strategy and planning, senior management arrangements.

Research and data – shape of function and value add. 4.2 The second grouping concerns six key cross cutting themes as follows:

Delivering quality outcomes and personalisation of service

Early intervention and a focus on very vulnerable children

GIRFEC and the hearing system

Working with 16/17 year olds and links to the Youth Justice Strategy

Vision for the hearing system

Increasing complexity 4.3 The third and final grouping covers key SCRA’s programmes including:

Reporter decision making

Court

Workload

Digital 4.4 The narrative supporting these Spending Review inputs will be informed by

workload data, workforce trends and data, spend data, audit reviews, case sampling, referral trends and data, research and surveys.

5. Main revenue funding scenarios 5.1 The Head of Finance recently clarified with the Finance Directorate that the 2%

and 5% revenue reductions should reflect the difference between revenue funding levels in 2015/16 and 2019/20.

5

Required revenue funding 5.2 Appendix 3 sets out SCRA’s revenue funding requirement over the first two

years of the Spending Review period. Funding at this level is required to allow SCRA to continue with its modernisation programme, continue to work closely with partner organisations to implement the Children and Young People (Scotland) Act 2014 and ensure plans and resources are in place to avoid increasing risks to individual children and young people involved with the hearing system.

Standstill revenue funding 5.3 Revenue funding of £20.8m for 2016/17 and 2017/18 would immediately result

in budget gaps of £640k and £970k respectively as a result of unavoidable increases in pay, national insurance and pensions costs. These budget gaps assume SCRA maintain income at current levels and include no allowance for general inflation.

5.4 Further efficiencies would be insufficient to cover these budget gaps. Under this

scenario a reduction of around 10-15 FTE posts by March 2016 would be needed at an upfront cost in 2015/16 of £500-£700k. This would necessitate immediate and seismic changes in locality support processes (e.g. centralised copying and printing), a material reduction in management, significant scaling back of Head Office services and a far more aggressive approach to rationalisation of outreach hearing centres .

5.5 Standstill funding would impact SCRA’s ability to deliver manifesto

commitments, hampering SCRA’s ability to engage in government programmes (GIRFEC, education attainment) and relegating customer care/engagement to an ancillary activity.

2% revenue funding cut by 2019/20 5.6 Assuming the 2% funding cut was frontloaded in the first two years this would

immediately result in budget gaps of £0.8m and £1.2m respectively as a result of reduced grant in aid of £400k per annum by 2017/18 and unavoidable increases in pay, national insurance and pensions costs. These budget gaps are on a cash basis and do not reflect the real terms reduction as no allowance is made for the effects of inflation.

5.7 In order to operate within these stringent financial constraints, SCRA would, in

addition to the measures in 5.4, need to consider the affordability of the LGPS for new members of staff and halt further development of core IT systems, notably CMS. As a result SCRA would be unable to take advantage of technological changes and the resulting efficiencies, thus not freeing up staff time towards more value-added/statutory activities.

6

5% revenue funding cut by 2019/20 5.9 In order to operate within these drastic financial constraints, SCRA would be

forced, in addition to the measures in 5.2 and 5.3, to impose a medium- to long-term pay freeze, contrary to the national public sector pay policy recommendations, resulting in a lack of pay parity for SCRA staff in the context of comparative sectors greatly increasing the risk of a loss of skills as staff leave for better paid employment elsewhere. The subsequent detriment to outcomes would be significant due to loss of experience, staffing gaps and the lead in period for new staff.

5.10

SCRA would be forced to consider less risk-averse Information Governance/IT security policy which would be more reliant on softer controls (staff training) than harder (system access) controls, resulting in greater risk of data breaches and harm to vulnerable children and young people.

5.11

SCRA would reduce performance targets and quality standards, resulting in slower decision-making, inconsistent service provision across Scotland and a less personalised service all leading to greater risk to vulnerable children and young people.

6. Conclusions 6.1

Unless funding in the coming years is in line with the scenario in 5.2, SCRA’s ability to deliver on the SG’s priorities and commitments will be adversely impacted. The Spending Review submission will set this out clearly for Ministers.

6.2

There is likely to be less pressure on capital budgets and it is hoped that SCRA’s capital plans as set out in Appendix 2 can be supported in full.

7. Recommendation 7.1 To comment on the draft 2015 Spending Review submission and approve for

consultation with Sponsor Team. Previous Papers: Financial Plan Update, SCRA(DEC14)7 Draft Budget 2015/16, SCRA(MAR15)7

7

Appendix 1

SCRA FINANCIAL STRATEGY 2014/15 TO 2016/17

Forecast Most Likely Most Likely

NARRATIVE Outturn Forecast Budget Forecast Budget

2014/15 2015/16 2016/17**

Staff numbers average in year 396 385 385

£k £k £k

Staff Costs (before new superannuation & NI rates) 16,236 16,688

Removal of discount for opted out schemes 0 300

Staff Costs (pre savings) 16,236 16,988

VR/VER and conversions 368 (155)

Natural turnover (38) (112)

Progression 143 100

Revalorisation / low pay / re-shaping 75 64

Non Consolidation 13 (2)

Employers pension contribution rate increase 300 75

Staff Costs 16,159 17,097 16,959

Property Costs (pre saving) 2,776 2,726

Property Rationalisation (50) 0

Property Costs 2,812 2,726 2,726

Travel & Subsistence 200 198 198

Supplies and Services (pre saving)

Equipment, Software & Maint Contracts 386 386

Printing, Stationery & Photocopying 191 191

Postages 336 336

SCOTS 693 693

Legal fees 120 120

Hearing costs 300 300

Other supplies and services 208 208

Supplies and Services 2,318 2,234 2,234

Unfunded Pensions 200 200 200

Savings Target (342) (340)

BRP savings (65) (375)

Other Income (510) (495) (495)

TOTAL 21,553 21,107

Grant in Aid (20,935)* 20,800 20,280

Surplus/(Deficit) (244) (753) (827)

* Includes 2013/14 carry forward. ** No indication of GiA funding for 2016/17.

8

Appendix 2

Programme 2015/16 £k

2016/17 £k

2017/18 £k

Property 150 400 400

Property (Perth) 170 170 (80)

IT 250 400 200

Digital Strategy 180 1,900 2,200

Total 750 2,870 2,720

Notes:

1. Approved capital grant in aid for 2015/16 is £500k. The Scottish Government have logged additional pressures of £250k for the first phase of the Perth project and various IT/Digital initiatives as set out in the March 2015 Draft Budget 2015/16 report.

2. The Digital Strategy has associated revenue expenditure of £1,600k in 2016-17 and

£3,100k in 2017-18. This is based on current support costs for desktops/laptops provided by Scottish Government Information Services and Information Systems (ISIS).

9

Appendix 3

SCRA FINANCIAL STRATEGY 2015/16 TO 2017/18

Approved Forecast Forecast

NARRATIVE Budget Budget Budget

2015/16 2016/17 2017/18

Staff numbers average in year 396 390 390

£k £k £k

Staff Costs (before new superannuation & NI rates 16,441 16,281 16,746

Removal of discount for opted out schemes 300

Staff Costs (pre savings) 16,441 16,581 16,746

VR/VER (160) (130) 0

Progression 150 150

Revalorisation / low pay / re-shaping 75 75

Non Con 25 25

Employers pension conts rate increases 70 75

Staff Costs 16,281 16,771 17,071

Property Costs 2,846 2,846 2,846

Property Rationalisation 0 0

Property Costs 2,846 2,846 2,846

Travel & Subsistence 217 217 217

Supplies and Services

Equipment, Software & Maint Contracts 313 313 313

Printing, Stationery & Photocopying 190 190 190

Postages 367 367 367

SCOTS 665 665 665

Legal fees 120 150 175

Hearing costs 345 395 455

Other supplies and services 173 173 173

Revenue implications of IT capital projects 72 72 72

Supplies and Services 2,245 2,325 2,410

Unfunded Pensions 200 200 200

Savings Target (457) (335) (341)

BRP savings (50) (100) (150)

Income (482) (482) (482)

TOTAL 20,800 21,442 21,771

Grant in Aid 20,800 21,442 21,771

Carry Forward 0 0 0

Surplus/(Deficit) 0 0 0

EMT (SEP 15)

DRAFT SCRA BUDGET TIMETABLE 2016-2017

Activity Lead

Autumn 2015

Mon 31st Aug Draft budget timetable issued to budget-holders Finance

Mon 19th Oct Draft budget guidance and final budget setting timetable issued Finance

Up to Fri 30th Oct Finance and Planning work on budget and planning tools and templates. Establishment Group members work on Establishment

Finance, Planning and HR

Mon 2nd Nov Budget pack issued to LMTs/HO, comprising: Final Guidance, Revenue Budget Templates, Staffing Templates and Establishment Chart

Finance

Mon 2nd Nov Capital Budget templates issued to Infrastructure and other capital budget holders Finance

December 2015

Fri 4th Dec Deadline for all budget returns, i.e. a revenue and staffing return per locality and HO unit; Property spreadsheet from Property (including FM costs, income, rent/rates etc); all capital returns

Revenue and Capital Budget holders

Mon 14th Dec Finance collate returns for presenting to EMT, with commentaries from budget holders and recommendations re cashflow, depreciation, efficiency targets and other savings targets

Finance

Wed 16th Dec Update EMT on collated budget returns Finance

January 2016

Tue 12th Jan EMT meeting to discuss initial draft budgets EMT

Thu 21st Jan Board consider draft budget, Establishment, planning priorities and key areas for Challenge & Review (C&R)

Board

Fri 22nd Jan Issue draft budget to budget holders, confirming areas for C&R Finance

February 2016

Thu 4th Feb Final date to incorporate amendments to budgets All

Wed 10th Feb Challenge and Review EMT

Thu 25th Feb Deadline for incorporating all C&R amendments into final budgets Finance

March 2016

Tue 8th Mar EMT agree budget for Board approval EMT

Thu 17th Mar Board meeting to sign off Business Plan and Budgets Board

Tue 29th Mar Issue Board-approved budget to budget holders Finance

EMT(SEP 15)

New Single Corporate Drive

Accountable Director: Neil Hunter Date: 9 September 2015

Recommendation:

1. To develop a proposal for our single corporate drive detailing all our business

requirements which can then be submitted to SCOTS to find out what is feasible and the associated development costs.

Reason for Report: For EMT Approval

Resource Implications: Not applicable

Strategy: Not applicable

Consultation: Ed Morrison - Head of Finance and Resources

Document Classification: Internal Use Only

Internal Use Only

1

1. Introduction

1.1 The G (Global) drive is the central network drive used for storing electronic information and is usually one single networked storage area. SCRA uses multiple G drives and there are obvious benefits of moving to a single corporate drive, the G drive.

2. Background

2.1 When Logica maintained SCRA’s IT infrastructure they set up a G drive

on a local server for each local authority team and this multiple G drive structure was kept when SCRA moved onto SCOTS.

2.2 Since then SCRA has developed their own case management system

(CMS) and adopted a more flexible approach of working within their new locality structure. The inherited G drive structure from Logica no longer fits with SCRA’s business needs and results in the duplication of records. This poor records management is inefficient, a security risk and does not support the development of a business classification scheme required for SCRA’s Records Management Plan.

2.3 A proposed plan for a single G drive was presented to SCOTS in 2012

who asked SCRA to resubmit their plan once SCRA had moved their infrastructure onto SCOTS V. This was not done due to a significant delay in moving onto SCOTS V and as other SCRA security priorities took precedence over this work.

3. SCOTS New Retention policy on G and H drives

3.1 As a result of Scottish Government’s Records Management Plan a new

retention policy was enforced on both the G and H drives. All SCRA H drives are affected by this change but SCRA has been given exemption to the policy for their G drives so these can be used as our corporate record.

3.2 Each member of SCRA staff has a H (Home) drive for storing personal

information. Data stored on the H drive that has not be modified for a year will be archived for two years pending deletion. There will be no recovery facility.

4. Proposed Single Corporate Drive

4.1 As we need to develop our records management plan it seems the

appropriate time to specify a single G drive as our corporate record. As the work required is likely to incur a cost from SCOTS we should ensure we cover our current business requirements by focusing on improving information security and productivity.

Internal Use Only

2

4.2 The folder structure can be built to fit the current organisational structure (including restricted access folders for managers and particularly sensitive information). By defining our own retention policy and access permissions on these folders we can satisfy our own business requirements. The 2012 plan can be revised to include other desirable features (e.g mapping of scanners, revised staff directory etc.).

5. Recommendation

5.1 To develop a proposal for our single corporate drive detailing all our

business requirements which can then be submitted to SCOTS to find out what is feasible and the associated development costs.

CMS User Support Update to EMT CMS User Consolidation Training Author: Tricia Morris Date: 07 September 2015

The purpose of this brief report is to update EMT on the planning and content of the CMS Consolidation Training to be delivered to all CMS users on conclusion of the UI Programme. Significant event/s:

The UI Programme has not yet concluded. Business approvals have been issued for the extension to the development and testing period for Appeals : this is significant new development as opposed to many of the UI changes which related to terminology/ bug or design fix to make the system more user friendly. Staff will require training on the Appeals functionality once this is implemented.

Training content which does not include the upcoming changes for Appeals will be of insignificant value to constitute a full training course and is likely to result in poor take up as the training programme rolls out.

Our learning from the previous training programme delivered ( CMS Outcomes recording ) is that the training experience was maximised by the use of case scenarios which would fit best with Appeals section of the Training.

CMS mailbox resource and throughput : the mailbox continued throughout the summer months to require 3 staff members due to volume of calls and to give coverage and resilience to meet training requirements ( new start and refresher for returnees from extended absence of whatever type = maternity/sick leave etc.) This resulted in both ITTSO staff members deferring annual leave throughout the summer to September.

Additionally staff availability for training in October is likely to be impacted by school holidays ( both in terms of leave and cover for leave). Recommendation / Approval/s

EMT approval is sought for the training period to run from release of the Appeals functionality: intended as November to end December 2015.

1

Strategic Risk Register April 2015

Risk No.

Reference to SCRA objectives Risk Type Risk Description Risk Owner

Inherent Risk Score

L*I Key mitigating controls

Residual Risk

Score L*I Trend

Actions and Timescale Risk Appetite

Target risk score L*I

Review Date

1 BP 2014/15 No. 1

Service Delivery

The existing service plan and service model (e.g. processes and procedures) may be insufficient to provide a safe and effective service

Senior Operational Managers/ Head of Practice & Policy

20 (4*5)

Approved Corporate/Business Plans. Locality Plans. Practice/Improvement Networks. Scheme of Delegation. Targeted use of temporary staffing/capacity. Devolved budgets. Workforce Plan delivery. Business Continuity Plan. SMART Working project.

16 (4*4)

15/16 Locality Plan + SCRA Business Plan activities SMART working projects – delivery of revised Business Process activities and LEANER case processing Additional administrative and Assistant Reporter grade posts to be delivered in line with Review of Reporter Decision-making project.

Minimalist

6 (2*3)

June 15

2 BP 2014/15 No. 2

Service Delivery

Medium term ability of CMS to support effective operations

Head of Finance & Resources

20 (4*5)

Change Advisory Board (CCAB), CMS Performance Improvement Plan (PIP), Business Continuity Plan, Baseline performance measures, National User Group

16 (4*4)

Weekly data reports. CMS Q3/4 Plan. Targeted use of temporary staff (reporters, support) Implementation of CMS UI Programme (to May 15) Additional development resources targeted as required. Ongoing investment in supporting infrastructure. Training of locality staff – ongoing.

Open to cautious

6 (2*3)

June 15 Will be reviewed with proposal to close risk.

3 BP 2014/15 No. 3 Reputation/ Governance

No reduction in numbers of information breaches

Head of Practice & Policy/ Senior Operational Managers

New 16 (4*4)

Information Governance Action Plan. Information Governance Working Group. Regular reports to Audit Committee.

9 (3*3)

Delivery of recommendation of ICO Audit (March 14) Develop IG Leads arrangements One to One root cause analysis and management review of breaches (live process) Focus on high risk localities

Minimalist

3 (1*3)

June 15

6

Risk No.

Reference to SCRA objectives Risk Type Risk Description Risk Owner

Inherent Risk Score

L*I Key mitigating controls

Residual Risk

Score L*I Trend

Actions and Timescale Risk Appetite

Target risk score L*I

Review Date

4 BP 2014/15 Nos. 6 and 7

Service Delivery/ Finance

Efficiency plans do not deliver additional capacity or reduce costs

Head of Planning & Strategy/Head of Finance & Resources

New 12 (4*3)

Change Programme scrutiny of Benefits Realisation Programme. Efficiency Plan. Financial Strategy

9 (3*3)

Delivery of SMART working programme to identify new ways of working – ongoing The CMS UIP is due to deliver time savings in outputs functionality- May 15. Four distinct clusters of activity/change. performance review and sustainability/ quality/performance programme delivery – Nov-June15 Delivery of Business Plan priorities/savings March 16 The SCRA/UNISON workload assessment exercise will publish key findings on time intensive activity (to inform improvement priorities) – extended to second phase – June 15 Review of BRP savings activity.

Minimalist

3 (1*3)

June 15

SCRA(Sept 15)

SCOTTISH CHILDREN’S REPORTER ADMINISTRATION

BUSINESS PLAN 2016/17

Accountable Director: Director of Support Services Date: 15th Sept 15

Recommendation:

1. To agree draft milestones for the SCRA Business Plan 2016/17 2. To consider approach to locality target setting

Reason for Report: For Approval

Resource Implications: Within approved budgets

Strategy: Within approved plans

Consultation: Executive Management Team

Document Classification: Open

1 Introduction 1.1 This report lays out draft dates/milestones for EMT to consider in delivering the

Business Plan for 2016/17 2 Background

2.1 Every year SCRA publishes its Business Plan for the year ahead. The purpose of the plan is to:

Set out the actions that will deliver SCRA ’s strategic outcomes and key priorities during the forthcoming year;

Demonstrate the alignment with the Scottish Government’s National Performance Framework;

Outline the governance arrangements supporting the plan; and

Provide information about the ways in which SCRA will measure and monitor performance improvement.

3 Business Plan 2016/17

3.1 The 2016/17 Business Plan will provide a detailed picture of how SCRA will seek to deliver the third year of its 3 year Corporate Plan 2014/17.

It is proposed that planned activities will fall into 2 main categories:

1. Those we committed to in the 2014/17 Corporate Plan which did not fall into year 1 or year 2. .

2. Those in the current Business Plan which will not be completed by March 16, and which will carry forward.

It is proposed that activities continue to be grouped under the core strategies laid out in the 2015/16 Business Plan

4 Proposed key dates for delivery

4.1 Set out in Appendix A are proposed key dates in the delivery of the Business Plan 2016/17.

5 Points to note

5.1 There is a misalignment between completion of the Performance Review meetings

and the collation of themes for submission. Whilst we wouldn’t foresee there to be huge divergence in local input, we would ensure views are fed in when available.

5.2 An exercise was carried out in 2015/16 to review and recalibrate our performance

targets from locality to National level. 2016/17 Business Plan affords us the opportunity to visit this again should we wish

6 Recommendation

6.1 To review the dates proposed for delivery of the Business Plan 2016/17 6.2 To consider the approach to locality target setting and continued recalibration of

targets for 2016/17

SCRA BUSINESS PLAN KEY DATES 2016-2017 (DRAFT)

Activity Lead

Date Autumn 2015

Tues 15th Sept EMT to consider proposed dates for Business Plan 2016/17 EMT

By end Sept Mid-year review of Business plan 2015/16 to take place alongside review of Corporate Plan - consider key themes for year ahead

Head of Strategy

Up to Fri 30th Oct Mid-year review of locality plans to take place through Performance Review (PR) meetings with LMTs – consider key themes for year ahead – see paper

SOMs Business Partners

Tues 20th Oct EMT to consider proposed key themes for BP to take forward to Board Development day EMT

Up to Fri 30th Oct Analysis of current targets and establishment of reviewed targets – see paper Head of Strategy

November 2015

Wed 5th Nov Board development day – take proposed themes for BP EMT

First week Nov Prepare draft Business Plan Head of Strategy

Wed 11 th Nov EMT to consider draft Business Plan and submit comments EMT

By Wed 18 th Nov Submit Draft Business Plan (signed off by EMT) for Board in Dec Head of Strategy

December 2015

Thurs 10th Dec Board to consider draft Business Plan Board

End Dec Finalise design brief Head of Strategy

January/February 2016

Jan/Feb Liaison with Board and Sponsor Branch PR/CEO Head of Strategy

March 2016

Thu 17th Mar Board meeting to sign off Business Plan and Budgets Board

SCOTTISH CHILDREN’S REPORTER ADMINISTRATION

BUSINESS CASE TEMPLATE

Project: New Corporate Website

Version: v2

Prepared by: Press and Communications Manager

Date: 21.08.15

Business Case Checklist

Definition of objectives Y

Consideration of options Y

Identification and quantification of costs, benefits, risks for each option

Y

Future evaluation criteria and timescale Y

Financial Evaluation Y

Conclusion and Recommendation Y

1. Executive Summary and Recommendations 1.1 This proposal is to seek capital funding for a new corporate website for SCRA which will ensure SCRA has a modern and stable website. 1.2 This proposal recommends approval of a capital bid of £18,000 including VAT. 1.3. This includes a procurement process to appoint a new website provider to build a Wordpress site with a capital budget of £18k (including VAT) (plus annual revenue hosting and maintenance fee) and the purchase of WordPress software. 1.4. There will be ongoing revenue funding for hosting and maintenance of the new site as with the current site) once it is live. 2. Background and objectives 2.1 SCRA’s current corporate website is 8 years old. It has come to the end of its shelf life. The Press and Communications Team which manages the website, has daily issues with it (for example, links breaking, web parts/thumbnails disappearing, new content being deleted etc). Due to the problems, it is taking longer and longer to carry out the most basic of tasks and a lot of time is spent in re-doing work. This was highlighted when the Model Publication Scheme 2015 (which is approved by the Information Commissioner), which took 6 days to build and publish on the website, disappeared after being live for several days. It then took Leo, SCRA’s current website provider, almost a week to rectify this and reinstate the content. At one stage the Press and Communications Team were considering re-doing the work as it was looking unlikely that Leo could recover the information which had also disappeared from the content management system, as well as the live site. The Press and Communications Team is growing increasingly concerned about the stability and security of the site. In addition the functionality of the site is out of date. For example, MP3 files cannot be uploaded and published on the site, which is a very common file type now. When launching SCRA podcasts for young people recently, an in-house solution was required (putting the files on Vimeo and You Tube and putting links to these external sites on the young people section of SCRA’s website). Although this solution worked, it would have been much easier and involved much less work, to simply upload the files to SCRA’s own site. These are just a couple of examples of the site no longer being fit for purpose. 2.2 The current provider Leo - the company which built the site following a full procurement exercise - has advised that they cannot support the site (with any guarantee) when the contract comes to an end in January 2016. Apart from one other site - which is about to migrate shortly - SCRA is the last website using the current platform provided by Leo (Cold Fusion). Leo no longer works with/supports this platform. Leo have been saying for some time now that SCRA have to build a new site, using a new platform as the current site is becoming defunct.

It is worth noting that in terms of the average shelf life of public sector websites (police etc), the average seems to be between 2 and 4 years. 2.3 This proposal is in line with our corporate objectives:

It aligns with one of the core strategies in SCRA’s Corporate Plan 2014-17 “engagement”

SCRA’s role and purpose includes to “Disseminate information and data to influence”

In SCRA’s Business Plan 2015/16 – core strategy two “customer focus” and core strategy three “engagement”

A new website is also a recommendation in the draft Communications Strategy 2015/18 which will go to the Board in September.

2.4 In December 2014, a capital bid for £25k was submitted by the Press and Communications Manager to the Head of Planning and Strategy as part of the budget setting process for 2015/16. At some stage in the budget process this was increased to £40k. The bid was not prioritised and a new website is currently on the “reserve” list subject to additional Scottish Government capital funding. However, as Leo have confirmed they cannot support the site beyond January 2016, SCRA cannot wait to hear from the Scottish Government about additional capital funds and need to prioritise the capital spend required from within existing capital resources. 3. Options 3.1 Option 1: Do nothing – if the current website remains, Leo our provider has said they cannot guarantee the site beyond January 2016. They can continue to host the site, but if there is a problem, they have advised that they may not be able to fix it. This could potentially leave SCRA with no website or a faulty site. 3.2 Option 2: Pay Leo, our current website provider £18,000 (including VAT) to build a new Wordpress site from scratch and this would continue to be hosted and maintained by them at an additional annual revenue cost. This is in line with the costs for Wordpress websites for similar public sector bodies (CHS). This would involve approval of an NCA. 3.3 Option 3: Carry out procurement process to appoint new website provider to build a Wordpress

site with a capital budget of £18k (plus annual revenue hosting and maintenance fee) 3.4 Option 4: Leo will appoint a freelancer to work with us to build a new Wordpress site so we will

have a new site at a cost of £5k (plus VAT) as well as the annual revenue hosting and maintenance fee.

3.5 Option 5: SCRA appoint a freelancer to work with us to build a new website using Wordpress

or another platform at a capital cost of £5k (again there will be an annual hosting and maintenance cost).

4. Preferred/recommended option: 4.1 This paper recommends option 3 – Appoint new website provider to build a Wordpress site with a capital budget of £18k

(plus annual revenue hosting and maintenance fee). Wordpress is a popular tool used by many public bodies, including Children’s Hearings Scotland.

4.2 This option has been notified to the PR/CE and discussed with the Head of

Finances and Resources and the IT Technical Manager. 4.3 In proceeding with the preferred option it would be ensured that the new site is

future proofed to aligns with the Children’s Hearings System Digital Strategy. This is a 5-10 year plan, but in the short to medium term SCRA requires to have its own stable and secure site from early 2016.

5. Commercial case 5.1 It is anticipated that a suitable contractor can be appointed from the Digital

Technical Lot of the SPCD Marketing Services Multi Lot Framework. 6. Budgetary implications 6.1 There is currently no capital funding approval for this project. EMT approval of

the business case is required and the Head of Finance and Resources will advise on options to re-allocate capital budget of £18,000 in 2015/16.

6.2 Revenue costs for hosting and maintenance are anticipated to be £7,500 per

annum which is in line with the budget for the existing system. 7. Financial evaluation 7.1 A complete full costing of the proposal and alternatives indicating payback,

net present cost or value and internal rate of return has not been prepared however the 5 year cost profile is shown in Appendix 1.

8. Conclusion SCRA is committed to improving and strengthening our communications with

stakeholders and customers - having a modern and accessible website is a critical part of this. A significant amount of SCRA external communications relies on our website – posts on Twitter, partner e-news, films and podcasts and children and young people, recruitment and the Model Publication Scheme which is a statutory responsibility of the organisation. In addition, once the section on the Children’s Hearings System goes live on My Gov which is a key part of the

Digital Strategy, a significant amount of links on My Gov will direct users to SCRA’s website.

SCRA needs to ensure it has a stable and secure website and this needs to be in

place for January 2016 as Leo have reiterated that they cannot support SCRA’s existing website beyond this time.

9. Recommendation This paper recommends that SCRA appoints a new website provider to build a

Wordpress site with a capital budget of £18k plus an annual revenue hosting and maintenance fee which may be in the region of £7.5k per annum.

Assuming this business case is approved the Press and Communications Manager

will advise Leo of our plans and plan for the withdrawal of the existing site, in time for the new site going live.

APPENDIX 1

Costs and Benefits

Version: v2 Prepared By: Press and Communications Manager

Date: 21.08.15

Costs (all VAT-inclusive) Capital expenditure Year 1 £18k Year 2 Year 3 Year 4 Year 5 Description: Development costs.

Revenue Costs Year 1 Year 2 £7.5k Year 3 £7.5k Year 4 £7.5k Year 5 £7.5k Description: Support and hosting costs.

Staff Costs (project staff and internal staff –

use ready reckoner for internal staff) Year 1 Year 2 Year 3 Year 4 Year 5 Description: Internal staff resources will be provided by the Press and Comms Team supported by the IT Technical Team.

Other Costs (any other significant costs) Year 1 Year 2 Year 3 Year 4 Year 5 Description:

Benefits

Cash savings Year 1 Year 2 Year 3 Year 4 Year 5 Description:

Non cash savings (e.g. productivity gains,

doing more with same or less resources)

Year 1 Year 2 Year 3 Year 4 Year 5

Description:

Service and other benefits

EMT(SEPT 2015)

SCOTTISH CHILDREN’S REPORTER ADMINISTRATION

Rivergate House, Irvine

Accountable Director: Principal Reporter/Chief

Executive Date: 11 September 2015

Report prepared by: Estates Manager

Recommendation:

1. To note the current position in respect of Irvine, and that a further meeting is to be

held and that a more detailed report will be brought to EMT.

Reason for Report: For information of EMT

Resource Implications: Outwith approved budgets

Strategy: Not applicable

Consultation:

Head of Finance

Head of Property

LRM’s

Document Classification: Internal Use Only

1

1. Introduction

1.1 In the EMT report of 31st July 2015, it was advised that a further paper would be brought before the next meeting of EMT.

2. Background and current position

2.1 Irvine is the main hearing centre for North Ayrshire, with a number of

additional outreach centres utilised, particularly KIlbirnie. 2.2 The occupation costs of Irvine are in the region of £66,000 per annum,

and currently 68% of this is met by Care Inspectorate. The Care Inspectorate have confirmed that they will be vacating in March 2016.

2.3 Further to the last report, an initial meeting has been held with Ayrshire

Managers and Property to discuss options, and to consider the best operational model for North Ayrshire. The options considered were:

Option 1 – Renew the lease for a smaller part of the premises Option 2 – Renew the lease of Irvine and relet the vacant space Option 3 – Extend lease and reconfigure accommodation Option 4 – Short term extension Option 5 – Seek alternative premises in Irvine Option 6 - Seek alternative premises elsewhere in North Ayrshire

2.4 The view of the meeting was that whilst Irvine remains a convenient

location for a Hearing Centre, it would be preferable to have 2 hearing rooms which would allow SCRA to cease using the outreach centre at Kilbirnie, which is not suitable as a venue but continues to be used out of necessity. It was also agreed that Kilwinning would be a suitable location for a main hearing centre given its transport links.

2.5 The current premises are too large for SCRA’s needs, even if we were to

reconfigure them to provide two hearing suites. Whilst it will be possible to renegotiate the terms under which we occupy the premises, it will continue to be relatively expensive. However, the replacement of the Irvine property is not in the current property strategy, as it was assumed that Care Inspectorate would continue in occupation. It is likely therefore that whichever option is chosen as the preferred route will have an impact on either Capital or Revenue budgets in 2015/16 and/or 2016/17.

2.6 It was agreed that an immediate search would commence in the

Irvine/Kilwinning area for suitable alternative premsies both in private and public ownership, and discussions would commence with the landlord of Rivergate House. The Locality team are to approach their Local Authority contacts to establish whether they may have any suitable premises.

3. Recommendation

3.1 To note the current position in respect of Irvine, and that a further meeting

is to be held and that a more detailed report will be brought to EMT.