This Code of Practice sets out how the Scottish Ministers intend to use their power to inspect the education functions of local authorities. They wish to ensure that the framework for inspection is fully transparent and inspection itself is seen as open and fair and responsive to the aims and priorities of authorities.

This Code and any subsequent amendments to it will be subject to consultation with local authorities.

Rationale and Purpose

1. In providing for the statutory inspection of the educational functions of local authorities Scottish Ministers wish to ensure that authorities can benefit from an independent external evaluation that is rigorous, independent and informed by the best practice that exists.

2. Ministers consider that it is the local authority that has the key role in supporting and challenging schools in its area to achieve the priority objective of continuous improvement in schools throughout Scotland. That priority is shared by the Scottish Executive and local authorities. Authorities performing at their best will want to discharge their functions in a consistently rigorous manner, setting themselves the highest standards.

3. Independent external evaluation should assist and strengthen authorities in their approaches to those vital tasks and will assist in the identification and pursuit of best practice to the benefit of all authorities and schools.

4. Scottish Ministers wish to ensure that the approach to the inspection of authority functions is fully consistent with the Quality Initiative in Scottish Schools. The Quality Initiative has developed in partnership between the Scottish Office, HMI, authorities and schools throughout Scotland and has embedded the principles of improvement through rigorous self-evaluation. External evaluation of that process in schools is provided through inspection; inspection of authorities will fulfil the same purpose providing an independent external audit of defined aspects of the work of the authority, and its strategy and procedures for supporting improvement in the schools in its area.

5. Scottish Ministers wish also to ensure that the process of inspection is fully consistent with the principles of Best Value as it is being applied to local authority functions in Scotland. The important role of external scrutiny is fully recognised in the developing approach to Best Value. Ministers recognise that authorities are subject to other external audit and scrutiny and intend that the scheduling and conduct of educational inspections under these provisions will take due account of and where possible work with those other scrutinies.

6. Where the results of an inspection and follow-up indicate highly effective management of quality assurance and educational improvement on the part of a local authority, the authority may be given responsibility for follow-up work normally undertaken by HMI.

The Commissioning of Inspections

7. As a matter of general policy, Scottish Ministers shall delegate to Her Majesty's Senior Chief Inspector of Schools (HMSCI) the operational management and co-ordination of the inspection of the education functions of local authorities.

8. A programme of inspections will be undertaken with the approval of Scottish Ministers. In exceptional circumstances a Minister may direct that a particular inspection should take place.

9. In making this delegation the Scottish Ministers have requested that HMSCI ensure that:

• Evaluations will be based on a framework of published performance indicators and objectives. These indicators and objectives will be prepared by HMI in consultation and discussion with authorities and partner agencies. A range of possible approaches and procedures will be possible under this framework.
• The inspection process is consistent with the terms of this Code of Practice and otherwise fully independent. All inspections will comply with the principles, practices and standards of service, set out in the Charter of HM Inspectors of Schools (Scotland).
• The programme of inspections allows in the first instance for all local authorities to be inspected within an initial period of 5 years.
• Within this programme each authority has at least 2 months notice of an inspection.
• Inspections are carried out in partnership with other relevant agencies where appropriate including the Accounts Commission, the Social Work Inspectorate and HM Inspectorate of Constabulary.
• Inspection teams will always include at least one individual currently working at a senior level from a different authority to the authority being inspected as a peer assessor (who will act as a full member of the team and who will undertake the full range of evaluation duties).

10. Following the initial programme set out above, the Scottish Ministers will review the frequency of inspection.

11. In addition to a regular cycle of inspections Scottish Ministers may commission, in the light of advice from HMSCI or other factors they consider relevant, special or thematic inspections. Such inspections will be subject to the following considerations;

Special Inspections

From time to time the Scottish Ministers may commission a special inspection of any aspect of the educational functions of a local authority. In such cases, the Chief Executive of the authority concerned shall be given at least eight weeks notice of the start of such an inspection and a statement of the reason and objectives for the inspection.

Thematic Inspections

The Scottish Ministers may also commission a thematic inspection relating to a particular aspect of the management of the educational functions of a local authority or a number of local authorities.

In such cases, the Chief Executive(s) of the local authority or authorities concerned will be given at least eight weeks notice of the start of the inspection; and a statement of the purpose of the inspection.

12. Scottish Ministers will also advise Parliament of their intentions in relation to special or thematic inspections.

The Inspection Process

13. The inspection process will be based on the following principles and procedures.

• The starting point of the inspection will be based on the self-evaluation of the education authority as expressed in their service plan, its published statement of objectives and other evidence provided by the authority through initial briefing of the inspection team.
• The inspection will take account of the views of a wide range of stakeholders of the education service locally (for example, councillors, council officers, parents, other customer/citizens' views and staff in authority establishments). The reliability of the evaluation will be assured through cross-checking across a number of sources.
• The timing and specific activities of different stages of the inspection will be discussed and agreed in advance between the inspection team and the education authority manager(s).
• The procedures for inspection and reporting will be publicly available and accessible on the internet.
• The inspection team will brief relevant council staff in advance of the inspection.
• The inspection will take account of the corporate aims, local circumstances and priorities of the local authority education service; the proper expectations of parents, pupils and citizens that all pupils should receive the highest quality education; and the implementation of national policies.

Reporting the Inspection Findings

14. The published report will take account of consultation with the managers of the education functions concerned in the inspection. In particular they will have the opportunity to discuss and comment on an oral report at the end of the inspection and a draft of the final report.

15. The result of the inspection will be a report made to Scottish Ministers. Ministers will ensure that a copy of the report is provided to the Council Leader, the chair of the Education Committee, the Chief Executive, and the manager(s) of the education service in advance of the publication date.

16. It is expected that the Chief Executive will wish to respond to the draft report and its main points for action. The local authority's action plan, together with any other response by the Chief Executive to the inspection findings, will be published with the report.

17. Copies of the published report will be distributed to local MSPs and councillors, the heads of establishments and chairpersons of School Boards in the education authority and other relevant individuals and agencies.

Follow-up to the Inspection

18. An inspection team will re-visit the authority within two years of the report's publication to evaluate progress on the Main Points for Action identified in the inspection report.

19. The follow-up will be focused on the plan prepared by the authority after the inspection and will result in a brief published report.

20. The follow-up inspection and reporting process will be founded on the same principles and procedures as the inspection itself.

Review of the Inspection Process

21. A review panel chaired by the Head of the Scottish Executive Education Department will meet at least annually to consider and review the inspections of authorities undertaken during the year and to make any general comments and recommendations about the process of inspection. The review panel would also receive follow-up reports on the reports it had previously considered to allow it to identify any general points that arise across authorities.

22. The review panel will not be able to call for changes in any report or to disagree with HMI's evaluations in any particular case.

23. The panel will include up to six members in addition to the Chairman, including two local authority Chief Executives, a Director of Education, a lay member, an expert in quality assurance from a business or industry background and HMSCI.

This Code of Practice will be reviewed and amended at such intervals as may be determined by Scottish Ministers. Any such review will be conducted in consultation with local authorities.