The Scottish Police Services Authority
Prepared for the Auditor General for Scotland October 2010 Auditor General for Scotland
The Auditor General for Scotland is the Parliament’s watchdog for ensuring propriety and value for money in the spending of public funds.
He is responsible for investigating whether public spending bodies achieve the best possible value for money and adhere to the highest standards of financial management.
He is independent and not subject to the control of any member of the Scottish Government or the Parliament.
The Auditor General is responsible for securing the audit of the Scottish Government and most other public sector bodies except local authorities and fire and police boards.
The following bodies fall within the remit of the Auditor General:
• directorates of the Scottish Government • government agencies, eg the Scottish Prison Service, Historic Scotland • NHS bodies • further education colleges • Scottish Water • NDPBs and others, eg Scottish Enterprise.
Audit Scotland is a statutory body set up in April 2000 under the Public Finance and Accountability (Scotland) Act 2000. It provides services to the Auditor General for Scotland and the Accounts Commission. Together they ensure that the Scottish Government and public sector bodies in Scotland are held to account for the proper, efficient and effective use of public funds. The Scottish Police Services Authority 1 Contents
Summary SPSA’s governance arrangements Part 3. What SPSA needs to do to Page 2 are complex and the board has meet the challenges ahead found its role challenging Page 22 Background Page 11 Page 3 Key messages Leadership changes and poor The governance arrangements for customer engagement affected SPSA needs to make faster Scottish policing SPSA’s early performance progress in developing and implementing some important About this report The Scottish Government provided areas of organisational support assistance but was slow to Summary of key messages recognise the full extent of the SPSA will have to deal with new Page 4 difficulties facing SPSA challenges with less money Page 12 Page 23 Recommendations Page 5 Recommendations SPSA needs to focus budgets on Page 14 priorities Part 1. SPSA’s origins and early Page 24 years Part 2. What SPSA has delivered to Page 6 date The board must continue to Page 15 support and challenge SPSA Key messages Page 26 Key messages Many of the initial actions identified It is difficult for SPSA, the police to establish SPSA were not SPSA has made good progress in and other criminal justice bodies followed through improving services in a number of to agree national service delivery areas priorities There was a lack of agreement Page 16 Page 27 on some aspects of the new organisation and how it was to SPSA is not yet able to meet all of Recommendations deliver the long-term benefits its customers’ ICT needs Page 29 Page 7 Page 18 Appendix 1. Audit approach SPSA’s initial budget was based on SPSA has delivered savings of Page 30 incomplete information £5.3 million in line with its targets Page 8 Appendix 2. Questions for Scottish SPSA provides services that can Government and public bodies to The transfer of staff and assets deliver savings across the criminal consider when planning shared was affected by poor information, justice sector but there are no service initiatives a lack of co-operation and short systems to measure this Page 31 timescales Page 20 Page 9 Appendix 3. Questions for board Recommendations members SPSA’s ability to operate effectively Page 21 Page 33 was affected by the difficulties it experienced when services were transferred Page 10 2 Summary
SPSA was set up to provide support services to the police, and the Crown Office and Procurator Fiscal Service. Summary 3
Background Exhibit 1 SPSA’s 2010/11 budget by service area 1. The Scottish Police Services Most of SPSA’s 2010/11 budget is allocated to forensic services, ICT and Authority (SPSA) was established in SCDEA. 2007 under the Police, Public Order and Criminal Justice (Scotland) Act 5% 7% 2006 (the Act). It was set up as Forensic services, £26.3 million 25% a national organisation to provide 7% SCDEA, £24.3 million a range of support services to Scotland’s eight police forces and the Information services (ICT and criminal justice), £22.8 million Crown Office and Procurator Fiscal 11% Service (COPFS). Scottish Police College, £11.8 million
2. SPSA’s main objective is to improve Property costs, £7.7 million the efficiency and effectiveness of 23% 22% Depreciation and cost of capital, services which support Scottish £6.7 million policing. It also provides more formal Corporate services and executive governance arrangements for those support, £5.4 million services which were already provided on a national basis prior to 2007. Source: Audit Scotland from SPSA information SPSA now provides:
• forensic services such as of living our lives safe from crime, 5. SPSA’s budget for 2010/11 is fingerprint and DNA analysis and disorder and danger and delivering £105 million. The budget for SCDEA other scene of crime services public services that are high quality, is ring-fenced (£24.3 million) and continually improving, efficient and a further £2.43 million is allocated • criminal justice services. This responsive to local people’s needs.1 for specific projects in the college, includes managing national For example, forensic services are SCDEA, ICT and forensics. SPSA databases such as the criminal essential in the investigation of crime, allocates the rest of its budget across history system and the automatic providing scientific evidence that each of its services. Forensic and ICT number plate recognition system helps identify those responsible and services together make up around bring them to justice. The Scottish half of the total budget (Exhibit 1). • information and communication Police College works with forces to technology (ICT) services. SPSA ensure that police officers and staff 6. SPSA charges for some of its provides forces with day-to-day are properly trained throughout services. In 2010/11, SPSA expects ICT support, and works with their careers. to generate £5.4 million of additional the Association of Chief Police income, mainly from subleasing Officers in Scotland (ACPOS) and 4. Some of the services now provided property, the use of college facilities forces to develop national and by SPSA, such as the Scottish Police for conferences and training for force-specific ICT systems College, were already centralised, non-police customers, and through stand-alone services before SPSA’s contributions from forces for specialist • training, learning and other creation. Other services, in particular ICT services. development for new recruits, forensics and ICT support, were police officers and staff at the previously managed by each of the 7. Initially, 886 staff transferred to Scottish Police College eight police forces and transferred SPSA on 1 April 2007, a further 303 to the new organisation; forensics in were seconded to SPSA by forces at • corporate support services for 2007 and ICT in 2008. This staged that time and 350 ICT staff transferred itself and the Scottish Crime approach was to allow the transfer of to SPSA one year later. SPSA and Drug Enforcement Agency ICT to be informed by the experience currently employs 1,360 staff (full-time (SCDEA). of the forensic services. The Scottish equivalent) and has 340 police officers Drug Enforcement Agency was on secondment from forces, mainly to 3. The services provided by SPSA created in June 2000 and became SCDEA (227) and the Scottish Police and SCDEA make an important SCDEA under the Act. College (97). contribution to achieving the Scottish Government’s national outcomes
1 National Performance Framework, Scottish Government. http://www.scotland.gov.uk/About/scotPerforms 4
The governance arrangements for Scottish Policing Board (SPB). The 14. As public sector bodies face Scottish policing board first met in November 2009 and substantial budget cuts over the meets quarterly. The SPB’s role is to next few years, there will be an 8. SPSA is an independent non- identify and consider the key strategic increasing focus on the potential departmental public body (NDPB). priorities for policing across Scotland. for shared services to deliver the However, it is integral to the Scottish During 2010, the SPB’s discussions necessary savings. The findings police service and has to operate have focused on managing the impact from this audit are intended to help within the existing governance of the forthcoming reductions in other organisations understand and accountability arrangements public sector budgets on the police better what is involved in developing for policing. Three groups share service. The outcome of these shared services to improve efficiency. responsibility for the governance of discussions will be of relevance to Building on our work and the the police in Scotland: both individual forces and SPSA. experience of other shared service organisations, we have developed a • Scottish ministers have overall About this report checklist of questions for the Scottish responsibility for policing policy. Government and public bodies to 11. This report provides an consider when planning future shared • A police authority or a joint assessment of SPSA’s development, service initiatives (Appendix 2). police board governs each of its achievements to date and what the eight Scottish police forces. needs to happen to enable it to meet Summary of key messages These authorities are responsible the challenges ahead. We did not for setting police budgets and review SCDEA and the services it • SPSA’s early development ensuring that best value is delivers in this audit. Although SPSA was hampered by a lack of obtained from public money. maintains SCDEA, it is a separate clarity on how it was to deliver entity and has operational autonomy. its long-term benefits. This • Chief constables are responsible was compounded by poor for the operational aspects of 12. The report draws on a range of information about the services policing within their force areas. evidence gathered using qualitative transferred, leadership problems and secondary research methods. and sometimes difficult 9. This tripartite structure makes it Details of our audit approach are set relationships with its customers. difficult to agree policing priorities out in Appendix 1. In summary: at a national level. This difficulty • SPSA has improved the service was highlighted in the Independent • we reviewed relevant documents quality, productivity and efficiency review of policing in Scotland, which and best practice checklists of many of its forensic, criminal concluded that: justice and training services. • we carried out in-depth interviews Supporting and developing ICT • only Scottish ministers are and discussion groups with SPSA systems has been challenging accountable for national policing staff and board members, police and SPSA is not yet able to meet decisions. Within existing police and Crown Office customers and all of its customers’ ICT needs. governance arrangements, key stakeholders such as the there is no requirement on chief Scottish Government and ACPOS. • SPSA has achieved its constables or police authorities Customer interviews were efficiency targets and made or boards to consider the national conducted with staff from the £5.3 million of savings in the perspective Strathclyde, Lothian and Borders, three years since it was set up. Grampian and Central Scotland However, there is potential for • there is no national forum in Police forces and with COPFS. even more savings if SPSA and which to consider how overall its customers work together to police resources should be used 13. This report examines: realise these. to ensure that national risk is managed effectively and best • SPSA’s origins and how it evolved • There are significant challenges value achieved.2 (Part 1) ahead which SPSA will need to meet with less money. It 10. In its response to the Independent • what it has delivered to date needs to act quickly to improve review of policing in Scotland, the (Part 2) organisational support and focus Scottish Government announced in budgets on its priorities. June 2009 that it would establish a • the challenges ahead (Part 3).
2 Independent review of policing in Scotland, Scottish Government, January 2009. Summary 5
• It is difficult for SPSA, the SPSA should: police and other criminal justice bodies to agree national service • clearly identify priorities in its delivery priorities. work programme and align its funding to deliver these Recommendations priorities
The Scottish Government should: • engage more effectively with customers and provide clear • ensure that lessons learned and precise information on the from the experience of SPSA progress, costs and expected in developing shared services timescales for the services are fully reflected in any new being delivered, in particular in guidance and shared across the relation to ICT services public sector • speed up plans to improve its • review the composition and financial management systems, membership of the SPSA board so that the board and staff have relevant and accurate cost • review how it sets savings information to enable them to targets to encourage criminal prioritise service delivery and justice bodies to work together maximise the value for money to deliver savings across the achieved justice sector • develop further leadership, • invite SPSA to be a full member management and customer of the Scottish Policing Board. service skills across the organisation to support delivery The Scottish Government should of its strategic priorities work with SPSA, the police and other criminal justice bodies to • use workforce planning to develop: improve the capability and capacity of SPSA staff involved • effective mechanisms for in ICT work. prioritising key national projects SPSA’s board should: • systems to measure performance and efficiency • act cohesively and take savings across the justice collective responsibility for the sector. decisions made by the board
SPSA, the police and other criminal • offer appropriate support and justice bodies should work together challenge to SPSA. (through the commissioning and monitoring group or some other agreed mechanism) to develop:
• criteria for identifying priority areas for SPSA to deliver
• an agreed approach for commissioning new projects which ensures that different delivery options are fully evaluated and the expected benefits, timescales and cost implications are clearly identified. 6 Part 1. SPSA’s origins and early years
SPSA faced a number of difficulties during its set up and early years. Part 1. SPSA’s origins and early years 7
Key messages services to provide a basis for more concern about some of the underlying detailed planning for change. The principles in the proposed model and • SPSA’s early development consultation identified the need for how it would work, particularly in was hampered by a lack of a detailed implementation plan, with relation to: clarity on how it was to deliver clear commitments from all sides to its long-term benefits and by ensure that the expected outcomes • the inclusion of independent limited support from some key were delivered to an agreed lay members on the board of stakeholders. timetable. In this work, the Justice SPSA. This represented a move Department also recognised the away from existing tripartite • A lack of robust information importance of identifying: arrangements for policing which created difficulties in setting involve representatives of central the initial budget and when • the potential costs and savings of government, local government and transferring services from the proposed new arrangements chief constables police forces. • what services to include and the • the provision of 100 per cent of • SPSA’s governance rationale for selecting these funding by central government. arrangements are complex and This differed from the joint the board has found its role • how to fund the new funding arrangements in place for challenging. arrangements taking account of other police services and raised the need to deliver good-quality, concerns about ownership • SPSA’s early performance locally accountable services at the was affected by leadership lowest cost. • the intent to appoint a chief changes and poor customer executive or senior strategic officer engagement. 17. The 2001 consultation was the as the accountable officer for only guidance used by the Scottish SPSA. This raised concerns about Many of the initial actions Executive to help establish SPSA.6 the level of bureaucracy and that identified to establish SPSA were Although the 2001 consultation chief constables would be less not followed through accurately identified many of the able to influence the delivery of key issues likely to affect the the services SPSA was to provide. 15. SPSA’s origins lie in a review of development of the new organisation, police force structures commissioned several of the actions identified were 19. The Scottish Parliament Justice by Scottish ministers in 1999.3 A not completed. In particular, the Committee fully considered all the group of representatives from the Scottish Executive did not develop views expressed in response to the Scottish Executive, ACPOS and estimates of the potential costs and 2005 consultation. No substantive the Convention of Scottish Local savings of setting up SPSA, nor did changes were made to the Bill and Authorities (COSLA) recommended it develop detailed implementation the Act establishing SPSA was that while there should be no change plans, which had the support of key passed on 25 May 2006, with SPSA to the number of police forces in stakeholders. being established on 1 April 2007. Scotland, savings could be made by bringing together and extending the There was a lack of agreement 20. Police forces and police authorities support services that were already on some aspects of the new remained concerned that their provided on a national basis.4 At that organisation and how it was to autonomy for delivering local policing time these ‘common police services’ deliver the long-term benefits might be undermined. This resulted included the Scottish Police College, in difficulties in developing common the Scottish Criminal Record Office 18. The Scottish Executive carried out working practices in advance of SPSA’s (SCRO) and the Scottish Police a full formal public consultation on establishment. For example, the first Information Strategy (SPIS).5 the proposed legislation to establish chief executive of SPSA had intended SPSA in 2005.7 Stakeholder groups to transfer some staff before 1 April 16. In June 2001, the Scottish were supportive of the principle 2007 to create a ‘virtual’ corporate Executive Justice Department of a single organisation providing services department to carry out undertook an initial consultation police support services. However, a preparatory work for SPSA. However, on reforming the common police number of stakeholders expressed directors in the common police
3 Review of police and fire structures, Scottish Executive, 2000. 4 Prior to September 2007, the Scottish administration was referred to as the Scottish Executive. It is now called the Scottish Government. When dealing with the earlier period this report refers to the Scottish Executive, but in all other instances to the Scottish Government. 5 The common police services were created in 1967. 6 The Scottish Government later published guidance on shared services in December 2007, Shared Services Guidance Framework. 7 Supporting police, protecting communities, Scottish Executive, February 2005. 8
services did not release staff from Exhibit 2 their duties to allow this to happen. SPSA’s budget for 2007/08 Consequently, the Scottish Executive The initial budget was based on estimates of expenditure on the services had to provide the necessary support that SPSA would provide. as no one else was available to do it; for example, developing a common set of terms and conditions for new staff joining SPSA. £0.85 million 21. SPSA’s difficulties were Set-up costs compounded by a lack of clarity about how it was to deliver centralised £2.0 million services and make savings for the To cover VAT police. A number of practical issues payments on purchases were never clearly addressed and of goods and services these uncertainties created difficulties made by SPSA for SPSA in its early years. In particular, there was a lack of clarity on £6.02 million the nature of the relationship between To cover capital and SPSA and individual police forces. It depreciation costs was not clear if SPSA and the police were to work together as equal £21.03 million partners to deliver savings through From the grant-in-aid allocations to the shared services or if SPSA alone Scottish police forces for forensic services, should decide how to deliver these. the four fingerprint bureaux, and the eight Nor was it clear what ‘maintaining’ scene of crime examination units SCDEA, as described in the legislation, meant in practice for SPSA. £28.05 million From the existing common police services, ie Scottish 22. As a result, customers and other Criminal Record Office (SCRO), Scottish Police Information stakeholders developed different Strategy (SPIS), and the Scottish Police College understandings of SPSA’s role.
Rather than discussing its remit with Note: £0.85 million value is to cover initial set-up costs, eg salaries of board members and senior customers and defining it more clearly, executives and audit costs. The diagram does not include the £23.3 million ring-fenced allocation SPSA assumed that it had to meet all to SCDEA; this later increased to £24.7 million. Source: Audit Scotland from Scottish Government information of its customers’ needs and took on tasks that it did not have the funding to deliver. For example, at the time of the services that SPSA would be • estimating other sums of money to of transfer there was a backlog of providing (Exhibit 2). The Scottish cover the initial set-up costs, capital approximately 8,000 forensic cases Executive set the budget by: and depreciation costs and VAT. awaiting analysis. It was not clear if forces or SPSA were responsible for • reallocating to SPSA the amount 24. SPSA believes that some of the dealing with this backlog. However, set aside in the spending review funding provided in 2007/08 was SPSA took on the challenge of dealing for the common police services in insufficient, in particular the funding with the backlog without any additional the financial year 2006/07.8 This for forensic services. There was no funding to assist in reducing it. was to cover SPSA’s provision of clear or consistent basis for calculating the services formerly provided the cost of forensic services and the SPSA’s initial budget was based on by SPIS, SCRO and the Scottish estimates provided by forces did not incomplete information Police College take account of changes in demand, investment needs or some overhead 23. The Scottish Executive provided • top slicing forces’ grant-in-aid by costs. The four forensic laboratories almost all of SPSA’s initial funding. an amount, agreed by ACPOS and in Scotland also had different To set the 2007/08 budget of forces, as representing the cost of approaches to charging for work £81.1 million it attempted to identify forensic services at the time carried out for COPFS. For example, existing levels of expenditure on each one laboratory requested payments
8 Building a better Scotland spending proposals, 2005-2008, Scottish Executive. Part 1. SPSA’s origins and early years 9
only when analysis resulted in a case Exhibit 3 going to court, other laboratories did Changes in SPSA’s funding 2007/08 to 2010/11 not charge for any of the forensic The funding for information services increased in 2008/09 when ICT staff services they provided. So, while transferred to SPSA. Other changes in business unit funding arise from the whole of COPFS’s budget for allocations of additional funding for specific projects. forensic services was transferred to SPSA, this was less than it had cost £83 million £99 million £104 million £105 million forces to provide the service. Initially 120 SPSA received £2 million for the work 100 it carried out for COPFS. However, £16.5 £14.4 based on an analysis of the volume £17.8 £5.4 £2.4 £4.7 80 £11.8 of work completed for COPFS at the £14.4 £11.7 £13.3 time, SPSA estimates that the value £4.9 60 of the forensic services provided to £12.7 £21.9 £21.7 £22.8 £6.5 COPFS was around £5 million. 40 £20.4 £21.1 £21.7 £24.3
25. As set out in the Scottish 20 Government’s spending review, SPSA’s £24.2 £24.4 £25.7 £26.3 Total expenditure/budget (£ million) (£ expenditure/budget Total budget increased by 2.7 per cent 0 each year from 2007/08 to 2010/11.9 2007/08 2008/09 2009/10 2010/11 However, the Scottish Government Year then top sliced this amount by two Other (property costs, depreciation and cost of capital) per cent for efficiency savings giving an actual increase of 0.7 per cent Corporate services and executive support each year (Exhibit 3). Scottish Police College
26. For 2008/09, SPSA received Information services (ICT and criminal justice) £16 million additional funding for ICT services, which was identified as the SCDEA 2007/08 level of police force spending Forensic services on these services. However, SPSA did not receive this funding transfer Source: Audit Scotland from SPSA information for the start of the 2008/09 financial year, as SPSA and forces were still negotiating on some points of detail. • ICT staff transferring from and SPSA should take. These included individual forces on 1 April 2008. developing a national strategy to The transfer of staff and assets was ensure that priority demands were affected by poor information, a lack 28. The transfer of staff and met; developing a cost base; and of co-operation and short timescales equipment to the Scottish Police agreeing a basis for funding training College and criminal justice business growth and managing savings.10 27. The transfer of services to SPSA units from the already centralised can be grouped into four categories: common police services went 29. SCDEA is now maintained relatively smoothly. There was by SPSA and uses some of their • Staff and assets transferring sufficient information available on corporate support services, such from the existing common police staff costs, job descriptions, services as media and communications and services. provided and the equipment used finance, which it previously provided to allow the units to plan how they for itself. This caused some short- • A change in SCDEA’s status from would deliver services. Senior term disruption to the agency as a separate operational unit to one managers also transferred with the some of its staff transferred to being maintained by SPSA. services. The transfer arrangements SPSA. However, continuity has largely for the Scottish Police College been maintained as SPSA deployed • Forensic staff and assets were partly informed by an HMICS these staff in roles that allowed transferring from individual forces inspection in 2006, which identified them to continue providing support on 1 April 2007. preparatory actions that the college to SCDEA.
9 Spending review 2007, Scottish Government. 10 Scottish Police College – primary inspection 2006, HM Inspectorate of Constabulary for Scotland. 10
30. The transfer of staff and assets for processes. Some of these and each force had different ways of those services that were previously systems extend beyond individual identifying and recording their assets delivered by individual forces was less forces, linking to other service and license agreements. well managed. In the case of forensic providers such as COPFS and services, there was less than a year local councils. SPSA’s ability to operate effectively to develop the transfer arrangements was affected by the difficulties it from when the Act was passed to • There were complications around experienced when services were the start date. The short timescales, asset transfer due to SPSA’s VAT transferred a lack of information within forces status. As an NDPB, SPSA is liable on the staffing, equipment and to pay VAT while police forces, 33. SPSA’s performance was affected assets used to deliver the existing as a local authority service, can by transfer difficulties and other early forensic services, and reluctance by recover any VAT paid. If ownership decisions: some forces to agree what particular of ICT assets transferred to SPSA, services to transfer all affected the then SPSA would be liable for • The lack of robust information on transfer process. In particular: VAT on any replacement ICT the volume, types and costs of equipment bought for forces to current levels of service and on • there was insufficient time to use. After protracted discussions the level of demand meant that establish what assets should be with HM Revenue and Customs SPSA was unable to effectively transferred and to create a robust (HMRC), the Scottish Government plan, prioritise, monitor and report system for documenting asset agreed that forces would on service performance. transfers remain the owners of their ICT assets although, in future, SPSA • The difficulties with transferring • some decisions about staff would act as an agent and buy staff led to low staff morale and transfers were delayed until ICT equipment for forces. The high turnover. This was especially November 2006, frustrating arrangement is known as the apparent in corporate services and attempts to finalise plans on ‘agency agreement’ and came into ICT, where staff felt disengaged service delivery. In particular, effect in July 2009. from the new organisation and the transfer of scene of crime unsure how to adjust to their new staff to the forensic services • SPSA developed service level position as service provider. Many was only agreed after ministerial agreements for ICT with seven ICT staff worked at the same intervention late in 2006. of the eight forces. However, location, alongside their previous Strathclyde Police has not police force colleagues, but the 31. The transfer of ICT staff in April accepted its ICT service level relationship had changed. It took 2008 proved even more problematic: agreement and is seeking time for SPSA staff to adjust both instead to have one service level to their new employer and the • It was difficult to get agreement agreement for all the services different type of relationship needed on which ICT services would provided by SPSA including ICT, to deal with its customers. transfer. ACPOS was involved in training and forensics. lengthy discussions with forces • The lack of good information to agree which services should 32. The wide variability in how from forces on the ICT systems transfer to SPSA. Despite this individual police forces managed their used meant SPSA was unable some inconsistencies remained. forensic and ICT services and the to structure its staff to meet For example, it was agreed that need to harmonise staff terms and customers’ needs. Grampian Police would retain conditions further complicated the responsibility for its own web transfer of staff. The new forensic 34. A number of practical decisions development work and Strathclyde services brought together eight about how SPSA was to operate Police negotiated directly with the crime scene examination units, had to be made and the long-term Scottish Executive to continue to four fingerprint bureaux, and four implications of some of these were employ staff to develop the forces’ forensic laboratories all working to not fully considered: use of the Airwave radio system.11 different shift patterns, standards and processes and all costing different • The development of the terms • Forces had invested in different amounts. In the case of ICT, there was and conditions for staff new to types of ICT equipment to support 350 staff with around 200 different job SPSA was rushed. SPSA did not a wide range of local and national titles, 750 contracts and 190 suppliers, consider the long-term implications
11 Airwave is the radio communication system used by police forces and other emergency services across the UK. Part 1. SPSA’s origins and early years 11
of agreed future salary increases Exhibit 4 when it adopted these terms and Make-up of SPSA board conditions. Scottish ministers approve all board appointments.
• The financial system selected Chair is not compatible with systems Vic Emery used by forces and does not meet SPSA’s financial management Independent/lay member needs. SPSA plans to replace this (new appointment) Russell Pettigrew Police authority member with a new system in 2010/11, George Kay which will improve its financial management and efficiency monitoring. As an interim measure corporate services, working with Independent/ Police authority the individual business units, has lay member SPSA Board member developed a system to monitor (new appointment) Iain Whyte expenditure and identify where Jeanne Freeman each unit can make savings.
• SPSA adopted an organisational structure with five business units Independent/lay member Chief constable (criminal justice, ICT services, Bill Matthews member forensics, SCDEA and the Scottish Colin McKerracher Police College) linked to a central Chief constable corporate body. This approach member allows other support services to be Stephen House added easily. However, in the early days it limited integration between Notes: 1. Members from the police authorities are agreed by the Scottish Police Authorities Conveners business units and resulted in Forum and approved by Scottish ministers. them working in silos, hampering 2. Members from police forces are agreed by ACPOS and approved by Scottish ministers. 3. Names reflect members as at October 2010. New lay member appointments were made in the development of a corporate September 2010. ethos. In 2009, the interim chief Source: Audit Scotland executive formally established an executive committee which has helped ensure a more corporate 36. The board’s composition has 37. SPSA’s chief executive is not a and cohesive approach at this level created some tensions. There is a member of the board. While this is within SPSA. potential conflict between a chief not unusual for NDPBs, our report constable or police convenor’s statutory The role of boards states that SPSA’s governance arrangements responsibility for local policing and their ‘excluding the chief executive are complex and the board has role on the board of a national body, from board membership appears found its role challenging making decisions in the interests of to be at odds with his or her Scotland as a whole. This has proved formal accountable officer role 35. The Act defined the composition difficult for some board members and accountability to the Scottish of the board for SPSA. The and meant that they have not always Parliament for the proper use of board includes chief constables, been able to support the board’s public money’. The report includes representatives from police decisions publicly. Audit Scotland’s a recommendation that the Scottish authorities, independent members recent report The role of boards states Government should review the and an independent convenor (or that ‘all board members must take rationale for why some chief chair). Its membership reflects the collective responsibility for decisions executives are not board members. local governance arrangements for made by the board. If boards do not police and was designed to ensure take collective responsibility for their 38. An unusual feature of the board that the new organisation would decisions, the risk of poor performance is its governance of SCDEA. While develop to meet the police’s needs and potential for board decisions to be SCDEA is not a separate public body (Exhibit 4). undermined increases’.12 in its own right, it is a separate entity
12 The role of boards, Audit Scotland, September 2010. 12
within the legislation. A single grant answerable to the Scottish Parliament for the board to manage, requiring is paid by Scottish ministers to the for both the propriety and regularity protracted negotiations and resulting in SPSA, including an amount ring- of SPSA’s and SCDEA’s finances significant negative publicity for SPSA. fenced for SCDEA. There is a single and for the economical, efficient accountable officer for the SPSA and effective use of the resources 43. SPSA’s customer engagement as a whole, including SCDEA. This placed at their disposal.15 The was poor in the early years. The arrangement was put in place to avoid financial controls and regulations organisation tended to communicate creating two new police bodies with are common for both SPSA and only positive messages about its different governance arrangements SCDEA and subject to annual audit. progress and did not acknowledge and to achieve value for money by However, the chief executive is not any service difficulties. This the sharing of support services. a member of the board and has no undermined credibility with customers The Director General of SCDEA is management responsibility for the and stakeholders who did not agree appointed by, and reports to, the Director General. At the time of our that SPSA was making good progress SPSA board. The Director General audit it was not clear how the chief in delivering its services. SPSA’s has similar autonomy for operational executive could fulfil her accountable emphasis on its progress also made it decisions as chief constables.13 officer responsibilities in relation to difficult for SPSA staff to talk to their While the board approves SCDEA’s the economical, efficient and effective customers honestly about what SPSA corporate plan it has limited use of SCDEA’s resources. As a could and could not provide. involvement in its development or result, SPSA has recently developed in detailed discussion of the major arrangements to improve the internal The Scottish Government provided issues facing SCDEA. These are governance of SCDEA. These new assistance but was slow to discussed directly with the Scottish arrangements will need time to bed in recognise the full extent of the Government, the Serious Organised and it is too early to comment on their difficulties facing SPSA Crime Taskforce and ACPOS. effectiveness. However, the board has an important 44. The relationship between the role in monitoring performance Leadership changes and poor Scottish Government and individual against SCDEA’s strategic objectives, customer engagement affected NDPBs is managed on a day-to-day scrutinising and challenging non- SPSA’s early performance basis by civil servants known as operational matters, including finance sponsors. The Scottish Government and risk management, and is liable 41. SPSA’s difficulties during its early Safer Communities Directorate is for any damages awarded against the years were compounded by frequent SPSA’s sponsor. Director General. changes in both the board and its senior executives (Exhibit 5). 45. SPSA’s management statement 39. Audit Scotland’s auditors have The chief executive, the board states that the sponsor should reported on the complexity of these convenor and five of the seven advise Scottish ministers on a arrangements.14 Since 2008, the board senior staff initially appointed all left framework of targets and objectives has split its meetings to allow separate within the first two years. The board for SPSA and SCDEA in line with consideration of SCDEA and SPSA membership also changed and only wider strategic aims; suggest an business and ensure sufficient attention two of the seven original board appropriate budget; determine how is paid to SCDEA matters. However, members now remain on the board. well SPSA is achieving its strategic ACPOS and the Scottish Police It took time to fill the vacancies, objectives; and whether it is delivering Authorities Conveners Forum (SPACF) particularly the chief executive’s value for money.16 The sponsor is remain concerned that the governance position, where there was an responsible for monitoring SPSA’s arrangements for SCDEA do not interim appointment for almost performance and risk assessment, provide appropriate accountability or 18 months. These changes left and communicating with SPSA. ensure a good strategic fit with national many key positions unfilled for policing needs. several months at a critical time in 46. The sponsor provided support to the early development of SPSA. SPSA in its early years, for example by: 40. The chief executive of SPSA is the accountable officer for both 42. The first chief executive left after • setting only four strategic SCDEA and SPSA. This means that a disagreement with the board. His objectives for its first year, which the chief executive is personally departure was particularly difficult focused on short-term priorities
13 Police, Public Order and Criminal Justice (Scotland) Act 2006, Chapter 1, Section 30 (3). 14 Scottish Police Services Authority report on the 2008/09 audit, Audit Scotland. 15 Scottish Government letter to SPSA’s Accountable Officer, 22 September 2010 and Memorandum to Accountable Officers of Other Public Bodies. 16 The management statement sets out the broad framework within which SPSA operates. It details the rules and guidelines relevant to SPSA’s functions, duties and powers; the conditions under which public funds are paid to SPSA; and how SPSA is to be held to account for its performance. Part 1. SPSA’s origins and early years 13
for the new organisation. These – completing the integration of • negotiating with HMRC about related to: the fingerprint service with SPSA’s VAT status. Despite the the forensics service Scottish Government’s efforts, – developing a plan to HMRC’s final decision was that integrate ICT services from – establishing SPSA as an SPSA is liable for VAT. As a result, April 2008 onwards integrated national authority, the Scottish Government, SPSA delivering support services and forces developed the agency – developing a three-year plan for the police and other agreement for ICT procurement. to deliver annual efficiency criminal justice partners Under this agreement SPSA savings can buy ICT goods and services
Exhibit 5 Changes in SPSA personnel The board and senior management team has changed substantially since 2007.
Changes in SPSA executive and senior management
Head of police Head of Head of strategy performance Head of SCDEA college leaves police college appointed Sep 2008 – becomes appointed Interim CE Jul 2007 appointed acting chief executive Jan 2009 Jan 2009 leaves on Oct 2007 secondment Jun 2010 Head of SCDEA Executive support manager leaves. Chief executive leaves and interim New chief New appointment Chief executive and five heads appointed executive made suspended Dec 2008 – of business area Sep 2007 appointed Aug 2008 leaves post Apr 2009 (forensics, police Jun 2010 college, criminal Chief justice, SCDEA Head of Head of corporate Head of corporate information and ICT) in post Chief corporate management management officer from or before information management appointed appointed appointed March 2007 officer leaves Sep 2007 – Aug 2008 Jul 2009 leaves Feb 2008 leaves Oct 2010 Apr 2009
SPSA was created ICT transferred J F M AMJJASON D JFMAM JJASOND JFMA M JJASOND JFMA MJJAS O 2007 2008 2009 2010
Chief constable Chief constable Police authority Police authority Two police member leaves member member leaves member appointed authority Jun 2008 appointed Jun 2009 Dec 2009 members leave Oct 2008 May 07 New board Convenor members Convenor Convenor appointed Two police authority Independent appointed leaves appointed Jan 2007, members appointed member leaves Sep 2010 Sep 2008 Jan 2009 and six board Oct 07 Nov 2009 members in Interim convenor appointed post from March 2007
Changes in SPSA board
Source: Audit Scotland 14
on behalf of forces and all VAT charged to SPSA can be reclaimed by forces.
47. There was regular communication between the sponsor and, separately, the board convenor and chief executive. However, the sponsor did not fully recognise all the difficulties facing SPSA in its first 18 months. For example, board members consider that the Scottish Government could have provided more support when dealing with the departure of the first chief executive.
48. A 2009 internal audit report on the Scottish Government’s sponsorship of SPSA recommended that the Scottish Government could improve its governance by strengthening and formalising meetings with SPSA and by monitoring progress against SPSA’s strategic priorities in written reports.17
Recommendations
The Scottish Government should:
• ensure that lessons learned from the experience of SPSA in developing shared services are fully reflected in any new guidance and shared across the public sector (see checklist at Appendix 2)
• review the composition and membership of the SPSA board.
The SPSA board should act cohesively and take collective responsibility for the decisions made by the board.
17 Sponsorship of the SPSA 2008/09, Internal audit report, Scottish Government, June 2009. 15 Part 2. What SPSA has delivered to date
Despite the early problems, SPSA has delivered efficiency savings and improved many of its services. 16
Key messages 50. SPSA is now starting to realise by releasing officers to frontline benefits from more interaction duties and speeding up the • SPSA has improved the between its service areas. In disclosure process. service quality, productivity particular, the forensic services and efficiency of many of its now work with criminal justice to The Scottish Police College has services: use information held in the national continued to meet its customers’ criminal history system to reduce training needs and improve quality –– Criminal justice services and the backlog of samples requiring 53. SPSA provides training and the Scottish Police College analysis. The criminal history system education services to the Scottish have continued to deliver allows SPSA to identify when forensic police service. The Scottish Police core services in line with analysis is no longer required for College is the central police training customer needs and have cases that COPFS has decided will establishment and provides a developed new services. not proceed. Also, criminal justice comprehensive programme of is now providing data management training for officers of all levels, –– Forensic services has services to forensics as both business including new recruits and specialist significantly improved areas use similar approaches. training, for example for detectives productivity and developed and traffic officers. a new delivery model Criminal justice is delivering a wider designed to meet future range of services to more users 54. The Scottish Government’s policy forensics needs. 51. The SPSA criminal justice of creating 1,000 extra police officers business area provides and manages increased demand for training and –– Corporate services and integrated information systems for presented a considerable challenge executive support have the eight Scottish police forces and to SPSA. The Scottish Police College also established systems the wider criminal justice community rescheduled other training and made and approaches to support within Scotland. These include the staff and accommodation available to SPSA’s service delivery. criminal history system, the Scottish deliver this additional training. During intelligence database, automatic 2008/09, the college trained over • Supporting and developing number plate recognition and the 1,600 new recruits, an increase of forces’ ICT systems has been Crimestoppers Scotland call centre. 140 per cent on the previous year. challenging and SPSA is not Working with its customers, the yet able to meet all of its 52. Criminal justice has continued to college has recently revamped its customers’ ICT needs. deliver against existing requirements probationer-training programme for while developing additional functions. future use. It has also demonstrated • SPSA has delivered savings In particular it: its responsiveness to customer needs of £5.3 million in line with by, for example, agreeing to change its targets. • provides training in national the initial quota of places allocated for systems to other users of its a training course to meet the specific • Potentially SPSA and its databases including staff in needs of Central Scotland Police. customers could deliver councils and other police forces significant savings by working 55. The Scottish Police College in partnership. However, there • now manages Scottish data on the has also improved the quality of is limited incentive to do this UK-wide Violent and Sex Offender its training, receiving a Star Award as efficiency targets are set for Register (VISOR) database which for Innovation from the Scottish individual organisations rather stores and shares information and Qualifications Authority in 2009 for than the criminal justice sector intelligence on individuals identified its qualification framework. The as a whole. as posing a risk of serious harm to framework is designed to help police the public officers and staff make better choices SPSA has made good progress in about learning and professional improving services in a number • developed an automated process development and provides a way for of areas for disclosing any previous people to understand and compare convictions for police officers and different qualifications. The college 49. Despite the difficulties SPSA staff witnesses taking part in court was also awarded a gold ‘Investors in experienced when it was first proceedings in response to recent People’ accreditation in 2010. established, the organisation has legislation. SPSA estimates this improved the service quality, process could save in excess of productivity and efficiency of many 66,000 hours of staff time annually of its services (Exhibit 6). Part 2. What SPSA has delivered to date 17
Exhibit 6 SPSA service delivery SPSA has improved services in a number of areas.
Corporate
• Reduced sickness absence between 2008/09 and 2009/10. This is equivalent to an additional 750 working days per year and a saving of £180,000 in staff costs.
• Improved systems for reporting performance.
• Developed risk management and business continuity planning.
Criminal justice ICT Forensics Training
• Introduced centralised • Implemented a • Reduced the • Managed the support for the Violent national IT help desk inherited backlog of substantial increase in and Sex Offender service. approximately 8,000 the level of probationer Register database. cases by 57 per cent training from 600 in • Saved Strathclyde by the end of 2009/10. 2007/08, to 1,600 and • Supported Crime- Police around 1,000 in 2008/09 and stoppers. In 2009/10, £1 million over three • Improved turnaround 2009/10. this resulted in years in ICT licence times of drug analysis 527 arrests and the costs. cases for the police • Improved efficiency recovery of £1 million service. by delivering an worth of drugs and • Delivered national ICT average of 90 per cent almost £45,000 worth infrastructure which • Reduced overtime uptake on all training of property. was accredited as a working by 13 per cent courses in 2008/09 more secure network. in 2009/10 (a monthly and 2009/10. • Absorbed additional saving of £9,000) by functions, eg criminal • Now responds to better alignment of • Achieved gold history system vetting 90 per cent of staff availability and ‘Investors in People’ for external agencies. incidents raised demand. accreditation in 2010. within the level of service agreed.
Source: Audit Scotland
Forensic services have significantly • reducing the time taken to analyse • reducing overtime by nearly improved productivity forensic evidence, in particular 13 per cent during 2009/10, saving 56. The amalgamation of forensic for major criminal incidents and £9,000 a month services means that Scotland now routine DNA samples (80 per cent has a fully integrated national ‘crime of criminal justice DNA samples • reducing the backlog of samples scene through to court’ service. This are now analysed within four awaiting analysis by 57 per cent new service encompasses all of the days compared to ten per cent in since 2007 main disciplines involved in helping 2007). This improves the chances the police to detect crime, from of linking offenders to unsolved • developing animation software crime scene examination through to crimes quickly, reducing police which can be used in court to preparing evidence for court. time and increasing the likelihood help juries better understand a of detection. This has been crime scene 57. While there were early achieved through investing difficulties, forensic services can in technology and developing • developing a better understanding now demonstrate significant new processes of the unit costs involved in improvements including: 18
analysing forensic samples and expected benefits, performance 61. ICT services transferred a year the reasons behind the variation measures and targets and assigns later than other services so SPSA in costs between different responsibility to an owner. This has had less time to realise the laboratories. template is updated monthly and efficiencies and service improvements discussed at team, executive seen elsewhere. In the last two 58. Customers reported their committee and board meetings, years there have been some service increasing satisfaction with the along with an assessment of the improvements in ICT. For example, forensic services provided, in status in meeting the objective SPSA has established a 24-hour particular in relation to serious criminal using the red-amber-green system facility for all forces that deals with incidents, such as murder and serious 3,000 incidents and service requests assault. The forensic services have • developing a new approach to a week. It has supported a number of also completed a major strategic strategic and business planning. In national projects, including a project to review of their services and identified developing its five-year strategic integrate the automatic number plate options which balance cost with plan, SPSA sought the views of recognition system with the Scottish improving service quality and local its staff and customers across intelligence database. Where SPSA access to laboratories. all its business areas and used has been active, customers have techniques such as SWOT analysis expressed appreciation of the work Corporate services has established and PESTLE to help identify its done. For example, Grampian Police systems and approaches to support perceived position and strengths stated that SPSA supported them SPSA’s service delivery in the eyes of its customers, well when they needed to update 59. Underlying the successes of staff and stakeholders. From the their ICT systems as part of a major individual parts of SPSA is the analysis, SPSA developed its restructuring, with SPSA providing implementation of new approaches future strategies using respected experienced staff. SPSA also helped and systems throughout the business development tools, such Lothian and Borders Police to upgrade organisation. SPSA has made as the Ansoff Growth matrix, to their networks and received an award progress in: identify a series of suggested for the management information growth strategies.18 system it developed for Strathclyde • improving customer and Police. stakeholder engagement. SPSA’s SPSA is not yet able to meet all of relationship with ACPOS, SPACF its customers’ ICT needs 62. However, both the police and and other stakeholders has COPFS customers expressed been more positive over the 60. The Act stated that SPSA should considerable concern that SPSA is not last 18 months. This is due to develop and maintain a strategy for yet meeting all their ICT needs. determined efforts by the interim the acquisition and use of information chief executive and convenor to technology systems by police forces 63. The difficulties facing SPSA in develop an open and constructive and to develop, procure, provide and delivering ICT services arise partly dialogue with these stakeholders support their information technology because of the increasing demand systems and equipment. SPSA’s ICT for ICT support for day-to-day, local • developing its risk management services now cover three areas of and national projects. For example, and business continuity planning. demand from its customers: in relation to day-to-day requests, For example, recently developed SPSA is currently supporting almost contingency plans allowed forensic • providing day-to-day support and 900 more printers and scanners and services to continue to deliver maintenance for ICT systems over 1,800 more monitors (a 12 and services to customers without within forces 13 per cent increase respectively) for any noticeable impact on service forces than it did in 2008. Requests when the forensic laboratory at • supporting the development and from forces to help with local projects Edinburgh was damaged in an implementation of local projects in are also rising as more local systems arson attack in February 2010 individual forces need replaced, and SPSA’s national workload has also increased; in • improving its systems for reporting • supporting the development and March 2008 there were 12 projects performance. All business areas implementation of national ICT in ACPOS’s national programme. now use a standard reporting projects agreed by ACPOS. At September 2010, only four of template, which links business and these 12 projects had closed with corporate objectives, identifies the another two in the process of closing.
18 SWOT analysis, involves looking at the known strengths, weaknesses, opportunities and threats facing a business or project. A PESTLE analysis considers separately the external political, economic, social, technological, legal and environmental factors affecting the business. It is often used with a SWOT analysis to help with business planning. The Ansoff Growth matrix is a tool that helps businesses decide their product and market growth strategy. Part 2. What SPSA has delivered to date 19
However, seven new projects had Exhibit 7 started, in addition to several shorter- Examples of unmet ICT demand term projects which started and were completed within the period. 1. Lothian and Borders Police make use of hand-held computers for a range of activities including issuing fixed penalty notices, taking statements 64. SPSA’s budget has not increased from the public and recording details of incidents when on patrol. Officers in line with this rise in demand. SPSA download this information when they return to the station, providing estimates that if it was to meet all a permanent record of the event and automatically updating related the current demands from forces, it databases. This has allowed the force to reduce the number of support staff would need an additional 200 staff. it employs, estimating yearly savings of £250,000 for support staff time In addition, there is no effective and materials as well as releasing significant police officer time. After five mechanism for prioritising demand years in use, the force now needs to either replace the system, or adopt either between different local projects a different way of working. The force has asked SPSA for assistance but or between local and national work. SPSA is unable to state if or when it might identify a suitable replacement, As a result, SPSA does not know leaving the force to take the issue forward without strategic or technical which projects to prioritise from the advice from SPSA. many demands made by customers. 2. Lothian and Borders Police upgraded its IT network in 2009/10, which 65. SPSA’s difficulties in meeting its improved its speed of operating but also required a higher level of customers’ ICT needs are beginning maintenance support than the previous system. After discussion, SPSA to affect forces’ and COPFS’s own agreed to recruit up to three employees to undertake the support work on programmes for increasing efficiency the force’s new system and the force agreed to cover a proportion of the and effectiveness. There is an ongoing employment costs of these three staff. At the time of writing this increasing concern that core business report, SPSA had yet to confirm costs with the police force and recruit the may be affected. Our interviews with employees. Temporary staff were taken on in April 2010 to provide cover. customers identified some current important projects that are waiting for 3. Strathclyde Police needs to replace its crime management system, input from SPSA (Exhibit 7). which was criticised by HMICS in 2004 as not being fit for purpose. As the existing system ages, there is a growing risk to operational policing, and the 66. ICT customers have expressed need for a new system is becoming increasingly urgent as planning for the frustration at a lack of information Commonwealth Games proceeds. The force has been working with ACPOS from SPSA on progress and delivery since 2006 (including SPSA since 2008) to identify a national system, for use dates for individual projects. They in Strathclyde initially. However, in 2009, it was acknowledged that SPSA did reported that often when SPSA has not have the skills, experience or structure to deliver the solution preferred not met agreed timescales, it was late by ACPOS. As a result, the ACPOS national information management in notifying them of delays. project team has had to put resources into developing a new business case for another system (in collaboration with SPSA and consultants). 67. In November 2009, SPSA This is nearing completion. However, there is still no firm timetable for and ACPOS identified the need implementation and project costs are still indicative. for a full review of ICT services, which was supported by the 4. COPFS wants to make changes to the system used for disclosing Scottish Government. After lengthy evidence, in line with recent legislation. Currently police staff type up lists of negotiations on the scope of the evidence and provide these to COPFS staff who manually reconcile the list review, work began in May 2010. The with the evidence they have received. This is time consuming for the police review group is now identifying and and COPFS. SPSA has developed an initial design of a process to automate prioritising what needs to be done this but does not have the resources to progress it beyond the design stage. to meet the current and future ICT needs of Scottish policing. The group 5. SPSA was unable to undertake scoping work on a project to develop an is due to report in November 2010. electronic means of delivering police standard prosecution reports to the Scottish Children’s Reporter Administration (SCRA). Despite waiting for 68. In preparation for the full review, nine months and making funding available to pay for the work, ISCJIS (the ACPOS and SPSA discussed ICT body responsible for the integration of Scottish criminal justice information provision with the eight forces early systems) and SCRA eventually asked consultants to do the work on behalf in 2010. It was agreed that SPSA of SPSA. should pilot an approach to eliminate the backlog of ICT requests in the Source: Audit Scotland 20
Strathclyde, Northern and Tayside • Forensic services delivered over 73. Like many other public sector force areas. This resulted in the £500,000 of savings in 2008/09 bodies, SPSA does not have baseline removal of 80 per cent of the backlog by changing its working practices, information on the quality of the of repair requests in the three areas allowing it to leave vacant staff services prior to 2007 and their over a four-week period and a 54 per positions unfilled. costs. This means it is not possible cent reduction in the backlog of to measure whether the savings that service requests. However, recent • The Scottish Police College and SPSA has reported have affected information suggests that backlogs SCDEA together made almost service quality or productivity. are building up again. The review also £700,000 of savings. The college concluded that ACPOS needed to exceeded its individual target of SPSA provides services that can develop a managed ICT programme £222,000 in 2008/09 by almost a deliver savings across the criminal taking account of the funding and third, while SCDEA achieved its justice sector but there are no development time needed and that individual target exactly. SCDEA systems to measure this SPSA and forces should assess their made savings by reallocating capability and capacity to support the duties across its staff and not 74. Although SPSA was established programme. employing six additional officers, to deliver long-term savings, primarily as planned. The college’s savings for the police, but also for the wider SPSA has delivered savings of arose from a wide variety of criminal justice sector, there are no £5.3 million in line with its targets sources including staff savings and systems in place to measure the the use of better processes for extent of savings achieved. SPSA 69. SPSA has delivered against the delivering its training. has estimated the value of some of efficiency savings expected of it in its activities to forces. For example, all its years of operation. In 2007/08, • Criminal justice exceeded its target in 2008/09, SPSA estimated that the SPSA set its own efficiency target in 2008/09 by just over £6,000. development of a new and faster and achieved savings of £1.93 million. It realised £41,000 of savings by approach for drug testing produced SPSA made these savings by using employing civilians to two posts savings of almost £105,000 for forces. a number of different approaches previously filled by police officers. However, SPSA is unable to estimate including not filling staff vacancies; the savings realised by the police improved procurement in forensics • Most of ICT’s £115,000 of savings and others from most of its other and SCDEA, which together saved came from reducing costs for activities. £600,000; and renegotiating a computer maintenance and catering contract for the Scottish support, and systems rental. 75. Investments made by SPSA Police College, saving £160,000. to improve its services can have SPSA re-invested these savings in • Corporate services made savings widespread benefits. For example, for example, developing the new using a variety of approaches, SPSA has developed crime scene forensics laboratory in Dundee. most notably from a rates animation software, which is used in reduction at the Scottish Police court to help juries better understand 70. In 2008/09, the Scottish College and by using national what happened at a crime scene. Government began top slicing SPSA’s agreements to buy goods and This has the potential to reduce budget by two per cent each year services more cheaply. substantially the time spent at court in as part of the Efficient Government a trial, thereby generating savings for Programme. SPSA is so far the 72. In 2009/10, the target for savings the police, COPFS and the Scottish only policing service that has had to was £1.67 million of which SPSA’s Court Service (Case study). manage real budget reductions, while contribution was £1.25 million and also implementing pay increases SCDEA was to contribute £420,000. 76. Other potential savings arising agreed when staff transferred to SPSA reported total savings of from SPSA activity can also only the organisation. £1.91 million to the Scottish be realised in partnership with its Government. Just under £1 million customers. For example, there 71. The Scottish Government of the 2009/10 savings arose are currently more than 1,400 ICT efficiency target for SPSA in 2008/09 through a board-endorsed policy applications in use across the eight was £1.45 million and SPSA of not filling staff vacancies and a forces and 750 different contracts. exceeded this by one per cent (just recruitment freeze, with smaller If forces used more of the same under £9,000): amounts contributed through new business processes then standard ways of delivering training (just ICT solutions could be used which under £400,000) and better facilities would realise efficiency savings for management (£185,000). the forces and SPSA. Part 2. What SPSA has delivered to date 21
Case study Use of crime scene animation New ways of presenting forensic evidence can reduce trial costs.
Better forensic evidence in court can result in shorter trials – benefiting the whole criminal justice system. SPSA’s forensic service has developed animation software that can be used to present evidence from a crime scene and reconstruct events. This improves jurors and court staff’s understanding of what happened and means less time is needed to present evidence.
This software was used in the Khushbu Shah murder case which was heard at the High Court in Glasgow in 2009. The jury was presented with digital evidence using three-dimensional reconstruction and body mapping, panoramic images, audio recording and CCTV.
Based on data provided from criminal justice bodies, we estimate that each day less spent on a High Court trial reduces the cost of the trial by around £7,000. The Scottish Courts Service’s costs decrease by £3,450 (£1,850 for staff and accommodation costs and £1,600 for judge, juror and other judicial costs). COPFS’s costs for prosecutors and advocates decrease by £950 per day and defence counsel and solicitor costs decrease by £2,600 per day.
We have excluded costs for witnesses as this will vary significantly from case to case, but these may be substantial.
Source: Audit Scotland from information provided by COPFS, the Scottish Courts Service and the Scottish Legal Aid Board
77. The Scottish Government has traditionally set efficiency targets for individual organisations rather than for the criminal justice sector as a whole. However, this means that individual organisations consider their savings in isolation and limits the incentive for them to work together to reduce costs across the sector.
Recommendations
The Scottish Government should work with SPSA, the police and other criminal justice bodies to develop systems to measure performance and efficiency savings across the justice sector.
The Scottish Government should review how it sets savings targets to encourage criminal justice bodies to work together to deliver savings across the justice sector. 22 Part 3. What SPSA needs to do to meet the challenges ahead
SPSA faces significant challenges and it needs to act quickly to meet these. Part 3. What SPSA needs to do to meet the challenges ahead 23
Key messages help SPSA achieve its goals. In to support organisations in delivering particular, SPSA needs to further more efficient services.19 • There are significant challenges develop leadership, management ahead which SPSA will need and customer service skills across 81. SPSA has made a promising start to meet with less money. It the organisation and significantly to tackling some of its challenges. needs to act quickly to improve improve its ICT capability and Its new strategic plan for 2010-15 organisational support and focus capacity. emphasises SPSA’s commitment budgets on its priorities. to working in partnership with its • Internal auditors carried out customers to improve services. This • The board needs to improve two audits on SPSA’s asset plan will be reviewed annually and how it operates to fulfil its role management procedures in 2009 supported by five-year strategies for in supporting SPSA. and recommended that SPSA each of SPSA’s business areas and develop more robust registers an overall annual plan for SPSA. The • It is difficult for SPSA, the and processes for identifying and annual plan links with the Scottish police and other criminal justice recording the value of its assets. Policing Performance Framework, bodies to agree national service It is not clear how far advanced Scottish Government’s national delivery priorities. SPSA is in terms of developing an outcomes and the six strategic overall plan to release efficiencies priorities that Scottish Government SPSA needs to make faster through better asset management. set for SPSA for 2010/11. It identifies progress in developing and SPSA does not yet have a long- 18 corporate objectives to help deliver implementing some important term capital replacement plan. SPSA’s strategic priorities. SPSA will areas of organisational support measure performance in delivering its • SPSA needs better financial and corporate objectives through a range 78. The current economic climate is performance information across all of key performance indicators, which focusing attention on the need for all its service areas, including a better link to a wider range of objectives and public bodies to deliver their services understanding of unit costs and measures for each business unit. with less money. Police forces are the factors influencing them. This increasingly looking to SPSA to help would: 82. It is important that all business them deliver these efficiencies. units finalise their plans and proceed –– improve its ability to manage with implementing them as soon as 79. SPSA has achieved much in its first budgets and help prevent possible. This will ensure all business three years. However, it acknowledges over and under spending units are clear about what is required that there is still room for improvement to take SPSA forward as a more before it becomes an efficient –– provide a more accurate efficient and effective organisation. organisation that delivers services that basis for setting charges meet all of its customers’ needs. SPSA and planning future service SPSA will have to deal with new needs to give greater emphasis to a delivery challenges with less money number of important areas: –– support a more integrated 83. SPSA will have to manage a • SPSA needs to ensure it approach across SPSA for number of important developments communicates regularly with its identifying organisation-wide and risks over the next few years. customers across all its service efficiency savings and help These include the planned restructure areas. Customers need regular, deliver a sustainable long- of the forensic services; progressing clear and precise information on term efficiencies programme. contract consolidation in ICT to the progress, costs and expected deliver efficiencies; administering timescales for the services being 80. SPSA does not yet have a the ICT agency agreement; and delivered. This is particularly the comprehensive savings plan in place, taking part in the development of a case for ICT. although individual service areas are new crime campus. working to identify possible future • SPSA’s workforce planning is savings. While it has now developed 84. SPSA’s wide-ranging review of its still in its very early stages. The a format for reporting short-term forensic services demonstrates how it organisation needs to ensure and long-term savings for each of its is preparing for the challenges ahead, that its strategic, financial and business areas, some parts of the but implementing this will in itself be workforce plans are linked and that reports remain incomplete. Audit a challenge. SPSA has identified in staff development is designed to Scotland has a number of publications its review both the potential benefits
19 See Audit Scotland report Improving public sector efficiency, February 2010 and toolkit at http://www.audit-scotland.gov.uk/docs/best_value/2010/ bv_100809_efficiency_toolkit.pdf 24
from providing a specialised service forensic expertise through existing strategic objectives for 2010/11 is to through a national organisation and gateways, but does not deliver as ‘contribute to the successful delivery the internal and external challenges of much of a saving as option 3. of the Gartcosh programme and put realising those benefits. The review plans in place to establish efficient considered four options including 85. SPSA faces a number of and effective facilities management retaining the existing structure while additional challenges. It believes in preparedness for the facility making savings through improved that there is considerable potential opening’.21 The Scottish Government processes, better use of staff and for further savings for policing in is managing this significant capital developing better ways of working general. For example, consolidating project which will require robust with customers (Exhibit 8). The and rationalising ICT contracts could project management to ensure it is outcome of the consultation exercise reduce the number of contracts from delivered on time and within budget. is due to be announced later in 2010. an estimated 750 to 350. However SPSA will need to ensure it is fully there are a number of barriers to involved in its development to ensure • The first two options maintain overcome to achieve this, including appropriate facilities management the current network of forensic the reluctance of some forces and processes are put in place. laboratories, fingerprint units and ICT suppliers to engage fully with crime scene examination units. SPSA and complex procurement 89. Managing all these areas will place They do not alter the structure issues. Resolving similar issues has significant demands on SPSA at a time of the service and so do not already delayed the introduction of a when its budget is likely to be reduced affect staff through relocation or new financial management system and its costs will increase. Staff laboratory closure, but there are no for SPSA. received a pay increase in September accommodation savings. 2010 as SPSA implemented the 86. The difference in VAT status last year of a three-year pay deal. • Option 2 allows for an upfront between SPSA and police forces While other parts of the public sector investment for a new case remains a significant barrier to may freeze staff pay, the Scottish management system, thus achieving savings in ICT. The agency Government stipulated that SPSA reducing projected savings, but agreement is proving inefficient and must honour the existing pay deal until otherwise is no different from bureaucratic to administer, and delivery it expires in September 2011. option 1. Options 3 and 4 also times are slow. SPSA expects to allow for an investment in the new spend between £25 million and SPSA needs to focus budgets on case management system. £30 million on ICT goods and services priorities for forces annually and under the • Option 3 would make use of new agency agreement forces will be able 90. Our report identifies some of accommodation in Dundee and to recover between £4.4 million and the major and important areas of Glasgow and lead to the closure £5.3 million of VAT on these development that SPSA needs of the facilities in Aberdeen and purchases.20 to progress urgently to improve Edinburgh. While this option its efficiency and effectiveness. potentially delivers the largest 87. However, SPSA estimates that it However, managing all of these amount of savings (around requires 4.5 staff (full-time equivalent), different work streams at the same £7.4 million taking account of at an estimated annual cost of time will be challenging. expected costs, over five years), £125,000, to administer the agency there are risks to service delivery agreement. There are additional staff 91. SPSA, like other public sector and staff losses through relocation. costs from Scottish Government bodies, will need to decide which staff and those in forces who also areas have priority when setting • Under option 4, two high-volume spend time administering the agency budgets to ensure that it delivers processing units would exist in agreement (Exhibit 9, page 26). services in line with its customer Dundee and Glasgow supported needs. While the budget for SCDEA by four smaller local satellite 88. The Scottish Government is is ring-fenced by the Scottish laboratories (LSLs) based in developing a new crime campus Government, SPSA can allocate most Glasgow, Edinburgh, Dundee at Gartcosh in Glasgow. The of its remaining budget across the and Aberdeen. The LSLs would development will house staff from other services as needed. To date, provide urgent fingerprint and COPFS, SCDEA, HMRC and some SPSA has allocated business unit drug analysis work. This option of SPSA’s scene of crime and budgets on an incremental basis maintains direct access to forensic services. One of SPSA’s and has not significantly altered the
20 Based on a VAT rate of 17.5 per cent. 21 Strategic Plan 2010-15, Scottish Police Services Authority, April 2010. Part 3. What SPSA needs to do to meet the challenges ahead 25
Exhibit 8 Options for rationalising the current forensic estate SPSA’s review identified four options involving a mixture of new investment and restructuring.
Impact on SPSA business Impact on SPSA customers Impact on staff Total Efficiencies Accommodation Associated At the Availability Access to estimated from cost savings costs and Aberdeen of scientific forensic net saving economies risks of and response consultant over five of scale and relocation Edinburgh and analysis and years (2010 optimal asset laboratories expertise to 2015) use Option 1 – No efficiencies No further No staff No Scientific Access to Base case: from accommodation relocation closure of response and a forensic maintains the economies savings will be required laboratories analysis is consultant £6.87 current network of scale and made available from remains at, million* of labs, fingerprint optimisation of four sites or from, four and scene assets locations examination units Option 2 – No efficiencies No further No staff No Scientific Access to Base case: from accommodation relocation closure of response and a forensic as above economies savings will be required laboratories analysis is consultant but includes £5.66 of scale and made available from remains at, investment in a million optimisation of four sites or from, four new evidence assets locations management system (EMS) Option 3 – The Increased Reduction to Financial cost Closure of Local Access to two laboratory efficiencies and accommodation of relocating labs and laboratory a forensic model: optimisation costs and further staff, risk of fingerprint facilities consultant two labs £7.36 of assets rationalisation of losing key units in reduced. is from two with eight million with potential resources staff and Aberdeen Urgent local locations, crime scene for more operational and casework with no examination units efficient capital risk to service Edinburgh analysis is expected and EMS expenditure delivery prioritised at impact on planning the two high- time to reach volume labs a crime scene Option 4 – Delivers some Limited Significant All labs Scientific Access to Two high-volume efficiencies and reduction of staff remain but response a forensic processing units, optimisation accommodation relocation staffing and analysis consultant four local satellite of assets. costs and some needed, but levels remains remains at, £5.93 laboratories (LSL) Potential rationalisation of risk is lower decrease in available from or from, four million and EMS for more resources than option 3 Aberdeen four sites locations efficient capital and expenditure Edinburgh planning
Note: * All options include efficiencies realised through the use of new processes and improved productivity, new staff structures and better shift systems, better procurement and other cost cutting initiatives, and better demand management and introduction of police presumptive testing. Accommodation cost savings through the closure of existing sites delivers a financial benefit to SPSA, but unless these sites can be disposed or absorbed in rationalisation of the police force estate, the cost will simply shift (from SPSA to the police force). The evidence management system (EMS) investment will improve service delivery, resilience and drive efficiency. Source: Audit Scotland (analysis of SPSA Forensic Modernisation options paper) 26
Exhibit 9 The agency agreement Scottish police forces are able to recover VAT preserving the overall VAT benefit to Scottish policing.
3. Invoice from SPSA to police force (includes VAT)
1. Purchase order 5. Advice from SPSA to SG
SPSA Police forces Scottish Government
2. Purchase 5. SG reimburse police 4. Forces pay order 2. Invoice forces invoice from SPSA ICT suppliers
1. SPSA orders 2. When the supplies 3. SPSA invoices 4. Forces pay invoices 5. Scottish supplies and services and services are police forces for the received from SPSA. Government on direction from a received and supplies and services reimburses police force by a purchase validated by SPSA paid for by SPSA. forces the net value order. the purchase order and forces reclaim invoice is paid. VAT from HMRC.
Source: Audit Scotland
amount of funding given to each The board must continue to executive and convenor have dual service area. support and challenge SPSA responsibility for leading SPSA. To work together effectively they will 92. In previous years, when extra 93. The board has an important role need to understand and respect each funding was needed, for example, to to play in supporting SPSA to meet other’s roles. Given the challenges meet the commitment to increase the challenges ahead. Our report The facing SPSA, it is important that the police numbers by 1,000, the Scottish role of boards contains questions that convenor (and other members of the Government provided it. However, board members should consider to board) quickly establish a balanced the current economic situation means ensure that they are governing well and appropriate working relationship that the Scottish Government may not (Appendix 3). with the new chief executive. have additional funding to allocate to specific projects in future years. SPSA 94. Two of the key challenges facing 96. We have identified a number will need to ensure that it allocates boards of all public bodies are: of other areas where there is its budget to deliver its priorities and potential for the board to improve its this may mean significant reductions • ensuring there is strong leadership effectiveness. For example, by: in some areas of spending. For to make important decisions on instance, police forces are already spending priorities in the coming • carrying out regular and implementing recruitment freezes, years, with chairs and chief independent reviews of the which will reduce demand for Scottish executives working well together board’s performance and that of Police College services. SPSA will to ensure effective leadership its subcommittees. It should also need to determine if it should move review the performance of board funding away from the probationer- • board members recognising members and take appropriate training programme to support other the importance of their role action through training and business unit priorities or allow the in scrutinising risk, financial succession planning to address college to use the funding to support management and performance. any weaknesses. In November other training priorities and, potentially, 2009, the convenor completed income-generating initiatives. 95. SPSA was without a permanent an assessment of SPSA board chief executive from December 2008 members’ skills and performance. to June 2010 when the current chief The board should build on this executive took up position. The chief start, ensure it conducts similar Part 3. What SPSA needs to do to meet the challenges ahead 27
reviews in future and consider coordinates the direction and 101. There is currently no mechanism bringing in independent advice development of the police service for ACPOS and SPSA to agree for this process. Our report The in Scotland. It does this through priorities which include all the role of boards recommends that ten business areas.22 ACPOS also different service areas provided by ‘public bodies should regularly has a business change programme SPSA. Recognising the need for this, review how they are operating board, which provides strategic SPSA, the Scottish Government, and performing with support and direction, identifies priorities and SPACF and ACPOS have agreed advice from an external peer’ manages major ICT projects to in principle to set up a customer support operational and organisational commissioning and monitoring group • challenging and scrutinising developments in policing in Scotland. to help develop service priorities. SPSA’s performance. The board A senior police officer from each force This group could have a key role in regularly considers performance, sits on the board. agreeing and prioritising the needs financial management and risk at of customers for SPSA services and its monthly meetings. However, 99. The ACPOS business change holding SPSA to account for delivery the board has an important role board and many of the individual of its services. However, it is not yet to play in identifying priorities business areas separately identify clear how it will operate in practice to and ensuring that budgets align projects needing SPSA support overcome the difficulties previously to these. To do this effectively, across the full range of services that identified or reconcile decisions it will need to be clear about SPSA provides. These requests are made with existing governance the contribution that services in addition to the service demands arrangements for policing in Scotland, make to strategic priorities and made by individual forces. However, which are designed to support local their value for money. SPSA’s the separate business areas are not policing needs. understanding of its costs is not always fully aware of the staff and yet sufficient to provide this type time needed to deliver the projects 102. The newly established Scottish of robust information to board requested or how requests might Policing Board (SPB) also has an members, although the proposed affect other areas of SPSA service important role to play in agreeing replacement financial system delivery. strategic priorities for Scottish should help. policing. Many of these will have an 100. SPSA has found it particularly impact on SPSA as it provides much It is difficult for SPSA, the police difficult to meet the demands of the support needed to ensure and other criminal justice bodies from the business change board. their effective delivery. The SPB to agree national service delivery Although SPSA and ACPOS have now membership includes the Scottish priorities introduced a business case approach Government, police authorities and to ensure that new ICT projects joint boards, chief constables and 97. For SPSA to move forward are properly assessed, attempts to COSLA.23 However, SPSA is not quickly, it needs to work with its develop business cases for existing a member of the SPB although it customers to prioritise its workload. projects, so that the priority projects may be invited to attend individual This is particularly challenging as can be easily identified, have not meetings. This means SPSA does SPSA provides services to many progressed. The different needs of not always have the opportunity to different customers, including forces for the national systems being provide informed input to discussions individual forces, COPFS and ACPOS, developed can also make it difficult on the practical implications of all of whom have their own priorities for ACPOS to agree priorities. The adopting different strategic priorities. (Exhibit 10, overleaf). Currently there difficulties in prioritising and delivering is no effective mechanism to limit national police ICT projects have been 103. The Scottish Government, and levels of demand or agree criteria recognised for a number of years and increasingly the Scottish Policing which would enable SPSA to prioritise are being considered in the current Board, have an important role to play its work. ICT review. SPSA and ACPOS need in supporting SPSA to set priorities to work jointly together to develop for the services it delivers which will, 98. Demands for SPSA’s services business cases and identify the in turn, support national and local from the police are made either resources required. priorities for Scottish policing. through ACPOS or by forces themselves. ACPOS leads and
22 There are currently ten business areas: professional standards, road policing, crime, operational policing, criminal justice, information management, equality and diversity, personnel and training, finance management and performance management. 23 COSLA’s involvement reflects the relationship between central and local government as defined by the concordat and the role of local authorities in funding police authorities and joint boards. 28
Exhibit 10 Service demands on SPSA and lines of accountability in Scottish policing
Scottish Parliament
Scottish Police Authorities COSLA HMICS Scottish Government Convenors’ Forum
Strathclyde Police Authority Scottish Policing COPFS Board
Strathclyde Police SPSA Board
Lothian & Borders Lothian & Borders Scottish Police Services SCDEA Joint Police Board Police Authority
ACPOS Council
Grampian Joint Police Grampian Police Board Information Business Change Management Programme Board* Business Area*
Tayside Joint Police Tayside Police Board Personnel & Training Crime Business Business Area* Area*
Criminal Justice Fife Council Fife Constabulary Business Area*
Central Scotland Joint Central Scotland Key Board Police * SPSA is represented in these business areas
Northern Primary accountability Northern Joint Board Constabulary Representation
D&G Service demand and Dumfries & Galloway Constabulary development requests Council
Source: Audit Scotland Part 3. What SPSA needs to do to meet the challenges ahead 29
Recommendations • develop further leadership, management and customer The Scottish Government should service skills in staff to support invite SPSA to be a full member of delivery of its strategic priorities. the Scottish Policing Board. SPSA’s board should offer SPSA, the police and other criminal appropriate support and challenge justice bodies should work together to SPSA. (through the commissioning and monitoring group or some other agreed means) to develop:
• criteria for identifying priority areas for SPSA to deliver
• an agreed approach for commissioning new projects, which ensures that different delivery options are fully evaluated and the expected benefits, timescales and cost implications are clearly identified.
SPSA should:
• clearly identify priorities in its work programme and align its funding to deliver its priorities
• engage more effectively with customers and provide clear and precise information on the progress, costs and expected timescales for the services being delivered, in particular in relation to ICT
• speed up plans to improve its financial management systems, so that the board and staff have relevant and accurate cost information to enable them to prioritise service delivery and maximise the value for money achieved
• use workforce planning to improve the capability and capacity of SPSA staff involved in ICT work 30 Appendix 1. Audit approach
The objectives for the audit were to: • Interviews with key staff in four Scottish police forces (Lothian • evaluate how SPSA was set up and Borders, Strathclyde, Central and has evolved Scotland, and Grampian Police).
• assess what SPSA has delivered • Interviews with customers in to date the Crown Office and Procurator Fiscals Service, and the Scottish • assess SPSA’s capacity to meet Crime and Drug Enforcement future challenges and risks. Agency (SCDEA).
Our audit covered a number of • Interviews with staff in the sources: Scottish Government Police and Community Safety Directorate, • Document reviews including the Association of Chief Police shared service guidance; best Officers in Scotland (ACPOS), practice checklists; SPSA papers the Scottish Police Authorities and board minutes; internal and Conveners Forum (SPACF), and external audit reports; efficiency the National Policing Improvement reports provided to Scottish Agency (NPIA). Government; and Scottish Executive papers relating to SPSA’s set up.
• Interviews with SPSA board members and selected SPSA staff in each of the business areas: corporate services, ICT, criminal justice, the Scottish Police College and forensic services. Our interviews broadly covered three themes:
–– SPSA set-up and current structures.
–– SPSA’s performance and delivery.
–– SPSA’s capacity to deliver in the future.
• Focus groups with staff in the forensic services about the modernisation programme. 31 Appendix 2. Questions for Scottish Government and public bodies to consider when planning shared service initiatives
Checklist Assessment Required actions • Have you developed a clear, strategic vision, which identifies the benefits that you and your partner organisations want to achieve by changing service delivery arrangements? For example, will the change in service arrangements improve efficiency, increase effectiveness, improve productivity or service quality, improve standards or consistency of services?
• Have you and your partners identified the other important factors to consider? For example, political acceptability, sustainability, employee support?
• Are you sure that the scope of the proposed change is achievable with the funding and staff available and that it will ultimately deliver all of the required benefits?
• Have you undertaken a full options appraisal for the new arrangements? Do you have clear reasons for why the specific services have been selected? Have you explained these reasons to key stakeholders?
• Have you identified the set-up costs needed and do you know over what period they will be recovered?
• Do partners understand all the implications of the preferred option (for example, giving up direct control of a service, becoming a service commissioner rather than provider)? Are partners committed to help deliver the preferred option?
• Are you and partners clear about how the benefits will be delivered? Is it clear how benefits and costs will be distributed? Is this fair and equitable? Do partners agree with these plans?
• Have you identified the barriers to achieving these benefits and developed strategies to overcome them?
• Have you identified your key stakeholders and customers or service users? Do you have a comprehensive strategy for engaging with them throughout the development of your proposals to ensure that their concerns are fully considered?
• Have you considered the most appropriate organisational structures to deliver the new arrangements? Are there cultural differences between the current organisations that need to be addressed to deliver an effective single organisation?
• Have you collected detailed and robust baseline information on how the services are currently delivered, for example, staffing levels, staff terms and conditions, unit costs, asset use, service standards etc? How confident are you that the baseline information is robust and accurate? For example, have you had it independently verified? 32
Checklist Assessment Required actions • Do you have clear and robust service management and governance arrangements, both for the transition period and for the new arrangements? Is it clear who is responsible for scrutiny and monitoring progress and how they will perform this role?
• Have you developed a clear, detailed implementation plan for the new arrangements? Is the plan supported by all the partners? Is your implementation plan properly costed?
• Does this plan:
– identify contingency arrangements if funding is reduced?
– allow time to standardise and simplify processes in partner organisations before you begin implementing the new service process?
– allow for small-scale testing beforehand to ensure that all the issues and challenges are identified?
– allow enough time for new systems to be properly tested, changes to be made if the systems don’t work, and then tested again?
– allow sufficient time for staff negotiations on changes to working conditions?
• Have you discussed the implementation plan with people who have gone through similar changes and taken on board their experiences?
• Have you put in place a strong project team that will help you deliver the new service? Does this include representatives from each of the partner organisations who will work with you to make the change happen? Does the team have the right level of seniority and sponsorship?
• Do you have plans in place to move to a common set of processes and controls? How long will this take and how does it fit with your IT plans and changes to job roles and structure?
• Have you developed a communication strategy to ensure that customers are fully aware of the changes being introduced and know how these changes will affect them?
• Are there clear arrangements for reporting on performance? Will the systems and processes being introduced have the capacity to provide you with the necessary information? 33 Appendix 3. Questions for board members
Checklist Assessment Required actions • Am I confident that the board have the right information to assess the organisation’s and the management’s performance?
• Am I sure that the board has effectively assessed the risks facing the organisation and has plans in place to manage those risks?
• Am I confident that the board has the right skills, knowledge and expertise?
• Does the financial and performance information I receive as a board member tell me how the organisation is performing?
• Is the relationship between the chair and chief executive effective, balanced and appropriate?
• Do the chair and the chief executive understand and respect their respective roles?
• Does the board know when to stay out of the day-to-day running of the organisation?
• What more could the board do to be open and transparent?
• Are we learning and sharing enough from other boards?
• How could we improve and develop our system of induction, training and assessment of board members?
• Do I think our committee structure enhances our scrutiny work, slows us down, or draws us into too much detail?
• Am I confident that the board makes the best decisions? The Scottish Police Services Authority
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