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National Objectives for Social Work Services in the Criminal Justice System: Standards - General Issues

CHAPTER 5: PLANNING

Introduction

49.This section of the National Standards has been revised and prepared in the light of experience of the first 5 years of operation of National Standards and 100% funding. Local Government reorganisation has also been taken into account.

50.It sets out how the planning process for criminal justice social work services will be handled, at national and local authority levels. Further adjustments and refinements will be considered in the light of operational experience.

51.The revised arrangements continue to be based on the premise that it is the responsibility of each local authority to prepare, implement and review plans for the delivery of criminal justice social work services in its own area, in the light of local circumstances.

52. Each local authority should have a 3-yearly strategic planning statement for social work criminal justice services. This must be accompanied by an annual plan using the agreed pro formas, and submitted to SWSG to provide SWSG with detailed information on performance review and service and expenditure proposals for the following and subsequent financial years, informed by an annual national planning statement

Aims

53.The aim of the planning system is to ensure that the financial and staffing resources and skills of practitioners are used to best effect to meet the objectives, priorities and standards for social work services in the criminal justice system laid down by the Secretary of State.

54.It is also intended to assist local authorities by providing direction to service development and a means of assessing performance and outcomes.

Objectives

55.Planning for criminal justice social work services is seen as an integrated process embracing policy planning, strategic planning, financial planning, service planning budgeting, with the following objectives:

To establish and maintain clear, simple and reliable a planning process as possible, based on adequate data, use of a common format, requiring minimum planning resources, and allowing comparability of information and consolidation of services.;

A system which informs policy development and review at national and local authority levels and enables service needs and priorities to be effectively identified, assessed and communicated;

A system which enables informed assessment of public expenditure considerations and financial allocations to authorities;

A framework which enables the setting of realistic service objectives and performance targets, monitoring achievement, and assessment of quality, including improved efficiency;

A system which recognises mutual accountability;

A system which contributes to, and is improved by, evaluation and research

A system which promoted continuous improvement of staff development and competence

A system that complements, as far as practicable, other relevant national and local authority planning systems and cycles, particularly SPS and other criminal justice agencies, children's services, crime prevention and community care.

Principles

56.The planning system is founded firmly on national objectives, priorities and standards. Within this framework, the process will be guided by the following principles:

Joint commitment by central and local government;

Maximum participation of, and responsive consultation with, all interested parties in the planning process, including the wider community, and particularly the judiciary, other agencies in the criminal justice system, the independent sector, and staff.

Maximum dissemination and communication of plans and other relevant information about service availability, performance and service outcomes to all interested parties, including the wider community.

Date and Information

57.The planning process must be underpinned by the availability of effective, timeous and readily accessible information. For criminal justice social work services key information includes demographic trends; prosecution, bail, crime and sentencing and distribution trends; release from custody; evaluation of past performance; examples of good practice; the range of levels and patterns of provision; and service costs and outcomes.

58.Key information sources will include:

• the national core data system;
• local information systems;
• Statistical Bulletins;
• workload measurement;
• SWSI and local inspection reports;
• local authority service reviews;
• research and evaluation reports.
  

THE PLANNING CYCLE

LOCAL AUTHORITY PLANS

The 3 Year Strategic Planning Statement

59.Every third year commencing with the plans covering 1998/99 (which will be submitted by August 1997) local authorities will be required to prepare a full strategic planning statement for criminal justice social work services for the authority area.

This 3 year planning statement will be based on national objectives, standards and priorities and on the relevant annual national planning statements issued, after consultation, by SWSG. It will include:

• a wide-ranging strategic analysis and overview by the authority of issues arising from the application of national objectives, standards and priorities, in the light of local factors, including local geography, demography and trends in demand;
• current levels, range and quality of service provision;
• organisation and management arrangements;
• other relevant service initiatives

60.The statement will also include:

• details of objectives and principles governing local liaison arrangements and commitments, particularly with the judiciary;
• the authority's statement of relevant values and principles;
• a statement and diagrammatic illustration of the authority's management and organisational arrangements with staff levels and deployment;
• details how policy and organisation of criminal justice services are aligned with other social work services, and the relevant training strategy.

61.As far as possible, analysis and commentary on individual service objectives will mirror the order set out in the pro formas for the submission of annual information to SWSG.

62.The 3 year strategic planning statement, which will be accompanied by an annual plan, may be reviewed by the authority in years 1 and 2 and any amendments or updated documented.

The Annual Local Authority Plans

63.In order to meet joint planning responsibilities, notably:

63.1Preparation of the annual national planning statement for criminal justice social work services covering the next 3 year planning cycle, to be issued by 1 April each year;

63.2Preparation of annual public expenditure proposals, and;

63.3Notification of financial allocations to each authority by the end of December each year.

Local authorities will need to submit pro forma information to SWSG by 1 August of each year. This information must include:

a.a review of the local authority performance and service achievements against the previous year's service plan/update, and;

b.detailed estimates and targets for the next financial year.

64.Each annual plan must be founded in national standards and take full account of the policy developments, resource assumptions and priorities set out in the annual national planning statement. In proposing local service objectives and priorities local authorities must take full account of local circumstances but provide an explanation and justification for any departure from the objectives and priorities set out in the annual national planning statement.

65.Each local authority annual plan must be submitted to SWSW in the required format.

SWSG Response to Local Authority Annual Plan

66.On receipt SWSG will:

• acknowledge all plans
• begin consideration and comparison of statistical and financial data
• assess the performance reviews and proposed targets and service development proposals against the national planning statement and other indicators.

67.Where difficulties or uncertainties exist, material will be checked back with individual authorities.

68.There will be ongoing communications with individual authorities to go over plan proposals and discuss associated service issues.

69.All authorities will receive a written response to their annual plan no later than 30 November of each year.

70.Analysis of the information will be used:

70.1to inform annual financial allocations to each authority and to set individual planning assumptions for the next financial year;

70.2as a major contribution to preparation of the national planning statement for the following planning round;

70.3as a contribution to development of national criminal justice policy, identification of gaps or deficiencies in national standards or service provision.

THE ANNUAL NATIONAL PLANNING STATEMENT

SWSG Analysis

71.In December and January SWSG will co-ordinate preparation within The Scottish Office of analysis and objectives, including:

• analysis and comparison of local authorities objectives taken from the individual local authority strategic statements and annual plans;
• statistical trends analysis derived from local authority plans, reports on performance against planning assumptions and targets; national core data system output; sentencing statistics; workload measures exercises;
• commentary on any relevant research findings.

72.In addition SWSG will secure input from Scottish Office colleagues on policy or other developments that may affect social work criminal justice services over the next 3 years;

73.SWSG will arrange a meeting of the national consultation group for late February. (Membership of this comprises representatives of SWSG, SWSI, Scottish Office Criminal Justice Division, the judiciary, COSLA, ADWS, BASW and the voluntary sector. It is chaired by the Under Secretary, SWSG).

External Consultation

74.In the course of February/early March SWSG will consult with COSLA and other interested parties on the content of, and changes to, the annual national planning statement.

Issue of Annual National Planning Statement

75.By 1 April, SWSG will, on the basis of these consultations, issue to all local authorities, and other interested parties, an annual planning statement for criminal justice social work services, covering:

• information on relevant policy or other development planned, or anticipated, for the next 3 years;
• financial planning assumptions for the following financial year, with provisional guidance (save for prison based social work) for the next 2 years;
• service priorities proposed for the next 3 years.

76.The material on policy developments will cover such information as the take up and timetable assumptions for any new disposal; extension or modification of pilot initiatives; any changes in scope of 100% funding; any public commitments to new legislation; new training requirements or opportunities, etc.

FINANCIAL ALLOCATIONS

77.Individual financial allocations to each authority will be notified in the light of local authority submissions and analysis of them, the national planning statement for that year, any scope for redistribution or efficiency savings and the resources made available for criminal justice social work services in the government's public expenditure decisions.

78.Notifications of allocations for funding of existing services including approved planning assumptions for each authority will normally be made by the end of December.

79.Allocations for new special programmes or pilot projects will be notified separately at the point of approval.

80.SWSG Section 10 funding for voluntary sector projects will normally be notified by 31 January.

81.Prison governors will notify the local authority of the final budget for prison-based social work at end February each year.

PRISON BASED SOCIAL WORK

82.There is a separate but closely related planning system for prison based social work within the Scottish Prison Service planning procedures, which is similarly based on principles of consultation and coherent integrated planning.

83.SPS will contribute to the preparation of the national planning statement for offender services each year.

83.The prisons planning cycle requires social work unit management plans to be agreed (subject to budget decisions) between governors in charge and the responsible local authority social work department so that key entries may be incorporated in the prison's strategic plan by 1 November each year. This will include on-going work and any proposed new initiatives. The establishment budget will be set by end February each year. Guidance on rolling forward prison plans, including social work provision, will be issued by SPS at the beginning of September each year.

PLANNING TIMETABLE

* Every third year starting from 1998/99 local authorities will also be required to submit a 3 year strategic planning statement.

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