 |  |
| Publications |
| Home | Press | Publications | What We Do | Who We Are | Search | Site Map | Contacts | Links | ||||
| | |||
| Publications > Crime, Law, Justice & Rights | ||||
< Previous | Contents | Next >
How effective is partnership working and does the organisation manage resources effectively and efficiently.
5.1 SCRO's partnership approach involves linking at executive and senior management level with all Scottish Forces, the Scottish Police College, Scottish Drug Enforcement Agency, British Transport Police and the Ministry of Defence Police principally via the SCRO Executive and Management Committees. Within the wider criminal justice community, SCRO provides a service central to all the partners involved in the Integration of the Scottish Criminal Justice Information System (ISCJIS). This involves attendance at numerous ISCJIS Groups ranging from local force liaison to the National Project Board.
5.2 Commitment to this partnership approach is illustrated by the linkages with the following organisations and projects:
5.3 SCRO undertake roadshows, seminars, and lectures and compiles a newsletter ('On the Record') to inform partners and customers of their business activities.
Integration of Scottish Criminal Justice Information Systems
5.4 The Integration of Scottish Criminal Justice Information Systems (ISCJIS) programme aims to bring benefits to the Scottish criminal justice system by automating the sharing and exchange of information between the various agencies within the system. The project is a joint initiative of the major agencies - the Scottish Executive, Crown Office and Procurator Fiscal Service, Scottish Court Service (SCS), Scottish Police Forces (and the British Transport Police), Scottish Prison Service (SPS), District Courts, Scottish Children's Reporters Agency, Scottish Legal Aid Board, the Driver and Vehicle Licensing Agency (DVLA) and SCRO.
5.5 Almost all of the organisations involved already have their own computer systems, to hold and manage the information and documents required for their work. For example, the Crown Office has a "Standard Office System" which is in use in all Procurators Fiscal Offices and is being developed further. The Scottish Court Service's "COP" system stores information on cases in all Sheriff Courts. These separate systems are already linked to some extent. For example, at 19 sites, information is transferred on diskette between local Procurator Fiscal offices and the Sheriff Clerks. The link between the Scottish police forces and the Scottish Criminal Record Office is fully computerised. In police forces standard police reports are prepared and transmitted electronically to Procurator Fiscal offices.
5.6 The ISCJIS 'Primary Loop' is a series of IT linkages between the various existing computer systems of the Scottish criminal justice organisations. It will bring benefits of speed and accuracy and at the same time reduce administrative costs.
Figure 2 - The ISCJIS Primary Loop
5.7 The SCRO Corporate Plan 2000/03 identifies as an issue the continued management of the Integration of the Scottish Criminal Justice Information Systems (ISCJIS). As an aim SCRO seeks to ensure it is committed to the phased implementation of the programme, and to endeavour to provide the highest quality service. SCRO has demonstrated commitment to the project by the appointment of an inspector to the post of ISCJIS Co-ordinator, within SCRO, chairing the ISCJIS Data Standards Change Control Group. The ISCJIS Co-ordinator's role includes ensuring that regular dialogue is maintained between SCRO and all ISCJIS partners, that appropriate representation is maintained on all committees and at all meetings within the ISCJIS community. These arrangements may need adjustment as part of the Review of Common Police Services.
5.8 At the point of reporting all Sheriff Courts in the Fife Constabulary, Grampian Police, Dumfries and Galloway Constabulary, Northern Constabulary and Central Scotland Police areas are fully ISCJIS compliant. Courts within the Tayside Police and Lothian and Borders Police areas are working towards being ISCJIS compliant. SCRO is to host a Driver and Vehicle Licensing Agency (DVLA) pilot scheme in order that the Paisley and Dumfries Procurator Fiscal's offices can have access to the DVLA data base to improve efficiency in the courts when DVLA printouts are required.
Part V of the Police Act 1997
5.9 In December 1998 Mr Henry McLeish, the now First Minister but then Home Affairs Minister, announced that extended access to criminal record checks in terms of Part V of the Police Act 1997 would be provided in Scotland by SCRO and that it would take approximately two years to put the necessary resources and procedures in place to take on the additional workload. For England and Wales a Criminal Record Bureau has been set up in Merseyside and run by the UK Passport Agency. It was originally intended that SCRO would issue certificates on a phased basis, starting in December 2000 with the Enhanced Criminal Record Certificates for positions dealing with children. Scottish Ministers subsequently decided that the introduction of Part V in Scotland should come into line with England and Wales, as the two operations have to be developed in parallel to allow for as much integration as possible. The target date for commencement of the service in Scotland at the point of inspection was July 2001. There was delay of the project in England and Wales.
5.10 The strategy for implementation of Part V is in place based on Project in controlled Environment (PRINCE) project management methodology. A Project Board is responsible for setting policy, directing the progress of the work of the Project, and for ensuring the availability of the necessary resources. The Board is chaired by the Scottish Executive and comprises representatives of the Executive, ACPOS and Central Computer Telecommunication Agency. The Project Assurance Team (PAT) is responsible for ensuring the efficiency and effectiveness of the work of the Project Team. The PAT comprises representatives of the Scottish Executive and ACPOS. The Director of SCRO is the chairman of the Project Management Team (PMT), which is responsible for ensuring that the work on the project is delivered to the planned timetable. In addition to the chairman, the PMT comprises the Deputy Director of SCRO; the Head of SCRO/IT services; the Part V Project Manager; and the Part V Deputy Project Manager.
5.11 The Project Team is established within SCRO, headed by an acting superintendent, to procure and develop the required resources, accommodation and procedures for Part V. As well as the Project Manager the Project Team comprises a Deputy Project Manager; an IT Development Officer; a Policy Development Officer (secondee from the Scottish Executive); and an Administrative Assistant. At the time of the inspection a Financial Systems Officer had been recently appointed to the Team. Arrangements are currently being put in hand to appoint a Human Resources Officer, with two additional IT staff. Until the implementation of Part V the Financial Systems Officer and the Human Resources Officer will concentrate on Part V work but thereafter these posts will assume broader responsibilities within SCRO as a whole. HMIC acknowledges the introduction of the Financial Systems Officer and Human Resources Officer posts as good practice. The Project Team reports to the Director of SCRO, and ultimately to the Part V Project Board. In addition, the Project Team has access to various consultancy services (e.g. CCTA, Scottish Executive Procurement Division) as required.
5.12 At the time of inspection HMIC found that the Project Team had developed a process model to facilitate the registration and application elements of the project. Although these processes have been mapped out extensive development work has still to be conducted and a third party organisation that would design and provide the necessary computer software and IT systems had yet to be identified, and approved by the Project Board. HMIC recognises that implementation of Part V of the Police Act 1997 is of great importance to SCRO and will be the catalyst for changing the role of the User Support Bureau (see paragraphs 6.5 to 6.10).
5.13 The evidence of the inspection raised concerns about the intended commencement date of July 2001. There is no doubting the effort and determination of all concerned (project board, project team, police forces and Scottish Executive) to meet this original timescale. However HMIC considers that it is more important that the new service is fully effective from the inception rather than continue with (now) an unrealistic date. A number of factors have contributed to the present situation, including considerable delays in receiving legal advice on aspects of practice and procedures. HMIC suggests that careful consideration is given to establishing a new date for the implementation of Part V of the Police Act 1997, given the work that remains to be done. Linking the start date with that of the parallel organisation in England and Wales remains a sensible approach, even if that means delaying the start date of the Scottish operation. Also see paragraph 6.11 regarding data quality.
Finance
Financial Policy Framework
5.14 SCRO is part of the Justice Department of the Scottish Executive and as such is governed by the financial controls and procedures as operated by the Scottish Executive through the Scottish Executive Finance Manual. A draft financial memorandum has been prepared for SCRO that establishes formally the financial framework and relationships within which SCRO operates and should comply.
| Recommendation
7 |
The mechanisms that exist within SCRO relating to budget preparation, monitoring and control are integrated within SCRO's overall strategic and operational management processes.
Financial Monitoring (Revenue)
5.15 SCRO, as part of the Justice Department, hold their financial data on the Scottish Office Accounting Package (SCOAP) the Scottish Executive's corporate accounting system. Actual expenditure incurred by SCRO is paid in a number of ways. Payments to police officers, seconded to SCRO from their home force, are paid by the Scottish Executive. Non uniformed staff are seconded from and paid by Strathclyde Joint Police Board. Other invoices are sent by SCRO to the Scottish Executive for processing/ payment. Local records are held relating to invoices passed to the Scottish Executive for payment with reconciliation carried out between local records and SCOAP.
5.16 The present coding arrangements within SCOAP do not assist the process of detailed budget monitoring within SCRO. This manifests itself in a number of ways. Firstly SCRO is held as a single cost centre and as such does not allow the holding of budgetary or actual expenditure data at bureau level within SCRO. The second issue is that of the account codes available for SCRO non-pay costs. At present a single code holds all non-pay costs. This situation hinders the extraction of detailed financial information from the corporate accounting system and necessitates duplication of effort. It is concluded therefore that the present ledger structure hinders effective financial control of resources allocated to SCRO.
5.17 The reconciliation of financial records is currently undertaken by one member of staff. Periods of annual and other leave, exposes SCRO to potential risk. The appointment of a Finance Officer in relation to Part V developments, whilst improving the financial skills within SCRO does not remove this risk entirely.
| Recommendation
9 |
5.18 Monitoring is undertaken and reported at a global level for SCRO. The level of information provided in monitoring reports is clear, concise and easily understood although manual intervention is required to data extracted from SCOAP.
Internal Audit
5.19 As part of the Justice Department, SCRO falls within the remit of the Scottish Executive Audit Unit (SEAU). Given that SCRO is using staff and services from Strathclyde Joint Police Board, SCRO also indirectly accesses the internal audit activity of the Joint Board on those areas of service provided to SCRO. The audit plan prepared by SEAU for coverage of the Justice Department is not subject to specific discussion with SCRO but is dealt with on a departmental basis.
Processing of Creditors
5.20 At present creditors invoices are passed to the Scottish Executive in Edinburgh for batch processing. The amount of invoices generated by SCRO has typically been approximately 850 per annum. With the development of structures and processes to support Part V activity future estimates are in the order of 1,000 invoices per annum. The present arrangements require a reconciliation of local records and the corporate financial system, as well as time consuming follow up on queries from suppliers. Direct processing of invoices would be possible through SCOAP and facilitate the updating of ledger data and extraction of up to date management information from SCOAP.
|
Recommendation 10 |
Devolved Budgeting
5.21 Devolved budgeting has not been adopted within SCRO. The prime reason given is the lack of flexibility at bureau level and the difficulty in responding to emerging pressures within the budget. The Deputy Director did indicate that bureau heads are in a position to authorise some purchases on minor items of equipment. Formal rules of delegation are not in place.
| Recommendation
11 |
5.22 The present financial systems do not support devolved budgeting in the sense that bureau costs are not directly identifiable and management information not easily extracted from the accounting systems operated within the Scottish Executive.
| Recommendation
12 |
Provision of Support Services
5.23 SCRO
and the Scottish Executive provide financial services with Strathclyde Joint Police
Board providing some support services (including personnel and training).
A management fee is charged the basis of which is a percentage of the SCRO budget.
There is no formal Service Level Agreement in place and no basis on which to judge
whether the present arrangements with Strathclyde provide value for money as the
fee is all encompassing and levels of service are not specified.
Bank Account
5.24 A bank account is operated by Strathclyde on behalf of SCRO which is in effect an imprest account. This was established because SCRO is not a legal entity and could not therefore open its own bank account. Both miscellaneous payments and a small amount of receipts are handled through this account. Arrangements exist within the Scottish Executive where local bank accounts can be operated. This mechanism is in place for some other Common Police Services whose legal status is akin to SCRO.
Revenue Budgeting
5.25 The revenue budget process within SCRO is structured and is usually based on incremental budgeting approach. The budget preparation process for 2001-02 was conducted with the assistance of finance staff from Strathclyde Police Finance Department with a full examination of the base budget built from a zero base. This approach was taken as a consequence of the move to new premises and the resultant change in cost base, as well as the anticipated impact of Part V in July 2001. SCRO are aware of the budget processes within the Scottish Executive and submissions are made to the Justice Department (Police Division) for budget changes as and when required.
Best Value
5.26 SCRO produced their Best Value submission in May 2000 and a number of references to finance are made within the document. With regard to the basic financial processes within SCRO a number of developments can be linked to the best value submission. The budget process for 2001-02 re-appraised the base budget in line with operational requirements and developments. This is evidence of the linking of operational and financial planning which was not supported by the application of a traditional incremental budgeting approach. The establishment of a three-year baseline as a result of spending review 2000 (SR2000) should enhance this process and facilitate the development of medium term financial planning which until now has been an annual process. The approach taken requires to be continually applied given the imminent and significant changes in SCRO's operating environment and the requirement to update both financial and operational plans.
5.27 HMIC examined the procurement processes within SCRO and established that Value for Money is sought through the application of Scottish Executive procurement guidance.
5.28 Reference is made in Section 5 of the best value submission to quality and the establishment of a Quality Management System (QMS) to support the business objectives of SCRO. Such a system should, as well as identifying the desired outputs by SCRO link these to the costs of delivery. Whilst there is an overt requirement to identify the costs of Part V for the recharging of costs to some customers, there is also a requirement to cost all functions to establish the benchmarks against which quality/ cost improvements can be measured.
5.29 Underlying these processes is the requirement to collect and extract financial data in a meaningful form. This requirement further supports the recommendations made for the restructuring of the ledger system (SCOAP) to support the extraction of meaningful financial data.
Part V of the Police Act 1997
5.30 The financial arrangements surrounding the introduction of Part V have been discussed over the past 18 months. Given the complexity of issues surrounding both the potential demand and the charging policy to be adopted for the issue of certificates, financial planning has been difficult. The basic processes applied to date have been sound. To support the implementation of Part V a Finance Officer has been seconded from Central Scotland Police for one year. The post holder is a qualified accountant and the addition of technical expertise will assist SCRO both in terms of Part V and the general development of financial systems. Detailed budget profiles have been prepared for a number of possible scenarios in anticipated demand for certificates. Given outstanding policy matters outwith the direct control of SCRO on the basis of charging, a best estimate has been incorporated within the 2001-02 budget. The financial arrangements associated with Part V will be fully reviewed as part of the review inspection in December 2001.
< Previous | Contents | Next >
The information contained on this WWW site is Crown Copyright but may be reproduced without formal permission or charge for personal or in-house use. Privacy and Content Disclaimer.
For general enquiries about this web site email ceu@scotland.gov.uk or fill out our online questionnaire.
