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Scottish Children’s Reporter Administration: Management Statement and Financial Memorandum

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3. RESPONSIBILITIES AND ACCOUNTABILITY

3.1 Scottish Ministers

3.1.1 Scottish Ministers are ultimately accountable to the Scottish Parliament for the activities and performance of the SCRA. Their responsibilities include:

  • approving the policy and performance framework within which the SCRA operates, including objective setting;
  • providing policy information to the Scottish Parliament about the SCRA as required;
  • determining the amount of grant-in-aid to be paid to the SCRA and seeking Parliamentary approval;
  • ensuring that appointments to the Board are made timeously and in accordance with the Commissioner for Public Appointments in Scotland's Code of Practice;
  • approving the terms and conditions of Board members, appointment of the Principal Reporter, approval of terms and conditions of staff; and
  • laying of the annual report and accounts before the Scottish Parliament.

3.2 The Secretary of the Scottish Executive Education Department ( SEED)

3.2.1 The Secretary of SEED, as the Department's Principal Accountable Officer, is personally responsible for the propriety and regularity of the public finances for which s/he is responsible; for keeping proper records; and for the efficient and effective use of resources. Departmental Accountable Officers answer personally to the Audit Committee of the Scottish Parliament on matters relating to the policies, actions and conduct of that part of the Scottish Executive for which s/he is responsible. In particular:

  • s/he is responsible for ensuring that the SCRA's strategic aim and objectives support the Scottish Ministers' wider strategic aims; and that the financial and other management controls applied by the Department to the SCRA are appropriate and sufficient to safeguard public funds, and for monitoring the SCRA's compliance with those controls ("public funds" in this context include not only any funds granted to the SCRA by the Scottish Parliament but also any other funds within the stewardship of the SCRA);
  • s/he must be satisfied that the internal controls applied by the SCRA conform to the requirements of regularity, propriety and good financial management; and
  • s/he is accountable to the Scottish Parliament for the issue of such subvention, and for ensuring that the subventions are within the ambit and the amount of the Budget, and that Parliamentary authority has been sought and given.

3.2.2 The responsibilities of a Departmental Accountable Officer are set out in more detail in the Accountability Section of the SPFM.

3.3 The Sponsoring Division of the Department

3.3.1 Within the Scottish Executive Education Department, Youth Justice and Children's Hearings Division is the sponsoring division for the SCRA. The division is the primary source of advice to Scottish Ministers on the discharge of their responsibilities in respect of the SCRA, and the primary point of contact for the SCRA itself within the Department.

3.3.2 The main functions of the sponsoring division are:

  • to agree an appropriate framework of objectives and targets for the SCRA in the light of the Scottish Ministers' wider strategic aim(s);
  • to advise Scottish Ministers on an appropriate budget for the SCRA within the Department's overall planned budgetary provision, and on appropriate performance targets for the administration, how well the SCRA is achieving its strategic objectives and whether it is delivering value for money;
    to monitor and review the SCRA's performance against targets, budgeting, control and risk management, including early sight of the SCRA's Statement on Internal Control and against its total financial provision; to submit advice to the Departmental Accountable Officer and Scottish Ministers as appropriate and to take action where appropriate;
  • to communicate relevant Scottish Executive policy to the SCRA and advise on the interpretation of that policy; and to issue specific guidance to the SCRA as necessary;
  • to address in a timely manner any significant problems arising in the SCRA, whether financial or otherwise, making such interventions in the affairs of the SCRA as the Department judges necessary;
  • to ensure that the activities of the SCRA and the risks associated with them are properly taken into account in the Scottish Executive's risk assessment and management systems; and
  • to bring concerns about the activities of the SCRA to the Board and require explanations and assurances that action has been taken.

3.4 The Chair of the Scottish Children's Reporter Administration

3.4.1 The Chair is appointed by the Scottish Ministers. The Scottish Ministers will be entitled to appoint a Chair from applicants to a public advertisement and subject to the constraints set out in the Act and shall be entitled to remove the Chair at any time.

3.4.2 The Chair of the SCRA is personally responsible to the Scottish Ministers for ensuring that the SCRA's policies are compatible with those of the Scottish Ministers and the probity in the conduct of the SCRA's affairs.

3.4.3 The Chair has a particular responsibility for providing effective strategic leadership on the following matters:

  • formulating the Board's strategy for discharging its statutory duties;
  • encouraging high standards of propriety and promoting the efficient and effective use of staff and other resources throughout the SCRA;
    having executive responsibility for long-term strategic and corporate governance including development of Risk Management policies;
  • ensuring that the Board, in reaching decisions, takes proper account of guidance provided by the responsible Minister or sponsor Department;
  • representing the views of the Board to the general public; and
  • routinely providing an assessment of performance of individual Board members.

3.4.4 The Chair should ensure that all members of the Board, when taking up office are fully briefed on the terms of their appointment and on their duties, rights and responsibilities and receive appropriate induction training, including on the financial management and report requirements of public sector bodies and on any differences which may exist between private and public sector practice.

3.4.5 The Chair shall also ensure that, in line with the provisions of the Ethical Standards in Public Life etc (Scotland) Act 2000, Board members are fully aware of the SCRA's Code of Conduct as approved by the Scottish Ministers.

3.4.6 Communications between the Board and the Scottish Ministers shall normally be through the Chair. The Chair shall ensure that the Principal Reporter and other Board members are kept informed of such communications.

3.5 The SCRA's Board

3.5.1 Board members are appointed by the Scottish Ministers for such duration as they shall determine. The Scottish Ministers shall be entitled at any time:

  • to require all or any of the Board members to resign from membership of the Board - subject to the terms of paragraph 6 of Schedule 12 of the Local Government etc (Scotland) Act 1994;
  • to appoint members to fill any vacancies in the membership of the Board; and
  • by order, to increase the number of Board members.

3.5.2 The Board has corporate responsibility for ensuring that the SCRA fulfil the aims and objectives set by the Scottish Ministers and for promoting the efficient and effective use of staff and other resources by the SCRA in accordance with the principles of Best Value - see relevant section of the SPFM. To this end, and in pursuit of its wider corporate responsibilities, the Board shall:

  • establish the overall strategic direction of the SCRA within the policy, planning and resources framework determined by the Scottish Ministers;
  • ensure that the Scottish Ministers are kept informed of any changes which are likely to impact on the strategic direction of the SCRA or on the attainability of its targets, and determine the steps needed to deal with such changes;
  • ensure that any statutory or administrative requirements for the use of public funds ( i.e. all funds falling within the stewardship of the SCRA) are complied with; that the Board operates within the limits of its statutory authority and any delegated authority agreed with the sponsor Department, and in accordance with any other conditions relating to the use of public funds; and that, in reaching decisions, the Board takes into account relevant guidance issued by the Scottish Ministers/sponsor Department;
  • ensure that the Board receives and reviews regular financial information concerning the management of the SCRA; is informed in a timely manner about any concerns about the activities of the SCRA; and provides positive assurance to the sponsor Department that appropriate action has been taken on such concerns;
  • demonstrate high standards of corporate governance at all times, including by setting up and using an independent Audit Committee - in accordance with the guidance on Audit Committees in the SPFM - to help the Board to address the key financial and other risks facing the SCRA;
  • provide commitment and leadership in the development and promotion of Best Value principles throughout the organisation;
  • appoint, with the Scottish Ministers' approval, a Chief Executive to the SCRA and, in consultation with the sponsor Department, set performance objectives and remuneration terms linked to these objectives for the Chief Executive which give due weight both to the proper management and use of public monies and to the delivery of outcomes in line with the Scottish Ministers' priorities.

3.5.3 Individual Board members shall act in accordance with their wider responsibility as members of the Board - namely to:

  • comply at all times with the Code of Conduct (paragraph 3.4.5 above) that is adopted by the SCRA and with the rules relating to the use of public funds, conflicts of interest and confidentiality;
  • not misuse information gained in the course of their public service for personal gain or political profit, or seek to use the opportunity of public service to promote their private interests or those of connected persons or organisations;
  • comply with the Code of Conduct or, for those bodies not covered by the provisions of the Ethical Standards framework, the Board's rules on the acceptance of gifts and hospitality, and of business appointments;
  • act in good faith and in the best interests of the SCRA.

3.6 The Committees of the Board of the Scottish Children's Reporter Administration

3.6.1 The SCRA may appoint persons who are not members of it to be members of any committee established by it, although no committee may consist entirely of persons who are not members of the Administration. The SCRA shall pay to a person appointed to such a committee such remuneration and allowances (if any) as the Scottish Ministers may determine. The SCRA may regulate the procedure of any committee and any committee shall comply with any directions given to it by the Administration.

3.7 The Accountable Officer of the SCRA

3.7.1 The Chief Executive and Principal Reporter of the SCRA is designated as the SCRA's Accountable Officer by the Principal Accountable Officer of the Scottish Executive Education Department in accordance with sections 14 and 15 of the Public Finance and Accountability (Scotland) Act 2000.

3.7.2 The Accountable Officer of the SCRA is personally responsible for safeguarding the public funds ( i.e. all funds falling within the stewardship of the SCRA) for which they have charge; for ensuring propriety and regularity in the handling of those public funds; and for the day-to-day operations and management of the SCRA. They should act in accordance with the terms of the MS/ FM and within the terms of relevant guidance in the SPFM and other instructions and guidance issued by the Scottish Ministers - in particular the Memorandum of Accountable Officers of Other Public Bodies (Annex 2 of the section on Accountability in the SPFM).

3.7.3 The Accountable Officer has a duty to secure Best Value, which includes the concepts of good corporate governance, performance management and continuous improvement. Guidance to Accountable Officers on what their organisations should be able to demonstrate in fulfilment of the duties which make up a Best Value regime is included in the Best Value section of the SPFM.

3.7.4 As Accountable Officer, the Chief Executive shall exercise the following specific responsibilities:

on planning, performance management and monitoring -

  • establish the SCRA's corporate and business plans in the light of the Scottish Ministers' wider strategic aim(s);
  • establish a robust performance management framework which supports the achievement of the SCRA's aims and objectives as set out in the corporate and business plans; and which enables full performance reporting to the Board, the Department and the wider public;
  • inform the sponsor Department of the SCRA's progress in helping to achieve the Scottish Ministers' policy objectives and in demonstrating how resources are being used to achieve those objectives;
  • ensure that timely forecasts and monitoring information on performance and finance are provided to the sponsor Department; that the sponsor Department is notified promptly if overspends/underspends are likely or if performance targets are at serious risk and that corrective action is taken; and that any significant problems, whether financial or otherwise, and whether detected by internal audit or by other means, are notified to the sponsor Department in a timely fashion;

on advising the Board -

  • advise the Board on the discharge of its responsibilities as set out in this document (in the founding legislation) and in any other relevant instructions and guidance issued by the Scottish Ministers/sponsor Department;
  • advise the Board on the SCRA's performance compared with its aim(s) and objectives;
  • ensure that financial considerations are taken fully into account by the Board at all stages in reaching and executing its decisions;
  • take action as set out in section 5 of the Memorandum to Accountable Officers of Other Public Bodies if the Board, or its Chair, is contemplating a course of action involving a transaction which the Chief Executive considers would infringe the requirements of propriety or regularity or does not represent prudent or economical administration or efficiency or effectiveness;

on managing risk and resources -

  • ensure that a system of risk management is embedded in the organisation to inform decisions on financial and operational planning and to assist in achieving objectives and targets;
  • ensure that an effective system of programme and project management and contract management is maintained;
  • ensure that the funds made available to the SCRA (including any approved income or other receipts) are used for the purpose intended by the Scottish Parliament, and that such monies, together with the SCRA's assets, equipment and staff, are used economically, efficiently and effectively;
  • ensure that adequate internal management and financial controls are maintained by the SCRA, including effective measures against fraud and theft;
  • maintain a comprehensive system of internal delegated authorities which are notified to all staff, together with a system for regularly reviewing compliance with these delegations;
  • ensure that effective human resource management policies are maintained and that strategic human resource planning is related to the SCRA's objectives;

on accounting for the SCRA's activities -

  • sign the accounts and be responsible for ensuring that proper records are kept relating to the accounts and that the accounts are properly prepared and presented in accordance with any directions issued by the Scottish Ministers;
  • sign a Statement of Accountable Officer's responsibilities, for inclusion in the annual report and accounts;
  • sign a Statement on Internal Control regarding the SCRA's system of internal control, for inclusion in the annual report and accounts;
  • sign a Certificate of Assurance on the maintenance and review of the SCRA's internal control systems, for submission to the sponsor Department;
  • ensure that an effective complaints procedure is in place (including, where applicable, reference to the Scottish Public Services Ombudsman) and made widely known;
  • give evidence when summoned before Committees of the Scottish Parliament on the use and stewardship of public funds by the SCRA.

3.7.5 The Chief Executive may delegate the day-to-day administration of the Accountable Officer's responsibilities to other employees in the SCRA. However, they shall not assign absolutely to any other person any of the responsibilities set out in this document.

3.7.6 The Chief Executive is responsible for informing the Departmental Accountable Officer about any complaints about the SCRA accepted by the Scottish Public Services Ombudsman for investigation, and about the SCRA's proposed response to any subsequent recommendations from the Ombudsman.

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Page updated: Monday, July 23, 2007