SAFER EFFICIENT RESPONSIVE STRONGER BUSINESS PLAN 2016/17

Transcription

1 SAFER EFFICIENT RESPONSIVE STRONGER BUSINESS PLAN 2016/17

2 BUSINESS PLAN 2016/17

3 TABLE OF CONTENTS FOREWORD BY THE CHIEF EXECUTIVE INTRODUCTION OUR STATUTORY DUTIES OUR VALUES SCOTTISH GOVERNMENT NATIONAL OUTCOMES OUR STRATEGIC PRIORITIES OUR OBJECTIVES FOR CUSTOMER ACTIVITY OUR PEOPLE BUDGET PERFORMANCE, CONTINUOUS IMPROVEMENT AND MEASURING SUCCESS

4 FOREWORD BY THE CHIEF EXECUTIVE Since joining Disclosure Scotland I have been enormously impressed by the dedication that runs through the whole organisation and its commitment to play an important role in protecting people in Scotland. Our Corporate Plan sets out a three-year plan for the transformation of the Agency. As we enter the second year of that Plan we have laid important foundations for Phase 2 of our Transformation Programme. This has put in place the structure and investment required to go on and develop services that our customers want to use in a way they want to access them. In doing so we have also maintained a continually high level of service to our customers across all the schemes we administer. We expect the 2016/17 year, covered by this Business Plan, to see the end of the delegation for processing England and Wales Basic Disclosure certificates. From January 2017 this work will transfer to the Disclosure and Barring Service (DBS) leaving Disclosure Scotland to focus mainly on our Scottish customers. This will be a major transition for the Agency affecting almost every area of its operations. Everyone in the Agency is committed to maintaining the very best levels of service as we approach the end of the delegation and to ensure a smooth transition for our customers. After this, the Agency will be well placed to work more collaboratively with our customers and stakeholders, co-designing service improvements and ensuring the Agency delivers efficient, proportionate and sustainable services. The key objectives for 2016/17 and how we will achieve them are set out in this Business Plan. Everyone at Disclosure is looking forward to a busy year focusing on their delivery. David Wallace Chief Executive 02

5 EVERYONE IN THE AGENCY IS COMMITTED TO MAINTAINING THE VERY BEST LEVELS OF SERVICE AS WE APPROACH THE END OF THE DELEGATION AND TO ENSURE A SMOOTH TRANSITION FOR OUR CUSTOMERS. 03

6 INTRODUCTION OUR STATUTORY DUTIES Disclosure Scotland is an Executive Agency of the Scottish Government with a high customer focus. We provide customers with accurate and timely criminal history information and bar unsuitable people from working with children and protected adults. Last year we issued over 1.7 million certificates to customers and maintain a list of over 3,000 people barred from working with children or vulnerable people. Under Part V of the Police Act 1997, we process customer s applications for disclosure certificates which enable safer recruitment decisions to be made by employers. We issue: o Basic Certificates, which are available for any purpose and disclose unspent convictions; and o Standard Certificates or Enhanced Certificates where the law says that this type of disclosure is required. Under the Protection of Vulnerable Groups (Scotland) Act 2007 (PVG), we administer the Protection of Vulnerable Groups Scheme (PVG Scheme). This is a membership scheme for individuals in regulated work with children or protected adults. We: o maintain PVG Scheme membership and issue PVG Scheme disclosure records; and o determine unsuitability for regulated work with children, adults or both groups and administer the barred lists in relation to regulated work. Support Scottish Ministers, by advising on the development and refining of policy in relation to both Acts. Achieve best value, by minimising our requirement for public funding by developing efficient systems and processes. 04

7 OUR VALUES SCOTTISH GOVERNMENT NATIONAL OUTCOMES All Disclosure Scotland staff are bound by the Civil Service Code. The Civil Service Code sets out the values and standards of behaviour expected of all civil servants. Our core values are: Integrity we will put the obligations of public service above personal interests; Honesty we will be truthful and open; Objectivity we will base advice and decisions on rigorous analysis of the evidence; and Impartiality we will act solely according to the merits of the case and serve equally well governments of different political persuasions. Our activity supports the Scottish Government s Purpose To focus Government and public services on creating a more successful country, with opportunities for all of Scotland to flourish, through increasing sustainable economic growth. We link to the National Outcomes; in particular our activity contributes to the following: we have improved the life chances for children, young people and families at risk; we live our lives safe from crime, disorder and danger; we realise our full economic potential with more and better employment opportunities for our people; our public services are high quality, continually improving public service and responsive to local people s needs; and we reduce the local and global environmental impact of our consumption and production. 05

8 OUR STRATEGIC PRIORITIES All activities are undertaken within the context of our Corporate Plan This sets out how Disclosure Scotland will change the way in which our customer-centric services are delivered, how we will improve the journey for our customers and stakeholders and expand our safeguarding role. To achieve this transformation we have three strategic priorities focusing on customers. Place customers at the heart of our business to deliver an enhanced customer experience. Deliver our Change Programme to develop a new business model, providing a digital by preference service and improved workforce planning. Engage and support our stakeholders to improve safeguarding and strengthen our public service. PLANNING EXPERIENCE ENHANCED CUSTOMER IMPROVED WORKFORCE SAFER EFFICIENT RESPONSIVE STRONGER ENABLE DIGITAL BY PREFERENCE IMPROVED SAFEGUARDING & PVG SCHEME ENGAGE AND SUPPORT OUR STAKEHOLDERS TO IMPROVE SAFEGUARDING AND STRENGTHEN OUR PUBLIC SERVICE. 06

9 OUR OBJECTIVES FOR In we delivered some key parts of our Transformation Programme. In particular we successfully brought in-house some functions of the Agency while maintaining the continuity of service to our customers. This has enabled us to: Take control of and gain a greater insight of our customer journey. Improve the breadth of knowledge and skills of our workforce. Deliver significant efficiencies and savings. In , Year 2 of our Corporate Plan, we will continue this transformation. In particular we will see the planned end to the delegation where Disclosure Scotland processes, on behalf of the Disclosure and Barring Service (DBS), Basic Disclosures for England and Wales. This will have a major impact on numbers of applications received from customers, organisation size, income, cost and economies of scale. As a result of these changes, our key priority will be to ensure stakeholder stability, a smooth transition to DBS for our customers and to deliver improved outcomes for our customers in a financially sustainable way. We detailed the main strategic areas in our Corporate Plan where we plan significant activity in These are described in the objectives in the table overleaf. GAIN A GREATER INSIGHT OF OUR CUSTOMER JOURNEY. 07

10 MAIN STRATEGIC AREAS Objective what will we do? Why will we do this? How we will achieve it? How we will measure success / sources of evidence Target Date when will we do it by? Strategic Priority 1 We will place customers at the heart of our business to deliver an enhanced customer experience. to deliver an enhanced customer experience. 1.1 We will develop an integrated approach to communications To ensure that our customers and stakeholders are placed at the heart of our communications strategy and create lasting relationships with key stakeholders Review strategy Evaluate current communications functions, approaches and protocols Develop approach to stakeholder engagement Develop Agency branding to raise customer awareness of who we are and what we do Improve our external website Customer research feedback on ease of use and clarity of information Level of customer complaints External website usage 31/12/ Continue to improve our information security To protect customers personal information and comply with the principles governing Data Protection Enhance controls on secure data handling Ensure PCI compliance Re-assess data retention requirements External assurance check Compliance reporting 31/03/ Embed the UK Supreme Court 2014 decision into our operational processes To ensure customers have confidence in the compatibility of our disclosures with European Court of Human Rights requirements Evaluate the operational pilot following changes to the higher level disclosure regime following the UK Supreme Court judgement Implement into business as usual Customer feedback Achievement of KPIs 30/09/ Strengthen our Corporate Governance Functions To ensure the efficient and effective delivery and management of our corporate goals and objectives Review the governance arrangements of our Advisory Boards when On Board guidance is published by Scottish Government Determine the best use of, and link our objectives to, assurance mapping tools Board performance in regard to decisionmaking against strategic deliverables External audit assessment 31/12/16 Strategic Priority 2 We will deliver our Change Programme to develop a new business model, providing a digital by preference service and improved workforce planning. 2.1 Support the transition of the basic disclosures service for England and Wales to Disclosure and Barring Service (DBS) To ensure that our customers requiring an English or Welsh basic check experience a smooth transition to the DBS in January 2017 Set up an internal project team Participate in the creation of a joint transition plan Participate in the governance arrangements with both DBS and the internal team i.e. human resources, trade union, DS representatives Raise customer awareness of the transition Ensure we have the required level of staffing to meet customer needs Explore whether legislation is necessary to ensure that organisations use the right type of basic disclosure after the transition Customer feedback Successful transfer of work at end of delegation Ongoing achievement of KPIs Seamless transfer for customers Maintain service levels for customers 31/03/17 08

11 MAIN STRATEGIC AREAS Objective what will we do? Why will we do this? How we will achieve it? How we will measure success / sources of evidence Target Date when will we do it by? Strategic Priority Continued 2 We will place deliver customers our Change at the Programme heart of our to develop business a to new deliver business an enhanced model, customer experience. providing a digital by preference service and improved workforce planning. 2.2 We will develop a digital strategy and roadmap to realisation To establish a more effective, efficient and accessible service for our customers Consult and utilise the services of Scottish Government Digital Directorate for guidance and support on aligning DS to SG Digital Strategy Procure client-side support to: Develop the DS digital strategy and roadmap Understand our customer journeys Prioritise digital / technology investments to realise maximum benefit Transparent digital plan detailing enhanced customercentric service provision Customer journeys endorsed by stakeholders 30/06/ Secure third-party expertise to replace our core IT system To undertake procurement activity to deliver the platform and enabling services to support new business operations Initiate and carry out procurement activity in accordance with Scottish Government Policy and legislation Monitor activity, including supplier performance, within robust governance arrangements Successful delivery of product 31/03/ Continue to improve our Workforce Planning To balance staff resources, skills and capability with customer-focused business needs Develop a workforce strategy Continue to develop our workforce capability Improve resourcing and recruitment practices Continue to build people capability Ensure that customer and stakeholder needs are met Achievement of KPIs 31/03/ We will continue to build the Business Transformation workstream within the Transformation Programme To build on the success of Phase 1 of the Transformation Programme and ensure the programme delivers real benefits Develop and seek Transformation programme Board sign-off for the Business Transformation workstream Project Implementation Document Mobilise and resource individual projects within Business Transformation Business Transformation PID approved by Board Projects resourced with correct skill sets to track, monitor and realise intended benefits 30/09/ We will develop legislation to support a digital PVG Scheme To ensure that legislation supports the transformation to a modern and digital PVG Scheme Engage stakeholders about their aspirations for how technology can drive improvements in PVG services Embed policy support in transformation programme to ensure legislative support for digital and modernised services Support Ministers and Parliament to make the necessary legislative changes to deliver a transformed PVG service Customer research feedback 31/03/17 09

12 MAIN STRATEGIC AREAS Objective what will we do? Why will we do this? How we will achieve it? How we will measure success / sources of evidence Target Date when will we do it by? Strategic Priority Continued 2 We will place deliver customers our Change at the Programme heart of our to develop business a to new deliver business an enhanced model, customer experience. providing a digital by preference service and improved workforce planning. 2.7 We will develop and manage a change portfolio to improve our change management capacity and capability To ensure the Agency has sufficient skills, capacity and resource to deliver continuous improvement in its service to customers Develop, prioritise and manage the Corporate Change Plan Continue to mature our change control processes surrounding the Change Advisory Board (CAB) and supporting sub-groups Support operational implementation of future changes including legislative change Achievement of KPIs Customer research feedback 31/03/17 Strategic Priority 3 We will place engage customers and support at the our heart stakeholders of our business to improve to deliver an enhanced customer experience. safeguarding and strengthen our public service. 3.1 Review the PVG Scheme To ensure that it supports customer and user needs, business requirements and longer-term fiscal sustainability Launch a review of the PVG Scheme to engage with stakeholders on future direction and modernisation Consult with customers and stakeholders about how we can ensure the PVG Scheme continues to deliver safeguarding benefits in a sustainable way Deliver a Disclosure Scotland conference to engage with customers about all our current services and the future direction of the Agency Consider legislative requirements arising from the PVG Review, supporting Ministers and Parliament as necessary Customer and stakeholder feedback Customer research 31/03/ Review the PVG Complex Case Advisory Group and the way we obtain reports from suitable qualified individuals To enable the Complex Case Advisory Group (CCAG) to continue to provide case advice to Scottish Ministers and act as an independent touch point to ensure that decision making remains correctly orientated Review the role and approach of the Complex Case Advisory Group (CCAG) Initiate a project to engage existing CCAG members Refresh training for CCAG members Recruit new CCAG members where necessary Review the frequency of meetings Look at how we use the CCAG in the decision-making process CCAG review report with Director of Protection Services and Policy by June 2016 Action plan agreed by August 2017 Refreshed CCAG group operational by end December /12/16 10

13 MAIN STRATEGIC AREAS Objective what will we do? Why will we do this? How we will achieve it? How we will measure success / sources of evidence Target Date when will we do it by? Strategic Priority Continued 3 We will place engage customers and support at the our heart stakeholders of our business to improve to deliver an enhanced customer experience. safeguarding and strengthen our public service. 3.3 Enhance our policy function and capacity To support Scottish Ministers by giving policy advice on the areas relevant to Disclosure Scotland Scan the environment to anticipate changes which will require policy response Take forward specific projects which require a policy/legislative response Handle Ministerial correspondence and support Ministers Support the development and delivery of Scottish Ministers policy requirements Address issues raised by Disclosure Scotland s business that require a policy response Build and retain sufficient capacity within the DS policy team to take forward Protection of Vulnerable Group Review and Business as Usual activity Develop the right blend of skills in the team and ensure that there is a high level of engagement between the policy team, business areas within Disclosure Scotland and wider Scottish Government Handling Ministerial Correspondence within SG targets Successful policy measures in place for the transition of English and Welsh basic disclosures by December 2016 Effective PVG Review stakeholder engagement and communication Ongoing 3.4 Ensure that the safeguarding benefits of PVG are reliably maintained To ensure that the PVG Scheme operates effectively to prevent unsuitable people working with vulnerable groups following the end of the retrospective checking phase Conduct a consultation on whether there should be a new offence for employers when they employ a person who is barred from regulated work, even when Disclosure Scotland has not told them that the person is barred Analyse the results from the statutory consultation Lead on any legislative response that will be required, supporting Ministers in their decision-making process Give advice to Ministers on the consultation by 31 May 2016 Take forward any legislative action needed by September /03/ We will share information across the European Union To ensure disclosure certificates have the most accurate and appropriate information wherever a conviction occurs and ensure that children and vulnerable adults are protected Participate in the evaluation of the operational pilot for the EU Framework Directorate 2011/93 Analyse the results of the pilot to determine and understand the value added in relation to improved contribution to safeguarding Analyse and understand volumes associated with all other member states Determine the feasibility of the two member states continuing in the process upon conclusion of the pilot Capture the requirements for the future IT replacement Commence the rollout to other member states as directed by the Home Office and in consultation with Scottish Ministers Post pilot evaluation Publish pilot findings Increased safeguarding remit 31/03/17 11

14 CUSTOMER ACTIVITY In we received 333,009 customer applications in relation to the PVG Scheme. We also received 1,388,512 disclosure applications in respect of our customers in Scotland, England and Wales actual and expected customer demand for is highlighted in the below table. Since the PVG Scheme went live in spring 2011, Disclosure Scotland has considered 11,572 individuals and has barred 3,066 people from undertaking regulated work. We have processed 106,933 referrals, including those generated via employers and courts and cases where PVG Scheme members or applicants had criminal history information on record. In , we expect volumes to decrease by 12% due to English and Welsh Basic applications moving to DBS from January We also expect PVG volumes to decrease by 18%, in comparison to , as the retrospective checking period draws to a conclusion. Application type BASIC DISCLOSURES STANDARD/ ENHANCED PVG SCHEME TOTAL Volume received Actual v forecast Forecast volume ,366,274 +1% 1,194,374 22,238-6% 23, ,009 +6% 271,781 1,721,521 +2% 1,489,514 SINCE THE PVG SCHEME WENT LIVE IN SPRING 2011, DISCLOSURE SCOTLAND HAS CONSIDERED 11,572 INDIVIDUALS AND HAS BARRED 3,066 PEOPLE FROM UNDERTAKING REGULATED WORK. 12

15 OUR PEOPLE Our people are our most valuable asset. We have enhanced our people s skills so that we can continue to deliver a high quality service to our customers. We are continuing a programme to increase customer engagement, reflecting our desire to have a networked organisation where we involve our stakeholders in an embracing environment. Our workforce comprises a blended mix of staff; permanent and fixed term Scottish Government, temporary agency and interim. Due to the transfer of English and Welsh basic certificates to the Disclosure and Barring Service (DBS) from January 2017, resources have been carefully controlled over recent years through our Workforce Planning Group. This strategy ensures seamless customer delivery, whilst minimising the effect on permanent staff at the end of this transition process. We also contribute to youth employment initiatives in the form of Modern Apprentices and graduates to ensure that we can make a lasting contribution to wider Scottish Government outcomes. The Full-Time Equivalents (FTE) in post at 31 March 2016 and indicative forecast as at 31 March 2017 are illustrated in the table below. Staff PERMANENT (SCOTTISH GOVERNMENT) FIXED TERM (SCOTTISH GOVERNMENT) TEMPORARY (AGENCY) Staff INTERIM (CONTRACTOR) MODERN APPRENTICES & GRADUATES TOTAL

16 BUDGET The overall budget for is as follows: Planned Expenditure: million Staff (including travel and subsistence) 7.64 Information, Communications and Technology Administration and Supply 4.32 Accommodation 1.14 Non-Cash (depreciation and amortisation) 0.30 Resource Departmental Expenditure Limit (DEL) Capital DEL 3.09 Total Expenditure Financed By: Operational Income Scottish Government 1.81 Total Funding This budget will be used to deliver the activities contained within this Business Plan. We will actively monitor progress throughout the year to minimise the risk of the actual outturn not being in balance with agreed budget. The operations of the Agency are mainly funded by income from our customers and service users. This income is variable, being dependant on the volume of applications submitted to the Agency. The Agency therefore closely monitors application volumes against predictions. 14

17 PERFORMANCE, CONTINUOUS IMPROVEMENT AND MEASURING SUCCESS We aim to continuously improve what we do and have set ourselves challenging targets for the year ahead and beyond. We will continue to monitor our performance throughout the year to ensure successful outcomes for our stakeholders. We measure our performance against achievement of agreed Key Performance Indicators (KPIs), achievement of business plan objectives and contribution towards Scottish Government National Outcomes. During our main performance measure was to produce 90% of disclosures within 14 calendar days for correctly completed applications requiring no further enquiries. In the average turnaround time to customers was 4.7 days with 99.81% being produced within 14 days. In we will continue to improve our workload forecasting and workforce planning capabilities to ensure that we are able to respond quickly to fluctuations in customer requirements. In order to understand and react quickly to emerging environmental changes, additional KPIs, with an emphasis on customers/stakeholders, safeguarding processes, organisational capacity and financial performance have been developed into a balanced scorecard. This will be published on our website. GOVERNANCE Governance is the framework and decisionmaking processes that underpin desired outcomes, allocate resources and manage performance. It encompasses overarching management practices, policies, guidance and delegations that provide the necessary assurances that the organisation is directed and controlled in the required way. Disclosure Scotland has effective governance procedures in place and will further build on this during this year. Disclosure Scotland s Agency s Framework Document sets out our governance arrangements and describes: the relationship between Disclosure Scotland and the Scottish Ministers; the Agency s objectives and performance measures; and the management and resources framework within which the Agency operates. 15

18 CONTACT INFORMATION You can contact us by letter, telephone, fax or Disclosure Scotland PO BOX 250 Glasgow G51 1YU Telephone: Fax: Website: