Programme of Performance Audits 2009/10 Prepared for the Auditor General for Scotland and the Accounts Commission February 2009 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. Audit Scotland Programme of Performance Audits 2009/10 Introduction useful suggestions about how our of audit work generates reports on proposals might best be developed. major themes and, in devising this This publication sets out the Audit programme, we have included Scotland programme of national We received responses from 63 studies relating to partnership performance audits for 2009/10. bodies with 561 comments on working, financial sustainability, use The reports we will be producing individual study proposals. We of resources and value for money - are presented in three groups: considered the potential study all important and topical public • Auditor General reports policy subjects. We also include topics further in the light of the consultation responses and in the proposals that evaluate the impact • Accounts Commission reports context of our capacity and other of new legislation and relate to best • Joint reports for both the Auditor commitments. value and efficient government. General and the Accounts Commission. This programme forms the basis of For each project we will develop a our performance audit work through brief setting out the focus of the A summary list of the programme to the end of 2010. The programme study, how we will carry it out, how appears on pages 3 and 4. includes a series of new projects long it will take to complete and its and work that is in progress. anticipated impact. For a few About the programme Several follow-up studies are projects we will need to consider the The series of performance audits included in the programme. These best timing, particularly where they outlined in this document has been are important to help us monitor examine the effects of new policies. prepared taking account of the progress and assess whether public Our schedule is flexible to allow us views expressed by the Scottish bodies have implemented to react when unexpected issues Parliament, officials within the recommendations from previous arise that need immediate Scottish Government, COSLA, national studies. It is a balanced investigation. For these reasons SOLACE and by other programme across local publication dates shown for studies organisations and people we work government, central government are indicative and will be confirmed with. Opinions were sought through and health. The programme is as the programme develops. a consultation exercise we designed to provide a mix of conducted in 2008. The consultation projects reflecting the range of was designed to reflect the range of responsibilities covered by the responsibilities covered by both the Accounts Commission and the Auditor General and the Accounts Auditor General together with a Commission, and the type of number of joint studies where the projects that might be of most value. subject matter is of interest to both. We consulted widely and gathered National studies complement other views from a cross section of local audit work including best value and national public sector audits in local government, organisations. The response to the overview reports on key areas of list of potential topics we presented public policy and annual financial was positive, and we received audits. It is important that the range 1 The Auditor General’s role is to report on Scottish Government directorates and most other public sector organisations. His reports are presented to the Public Audit Committee of the Scottish Parliament. The Accounts Commission reports on local government, including police and fire & rescue boards. The Auditor General and the Accounts Commission conduct joint studies when the subject covers both areas of responsibility. Audit Scotland carries out work for the Auditor General and the Accounts Commission. 2 Auditor General reports Central Government Indicative publication date New reports Financial management in the Scottish Government Summer 2009 Cairngorm funicular railway Summer 2009 Enterprise funding streams Spring 2010 The role of Boards Spring 2010 Concessionary fares Summer 2010 Scottish Police Services Authority Autumn 2010 Efficient justice Winter 2010 Follow-up reports Public sector pension schemes in Scotland Spring 2010 Major capital projects Autumn 2010 For more information on central government studies please email Angela Cullen (email@example.com) Health Indicative publication date Reports in progress Using medicines in hospital follow-up April 2009 New reports New waiting times arrangements Winter 2009 Specialty efficiency – orthopaedics Winter 2009 Medical locums Spring 2010 Pay modernisation Spring 2010 Emergency care Autumn 2010 Follow-up reports Information management and technology Autumn 2009 Diagnostics Spring 2011 Other reports NHS overview reports (performance and financial) December each year Management development paper Workforce development Ongoing For more information on health studies please email Angela Canning (firstname.lastname@example.org) 3 Accounts Commission reports Local Government Indicative publication date Reports in progress Local government overview February each year Asset management in councils April 2009 New reports Physical recreation services in local government Spring 2010 Managing unit costs Spring 2010 Management of local government pension funds Summer 2010 Best Value and resource management series Winter 2009 – Spring 2011 Impact of liquor licensing Summer 2011 Physical planning services in local government Summer 2011 For more information on local government studies please email Ronnie Nicol (email@example.com) Joint AGS/Accounts Commission reports Indicative publication date Contact Reports in progress Overview of drug and alcohol services March 2009 firstname.lastname@example.org Mental health overview April 2009 email@example.com Civil contingencies planning May 2009 firstname.lastname@example.org Strategic procurement May 2009 email@example.com Environment overview Autumn 2009 firstname.lastname@example.org New reports Delivering efficiencies Summer 2009 email@example.com Looked after children in residential settings Winter 2009 firstname.lastname@example.org Mental health (second report in the series) Spring 2011 email@example.com Community Health Partnerships Spring 2011 firstname.lastname@example.org Community Planning Summer 2011 email@example.com Commonwealth Games Ongoing review firstname.lastname@example.org Follow-up reports Roads maintenance Winter 2009 email@example.com 4 Auditor General reports Central Government recent examples of the failure of Efficient justice public sector organisations to New reports This study will examine the extent establish an adequate Board. We to which recent reforms affecting Financial management in the will assess how Board members Scottish Government high courts and summary justice are selected and whether the have delivered more efficient This study will examine financial membership of Boards is justice, in terms of improved court management and budgeting within appropriate. In this study we will proceedings and outcomes. the Scottish Government focusing also review how the performance on budget assumptions, financial of Boards is measured and the outturn compared to budget and arrangements for induction and Follow-up reports financial management training for non-executive Public sector pension schemes arrangements. members. in Scotland Cairngorm funicular railway Concessionary fares This study will follow up on our In this study we will assess the 2006 report providing an update Following ongoing financial Scottish Government’s initial position on the six main public difficulties with the operation of the approach to concessionary fares, sector pension schemes. funicular, Highlands and Islands Enterprise (HIE) took over the including whether the estimates of Major capital projects operator in May 2008. This study demand and project costs were accurate. We will also review risk The Scottish Government, its will examine HIE’s plans for the management arrangements and agencies and Non Departmental future operation of the funicular assess any impact on schemes Public Bodies (NDPBs), and the and relevant historical events and such as the national entitlement NHS are currently progressing activity. card. We will consider the some 100 major projects, with Enterprise funding streams financial sustainability of the forecast investment of some scheme and its impact and £10.5 billion between 2008-09 and Scottish Enterprise and HIE implications at a local level. 2010-11. This follow-up report will provide support and significant examine changes in response to funding for a range of activities Scottish Police Services the recommendations in our relating to business development, Authority June 2008 review of Major Capital growth, innovation and for The study will examine the extent Projects and consider how projects developing links to global markets to which the SPSA is addressing are delivered in relation to cost, for Scottish businesses. We will its objectives in connection with time and quality. consider the effectiveness of promoting efficiency and various funding streams. The Health effectiveness by providing expert study will examine how agencies policing and support services; Reports in progress evaluate outcomes and how this establishing and maintaining the evaluation is used to inform Scottish Crime and Drug Using medicines in hospital spending decisions. follow-up Enforcement Agency; and The role of Boards providing services to Scotland’s We are assessing the progress eight police forces and to the wider made by the Scottish Government, Boards play a crucial role in criminal justice community. NHS boards and other national ensuring that governance bodies against the standards are maintained in public recommendations in our 2005 sector organisations. There are 5 report. This study will comment on use of locum doctors; reasons for Follow-up reports actions taken by NHS boards to their use; efficiency of managing Information management and plan, manage and monitor the use contracts with agencies; and technology of medicines in hospital. It will also effectiveness of their appointment This report will comment on review progress towards and induction processes. progress made following our developing and implementing a Pay modernisation publication of Managing IT to national electronic prescribing and deliver information in the NHS in medicines review system and the Several major NHS contracts have Scotland in November 2006. We development of workforce planning been agreed over the last few will consider progress made with for pharmacy staff. years and we have reviewed the all major information management consultant contract, out-of-hours and technology developments in services and the new General New reports the NHS as part of this review. Medical Services contract. New waiting times arrangements Agenda for Change covers most Diagnostics NHS staff and aims to harmonise New Ways is a new approach to This study will follow up our 2008 pay scales and terms and defining, recording and measuring report Review of diagnostic conditions throughout the NHS. waiting times for patients in services. The recommendations in We will review pay modernisation Scotland. It was first announced by the 2008 report focus on three in order to assess the the Scottish Executive Health main areas: ensuring diagnostic implementation of Agenda for Department in 2004 and it came services are as efficient as Change but also to follow up into effect on 1 January 2008. The possible; improving the patients’ progress with the other major study will include systems testing experience of diagnostic services; contracts linked to our previous of patients’ records to ensure that and improving the quality and work in this area. the guidance is being applied as consistency of national data to intended. Emergency care enable efficiency comparisons and to identify potential improvements. Specialty efficiency – The Scottish Ambulance Service, orthopaedics The follow-up report will look at NHS 24 and hospital emergency progress in these areas. Orthopaedics is a large and departments work together to complex specialty with a high provide emergency health care Other work volume of inpatients, outpatients services in Scotland. and day cases. NHS boards’ total The study will look at how well the NHS overview expenditure on the orthopaedics NHS is able to address increasing Our annual NHS overview report specialty in 2006/07 was around demand, meet relevant HEAT comments on the finance and £333 million, the third highest cost targets, cope with employment performance of the NHS in specialty. The study will examine contract changes, and adjust to Scotland. It covers the main how well services are managed, changes in the way agencies work issues arising from the year’s NHS productivity, efficiency and together to deliver emergency audit work. effectiveness, demand and care. It will also review the impact capacity, accessibility and waiting changes have had on patients, Management development paper times. performance and performance measures, partnership Workforce development Medical locums arrangements and the robustness The first National Workforce Plan In 2006, there were 240 locum of workforce planning. was published in December 2006. doctors in Scotland out of a total This set out requirements for NHS workforce of around 10,500. The boards to join up workforce plans cost of locum consultants in 2005 with service and financial plans, was £11.6 million and so the and for clear links to workforce overall cost of all locum doctors is planning to be included as part of likely to be higher. Our study will NHS boards’ Local Delivery Plans. look at the extent and efficiency of NHS boards are required to 6 produce annual workforce plans. Staff costs account for around 70 per cent of the NHS budget, and to change the way the NHS delivers services, staff increasingly need to work jointly across specialties, sectors and agencies. We plan to produce a series of papers on workforce development in the NHS as part of this study programme. 7 Accounts Commission reports Reports in progress improvements are required to use licensing are delivered locally, the this information to promote impact on local communities and Local government overview effectiveness and efficiency in on businesses and how Boards This report covers key issues service delivery. monitor and report against their arising from the year’s local objectives. We will also review authority audit work. It includes Management of local fees and funding. government pension funds commentary on aspects of financial and service performance Eleven councils in Scotland Physical planning services in local government by councils and on the main issues administer pension funds under arising from the Best Value audits. the Local Government Pension We will look at the quality, speed A separate report in 2009 will Scheme. The remaining councils and costs of current planning review points which have emerged and many other public bodies are arrangements across Scotland; from the first round of Best Value members of these funds. In 2007, citizens’ views about the audits. the total value of assets was over effectiveness of planning Asset management in councils £20 billion and operating costs arrangements; variation in how were of the order of £53 million. councils make planning decisions; The study reviews existing We will examine the administrative local government’s response to the approaches to asset management and financial performance of the reforms and the effect on service and highlights examples of where scheme, including the relative delivery; and risks to achieving this is working well. It assesses costs of managing the funds and national objectives. how options appraisal can be investment returns. applied to make strategic decisions about how assets are used and Best Value and resource whether they should be retained or management series sold. We will explore issues concerning governance and resource New reports management through a series of reports which will draw together Physical recreation services in local government messages from our work, comment on national patterns and This report will examine scope for trends, identify areas for improvements in efficiency and improvement and help to promote service user uptake by identifying good practice. the resources and impact of different leisure strategies and Impact of liquor licensing models of service provision. This Licensing Boards are regulated by study will have a strong user the Licensing (Scotland) Act 2005 perspective. which sets out a range of Managing unit costs objectives expected from liquor licensing including: preventing Currently there is limited crime and disorder; securing public information available in councils on safety; preventing public nuisance; unit costs. Through looking at protecting and improving public particular service areas, in health; and protecting children consultation with professional from harm. The Act requires bodies, we will explore the Boards to recover costs while not potential value of more use of unit making a profit. We will look at cost data. We will assess what how the objectives of liquor 8 Joint Auditor General and Accounts Commission reports Reports in progress priorities; and planned Mental health improvements and good practice Overview of drug and alcohol Following an overview of mental services will be identified. health services, to be published in In this study we evaluate the Environment overview 2009, we will examine a series of effectiveness of spend by the themes in mental health over the This study will evaluate the public sector on drug and alcohol next few years. Future studies effectiveness of the Scottish public services. We assess the impact of may include reviews of child and sector in promoting and improving the investment in these services, adolescent mental health services the environment. It will assess how and review current approaches to (CAMHS), depression and anxiety effectively public bodies and their planning and delivering services and dementia. partners are working together to across Scotland. meet environmental objectives and Community Health Partnerships Mental health overview targets, and how much money is Community Health Partnerships being spent on meeting them. This study focuses on the overall (CHPs) have been introduced cost and effectiveness of mental across Scotland to manage a wide New reports health services in Scotland. The range of local health services review will comment on current Delivering efficiencies delivered in health centres, clinics, spending and activity, how the schools and homes. Although the The Efficient Government Initiative agenda for CHPs is complex, public sector could improve was launched in June 2004. In looking at what benefit has been services, the impact of recent April 2008, the Government achieved for patients is timely. mental health legislation and published its Efficiency Delivery The Scottish Government plans to workforce planning. Plans for 2008-11, including an publish research early in 2010 that Civil contingencies planning expectation of two per cent will report on what CHPs do. This efficiency savings in each of the will be a useful basis for our work. We will assess how different public next three years. This study will As part of our review we will sector agencies comply with their consider what savings were made consider how CHPs work with duties in the Civil Contingencies in the 2005-08 programme, how other bodies, how CHPs use their Act 2004 and review compliance well prepared public bodies are to resources, and the costs and against the performance standards deliver the two per cent efficiency benefits associated with CHPs. outlined in supporting guidance target and highlight good practice We will follow up our previous work issued by the Scottish and areas for improvement. on community equipment and Government. Looked after children in adaptations as part of this review. Strategic procurement residential settings Community Planning The study will provide an The study will: compare the costs assessment of public sector Our 2006 report provided a picture of current provision; analyse the progress against the McClelland of Community Planning factors determining these costs; recommendations to improve Partnerships developing their contribute to aspects of the current public sector procurement. In potential. The concordat between efficiency agenda; and develop a addition, it will seek to quantify local and central government has cost analysis model that could be efficiency savings being realised increased the significance of applied to other local government through improved procurement community planning and it will be services. practices; the extent to which cash timely later in the programme to has been released for other revisit this subject to assess the 9 impact of partnerships in the latest context. Commonwealth Games Glasgow is the host city for the Commonwealth Games 2014. We will monitor progress for each of the three distinct phases of preparation: • 2007-2011 – planning moving into implementation; • 2011-2014 – implementation moving into delivery/staging the Games; • post 2014 – the legacy of the Games. Follow-up reports Roads maintenance We will look at the changes in the condition of Scotland’s roads since our previous report and examine the extent to which councils have adopted asset management systems to manage their road networks and associated infrastructure. 10 Programme of Performance Audits 2009/10 If you require this publication in an alternative format and/or language, please contact us to discuss your needs. 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