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National Objectives for Social Work Services in the Criminal Justice System: Standards - General Issues
CHAPTER 11: FINANCE
Introduction
115.This section sets out the financial procedures to be followed in the operation of the 100% funding arrangements agreed between COSLA and the Scottish Office in respect of the following services:
Community Service
Supervised Attendance Orders
Probation
Provision of Social Enquiry and Related Reports and Court Based Social Work Parole
Aspects of Throughcare
116.The guidance given is intended to be reasonably comprehensive but it is accepted that some enquiries may arise concerning the detailed operation. Enquiries regarding the financial aspects should be addressed to Social Work Services Group, Room 16A, James Craig Walk, Edinburgh EH1 3BA (Telephone 0131-224-3514).
Estimating Procedures
117.From financial year 1996/97, financial information relating to each of the services should be included in the authorities annual planing statements and should show an estimate of the anticipated expenditure required by the authority to complete, in accord with the National Standard, the anticipated number of service units to be provided during the year to which the estimate refers. In order to inform the central government planing cycle this should be returned by 1 August preceding the start of the year to which the information relates.
Grant Allocation
118.Offers of grant in respect of each of the 100% funded services will be made to local authorities as soon as the central government planning cycle has been completed. Offers in respect of the approaching financial year will be generally made in January. Unless advised to the contrary local authority planning assumptions may be made on the basis of the grant continuing at least at the cash level set for the preceding financial year. It is recognised that notwithstanding the small number of orders which may be made in some courts it will be necessary for authorities to plan for the provision of the essential components of the service.
119.Grant offer letters will set out the amount of the grant, the number of units of service it is anticipated will be achieved and the conditions attached to the grant payment. Offers of grant will be based on the information provided by authorities, the resources available and the annual National Planning Statement. Specifying the number of units of service anticipated is intended to inform the funding level in the context of demand expectations. Grant levels will in the long term be influenced by demand but will not be directly affected by short term demand fluctuations.
Independent Sector Participation
120.Local authorities must consider using specialist resources from the independent sector in the provision of services. Local authorities engaging other providers will however continue to be responsible for statutory supervision and for ensuring that the national standards are met.
121.It is anticipated that local authorities will seek to use the independent sector on an agreed cost basis. Any agreed arrangement should not be of longer than 3 years duration and should set out in a "Service Level Agreement" the nature of the service, the objectives and targets, costs, arrangements for professional and financial audit and method of payment Service Agreements should set out clearly the obligations of both the provider and the authority. Unless advised to the contrary independent sector planning assumptions may be made on the basis of the price agreed continuing at least at the cash level set for the preceding financial year. Agreements may renegotiated.
122.Monies paid by local authorities to the independent sector will only attract 100% refund under these arrangements where the payment relates directly to the provision of a specified service. The payment of a "grant" to support the organisation is not eligible within the 100% funding arrangements.
123.Service level agreements should set out that payment to the independent sector by local authorities may be by any of all of the following methods:-
123.1on a unit of service basis;
123.2on a fee basis over a fixed period (maximum 3 years) for a specified number of offenders or units of service;
123.3on a refund of costs basis operating over a fixed period (maximum 3 years)
124.Where independent organisations are seeking to reach agreements to provide services they will require to satisfy local authorities that they have the experience, expertise and facilities to deliver the stated service in accord with the agreed national standards. Where an independent organisation, with the agreement of a local authority, incurs expenditure in preparing a programme but is not selected by that or another authority to provide the service quoted for, the reasonable costs of preparing its proposal, up to a maximum of £500, will be refunded.
125.In the case of an independent organisation operating only on a local basis, the local authority involved will be responsible for ensuring that the organisation meets the criteria set out in paragraph 124 above. Where organisations offer to provide services to more than one authority, SWSG will be responsible for advising authorities of suitability of organisations for this purpose.
Common Procedures
Grant Claims
126.Local authorities will require to ensure when claiming grant that each of the 100% funded offender services is separately identified.
127.Local authorities should submit claims to the Scottish Office for each of the funded services at the end of the financial year, each claim showing the actual expenditure incurred by the authority. Claims should be in the agreed format and should be submitted by the end of September. Payments will be made to authorities on a quarterly basis, each payment representing ¼ of the grant offered. Authorities must notify SWSG immediately they become aware of a likely under or over spend of a % figure to be agreed with COSLA. Such notification should be made as soon as possible so that SWSG may make such arrangements as might be required to remain within overall budget limits. SWSG will contact authorities around the end of each calendar year to ask for a projection of expenditure in order that grant can be re-allocated to take account of any over/under spends.
Offenders Travel Expenses
128.Offenders should generally be responsible for meeting any costs which arise in travelling from their home to the place at which they are required to report. In certain circumstances and where reporting point is further than 3 miles by road from the offender's home a proportion of travel expenses involved may be reimbursed by authorities. The Scottish Office will advise authorities from time to time of the circumstances determining the payment of travel expenses to offenders and the specific amounts payable.
The written information given to the offenders prior to sentence must include information about the likely associated costs of undertaking various non-custodial disposals.
Payment for Medical Certificate
129.Where an offender requires to obtain a medical certificate in respect of any failure to attend or in respect of attendance at a particular programme (in such cases the cost of the certificate should form part of the agreed programme costs).
129.1The offender should be responsible for obtaining a signed certificate from his/her own doctor and should either pay or obtain an account for any necessary fee not exceeding that specified in the fees and allowances payable to doctors in terms of the collaboration arrangements for medical services to local authorities.
129.2The cost of the fee charged for a medical certificate will be refunded to the offender in cases where he/she produces a receipt for the fee and where an account has been obtained payment will be made direct to the doctor. Expenditure incurred in refunding the costs of fees will be eligible for grant and should be included in the normal quarterly claims.
Attendance at Training Courses/Seminars/Conferences etc
130.The costs of attendance, within the UK, at job related training courses/seminars/conferences etc by social work staff engaged in 100% funded services qualifies for 100% grant and must be met from within grant allocations. Staff substitution costs are eligible only in relation to staff attending job related advanced training courses.
131.The costs of attendance, outwith the UK, at training courses/seminars/conferences etc by social work staff engaged in 100% funded services may be reimbursed to authorities by SWSG in addition to grant allocations where SWSG consider that attendance would be of benefit to the service. In such situations SWSG will invite COSLA to nominate a specified number of individuals to attend a specific conference. It is open to COSLA to suggest to SWSG conferences which may merit inclusion in these arrangements. SWSG will advise COSLA of the persons who may attend and of any cost ceiling to be adhered to. Claims for reimbursement should be submitted to SWSG by the authority whose staff are attending as soon as possible following receipt of SWSG approval.
Monitoring and Evaluation
132.The financial information provided by local authorities in respect of 100% funded offender services will be used by Central Government to monitor and evaluate the efficiency and effectiveness of the management of offender services against National Standards. This information will also inform ongoing reviews of policy and practice in offender services. Visits to schemes by SWSG officials will form part of the monitoring function.
Inspection of Accounts
133.All financial records in respect of 100% central government funded Offender Services should be available for inspection by the Secretary of State or his representative at any reasonable time for a period of at least 3 years following the date of payment of grant to the Authority.
Submission of Account
134.Annual accounts for Offenders Services, certified by the Head of Paid Service, should be submitted to the Department as soon as possible after the end of each financial year and not later than 30 September in the following financial year.
NBNational Standards for Supported Accommodation are currently being prepared by SWSG in consultation with COSLA and will be issued in due course.
Supported Accommodation for Offenders
135.Local authorities should ensure that where possible housing or other benefits to which the offender is entitled of accommodation are obtained. These should be offset against the costs claimed from SWSG in respect of the accommodation provided to the offender. It is intended, that, except in cases of hardship, only these costs generally described as "care costs" should be eligible for grant.
136.The "care" costs incurred by local authorities in providing or obtaining supported accommodation for use by an offender will attract grant only where there is an additional condition in the order stating that the offender should reside in a specific place or as directed by the Supervising Officer. Grant will normally be limited to the period covered by the specific condition. However, where circumstances are such that residence beyond the condition period is considered necessary, grant will exceptionally be payable until the termination of the order or licence. Offenders should not be given the formal tenancy of any such accommodation during the currency of the specific condition requiring residence in the accommodation.
137.In order to deal with circumstances arising after a probation or supervised release order or parole or non-parole licence has been made and which necessitate providing the offender with accommodation involving care costs, the care costs incurred by authorities in providing such accommodation for up to a maximum of 4 months from the date of first occupancy will attract grant. Where it is considered necessary to extend the provision of such accommodation beyond 4 months SWSG approval should be obtained.
138.Where it is necessary to provide accommodation involving care costs to a person who, within 12 months of their release from custody, seeks advice, guidance and assistance the care costs incurred by authorities in providing such accommodation for up to a maximum of 4 months from the date of first occupancy will attract grant. Where it is considered necessary to extend the provision of such accommodation beyond 4 months SWSG approval should be obtained.
139.The reasonable costs of agreed arrangements which provide for the retention of accommodation to meet anticipated demand will qualify for 100% grant.
Non Residential Support Services
140.The approved costs of providing supervision for those on probation, parole, and statutory licence in accordance with National Standards will attract 100% grant. These include those facilities and programmes required to support supervision, whether or not they are provided by means of an additional requirement in the order or licence.
141.Some of these programmes make intensive demands on the offender and involve additional costs. For these reasons, participation in programmes which require full-time attendance for no less than 20 days in any one 6 month period will attract grant only where the offender's attendance is required by a specific condition to that effect forming part of the order or licence.
142.Where the order or licence has been made and it is considered necessary to amend the initial action plan to incorporate an intensive programme and the Court or Secretary of State is not being approached to amend the order or licence, SWSG approval must be obtained.
143.The costs arising in respect of community based work carried out in preparation for release also attract grant.
Voluntary Throughcare
144.The costs incurred by local authorities in providing advice, guidance and assistance to persons in their area who request such services in respect of the 12 month period following their release from custody are eligible for grant. The 12 month period is to be calculated from the date of release and not from the date of the request. As for parole, costs arising in respect of community based work carried out in preparation for release also attract grant.
Impact of these funding arrangements on other related government funding
145.Section 10 of the Social Work (Scotland) Act 1968. Core funding for organisations providing service to offenders will continue to be eligible for grant. Projects which provide services eligible for 100% funding will not normally be approved for Section 10 grant. Income in excess of expenditure obtained by organisations receiving Section 10 grant from services they provide to local authorities must be clearly stated on any application for a Section 10 grant.
146.Provision of Supported Accommodation. 100% grant will continue to be available under the existing arrangements and should be seen as forming part of SWSG's overall policy for the provision of accommodation for offenders. Capital proposals should be identified as soon as possible in authorities annual planning statements. The category of persons set out in Section 27B of the Social Work (Scotland) Act 1968 was expanded in the Law Reform (Miscellaneous Provisions) (Scotland) Act to include:-
146.1persons who have been charged with an offence and are on bail;
146.2persons who have been released from prison or any other form of detention but do not fall within Section (I)(b)(ii) of the Act; and
146.3such other classes of persons as the Secretary of State may prescribe.
147.Local authorities may claim 100% refund of the individual care costs involved in respect of offenders residing in hostels receiving Section 27B support where the criteria set out in paragraphs 135 to 139 apply. Such income received by the hostel must be used to reduce the level of 100% grant.
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