« Previous | Contents | Next »
Listen
Evaluation of Responses to Consultation on Best Value in the Wider Public Sector
3. DRAFT GUIDANCE
The Consultation requested direct responses to the following key question:
- Does the Draft Guidance help to clarify for Accountable Officers what is required of them under the Duty of Best Value?
In summary, respondents identified five key themes, including:
- a requirement for further clarity within the Draft Guidance issued;
- questions around the integration of Best Value with existing Governance Frameworks;
- discussion points arising from the self-assessment approach and an aversion to a 'tick box' approach to self regulation;
- a request for more information concerning auditing and the regulation of Best Value; and
- concerns relating to the additional resources that may be required to fulfil this Duty.
3.1 GUIDANCE CLARITY
3.1.1 Guidance Clarity (General Issues)
In Section 2, it was reported that the overall reaction to the Draft Guidance was positive in respect of the principles that were being conveyed. On closer examination, a number of respondents raised practical concerns related to the level of detail that had been provided and the utility of applying the Draft Guidance. Respondents expressed concern that the terms used were ambiguous and open to varying interpretations. There may be a lack of common understanding of some of the terms used, which is unsurprising, given the heterogeneous nature of the respondents. Many existing governance frameworks use the same or similar terms, but with a different purpose in mind. It is not clear from the written responses what meaning is being attributed to commonly used terms.
There is recognition that the Draft Guidance is intended to be non-prescriptive and although this is welcomed, there is a perception that this leads to a lack of clarity when related to principles or intent.
3.1.2 Guidance Clarity (Specific Issues)
NHS respondents commented on the lack of specific mention of clinical governance or relation of the Draft Guidance to regulatory frameworks that have been developed in Health to take account of clinical governance.
A number of respondents queried 'terms' which appear in the Draft Guidance, but are loosely defined (e.g. what is meant by 'generally recognised guidance'). Using the term 'Best Value' may lead to confusion as different organisations can interpret the term in a variety of ways if it is not clearly defined. This could lead to organisations perceiving this as a signpost to efficiency only, rather than a systematic attempt to continuously improve service delivery.
Greater clarity is required around discretionary decision-making, as there are over 80 'checkpoints'. However, the checkpoints that form the core of Best Value are not indicated.
Codes of Conduct are missing low-level detail. Risk Assessment and Environmental Regulations require greater prominence, as they are not highlighted in the Draft Guidance. Organisational Corporate Plans may not always be based on Scottish Executive priorities, and partnership setting of joint plans (for example through Community planning) is omitted entirely from the Draft Guidance, although it will effect most of the large organisations that have responded.
Many respondents expressed concern over the lack of explicit recognition of the 4 C's (challenge, compare, consult and compete) that underpinned Best Value Service Reviews when introduced into Local Government.
A converse opinion expressed by a minority of respondents was that the statement of too many 'facts' can lead to Draft Guidance that is obvious in its statements and repetitive in nature.
On balance, the majority view expressed by respondents was that more detailed information would be useful, possibly of a sector-specific nature. Information relating to the planned monitoring and review of the Draft Guidance would also be welcomed.
A key area of specific focus within the Consultation responses was the information around contribution to sustainable development. Respondents expressed a strong feeling that sustainable development is a cross cutting agenda for organisations and, as such, should not be the focus of a separate area within the Draft Guidance (chapter 6 of the Draft Guidance) but should have an integrated focus throughout. The information provided is felt to be vague and this issue was singled out for further clarity by a number of respondents. Respondents also expressed concern that this (and other cross cutting issues e.g. equal opportunities, joint partnership working, environmental regulations) could conflict with the achievement of Best Value. This indicates a lack of real understanding of a 'Best Value' approach and the core concepts underlying the policy.
It was also offered that it would be useful to indicate within the Draft Guidance where areas require compliance with specific statutory requirements or Ministerial instruction.
3.1.3 Guidance Clarity Analysis
22 respondents - 24% of the sample, 69% of respondents (8 NDPB, 7 NHS, 4 Executive Agency, 3 Other).
3.1.4 Guidance Clarity Summary
The responses indicate a demand for further detail than the current level of information contained within the Draft Guidance. The responses also indicate that clarification of fit with existing governance frameworks especially in Health, Further and Higher Education and Housing.
3.2 INTEGRATION WITH EXISTING GOVERNANCE FRAMEWORKS
There is a genuine concern around duplication of effort and the need to integrate the number of 'duties' required of Accountable Officers and the operation of public sector organisations. It would conflict with the very principles of Best Value itself if, in defining achievement of this duty, there was genuine duplication of effort with existing sound Governance Frameworks. This was expressed most clearly in large organisations operating with established governance frameworks.
A number of respondents have recognised that the Draft Guidance does not suggest a need to replace existing quality or improvement frameworks. However, those respondents have asked for further detail from the Scottish Executive on how this guidance fits with existing legislation and frameworks. Respondents expressed significant concern and confusion around overlaps of Best Value with established frameworks. Replication of existing work undertaken through EFQM, generic standards developed by Quality Improvement Scotland, NHS National Policies, clinical governance standards, Statements of Internal Control by the Scottish Executive Health Department (SEHD), Treasury Guidance and Management Statements, Modernising Government initiatives, Charter Mark, Equal Opportunities Framework, Fair for All arrangements of the Race Relations (Amendment) Act (2000), are all raised for questioning.
A number of organisations believe that the Duty of Best Value is being achieved because of adherence to similar initiatives without the full realisation of the approach differences. For example, a number of NHS respondents indicate that Best Value has been embedded within the NHS under the banner of 'Value for Money' for many years but this indicates a lack of understanding of the divergences of Best Value with this concept.
3.2.1 Integration with existing Governance Frameworks Analysis
14 respondents - 15% of the sample, 44% of respondents (5 NDPB, 6 NHS, 2 Executive Agency, 1 Other).
3.2.2 Integration with existing Governance Frameworks Summary
This was the strongest key theme expressed by respondents from large organisations with existing frameworks or a regulatory function. There is a clear desire to avoid duplication and/or contradictory guidance being requested from a number of sources.
3.3 SELF-ASSESSMENT APPROACH
Respondents felt there was a genuine appreciation of the spirit of a self-assessment non-prescriptive approach that facilitates an element of local discretion. There is also significant support for a focus on outcome-related criteria that reinforces the wider approach taken within public sector reform.
Similar to the concerns raised in Section 3.1:Guidance Clarity, it is the practicalities of this approach that are called into question within the Consultation responses received. Issues raised include:
- requests for a specific pro forma/template versus the desire for flexibility of choice in terms of governance model used;
- a perception that forcing self-assessment could result in the adoption of a 'tick-box' checklist mentality and undermining the application of Best Value;
- uncertainty over the expected depth and breadth of a self-assessment exercise;
- issues around how to demonstrate that a true Duty of Best Value has been achieved across all services;
- appropriateness of benchmarking; and
- the introduction of unnecessary bureaucracy and red-tape.
Several respondents discussed a staged approach to introducing Best Value that takes into account the timetable of existing commitments and the current stage of organisational development is requested, in addition to assistance with the development of Best Value processes and procedures.
3.3.1 Self-Assessment Approach Analysis
15 respondents - 16% of the sample, 47% of respondents (6 NDPB, 5 NHS, 3 Executive Agency, 1 Other).
3.3.2 Self-Assessment Approach Summary
The responses indicate a demand for further detail than is provided in the current Draft Guidance. There is a strong aversion to a 'tick box' approach to self-regulation.
3.4 AUDIT, REGULATION AND SANCTIONS POLICY
It is understood that there will not be an audited regulatory approach monitoring the Duty of Best Value in this rollout to the wider public sector but this message has not been clearly understood by a number of Consultation respondents.
Clarity around the role of Audit Scotland is a frequent request and appeals are made to understand the measurement requirements/audit framework prior to establishing Best Value processes and procedures.
3.4.1 Audit, Regulation and Sanctions Policy Analysis
11 respondents - 12% of the sample, 34% of respondents (6 NDPB, 3 NHS, 2 Executive Agency).
3.4.2 Audit, Regulation and Sanctions Policy Summary
This is a significant miscommunication within the Consultation process and the Draft Guidance. A number of respondents wished to know how adherence to a Duty of Best Value would be tested?
3.5 RESOURCE ISSUES
Genuine resource concerns are raised where organisations have identified that these will be required either to fulfil a genuine Duty of Best Value within their organisation (e.g. up-front investment required to commit to sustainable development initiatives or equal pay audits) or where bodies are apprehensive over the additional burden involved in demonstrating that the duty has been adhered to (e.g. self-assessment undertaking, additional audit work). This is particularly prevalent within smaller-scale organisations.
3.5.1 Resource Issues Analysis
10 respondents - 11% of the sample, 31% of respondents (6 NDPB, 2 NHS, 2 Executive Agency).
3.5.2 Resource Issues Summary
The responses indicate a demand for further detail than the current level of information contained within the Draft Guidance.
3.6 DRAFT GUIDANCE SUMMARY
The key theme expressed within the responses was that a significant amount of further communication is required in order to provide real clarity for Accountable Officers detailing what is required of them under the Duty of Best Value. There is a lack of understanding of what is meant by the term Best Value and the accompanying concepts in the Draft Guidance, and how this will fit with what many organisations are already doing. In summary, the following issues are identified as critical to the successful rollout of Best Value within the wider public sector:
- Further low-level detailed Guidance (possibly of a sector-specific nature) covering the key conceptualisation, ethos, principles and application of a self-assessed Best Value framework.
- Further detail around acceptable use of existing Governance Frameworks to demonstrate a Duty of Best Value.
- Clarity of approach to audit and regulation - plans for the Scottish Executive/ Audit Scotland to implement an audit framework/regulatory regime for the rollout of Best Value were vague in the Draft Guidance. Respondents wished to know how adherence to a Duty of Best Value would be tested.
« Previous | Contents | Next »