The Scottish Government

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08 Audit and Monitoring

This chapter to be reviewed by March 2008

Summary

• The Act introduces a power for Scottish Ministers to monitor performance of the civil protection duties {section 9 (2)}.
• A process for audit and monitoring of local responders' performance of duties under the Act is being developed by the Scottish Executive.
• Audit Scotland is planning to start a national study jointly for the Accounts Commission and the Auditor General in late 2006, looking at how Category 1 responders perform against the Act - including their co-operation in Strategic Co-ordinating Groups ( SCGs) - and at the role of the Executive.
• A timetable for responders to report on compliance with the duties under the Act in Scotland is provided.
• Monitoring of local responders' performance by the Scottish Executive will be carried out through reporting by the SCGs.
• SCGs will also be requested to report on their own performance in co-operative and joint activities.
• This guidance provides an interim Performance Monitoring Guide to assist local responders and SCGs to report on their performance.
• The Act also provides a system for enforcement for Scottish Ministers and for Scottish Category 1 and 2 responders through the Court of Session {section 11}.

Introduction

8.1 This chapter provides guidance which should assist local responders to prepare for audit and monitoring. It complements Chapter 8, Section 2 of Preparing Scotland.

8.2 The process for auditing and monitoring implementation of the duties under the Civil Contingencies Act 2004 ('the Act') in Scotland is based on:

• the seven duties for Category 1 responders
• the duty for Category 2 responders to co-operate and share information
• the role of the Strategic Co-ordinating Groups ( SCGs) in co-operation and planning.

8.3 This chapter covers:

• the role of the Scottish Executive
• the timetable for reporting on implementation of the Act in Scotland
• the role of Audit Scotland
• a performance monitoring guide and development of a performance monitoring framework ( PMF)

The role of the Scottish Executive

8.4 The Scottish Executive expects that Category 1 and 2 responders will be fulfilling their duties under the Act from November 2005 through their current arrangements. It also expects them to have developed a framework and programme, under the umbrella of each SCG, to take the work of reviewing and, if necessary, revising their arrangements forward effectively and to have completed the process by the end of the 2006 calendar year.

8.5 In 2006 the Executive, and in the future auditors, will monitor progress by responders against the Act, both individually and co-operatively in the SCGs, by developing and implementing a suitable performance management framework ( PMF). The PMF will provide the Executive with the information it requires to assess the extent to which the CCA is being applied on a consistent basis across Scotland and to identify any problem issues.

8.6 The Executive is in the early stages of specifying information it requires to collect and assess in order to monitor progress against the Act in Scotland. An outline of this information is given below in paragraphs 8.13 to 8.19 of this guidance.

8.7 An important side benefit of the Executive's PMF is that it will also equip SCGs and Category 1 responders with a toolkit they can apply locally, in between more formal evaluations by the Scottish Executive.

8.8 As responders progress their work, the Executive may request that particular aspects be an item on SCGs' and Category 1 responders' meeting agendas, but will give reasonable advance notice of this request and of any requirement for other information.

Reporting timetable

8.9 The table below summarises when the Executive will expect Category 1 responders in Scotland to report on their compliance with the seven primary duties under the Act.

The role of Audit Scotland

8.10 Audit Scotland undertakes studies reviewing the performance of Scottish public bodies - on behalf of the Accounts Commission in relation to local authorities, and for the Auditor General for other public bodies. More information on these organisations can be found on the Internet at www.audit-scotland.gov.uk

8.11 In late 2006 Audit Scotland is planning to start a national study jointly for the Commission and the Auditor General, looking at how SCGs and Category 1 responders perform against the Act and at the role of the Executive. The scope of the study will be developed in the autumn of 2006, but it is likely to include:

• progress with the implementation of duties under the Act;
• performance against any indicators included in the proposed performance management framework;
• examples of good practice; and
• recommendations where required.

8.12 The exact timing for the study has still to be finalised. However, it is likely that the audit approach will be developed in late 2006, with audit work being undertaken during 2007. Audit Scotland will publish the findings from the study in a national report, probably in late 2007.

Interim performance monitoring for the seven duties

8.13 Category 1 responders, individually or working together in the SCGs, should use the Performance Monitoring Guide described in Annex 1 of this chapter to monitor performance and to structure reports on their progress to the SCGs.

8.14SCG Chairs should also require regular reporting from the SCG secretariat on performance of the SCG itself in terms of its aims, objectives and programme of work for multi-agency aspects of co-operation and preparation (see paragraphs. 8.18 and 8.19).

8.15 In the spirit of continuous improvement, an assessment of performance against the Performance Monitoring Guide should be a standing agenda item for SCGs rather than a topic which is dealt with only when monitoring by the Executive or an approach by Audit Scotland is imminent.

8.16 The performance monitoring guide in Annex 1 should be used by local responders and the SCG secretariat, as appropriate at each stage of the work programme, to structure reports to the SCGs on progress. These should be used as the basis for combined reports from each SCG to the Scottish Executive as timetabled in paragraph 8.9.

Proposed performance monitoring framework

8.17 Revised guidance, including a structured PMF, will be developed by the Scottish Executive in light of Audit Scotland's national report.

Performance Monitoring for the Strategic Co-ordinating Groups

8.18 The Regulations place a duty on Scottish Category 1 responders who have functions within a particular police area to join together (along with any general Category 1 responders with functions in that area) to form a single group who are required to co-operate with each other. The Regulations refer to any such group as a "Strategic Co-ordinating Group". The Regulations also place duties on Category 2 responders regarding their participation in the SCGs. The Act and Regulations do not place duties on the SCG as it is not a legal entity in its own right however duties are placed on the responders who are part of the group to ensure that it operates effectively.

8.19 Outline indicators for co-operative performance in SCGs are:

• The SCG has an effective organisation and administration including:
  • a regular cycle of meetings
  • adequate circulation of papers before and following meetings
  • effective processing and dissemination of incoming information
  • a formal structure for taking forward plan preparation at a strategic and multi-agency level for the area.
• All Category 1 responders, and Category 2 as required, are effectively represented on the SCG at a suitably senior level.
• Category 1 responders are effectively represented at all meetings.
• SCG has clear aims, objectives and a programme of work.

Note: For those SCGs which have appointed co-ordinators, the co-ordinator's performance will be reviewed separately under the terms of the Scottish Executive's conditions of grant.

Category 2 responders

8.20 Scottish Category 2 responders' compliance in co-operation and information sharing will be monitored initially through reporting by the SCGs.

8.21 General Category 2 responders with functions exercisable in Scotland will be audited through their normal regulatory regimes.

Enforcement

8.22Section 2, Chapter 8, paragraphs 8.10 to 8.13 (Regulatory Guidance) of Preparing Scotland provide detailed information on enforcement.

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