Scottish Social Services Council - UK.COM

For further information please contact Audrey Wallace – Direct: 01382 207212

Date Issued: 16 October 2018

Members of the Scottish Social Services Council are advised that a meeting of the

Council is to take place at 1.30pm on Tuesday 23 October 2018 in rooms 6, 7 and 8, Compass House, Riverside Drive, Dundee.

Professor James McGoldrick Convener

There will be a development session from 10.30am to 12.30pm led by Eilidh Love, Scottish Government on strategic planning for the

integration of joint boards. A light lunch will be provided from 12.30 pm to which members of staff

who have been awarded Value in Practice (ViP) certificates will also be invited.

AGENDA

PUBLIC SESSION 1. Apologies for absence

2. Declarations of interest

3. Minutes of the previous meetings

3.1 26 June 2018 (paper attached) 3.2 7 August 2018 (paper attached)

4. Matters arising

Items for decision

5. Consideration of the 2017/18 Annual Report and Accounts

5.1 Draft Annual Report and Accounts (paper attached) 5.2 Combined ISA 260 report to those charged with governance and Annual Report on the Audit

5.3 Audit Committee Annual Report to the Council 2017/18 Report no 33/2018

6. Corporate Governance report Report no 34/2018

7. Budget Monitoring Report as at 31 August 2018 Report no 35/2018


8. Consolidation of qualifications Report no 36/2018

9. Involving people who use social services and Report no 37/2018

carers in our work

10. Consultation on change to the fitness to practise process Report no 38/2018

11. Supporting workers to attend fitness to practise hearings Report no 39/2018

12. Quality Assurance of Approved Specialist Awards for Report no 40/2018

Social Services Workers

13. Developing a new Continuous Learning Standard: Report no 41/2018

Proposed Policy Position Items for information

14. Convener’s report Report no 42/2018

15. Chief Executive’s report Report no 43/2018

16. General Data Protection Regulations (GDPR) Update Report no

44/2018

17. Update on the delivery of recommendations six and seven Report no 45/2018

from the National Health and Social Care Workforce Plan Part two

18. Update on progress in implementing the recommendations Report no 46/2018

from the Review of Social Work Education (RSWE)

19. Update on Digital Transformation Programme Report no 47/2018

20. Resources Committee Annual Report to Council Report no 48/2018

21. Strategic performance report October 2018 Report no 49/2018

22. Unconfirmed Committee minutes (papers attached)

22.1 Audit Committee – 29 August 2018

22.2 Audit Committee – 26 September 2018 (to follow) 22.3 Resources Committee – 26 September 2018 (to follow) 22.4 Fitness to Practise Committee – 27 September 2018

22.5 Registration Committee – 27 September 2018 22.6 Conduct Committee – 27 September 2018

Standing items

23. Identification of Risks

24. AOCB


25. Date of next meeting – 29 January 2019

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SCOTTISH SOCIAL SERVICES COUNCIL

Unconfirmed minutes of the Scottish Social Services Council held on

Tuesday 26 June 2018 at 1:30 pm in Compass House, Dundee.

Present: Professor James McGoldrick, Convener

Dame Anne Begg, Council Member Audrey Cowie, Council Member

Paul Dumbleton, Council Member Paul Edie, Council Member Linda Lennie, Council Member

Forbes Mitchell, Council Member Andrew Rome, Council Member

Harry Stevenson, Council Member

In attendance: Maree Allison, Director of Regulation

Phillip Gillespie, Director of Innovation and Development Kenny Dick, Head of Shared Services

Liz MacKinnon, Head of Performance and Improvement Susan Peart, Head of Corporate Governance and Hearings Audrey Wallace (minute taker)

Observing: Three members of staff

1 Apologies for absence

1.1 Apologies for absence were received from Professor Joyce Lishman, Council Member, Lorraine Gray, Interim Chief Executive and Diane White, Scottish Government.

2 Declaration of interest

2.1 Professor Jim McGoldrick declared an interest in item 21, and Paul Edie

declared an interest in items 20 and 21, both are members of the Board of the Care Inspectorate.

3 4. Minutes of meeting of 27 March 2018

3.1 The minutes of the meeting held on 27 March 2018 were approved as a correct record subject to an amendment to paragraph 9.1to clarify the focus of the discussion.

4 5. Matters arising

4.1 4.1 Involving people who use social services and carers in or work

Liz MacKinnon advised that no appointment had been made to the new post and it would be readvertised.

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5 Corporate Governance report

5.1

5.2

5.3

Susan Peart presented report 19/2018 which sought approval for changes to the Scheme of Delegation in order to authorise hearings officers to sign

Notices of Decision, arising from meetings of the Fitness to Practise panel and to reflect recent changes to the staff structure. The report also confirmed that

the Council Members Register of Interests had been updated following receipt of the appropriate information from Members.

It was noted that the Notices of Decision were the formal notices sent to workers following meetings of the Fitness to Practise panel or Conduct or

Registration Sub-committees. These were decisions of the panel or sub-committee and there was no option for officers to change these. This change would streamline the process and chief officers would no longer be required to

sign the notices.

The Council: 1. approved the changes to the Scheme of Delegation detailed in the

appendices to the report

2. noted that the Council Members Register of Interests had been updated and would be published on the SSSC website following the meeting.

6 Draft Revised Executive Framework

6.1

6.2

Kenny Dick presented report 20/2018 which included proposed changes by the Sponsor Department to the Executive Framework document. The SSSCs

Executive Management Team had reviewed these and suggested some minor amendments.

Members discussed the wording in the Framework and suggested the following changes

Page 2 – include references to innovation and sharing good practice Page 3- ‘corporate’ should read ‘strategic’ Page 6 – add a footnote to say who the Portfolio Accountable Officer is

Page 11 – Kenny Dick confirmed the SSSC position in regard to Departmental Expenditure Limit (DEL) and Annually Managed Expenditure (AME),

he confirmed that the changes to the Framework, in practice, were not different from the current practices. He also further explained the position with regard to use of excess income which was not

given prior approval Page 12 – Kenny Dick will query with Scottish Government the reason for

deleting a sentence from Fraud Management section as it was considered that risk management was also relevant to fraud

Page 13 – control of assets has little effect on the SSSC as it has few assets Page 17 – change NDPB to SSSC.

6.3 The Council:

1. asked the Head of Shared Services to take forward the proposed changes 2. approved the Executive Framework subject to these changes.

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7 Confidential Council and Committee items

7.1

7.2

Kenny Dick presented report 21/2018 which set out an enhanced process for

Council and Committees dealing with items deemed to be confidential in terms of the Council’s Standing Orders. It was noted that both the General Teaching

Council Scotland (GTCS) and the Care Inspectorate (CI) had been consulted and their processes taken into account.

It was noted that samples of a revised agenda style and a revised report header were missing from the papers and that these would be circulated.

7.3 The Council:

1. agreed to implement the new procedures as proposed 2. agreed to the revision of Standing Orders as set out in appendix 2 to the

report 3. approved the new guidance document at appendix 3 to the report 4. requested that a process be put in place for monitoring items deemed

confidential.

8 Convener’s report 8.1 The Convener presented report 22/2018 which summarised his appointments

on behalf of the SSSC, since the last Council meeting in March. He advised that he had not attended the away day which took place on 19 June 2018.

8.2

8.3

The Council noted that the Policy Forum meeting scheduled to take place on 16 May had been cancelled.

The Convener then verbally updated Council on the current position with

regard to the advertisement and appointment of a new Chief Executive for the SSSC and also on the process and current position with regard to the recruitment of Council members to fill the posts which will become vacant later

this year.

8.4 The Council: 1. noted the information contained in the report as well as the verbal

updates.

9 Chief Executive’s report

9.1 Phillip Gillespie presented report 23/2018 which provided Members with updates on key developments in the SSSC since the Council met in March 2018. Some of the highlights were

the collaboration meetings between the SSSC and CI enquiries teams in order to share best practice

the first cross organisation workshop on providing a better service by bringing together MySSSC and the new website

the work carried out by the performance and improvement department to

carry out surveys which would build evidence bases for future work focus the first full financial year following the move to a fitness to practise

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model of regulation has resulted in a drop in the number of referrals.

9.2

9.3

Audrey Cowie added that the SSSC had been awarded the European

Framework for Quality Management (EFQM) Committed to Excellence Award.

Andy Rome asked for any information or clarification regarding the parts of the register where there was a low uptake of registration. Maree Allison said she would bring back information to Council on this.

9.4 The Council:

1. noted the information contained in the report.

10 Economic Value report

10.1 Phillip Gillespie presented report 24/2018 which informed the Council of the publication of the economic value audit, carried out by Skills for Care and Development (SfCD), on adult social care in Scotland.

10.2 The four key findings, detailed in the report and the importance of this piece of

work were acknowledged. 10.3 The Council:

1. noted the publication of the report by SfCD on the Economic Value of

adult social care in UK 2. noted the publication of the report by SfCD on the Economic Value of

adult social care in Scotland.

11 Performance report 2017-18 (Annual Report and Accounts)

11.1 Liz MacKinnon presented report 25/2018 along with the Performance Report

section of the Annual Report and Accounts for 2017/18.

Key highlights included reduction in time for processing applications from 46 to 35 days

significant results from the customer surveys award for EFQM.

11.2 Members discussed the content and points noted included a reduction in the number of complaints received

noted the conscientious effort to reduce the SSSC’s environmental impact requested feedback on why 25% of customers were not satisfied with the

service from the SSSC noted that fewer referrals have met the thresholds for referral.

11.3 The Council:

1. considered and provided comment on the Performance Report of the Annual Report and Accounts 2017-18.

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12 Annual Accounts progress report

12.1 Kenny Dick gave members a verbal update on progress with the production of the Annual Accounts and confirmed that these were on track to be submitted

by the deadline.

13 Update on National Health and Social Care Workforce Plan Part 2 13.1 Phillip Gillespie presented report 26/2018 which provided a summary of the

National Workforce Plan for Health and Social Care and also outlined the work that the SSSC had been asked to take forward to support the delivery of

recommendation 6: Career Pathways and recommendation 7: Training and Education, from the plan.

13.2

13.3

It was noted that the SSSC was lead on recommendation 6 and that work was already underway to progress the advanced practitioners qualification and also

on workforce planning tools, which is recommendation 4. Following discussion on the impact of the Plan and the SSSC’s contribution,

Phillip Gillespie confirmed that further, full progress reports would be presented to Council.

13.4 The Council:

1. noted the publication of the National Workforce Plan and in particular the recommendations under part 2 (social services).

14 Stakeholder engagement report

14.1 Liz MacKinnon presented report 27/2018 which summarised the stakeholder engagement activity from 21 September 2017 to 31 March 2018 and also set

out the plan to develop stakeholder engagement, analyse feedback, data and intelligence to help identify emerging issues and develop the SSSCs services.

14.2 During discussions a number of issues and points were raised and made, the main areas discussed being:

development of systems to demonstrate achievements and plan future strategy

look at geographical spread of events and share resources with NES in

order to encourage sharing of resources provision of further information on engagement with users of services and

cares would be useful definitions of customer and of stakeholder in terms of EFQM definitions

are: o the customer is the recipient of products or services provided by the

organisation, and

o the stakeholder is a person, group or organisation that has a direct or indirect stake or interest in the organisation because it can either

affect the organisation or be affected by it. 14.3 The Council:

1. noted the report.

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15 Revised organisational structure

15.1 Phillip Gillespie updated the Council on the organisational restructure and it

was noted that there were now three directorates, strategy and performance, innovation and development and regulation. It was noted that the Head of

Shared Services supported the work of the SSSC in place of the Director of Corporate Services who was currently on secondment.

15.2 The Council: 1. noted the update.

16 Committee minutes

16.1 a. Audrey Cowie, Chair of the Resources Committee, presented the confirmed minutes of the Resources Committee meeting of 28 February 2018. Two

issues she highlighted were the work on the content of confidential items to Council and Committee and also the update on the digital transformation work.

b. Forbes Mitchell, Chair of the Audit Committee, presented the confirmed

minutes of the meeting of 28 February 2018, which he had attended by teleconference due to the very adverse weather conditions. There were no matters to report which were out of the ordinary.

c. Audrey Cowie presented the unconfirmed minutes of the Resources

Committee meeting of 30 May 2018. She highlighted the replacement of the current payroll system with a system by Northgate. There was also an update on the appointment to the Chief Executive post and also on the

digital transformation strategy.

d. Andy Rome, Vice-chair of the Audit Committee, presented the unconfirmed minutes of the meeting of 30 May 2018, which he had chaired. He highlighted that General Data Protection Regulation (GDPR) would remain

on the risk register meantime, that there had been concerns expressed around the reports from the internal auditors and the risk to the SSSC in

connection with the digital transformation strategy. 16.2 The Council noted the minutes.

17 Identification of risks

17.1 The Convener advised that Kenny Dick had led a very useful and informative

development session on the risk register earlier in the day. 18 AOCB

18.1 Term of appointment - Harry Stevenson, Council Member

The Convener advised that this would be the last meeting of the Council before Council Member Harry Stevenson’s term of appointment to the Council expired at the end of August. Members joined the Convener in thanking him for his

expertise, wisdom and valuable contributions to the work of the Council.

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Agenda item: 03.1

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18.2 Term of appointment - Professor Joyce Lishman

The Convener asked Members to note that the term of appointment of Professor Joyce Lishman would also expire before the next meeting of the

Council in October. Her contributions to the work of the Council were also acknowledged, particularly as Vice-convener and her work as Chair of the

Policy Committee.

19. Date of next meeting

19.1 The date of the next Council meeting is Tuesday 23 October 2018 at 1.30 pm.

20 Confidential items

20.1 Items 20.a, 20.b, 20.c, 20.d and 20.e were minuted separately.

Council 26 June 2018

Start time: 1.30pm

Finish time: 2.50pm

Signed: ______________________ Date: _________________________ Professor James McGoldrick

Convener

Council

23 October 2018

Agenda item: 03.2

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Unconfirmed minutes of the Scottish Social Services Council held on

Tuesday 7 August 2018 at 10:30 am in Compass House, Dundee.

Present: Audrey Cowie, Chair, Council Member

Linda Lennie, Council Member Forbes Mitchell, Council Member

Andrew Rome, Council Member Harry Stevenson, Council Member

In attendance: Lorraine Gray, Interim Chief Executive Maree Allison, Director of Regulation

Phillip Gillespie, Director of Innovation and Development Kenny Dick, Head of Shared Services Liz MacKinnon, Head of Performance and Improvement

Chris Weir, Head of Legal and Corporate Governance Audrey Wallace (minute taker)

Observing: Nicola Gilray, Head of Strategic Communications Jeff Miller, Infrastructure Delivery Lead


1.1 Apologies for absence were received from Professor James McGoldrick,

Convener, and Council Members, Dame Anne Begg, Paul Dumbleton, Paul Edie

and Professor Joyce Lishman.

2 Declaration of interest 2.1 Declarations of interest had been received from Professor James McGoldrick

and Paul Edie as members of the Board of the Care Inspectorate (CI).

3 Future ICT support delivery

3.1 Lorraine Gray presented report 29/2018 which set out the background to the proposals and presented a high level appraisal of the five options available to enable the delivery of the Strategic Plan 2017-2020 and the Digital Strategy.

3.2 Lorraine advised that the current ICT support service had been in place since

2001 and that it was no longer the best option to enable the Council to deliver its services in 2018. She further confirmed that sponsors for both the CI and the SSSC had agreed that the way forward was to withdraw from the shared

ICT support service and to procure a more effective support service. If agreed, the new service would be in place, initially, for three to four years with a

review thereafter and a possibility that the SSSC may return to a shared service.

3.3

Lorraine advised that the end date for the current shared service was still under discussion and this would be either end of December 2018 or end of

March 2019. The date was not critical to the SSSC and either one would work.

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3.4

Lorraine then advised that, having taken advice on cyber security and risks, in

reality, only two of the following options (1 and 4) were practical:

1. continued delivery through the CIs ICT shared service 2. outsource support to a private sector provider

3. outsource support to a public sector provider 4. create an SSSC employed and managed digital support team 5. a hybrid of two or more of the above options.

The advice given was not to outsource the service as this would give the

Council less control over resolving any issues.

3.5 Lorraine verbally advised the Council that the recommendation of all members

of the Executive Management Team (EMT) was to agree to option 4, to create an SSSC employed and managed digital support team.

3.6

3.7

3.8

Members fully discussed the options, risks, costs and time frame. Harry Stevenson commented on the wealth of information in the paper and

expressed his support for the paper and the verbal recommendation to approve option 4.

As Chair of the Audit Committee, Forbes Mitchell said his focus was to look at minimising the risks to the SSSC and best practice was to have control of the

service and, in order to have greatest control, the service should be supported in-house.

Kenny Dick confirmed that there would be some savings by employing the ICT team directly.

3.9 All members of EMT were present and confirmed their reasons for their

preference for option 4 including delivery would be enhanced, risk would be lower, performance management would be embedded and the SSSC could meet its strategic plan outcomes.

3.10

3.11

There was some further discussion on:

the proposed governance of the service the tender process

horizon scanning and future developments the focus of the new team being on SSSC outcomes.

Audrey Cowie advised that Paul Dumbleton had expressed in writing his

support for option 4.

3.12 The Council:

1. considered the background and options which were presented

2. unanimously agreed, by the Members present, that option 4, ‘create an SSSC employed and managed digital Support team’ would deliver the SSSC’s future digital support requirements most effectively

3. agreed that the accelerated process for approving the changes to the staffing establishment be used, should recruitment be required before the

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next meeting of the Resources Committee

4. agreed that capital expenditure of up to £100k can be incurred if required

to support the set-up of the new network and infrastructure.

3.13 All staff involved in bringing the project to this stage and in preparing the report were thanked for their contributions.

4 5. Budget Monitoring report as at 30 June 2018

4.1 Kenny Dick presented report 30/2018 which showed the budget position as at 30 June 2018. This was relevant to note this at this time, especially in the context of the digital transformation strategy. It was noted that there were a

number of areas where savings would be made in order to provide funding towards the ICT project including staff costs and savings made from bringing

legally qualified chairs into the hearings process to replace legal advisers.

4.2 There was some discussion on the level of the reserves and Forbes Mitchell

indicated that he was comfortable with the position and the use of the reserves for such a project.

4.3 The Council:

1. considered the core operating budget monitoring statement for the year to 31 March 2019 at appendix A to the report

2. considered the specific grant funding budget monitoring statement for the year to 31 March 2019 at appendix B to the report

3. considered the summary of ICT digital transformation requirements or

2018/19 and ICT recurring costs for 2019/20 at appendix C to the report 4. noted the areas of specific attention in section 7 of the report which

required the close attention of the EMT 5. noted the projected general reserve position detailed in section 8 of the

report.

5 Amendment to Scheme of Delegation – Fitness to Practise decision

5.1 Audrey Cowie welcomed Chris Weir, the new Head of Legal and Corporate

Governance, to his first meeting of the Council.

5.2 Chris Weir presented report 31/2018 which sought approval for changes to the

Scheme of Delegation in order to provide a mechanism for Fitness to Practise Panels to make decisions in exceptional circumstances as to whether to refer a

case for a hearing. It was noted that where staff members were the subject of an investigation, this process would add a level of impartiality, rather than the current process which is that a member of the fitness to practise team would

make a decision on whether to proceed.

5.3 Before making a decision, clarification was sought and given on the following: consideration of alternative solutions for decision making

cost and efficiency of alternative solutions method of recording the decisions

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ensuring transparency of decision making.

5.4 The Council:

1. agreed to the proposed amendment to the Scheme of Delegation as

detailed in Appendix 1 to the report (proposed changes at page 36 – Fitness to Practise Decision).

6 Amendment to Scheme of Delegation – Commit and Approve Business Expenditure

6.1 Report 32/2018 was circulated. Kenny Dick presented the report which

proposed changes to the Scheme of Delegation to increase the delegated

authority for SSSC directors to commit and approve business expenditure from the current level of £50,000 to the proposed level of £100,000.

6.2 It was noted that the current limit had been in place for some time, possibly

from 2001 and that this limit was no longer found to be appropriate. It was

also noted however that purchases over £50k were not commonplace but currently only the Interim Chief Executive and the Head of Shared Services are

authorised to approve these amounts and there is a risk that projects may be held up if neither of these officers are in the building. The authority cannot be granted from off-site.

6.3 The Council:

1. agreed the proposed changes to Annex 2 of the Scheme of Delegation –

Delegated Authority to Commit and Approve Business Expenditure as

detailed in appendix A to the report.

7 Date of next meeting 7.1 The date of the next Council meeting is Tuesday 23 October 2018 at 1.30 pm.

Council 7 August 2018

Start time: 10.30am

Finish time: 11.15am

Signed: ______________________ Date: _________________________ Audrey Cowie

Chair

Scottish Social Services Council

DRAFT Annual Report and Accounts

1 April 2017 to 31 March 2018

Council23 October 2018

Agenda item: 05.1

Annual Report and Accounts of the


This report is laid before the

Scottish Parliament under

Schedule 11 Section 15(2) of the

Public Services Reform (Scotland)

Act 2010


SI number SG/xxxx/xxx

The Accountable Officer authorised

these financial statements for

issue on xx October 2018

1

CONTENTS

DRAFT Annual Report

SECTION A: Performance Report

1. Performance overview

1.1 Statement by the Chief Executive

1.2 Statement of purpose and activities

1.3 Key issues and risks

1.4 Going concern

1.5 Performance summary

2. Performance analysis

2.1 Performance management arrangements

2.2 Operational performance

2.3 Financial performance

2.4 Stakeholder relationships

2.5 Social and community impact

2.6 Equality

2.7 Environmental impact

SECTION B: Accountability Report

3. Corporate governance report

3.1 Directors’ Report

3.2 Statement of Accountable Officer’s responsibilities

3.3 Governance Statement

4. Remuneration and staff report

4.1 Remuneration report

4.2 Staff report

4.2.1 Staff numbers, permanent and other

4.2.2 Staff composition by gender

2

4.2.3 Sickness absence

4.2.4 Staff turnover data

4.2.5 Policies in relation to disabled people

4.2.6 Expenditure on consultancy

4.2.7 Exit packages

4.2.8 Trade Union Facility Time

5. Parliamentary Accountability Report

5.1 Losses and special payments

5.2 Fees and charges

6. Independent Auditor’s Report

7. Annual Accounts

Appendix 1: Accounts direction by the Scottish Ministers

For further information on the SSSC’s performance and planning work,

please email [email protected]

If you would like to request this document in another format, please

contact the SSSC by telephoning 0345 6030891

3

mailto:[email protected]

DRAFT Annual Report

SECTION A: Performance Report

1. Performance overview

1.1 Statement by the Chief Executive

I am pleased to introduce the Scottish Social Services Council’s Annual Report

and Accounts for 2017/18.

This year marked the beginning of our new Strategic Plan for 2017 to 2020. This

plan, developed following extensive engagement with our stakeholders, will

ensure that all of our efforts are strategically focused to deliver our vision over

the next few years. We have also developed a supporting framework to allow us

to improve how we monitor and demonstrate our progress. Our Strategic Plan

sets out the following four strategic outcomes:

• the right people are on the Register

• our standards lead to a safe and skilled social service workforce

• our resources support the professional development of the social

service workforce

• our stakeholders value our work.

One year into the plan’s delivery, we can demonstrate successful progress

against the projects we set under each of these outcomes.

• We continue to register an increasing proportion of the social services

workforce. As of the end of March 2018, we have 105,352 individual

people registered, compared to 97,183 in 2017. For context, the size of

the social services workforce in Scotland is approximately 200,650

(approximately 8% of all Scottish employment; not all these workers are

eligible for registration).

4

• In October 2017, we opened the Register to support workers of care at

home and housing support services. So far we have registered or are

processing the applications of 15% (16,504) of these workers. These

workers must register by 2020.

• We have not increased the fees for registration since we were established

in 2001. In September 2017, we were required to increase our fees. They

are still less than those paid to other regulators, however understandably

some registrants expressed concern. Through a programme of consistent

communication, we introduced the fee increase with little disruption to our

systems.

• We amended our Fitness to Practice Rules to allow panels to be chaired by

someone who is legally qualified. Comparison with other regulators who

use this approach suggests this move will make our hearings more

efficient, in terms of cost and time. We began recruiting new chairs in

October 2017 and hearings led by legally qualified chairs began in January

2018.

• We have worked to develop our Dementia Ambassador programme and

are achieving positive results. From a Care Inspectorate report, we know

that care homes receiving positive inspection results are more likely to

have Dementia Ambassadors.

• To support the delivery of the Scottish Government’s Early Learning and

Childcare Skills Investment Plan, throughout 2017/18 we worked in

partnership with Skills Development Scotland, Scottish Government, and

the Care Inspectorate to develop a new website with resources and

support for people considering a career in child care This is in preparation

for the increased entitlement in funded early learning and childcare. The

plan requires a significant number of additional childcare professionals to

enter the workforce. The website went live in May 2018 and provides new

and existing workers with accessible information about the diverse roles

and qualification pathways available.

5

These are just a few examples of the work we have carried out over the last

year. At the core of everything we do, is our role in protecting people who use

services and strengthening the professionalism of the workforce. The growth we

have seen since 2001—the number of people registered, those who are

accessing our resources, and the number of investigations we carry out—means

that to be efficient and effective we must make sure we are continually adapting

and demonstrating how customers and stakeholders inform our role and work.

Our Strategic Plan ensures that we focus on delivering the strategic outcomes

that support our vision over the next couple of years:

Our work means the people of Scotland can count on social services

being provided by a trusted, skilled, and confident workforce.

Lorraine Gray

Chief Executive

6

1.2 Statement of purpose and activities

The Scottish Social Services Council (SSSC) is the regulator for the social service

workforce in Scotland. Our work means the people of Scotland can count on

social services being provided by a trusted, skilled and confident workforce.

We are a Scottish Government non-departmental public body, sponsored by the

Office of the Chief Social Work Adviser at the Directorate for Children and

Families and set up under the Regulation of Care (Scotland) Act 2001. Through

workforce registration and regulation we are helping to improve standards in

social services and strengthen public protection.

Our work supports the Scottish Government’s overarching aim 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 have aligned the outcomes in our Strategic Plan 2017 to

2020 with the Scottish Government’s National Outcomes, specifically the

following outcomes:

• we have improved the life chances for children, young people and

families at risk

• we live our lives safe from crime, disorder and danger

• our children have the best start in life and are ready to succeed

• we realise our full economic potential with more and better

employment opportunities for our people

• our public services are high quality, continually improving and efficient

and responsive to local people’s needs.

To support these outcomes, we protect the public by registering social service

workers, setting standards for their practice, conduct, training and education,

and by supporting their professional development.

7

Where people fall below the standards of practice and conduct we can

investigate and take action. We:

• publish the national Codes of Practice for people working in social

services and their employers

• register people working in social services and make sure they adhere

to our Codes of Practice

• promote and regulate the learning and development of the social

service workforce

• are the national lead for workforce development and planning for social

services in Scotland.

There are approximately 200,650 people working in social services across

Scotland. This workforce includes social care workers, social workers, social work

students and early learning and child care workers. They work across a range of

care services, in residential and day centres, community facilities and in people’s

homes. We are responsible for registering the majority of this workforce, and

making sure that those on our register meet the standards set out in the SSSC

Codes of Practice. We are also responsible for standards of training and

development for the social service workforce and we work with the other UK

social service workforce regulators to develop and maintain these standards.

We are governed by a council of ten members, including a convener, who are

appointed by Scottish Government. We have one operating location based in

Dundee. Our employees and Council Members also travel to cover the whole of

Scotland delivering engagement, learning and development events, and

hearings.

8

1.3 Key issues and risks

When we started registering and regulating the workforce we, along with the

other UK social service regulators, followed the prevalent regulatory thinking by

developing a conduct model that focused on taking regulatory enforcement

action when a worker committed misconduct. Over time, the majority of the

other UK regulators moved from a misconduct model to a fitness to practise

model. This is a more forward-thinking approach, where regulatory enforcement

action is taken when there is a current, live, concern about someone’s ability to

practise safely. In late 2016, we introduced this fitness to practice model in

conjunction with a review and amendment of the Codes of Practice, the

fundamental underpinning document that sets the expectations in terms of

practice for all social service workers in Scotland.

All workers and employers have to confirm at the point of applying for

registration that they are fit to practise. This encompasses not just misconduct

but also health and competence. Articulating this change and the focus of the

approach to workers and employers to enable them to declare appropriately and

to refer appropriately is a whole-scale shift in thinking and way of structuring

our operating processes. This shift in the way we work has informed much of our

strategy and business planning over recent years, and 2017/18 was the first full

year this model has been in place.

Our Strategic Plan 2017 to 2020 reflects this shift in model. We carried out

extensive stakeholder engagement to develop the plan and identify where we

needed to improve. We identified a number of issues through our research and

engagement and these are outlined below.

• A small but significant number of registrants misunderstood their

relationship with their regulatory body. We will communicate our role

more clearly and consistently so that registrants better understand their

relationship with us.

• We will clearly demonstrate the benefits of registration and its role in

increasing the professionalism of the workforce and its core purpose of

protecting the people who use social services.

9

• Our regulatory function is viewed by some to be legalistic with little focus

on protecting people who use services and insufficient support for workers

and witness. We need to better understand these views and identify

where improvements are needed to address these concerns.

• Qualifications and standards are an integral part of professionalising the

workforce. We reviewed the Codes of Practice in 2016 as part of ensuring

that we have the right standards. We need to maintain our focus on

ensuring that the qualifications remain fit for purpose.

• Many of our stakeholders, in particular our registrants, see us mainly as a

regulator and seem less aware of our role in workforce development. The

tools and resources we produce must be focused on improving practice

and address the changing needs of the profession.

We have already focused our improvement efforts in these areas, and we will

continue to address them through the delivery of the Strategic Plan 2017 to

2020.

In addition to awareness of the issues that may affect our work, as part of our

strategic and operational planning we consider the major risks that could

prevent us from achieving our outcomes and look at how we can reduce these.

We have a Risk Policy that is underpinned by a Strategic Risk Register and

Operational Risk Register. We review our policy and risk appetite statement

every year. Council Members and the Executive Management Team (EMT)

compile a Strategic Risk Register to document the major risks to the SSSC. We

have in place an escalation process for risk management and in 2017/18

introduced a revised Operational Risk Framework that sets out how we record

and assess risk at an operational level. The Operational Management Team

(OMT) reviews, records, and assesses risk using this framework each month.

The EMT also reviews the risk register monthly and any risks escalated from the

OMT. On behalf of the Council, our Audit Committee has the lead role ensuring

the SSSC has effective risk management processes in place and risk is a

standing item on the committee’s agenda.

10

Table 1: Strategic risks 2017/18

Strategic risk

Failures in our regime of registration or fitness to practise leads to public

protection failure.

We are not able to demonstrate to our stakeholders (including the Scottish

Government) that our operational activity is fulfilling its strategic outcomes.

Ineffective working relationships with partner bodies impact significantly on our

ability to deliver our organisational objectives.

The qualifications framework and workforce development products we produce

do not meet the needs of employers and social service workers.

The SSSC does not have sustainable resources to support the delivery of

Strategic Plan objectives (i.e. the strategic planning growth assumptions are not

financially sustainable).

The SSSC experiences disruption or loss or reputation damage from a failure in

its IT systems, physical security or information governance arrangements.

1.4 Going concern

The Statement of Financial Position at 31 March 2018 shows net liabilities of

£3.729m (2016/17: £9.027m). The net liabilities are mainly the result of

actuarial assumptions adopted for the application of accounting standard IAS 19.

The SSSC participates in a pension fund which is the subject of an actuarial

valuation every three years. This actuarial valuation is different from the

valuation required by the accounting standard IAS 19. The actuarial valuation

determines employer contribution rates that are designed to bring fund assets

and liabilities into balance for the fund as a whole over the longer term.

The liability will therefore be reduced through the payment of employee and

employer contributions each year. Any future increases in employer

contributions will require to be reflected through the grant in aid agreed with the

Sponsor Department.

11

The SSSC has no reason to believe the Sponsor Department and Scottish

Ministers have any intention to withdraw or reduce support to the organisation.

In addition the Sponsor has confirmed grant in aid figures for 2018/19. It is

therefore considered appropriate to prepare the accounts on a going concern

basis.

1.5 Performance summary

The following performance summary section of the Annual Report and Accounts

presents a high-level assessment of work during 2017/18 to deliver our strategic

outcomes:

• the right people are on the Register

• our standards lead to a safe and skilled social service workforce

• our resources support the professional development of the social service

workforce

• our stakeholders value our work.

Each of our strategic outcomes has associated priorities and projects. We agreed

an Annual Strategic Delivery Plan that presents the priority improvement

projects that will deliver progress towards our strategic outcomes. We monitor

and report on a mix of strategic measures, updates on related projects,

operational performance indicators, and stakeholder feedback. This year we

introduced a new customer survey, which will be sent annually to all registrants.

So far, we have contacted over 81,000 registrants and have received responses

from 13% (10,153). The results from this survey will be used to report our

progress against some of our strategic measures, but information is not yet

available to compare with previous years’ performance for these measures.

The following four sections present a high-level assessment of progress based on

our strategic measures and project delivery. Overall, we demonstrate good

progress towards 75% of the projects in this year’s strategic delivery plan (18

out of 24 projects). We are less able to demonstrate evidence of our progress for

some projects that evolved over the course of the year; we have incorporated

12

these into improvement activity for 2018/19. We set seven strategic measures

for the lifetime of the Strategic Plan 2017 to 2020.

1.5.1 Strategic outcome 1: the right people are on the Register

Our work to deliver strategic outcome one, the right people are on the register,

focuses on two main priorities: to build our relationship with registrants and

employers, and to ensure that our fitness to practise process is proportionate

and accessible. We set three strategic measures and six projects under this

outcome.

Table 2: Strategic outcome 1 measures

2016/17 2017/18

Percentage of registrants who believe that registration

with the SSSC provides positive benefits

Not

available

77%

Cases referred to fitness to practice that meet the

threshold

88% 86%

Average time taken to conclude fitness to practice cases 12 months 9 months

The percentage of registrants who believe that registration with us provides

positive benefits is high, 77% (7,830 of 10,110 respondents) of registrants

agree with this statement. This is a good baseline for our work to make sure

registrants value their registration. We will do this through coordinated research

and developing targeted resources. During 2018/19, we aim to develop the

MySSSC portal so that it is a one-stop personalised resource for registrants. This

work has begun as part of our digital transformation programme and will also

provide us with an opportunity to achieve efficiencies.

Following the change from a conduct model to a fitness to practice model in

2016, we have been measuring the proportion of cases that meet our referral

thresholds. The percentage is lower than in 2016/17 (86% closed compared to

88% in 2016/17). We closed 14% (420) of our cases this year as they did not

meet the thresholds. It is too early to determine whether this is a trend, but we

will continue to monitor these figures. We received 14% fewer referrals this year

compared to last, 2,860 compared to 3,329 in 2016/17. We believe this is due to

the change from a conduct model to one based on fitness to practise; specifically

13

the introduction of higher thresholds, meaning that fewer lower risk cases are

being referred.

We conducted research with employers to find out if they were aware of the new

thresholds for referrals. On the whole, the results were positive and demonstrate

the majority of respondents understand our new referrals criteria. Some areas

for improvement have been identified in relation to health-related cases and

identifying the time when a referral should be made.

We reduced the average length of time it took to conclude fitness to practice

cases from 12 months to nine months. We are introducing a new case

management software system this year, which should also make the process

more efficient and potentially further reduce the time.

Table 3: Project delivery progress under strategic outcome 1

Strategic

priority

Project Did we deliver this project as

planned?

Priority 1: build

our relationship

with registrants

and employers

Project 1a:

understanding

registrants and

developing

resources

We carried out research into the

resource requirements of

registrants in 2017. We introduced

a new registration card as a result.

Project 1b: open

the register to new

groups

Registration of support workers in

care at home and housing support

began in 2017.

Project 1c: develop

telephone system

for a better

customer

experience

Phone contract in place with

provider until 2021 so we are

unable to deliver this as planned.

We are introducing a 24-hour

payment option.

14

Strategic

priority


planned?

Priority 2: Our

fitness to

practice process

is proportionate

and accessible

Priority 2a: Help

employers and

registered workers

understand when

and how to make a

referral.

We surveyed employers in

September 2017. We will take

forward recommendations based

on the responses in 2018/19.

Priority 2b: How to

support participants

engage with the

process

We worked with law centres during

the year and with Aberdeen Law

Project in September 2017. We

also supported the introduction of a

new regulatory law course at

Robert Gordon University.

Project 2c: How to

increase

representation at

hearings.

We have not increased

representation at hearings. This

year, we prioritised delivery of our

Digital Transformation programme,

which will deliver improvements to

how we work and potentially have

an effect on how we deliver this

project. As a result, we have

included this project in our plans

for 2018/19.

15

1.5.2 Strategic outcome 2: our standards lead to a safe and skilled

social service workforce

We are focused on one priority to deliver strategic outcome two, which is that

social service qualifications meet the needs of learners and employers.

Table 4: Strategic outcome 2 measure

2016/17 2017/18

The SSSC is recognised as an organisation that

contributes to social service workers having the skills

needed to do their jobs.

Not

available

78%

Overall, we have made progress delivering the work under our second strategic

outcome and we present more detail about those projects in the Performance

Analysis section of this report. This work includes our contribution to the review

of the National Occupational Standards and a review of the post-registration

training and learning (PRTL) assessment process. We continue to support the

development of the National Occupational Standards and ensure that social

service qualifications meet the needs of both learners and employers. One of the

ways we do this is by undertaking quality assurance of the PRTL records of all

newly qualified social workers. We also undertake the same quality assurance on

a sample of all other parts of the register. In 2018/19, we will improve how we

meet customer service requirements of our registrants with the PRTL

assessment through a customer-led project using five test sites. We will take

steps to make sure that registrants and employers increasingly use and

understand the revised Codes of Practice.

Of those we surveyed in our recent customer research, 78% (7,846 of 10,107

respondents) of respondents recognise the SSSC as an organisation that

contributes to social service workers having the skills needed for their jobs. Only

8% (814 of 10,107 respondents) gave a negative response to this question.

16


Strategic

priority


planned?

Priority 3: Social

service

qualifications

meet the needs of

learners and

employers.

Project 3a:

Contribute to the

review of National

Occupational

Standards led by

Skills Development

Scotland.

We continue to support

development through research

and engagement. We launched a

careers website to raise

awareness of work-based

qualification pathways.

Project 3b: Review

post-registration

training and

learning (PRTL).

We read and undertook an

assessment of all PRTL records of

newly qualified social workers. In

2017/18, we also carried out

assurance checks on a sample of

PRTL records for non-social

workers. The average time to

complete a PRTL assessment was

51 days. As a result of monitoring

and to improve the consistency of

our response time, we introduced

a six-week response service

standard as a target for 2018/19.

17

1.5.3 Strategic outcome 3: our resources support the professional

development of the social service workforce

We achieved all of the projects presented under Strategic Outcome 3. Our

priority was to work with the Scottish Government and other partners to achieve

the outcomes in Social Services in Scotland: a Shared Vision and Strategy. This

strategy has four main areas for action: to support the workforce; understand

service quality and performance; improve the use of evidence; and promote

public understanding of the sector. One example is delivering a report on the

economic value of the social service workforce in partnership with the regulators

in England, Wales, and Northern Ireland. With our partners, we published this

report in June 2018.


2016/17 2017/18


contributes to social service workers having the skills

needed to do their jobs. [Also used to measure

Strategic Outcome 2]

Not

available

78%

Social service workers report that our learning

resources have improved their practice.

Not

available

81%

In addition to using a measure of our contribution to social service workers’

skills, in our customer survey we also asked whether our learning resources

improved registrants’ practice. We received positive results; 81% (7,332 of

9,099 respondents) of respondents indicated that our resources did improve

their practice. Out of the people who have used our resources, 97% (4,262 of

4,388) said they would or had already recommended them to other people.

18


Strategic

priority


planned?

Priority 4: Social

service

qualifications

meet the needs

of learners and

employers.

Project 4a: Carry out

an audit of our

learning resources

We carried out an audit of our

resources and the impact of

these on the sector in 2017.

The resulting report

recommended that we consider

a more systematic approach to

demonstrating the impact of all

our resources and we will take

this work forward in 2018/19.

Project 4b: Work with

Social Work Scotland,

IRISS and other

partners to deliver

Enhancing Leadership

Capability of

Scotland’s Social

Services 2017-2020

Among the partnership work

delivered this year were the

final cohort of “You as a

Collaborative Leader”

programme and the

collaborative leadership in

practice groups.

Project 4c: Implement

the Palliative Care

Framework with the

NHS Education for

Scotland (NES)

We worked with NES to support

integration authorities to

implement the Palliative Care

Framework and contribute to

registration qualification

requirements.

Project 4d: Scope the

workforce

requirements for

criminal justice social

workers.

We designed a workforce

development approach with

Community Justice Scotland

(CJS) and the Centre for Youth

and Criminal Justice to support

the skills of the youth justice

workforce.

19

Strategic

priority


planned?

Project 4e: Deliver

workforce

requirements from the

Carers Act.

We have identified the

knowledge and skills required to

deliver the Adult Carer Support

Plans and Young Carers

Statements. We are developing

the required resources.

Project 4f: Deliver a

report on the economic

value of the social

service workforce

On behalf of Skills for Care and

Development, we project

managed the delivery of a

report on the economic value of

the social service workforce for

the UK. This report was

published in June 2018.

20

1.5.4 Strategic outcome 4: Our stakeholders value our work

We are committed to continuously improving and ensuring that we are able to

demonstrate the impact of our work. Many of the projects under strategic

outcome 4 will improve our standards of customer service, provide better

evidence and intelligence about our work, and demonstrate the value of what we

do. Our work to deliver this outcome supports the Scottish Government’s aim to

make public services high quality, continually improving and efficient, and

responsive to local people’s needs. Some of the projects under our strategic

outcome four is dependent on the delivery of our Digital Transformation

programme, which will make us more efficient and agile. This programme will

continue through 2018/19.


2016/17 2017/18

Our customers are satisfied with the service they receive

from the SSSC.

Not

available

71%

An unqualified external audit annual report provides

evidence of good corporate governance and effective use

of resources.

Yes Yes

Our recent customer survey indicates that of those people who contacted us,

71% (4,838 of 6,786 respondents) of respondents are very or somewhat

satisfied with the standard of customer service they receive, compared to 6%

(383 of 6,786) who were very or somewhat unsatisfied. We prioritised our work

to deliver our Digital Transformation programme during 2017/18, and so did not

make as much progress as planned delivering a programme of customer care

improvement during 2017/18. One of the aims of Digital Transformation is to

improve our customer service. We will continue to monitor and report on this

indicator, and develop other measures, under this outcome as part of our work

on customer service quality improvement which will be taken forward in

2018/19.

The annual report by our internal auditors concluded that of the 17 actions due

to be implemented by 31 March 2018, 14 (82%) were fully implemented, three

(18%) were partially completed. Our external auditors gave an unqualified

21

annual report, which also assessed that the financial statements give a true and

fair view and have been properly prepared.


Strategic

priority


planned?

Priority 5: A

customer focus

throughout the

organisation

Project 5a:

Develop the “SSSC

way” of how we

work.

Initial work on this project identified

a gap between our policies and

procedures and the existing SSSC

values. As a result, in 2018/19 we

will deliver a revised set of values

that underpin our organisational

improvement and support the “SSSC

way” of working.

Project 5b:

Develop and

implement a

customer care

programme for our

staff.

We established an organisational

customer excellence working group

to develop, deliver, and monitor a

quality improvement programme for

customer service, which will begin

work in 2018/19. This group will also

coordinate and share information

about related work programmes such

as Digital Transformation.

Project 5c:

Implement a

quality framework

for the SSSC.

We have introduced a programme of

self-assessment based on the

European Foundation for Quality

Management Excellence Model. We

also achieved Committed to

Excellence award recognition from

Quality Scotland.

22

Strategic

priority


planned?

Project 5d: Review

our business

intelligence

systems.

We reviewed our performance

management and customer research

arrangements and made a number of

improvements that will allow us to

coordinate and make our work in this

area more effective.

Project 5e:

Develop and

implement a

business

intelligence

framework.

We introduced a performance

management framework in 2017/18

that consists of a number of new

performance reports that will provide

more timely information to Council

Members and senior management.

Project 5f:

Implement our

Digital Strategy.

Council approved the Digital Strategy

in June 2017. There is now a

programme of work underway to

deliver our Digital Transformation

aims.

Priority 6: High

standards of

governance

Project 6a:

Develop and

implement an

online

performance and

governance

system.

We identified a suitable system and

this work is now part of the wider

Digital Transformation programme

that will be progressed further during

2018/19.

23

Strategic

priority


planned?

Project 6b:

Training needs

analysis of all

staff.

We have introduced a revised

personal development planning

process, the Development

Discussion. This structured discussion

includes a reference to employees’

training needs but we have further

work to take forward a training needs

audit of all staff and record training

corporately.

Project 6c:

Paperless financial

transactions.

Invoices are now sent and received

through email. We will consider

further e-invoicing (apart from

registration fees). We also introduced

an automated 24-hour payment

facility over the telephone.

Project 6d:

Develop a financial

strategy that

addresses the

sustainability of

the SSSC.

A financial strategy was agreed by

Council Members in June 2017.

24

2 Performance analysis

In section two of the Annual Report and Accounts, we explain how we manage

and report on our performance and then present more detailed analysis of our

operational performance against key indicators. We also present policy

arrangements and performance figures on our social and environmental impact,

as well as our work to reduce inequality.

2.1 Performance management arrangements

We have a structured approach to performance management and reporting that

provides timely management information and business intelligence to our senior

management and Council Members for decision making and accountability.

Table 10: Planning and performance reporting

Planning Performance Scrutiny

Directorate Plan:

Sets out annual

improvement and

business objectives with

resource and

performance information.

Monthly Operational Performance

Report

Performance section of Directorate

Plans provide key performance

indicators and results

Operational

Management

Team

Executive

Management

Team

Annual Strategic Delivery

Plan:

Annual operational plan

to deliver our Strategic

Outcomes

Monthly Operational Performance

Report

Strategic Performance Report

(every six months in March and

October)

Operational

management

team

Executive

management

team

Council

Members

25

Planning Performance Scrutiny

Strategic Plan 2017 to

2020:

Sets out the three-year

vision and outcomes

Strategic Performance Report

(every six months in March and

October)

Annual Report and Accounts (in

June)

Executive

management

team

Council

Members

Public

2.2 Operational performance

2.2.1 Registration

In October 2017, we opened the Register to support workers in care at home

and housing support services. As of the end of March, we have registered or are

processing the applications of around 15% of these workers. These workers

must register by 2020. Due in part to a sustained communication plan and

learning from experience, this process ran more smoothly than it ever has. We

projected opening this part of the register would result in an additional 10,000

applications. As of the end of March, we received 16,504 applications for this

part of the register. In total, during 2017/18 we received 54,694 applications

and renewals compared to 34,972 received in 2016/17. This is an increase of

56%.

Despite the increase in applications received, on average we took 35 days to

process an application this year compared to 46 days in 2016/17. The number of

individuals on the register has also increased, with 8% (8,169) more people on

the register than in the previous year.

26

Table 11: Registration performance indicators

2015/16 2016/17 2017/18

Number of registration applications

and renewals received

36,820 34,972 54,694

Average number of days to process

a registration application (does not

include withdrawn, cancelled, or

rejected)

49 days 46 days 35 days

Average number of day to process a

registration renewal

17 days 30 days 23 days

Number of unique individuals

registered with us (people can be

registered on more than one part of

our register)

93,168

people

(+17%)

97,183

people

(+4%)

105,352

people

(+8%)

2.2.2 Fitness to practice

We received 2,342 referrals in 2017/18, compared to 2,537 the previous year.

This reduction is despite the opening of the new register parts and the increase

in applications received. This reflects the anticipated decrease in the rate of

referrals following the 2016 change to our model of regulation to one based on

someone’s fitness to practice, instead of conduct. We expected that following the

move in model we would see an increase in the percentage of cases referred

that do not meet our thresholds, and then for that figure to reduce as

employers’ understanding increased. This year, we closed on average 14% of

cases as not meeting our thresholds compared to an average of 12% in

2016/17. It is too early to assess whether this is a trend following the change in

model, but we will continue to monitor these figures on a monthly basis.

The most frequent reasons for referrals during 2017/18 were:

• assault or violence outside of work

• inappropriate behaviour towards a colleague

• medication failure

27

• other criminal behaviour

• other practice failings

• other regulatory issue

• service user neglect, including leaving someone unattended

• sickness absence.

We reduced the time taken to close a case to nine months, compared to 12

months in 2016/17. In 2018/19, we will be introducing a new case management

system as part of our digital transformation programme, and we believe this will

improve our efficiency and reduce case time even further.

We know from monitoring levels of attendance at hearings of workers and their

representatives that, in general, workers’ attendance at hearings is lower than

we would like (around 35%, 100 hearings). Representation also continues to be

low (16%, 47 hearings); analysis indicates no change over the last few years.

We recognise more sustained work is required to deliver the third and final

project under this priority: to increase attendance at hearings by workers and

their representatives. Cross-department work has resulted in the development of

new resources aimed at promoting our role as a regulatory body, as well as

increasing engagement in and awareness of our fitness to practise procedures.

Linked to our digital transformation work, we are investigating the cost of

attendance at hearings and looking into alternatives, including holding hearings

elsewhere and providing remote access to hearings. We will continue to focus

our efforts on this area of work during 2018/19.

Table 12: Fitness to practice indicators

2015/16 2016/17 2017/18

Number of referrals

received

2,865 2,342 2,537

Percentage of cases

closed as below threshold

16% 12% 14%

Average time to close a

fitness to practice case

11 months 12 months 9 months

28

2015/16 2016/17 2017/18

Percentage of referrals

that result in any type of

hearing

20% 25% 19%

Number of hearings held 586 596 483

Percentage of hearings

attended by a worker

34% 32% 35%

Percentage of hearings

attended by a

representative

19% 19% 16%

Table 13: Outcomes of fitness to practice investigations

2015/16 2016/17 2017/18

Register 707 455 593

Register with condition 130 84 15

Refuse registration 11 6 5

Warning, condition or

suspension

252 250 91

Removal 84 86 83

No further action 996 1,311 1,758

Under the Public Interest Disclosure Act (1998), the SSSC is a prescribed person

and as such is required to publish a report on whistleblowing cases we have

received. As part of this role, from 2017/18 we are required to publish a report

every year detailing referrals that qualify as whistleblowing and the actions we

took as a result. In 2017/18, we received 35 referrals that qualify as

whistleblowing:

• we opened a fitness to practice case for 13 of these referrals

• we directed seven referrals to another organisation, which was the

employer in all instances

• we referred the matter to another organisation in five instances, the

employer (four) and the Care Inspectorate (one)

• we took no further action in eight instances

29

• in two instances, the referrals related to workers we were already

investigating and we included the information in the investigation

• out of the 13 cases we opened for investigation, 12 remain on-going (one

case has been closed due to insufficient evidence to prove the

allegations).

Whilst low, whistleblowing has enabled us to take action to protect the public in

these specific cases. We do see that many referrals we receive from employers

have come about as a result of an employee raising a concern about the practice

or behaviour of a colleague to their manager. This suggests openness from

employers in the sector to act on concerns without leaving individuals feeling

there is no alternative but to whistleblow to their regulator. We welcome that

many employees take their responsibilities set out in the Codes of Practice so

seriously in reporting bad practise. However we are not complacent about our

part in enhancing a culture of openness and are developing guidance on raising

concerns in conjunction with the Care Inspectorate.

2.2.3 Learning and development

We work with stakeholders to develop and deliver resources to support the

professional development of the workforce and the sector. One example of this

work is the Open Badges initiative. Open Badges are digital certificates that

recognise learning and achievement. We and dozens of other social service

organisations issue Open Badges to recognise continuous and informal learning

that would otherwise go unrecorded. We develop and maintain our Open Badges

web platform to recognise the application of learning from our resources to

practice in the field. As of the end of 2017/18, the web platform has 4,500

registered users and had issued 2,270 badges.

Another example of our learning and development work is Promoting Excellence,

a learning and improvement framework that we deliver in partnership with NHS

Education for Scotland to help people develop the right knowledge and skills for

working with people living with dementia. The framework defines four levels of

knowledge and skills so that workers can identify learning needs and plan

appropriate learning activities. We also support the Dementia Ambassadors

30

https://www.badges.sssc.uk.com/

http://www.sssc.uk.com/workforce-development/supporting-your-development/promoting-excellence-in-dementia-care

programme, which identifies champions within the workforce to promote the use

of the Promoting Excellence framework. In 2017/18, we carried out a review of

our Dementia Ambassadors initiative. The Care Inspectorate’s report on an

inspection of 145 care homes for older people (My Life, My Care Home, 2017)

stated that:

• In the care homes with grades of good or above, 47% aligned staff roles

to the Promoting Excellence framework. This compared with alignment in

just 9% of care homes with grades of adequate or lower.

• There was a Dementia Ambassador in 46% of the care homes. In 53% of

care homes with grades of good or above, there was a Dementia

Ambassador compared with 33% of care homes with grades of adequate

or lower which didn’t have a Dementia Ambassador.

We assess the post-registration training and learning requirements of all newly

qualified social workers to identify and monitor continuous learning and

development. This year, we also introduced the same assessment to a small

sample of non-social workers. On average, during 2017/18 we took 50 days to

complete the post registration training and learning (PRTL) assessment. To drive

improvement and a more consistent response time, we introduced a customer

standard of six weeks.

Table 14: PRTL assessments of newly qualified social workers and a sample of

non-social workers

2015/16 2016/17 2017/18

Number of PRTL assessments carried out N/A 1411 339

Average number of days taken to complete

the PRTL assessment

N/A 20 50

Workers applying to the Register must meet occupational standards. We aim to

resolve any UK qualification referrals within 28 working days.

1 Monitoring of PRTL assessments began in August 2016, so we do not have a full-year figure for this financial year.

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Table 15: UK Qualification Referrals

2015/16 2016/17 2017/18

Average number of referral cases closed

per month

33 39 41

Percentage of UK qualification referrals

resolved within 28 working days

91% 93% 94%

2.3 Financial performance

Our budget is funded mainly by a mixture of grant in aid, specific grants from

the Scottish Government and fees paid by registrants. (Grant in aid means the

Scottish Government provides funding but without imposing day-to-day control

over how we spend it). In managing our finances, we are not allowed to use

overdraft facilities or to borrow.

Under section 57 of the Regulation of Care (Scotland) Act 2001, the SSSC can

set reasonable fees through changes to our Registration Rules. This requires the

consent of Scottish Ministers. A fee review and consultation with stakeholders

was carried out during 2016/17 and fees were increased from 1 September

2017.

Our budgeted income and funding for 2017/18 was as follows:

2017/18 2017/18 2017/18Budgeted Budgeted Total IncomeIncome Funding and Funding

£000 £000 £000Grant in aid 14,348 14,348Specific grants 1,908 1,908Registration fees 2,743 2,743Practice learning reimbursement 2,081 2,081Other income 295 295Total income and funding 5,119 16,256 21,375

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Our expenditure budget was set with the aim of using all of the available income

and funding to maximise the benefits the SSSC provides to people who use care,

social work services, carers and SSSC registrants.

The 2017/18 expenditure budget was set at £21.645m. This is £0.270m more

than the 2017/18 funding available. During the 2016/17 financial year the

Sponsor agreed £0.700m transitional funding for use in 2017/18. The Sponsor

permitted this funding to be retained in our General Reserve. Of this, £0.270m

was to assist with the 2017/18 deficit funding position and £0.430m for our

digital transformation project.

Our actual surplus for 2017/18 was £0.397m i.e. £0.667m more than the

budgeted deficit position of £0.270m. This surplus will be retained in the General

Reserve to fund our digital transformation programme.

This means our General Reserve will increase and not reduce as was anticipated

when the 2017/18 budget was set. The closing balance of £1.491m (note 12) is

7.0% of gross expenditure. The SSSC’s target range for the revenue element of

the general reserve is 2% (£0.433m) to 2.5% (£0.541m) of our gross

expenditure budget. The higher than normal General Reserve balance is held to

fund the two year (2017/18 and 2018/19) digital transformation programme.

Some elements of the programme have not progressed as quickly as originally

anticipated and expenditure planned in 2017/18 will now be incurred in 2018/19.

This will be funded by drawing on the General Reserve balance.

There was no capital expenditure during the 2017/18 financial year. The

following table shows our revenue budget position:

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2017/18 2017/18Budget Actual Variance£000 £000 £000

Revenue expenditure 21,645 20,993 (652)Fee income (2,743) (2,598) 145Practice learning reimbursement (2,081) (2,081) 0Other income (295) (288) 7

Net expenditure 16,526 16,026 (500)

Grant in aid (revenue) (14,348) (14,348) 0Specific grant funded projects (1,908) (2,075) (167)

Total funding (16,256) (16,423) (167)

(Surplus)/deficit for the year 270 (397) (667)

Transfer to/(from) General Reserve (270) 397 667

2.3.1 Reconciliation to Statement of Comprehensive Net Expenditure

(SCNE)

We prepare our annual accounts in accordance with the Accounts Direction

issued by Scottish Ministers. The Accounts Direction (reproduced at Appendix 1)

requires compliance with the Government Financial Reporting Manual (FReM).

Our funding and budgeting position is different from the accounting financial

position as shown in the Statement of Comprehensive Net Expenditure (SCNE)

for three reasons:

1. For budgeting purposes we consider grants and grant in aid to be income.

The accounting position must present grants and grant in aid as sources of

funds and they are credited to the General Reserve on the Statement of

Financial Position.

2. Post-employment benefits (pensions) must be accounted for using

International Accounting Standard 19 “Employee Benefits”. IAS 19 requires

accounting entries for pensions to be based on actuarial pension expense

calculations. Our funding position is based on the cash pension contributions

we make as an employer to the pension scheme.

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3. Grant in aid used for the purchase of non-current assets is credited to the

General Reserve and the balance is reduced by the amount of depreciation

charged each year. The 2017/18 depreciation charge is £10k.

The table below reconciles the deficit shown on the Statement of Comprehensive

Net Expenditure (SCNE) to the surplus recognised for funding and budgeting

purposes. This surplus is to be used for transitional funding as described earlier.

2017/18

Ref/note £000Deficit per the SCNE SCNE 11,125Funding from grants and grant in aid 13a (16,423)Reverse IAS 19 pension accounting adjustments 5b table 2 4,550To fund depreciation of assets 6a (10)

Surplus on funding and budgeting basis (758) 2.3.2 Supplier Payment Policy The SSSC is committed to the Confederation of British Industry Prompt Payment

Code for the payment of bills for goods and services we receive. It is our policy

to make payments in accordance with the Scottish Government’s instructions on

prompt payment and a target of payment within ten days. In 2017/18 we paid

96.80% (2016/17: 99.02%) of invoices within ten days.

2.4 Stakeholder relationships

Our stakeholders are people and groups who are affected by, or have an interest

in, what we do, including our staff.

In all our Council reports we are required to identify the stakeholders and how

we have involved them, consulted with and/or informed them. We have a

Stakeholder Engagement Strategy and Framework in place, which sets out the

principles, values and methods for engaging effectively with our stakeholders.

2.5 Social and community impact

Our purpose is to protect people who use social services, often the most

vulnerable people in our society. Through our work of registering, regulating and

developing the workforce we aim to make sure the workforce protects the rights

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of people who use services and carers. The SSSC Codes of Practice for Social

Service Workers and Employers sets out these obligations.

As we develop resources to support the workforce we have aligned our work

with Scottish Government policy objectives to build on the strengths of the

community and individuals to ensure that older people can stay in their homes

and communities as long as they want and are able to. We have developed

learning resources to enhance the skills to encourage people from all walks of

life to consider a career in care and to develop leadership skills throughout the

workforce.

In our fitness to practise work we are compliant with human rights issues to

ensure that the process is fair and accessible. We have been active participants

in the on-going review of the National Care Standards, which is taking a rights-

based approach.

Under the Children and Young People (Scotland) Act 2014 we are defined as a

corporate parent and have a number of duties and responsibilities under that

Act. Corporate parenting is "the formal and local partnerships between all

services responsible for working together to meet the needs of looked after

children, young people and care leavers". Our Corporate Parenting Plan sets out

how we will comply with the responsibilities set out by the Act.

2.6 Equality

The Regulation of Care (Scotland) Act 2001 requires us to act in a manner that

encourages equal opportunities. More specifically, the Equality Act 2010 sets out

the public sector general equality duty that requires public authorities to pay due

regard to the need to eliminate unlawful discrimination, victimisation and

harassment; advance equality of opportunity; and foster good relations. These

requirements apply across the protected characteristics of age, disability, gender

reassignment, pregnancy and maternity, race, religion and belief, sex, sexual

orientation, and (to a limited extent) marriage and civil partnership.

Scottish Ministers introduced specific duties for Scottish public authorities to

enable better performance of the Public Sector Equality Duty. One of these

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http://www.sssc.uk.com/about-the-sssc/multimedia-library/publications/37-about-the-sssc/information-material/61-codes-of-practice/1020-sssc-codes-of-practice-for-social-service-workers-and-employers

http://www.sssc.uk.com/about-the-sssc/multimedia-library/publications/37-about-the-sssc/sssc-corporate-parenting-plan-2017-2019

specific duties requires us to publish a set of Equality Outcomes by 30 April

every four years, and publish progress towards the outcomes every two years

(the next progress report will be published in 2019). As part of our work to

address inequality, we also carry out Equality Impact Assessments on all of our

policies and changes to service delivery. We publish completed assessments on

our website.

2.7 Environmental impact

The Climate Change (Scotland) Act 2009 places duties on public bodies relating

to climate change. In 2015, the Scottish Government also introduced an order

requiring public bodies to report annually to Scottish Ministers on their

compliance with the climate change duties. Keep Scotland Beautiful publishes

these reports.

We manage our carbon emissions through a shared service with the Care

Inspectorate. We reported last year that we would agree a new carbon

management plan in 2017/18. As this work did not progress as expected, we will

develop this plan in 2018/19. We will also develop a new policy on our

environmental impact that will include targets for our environmental

sustainability and biodiversity work. In the meantime, we continue to take a

number of steps to reduce our environmental impact and present these below:

• We have agreed a joint procurement strategy with the Care Inspectorate,

in which one of the included aims is to routinely consider environmental,

social and economic opportunities and the impact of our purchasing

decisions.

• Although we require some of our employees to travel within Scotland and

further, managers approve employee travel with the expectation that

public transport will be used when possible. We also provide video

conferencing facilities so that travel is not always required.

• We share offices with the Care Inspectorate in which we introduced

lighting control, replacement LED lighting, voltage optimisation and water

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http://www.sssc.uk.com/about-the-sssc/multimedia-library/publications/37-about-the-sssc/110-equality-and-diversity/equalities-outcome-report

https://www.keepscotlandbeautiful.org/sustainability-climate-change/sustainable-scotland-network/climate-change-reporting/climate-change-reports/

saving through reduction in toilet flush capacity. This has resulted in

reduced electricity consumption.

• We have signed a social impact pledge that includes promoting and

undertaking recycling as part of our operations. We recycle our ICT waste

through Haven Recycling, which aims to provide meaningful and

sustainable employment for people with disabilities and disadvantaged

people. Haven focuses on reusing equipment and works to a zero landfill

target of 100%.

The amount of carbon we produced has reduced by 30% since the baseline year

of 2015/16.

Table 19: Carbon emission indicators

2015/16 2016/17 2017/18

Total CO2 produced (tonnes CO2 equivalent) 338.7 278.1 237.8

Our total CO2 is broken down into:

Travel 147.7 107.8 85.2

Gas and electricity 189.7 168.9 151.3

Water 0.6 0.6 0.7

Waste and recycling 0.7 0.8 0.6

Lorraine Gray Chief Executive and Accountable Officer xx October 2018

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http://www.sssc.uk.com/about-the-sssc/multimedia-library/publications/press-releases/sssc-takes-the-social-impact-pledge

SECTION B: ACCOUNTABILITY REPORT

3. Corporate Governance Report

3.1 Directors’ Report

SSSC Council

Members sitting on the SSSC Council during 2017/18 were:

The SSSC Council members

• James McGoldrick (Convener)

• Dame Anne Begg

• Audrey Cowie

• Paul Dumbleton

• Paul Edie (Chair of the Care Inspectorate)

• Linda Lennie

• Professor Joyce Lishman

• Forbes Mitchell

• Andrew Rome

• Harry Stevenson.

Executive Management Team

The Executive Management Team (EMT) are employees of the SSSC. The

following individuals served on the EMT during 2017/18:

• Anna Fowlie, Chief Executive

• Lorraine Gray, Director of Strategic Performance and Engagement

• Maree Allison, Director of Fitness to Practise

• Gordon Weir, Director of Corporate Services (shared post with Care

Inspectorate) (to 24 September 2017)

• Kenny Dick, Head of Shared Services (shared post with Care Inspectorate)

(from 25 September 2017)

• Phillip Gillespie, Head of Learning and Development was in attendance.

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Register of Interests

A Register of Members’ Interests is maintained and is available for inspection by

members of the public. Declarations of conflicts of interest are standing agenda

items at each Council and Committee meeting.

Personal data related incidents

There were no data protection breaches reported to the Information

Commissioner’s Office for the year to 31 March 2018.

There are no significant data losses to report for the year to 31 March 2018.

Disclosure of information to auditors

So far as I, the Accountable Officer, am aware, our auditors have all the relevant

information.

I have taken all steps I ought to, to make myself aware of any relevant

information and to establish that our auditors are aware of that information.

Non audit fees

Grant Thornton provided services solely relating to the statutory audit and no

further assurance, tax or other services were provided. Scott Moncrieff provided

internal audit services relating to the internal audit plan and also carried out an

investigative assignment during the year.

Pension liabilities

The SSSC is an admitted body to the Tayside Superannuation Fund. This is a

local government pension scheme administered by Dundee City Council.

The local government pension scheme is a defined benefit scheme that provides

pension benefits based on final pensionable remuneration.

Information on how pension liabilities are treated in the SSSC’s accounts can be

found in the Notes to the Accounts and the Remuneration and Staff Report.

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http://www.sssc.uk.com/about-the-sssc/multimedia-library/publications/40-council/61-register-of-council-members-interests

National Fraud Initiative

The SSSC participated in the National Fraud Initiative during 2016/17. This

work is carried out every two years, the next exercise being 2018/19. This is a

data matching exercise which assists in the prevention and detection of fraud.

No issues were identified.

3.2 Statement of Accountable Officer’s responsibilities

Under paragraph 9 (1) of Schedule 2 to the Regulation of Care (Scotland) Act

2001, the SSSC is required to prepare a statement of accounts for each financial

year in the form and on the basis directed by Scottish Ministers. The accounts

are prepared on an accruals basis and must give a true and fair view of the state

of affairs of the SSSC and of its net resource outturn, application of resources,

changes in taxpayers’ equity and cash flows for the financial year.

In preparing the accounts, the Accountable Officer is required to comply with the

requirements of the Government Financial Reporting Manual and in particular to:

• observe the accounts direction issued by Scottish Ministers, including the

relevant accounting and disclosure requirements, and apply suitable

accounting policies on a consistent basis

• make judgements and estimates on a reasonable basis

• state whether applicable accounting standards have been followed and

disclose and explain any material departures in the financial statements

• prepare the financial statements on a “going concern” basis, unless it is

inappropriate to presume that the SSSC will continue in operation.

Scottish Ministers designated the Chief Executive as the Accountable Officer for

the SSSC. The responsibilities of the Chief Executive as Accountable Officer,

including responsibility for the propriety and regularity of the public finances for

which the Accountable Officer is answerable, for keeping of proper records and

for safeguarding the SSSC’s assets, are set out in the Non-Departmental Public

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Bodies’ Accountable Officer Memorandum issued by the Scottish Government

and published in the Scottish Public Finance Manual.

The Accountable Officer has confirmed that the annual report and accounts as a

whole is fair, balanced and understandable and that she takes personal

responsibility for the annual report and accounts and the judgments required for

determining that it is fair, balanced and understandable.

For the purposes of the audit, so far as the Accountable Officer is aware, there is

no relevant audit information of which the auditors are unaware and all

necessary steps have been taken by the Accountable Officer to ensure

awareness of relevant audit information and to establish that the SSSC's

auditors are aware of that information.

3.3 Governance Statement

Introduction

The SSSC is responsible for ensuring that its business is conducted in

accordance with the law and proper standards, and that public money is

safeguarded and properly accounted for. The SSSC also has a duty of Best Value

as described in the Scottish Public Finance Manual. The duty of Best Value

ensures there is a focus firstly on continuous improvement which will help

ensure sustainable economic growth for the people of Scotland and secondly on

the delivery of the outcomes required of all public services as articulated in the

National Performance Framework.

In discharging this overall responsibility, Council Members and senior officers are

responsible for putting in place proper arrangements for the governance of

SSSC’s affairs and facilitating the exercise of its functions. This includes setting

the strategic direction, vision, culture and values of the SSSC, effective

operation of corporate systems, processes and internal controls, engaging with

stakeholders, monitoring whether strategic objectives have been achieved and

services delivered cost effectively and ensuring that appropriate arrangements

are in place for the management of risk.

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http://www.scotland.gov.uk/About/purposestratobjs

This Annual Governance Statement explains the SSSC’s governance and risk

management framework.

The Governance Framework

Organisational structure

The Council consists of a Convener and nine Members. The Convener and eight

of the Members were appointed by Scottish Ministers through the Public

Accounts Board. The Chair of the Care Inspectorate is a member of the Council

through a reciprocal arrangement where the Convener of the SSSC is a Board

Member of the Care Inspectorate. The membership reflects a wide range of

insights relating to the field of social care, including service users, carers, those

involved in service delivery, regulation and those delivering education and

training for the social service workforce. The Council remains ultimately

responsible and accountable for all the decisions taken in its name, whether

directly or through its Committees.

The Council has overall responsibility for oversight of the work of the SSSC and

in particular for ensuring that the interface between the SSSC’s work in

registration, regulation and development of the capability and capacity of the

workforce is identified and managed to ensure that the SSSC works in a

coherent and effective manner.

The Council must approve the making, revision or revocation of Standing Orders,

Scheme of Delegation, Annual Report and Accounts, Budget, Strategic Plan, Risk

Register and Risk Management Strategy for each financial year.

The Council is also responsible for the appointment of internal auditors to the

SSSC.

43

We currently have the following Committees, all of which report to the Council:

Audit Committee

The purpose of this committee is to:

• scrutinise and develop the audit arrangements and also to ensure that

there is sufficient and systemic review of the internal control

arrangements of the organisation, including arrangements for risk

management

• review the comprehensiveness of assurances and the reliability and

integrity of these assurances.

Resources Committee

This committee was established to:

• develop and scrutinise strategy, budgets and plans ensuring efficient,

effective and economical use of the Council’s resources, and to report and

make recommendations to Council on its findings

• consider the organisational structure and human resources policies,

processes and procedures to facilitate the discharge of business by the

Council and to agree modifications as appropriate.

Remuneration Committee

This committee was established to deal with the remuneration of the SSSC

excluding the Chief Executive and Council Members, whose remuneration is

determined by Scottish Government.

Registration Committee

This committee acts as the Registration Committee in terms of the Council’s

Registration Rules. The Registration Rules set out the processes, procedures and

requirements for registration on the SSSC’s Register.

Conduct Committee

This committee was established to take an overview of and provide a report to

the Council on outcomes and disposals of the Preliminary Proceedings Sub-

committees and Conduct Sub-committees and to consider the training

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requirements of Members of the Conduct Committee and to report thereon to

the Council.

Fitness to Practise Committee

This committee acts as the Fitness to Practise Committee in terms of the Fitness

to Practise Rules. The Committee takes an overview of and reports to Council on

outcomes and disposals of the Fitness to Practise Panels. Panels may be

appointed consisting solely of co-opted members of this committee who are not

Council Members.

Special Appeals Committee

This committee provides a mechanism for dealing with concerns in relation to

Fitness to Practise Panel, Registration, Conduct and/or Preliminary Proceedings

Sub-committee members as they may arise.

Employment Appeals Sub-committee

This committee was established to provide a mechanism for dealing with

employee grievance and disciplinary appeal matters as they arise.

The SSSC has a number of sub-committees and panels that meet as required.

They are:

• Conduct Sub-committee

• Preliminary Proceedings Sub-committee

• Registration Sub-committee

• Fitness to Practise Panel

• Training Appeals Panel

• Qualification Panel

We also have the following informal forum which does not report to Council:

Policy Forum

The Policy Forum comprises all Council Members and was established to provide

an informal discussion platform for Council members to consider topical or

specific issues in more depth. The Forum is an informal discussion platform and

45

has no executive decision making powers. The Forum is not a committee of the

Council.

Council Members

Council Members are subject to the Ethical Standards in Public Life (Scotland)

Act 2000 and the SSSC Code of Conduct which has been approved by Scottish

Ministers. The key principles which underpin the Code are based on the

principles of public life set down by the Committee on Standards in Public Life

(originally 'the Nolan Committee') and then expanded by the Scottish

Government. The key principles are:

• Duty

• Selflessness

• Integrity

• Objectivity

• Accountability and Stewardship

• Openness

• Honesty

• Leadership and

• Respect.

SSSC Council Members also work to the six core principles set out in the Good

Governance Standard for Public Services, which are:

• focusing on the organisation's purpose and on outcomes for citizens and

service users

• performing effectively in clearly defined functions and roles

• promoting values for the whole organisation and demonstrating the values

of good governance through behaviour

• taking informed transparent decisions and managing risk

• developing the capacity and capability of the governing body to be

effective

• engaging stakeholders and making accountability real.

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The quarterly Council meetings are held in public and the minutes of each

meeting are available on our website www.sssc.uk.com. SSSC Committee

membership and Council Member attendance is detailed in the following table:

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http://www.sssc.uk.com/

SSSC Committee membership and attendance - 1 April 2017 and 31 March 2018 (inclusive)

Council Resources Committee Audit Committee

Employment Appeals

Sub committee

Remuneration

Committee

Number of meetings: 4 4 5 1

1

Council Member Attended Member Attended Member Attended Member

Attended Member

Attended

Professor James McGoldrick, (Convener) 4 Yes 1

Dame Anne Begg 3 Yes 5

Audrey Cowie 4 Yes 4 Yes 1

Paul Dumbleton 3 Yes 4 Yes 1

Paul Edie (Chair, Care Inspectorate) 3 No 1

Linda Lennie** 2

Professor Joyce Lishman (Vice-chair) 3 Yes 3

Forbes Mitchell 3 Yes 3 Yes 5 Yes 1

Andrew Rome 3 Yes 5 Yes 1

Harry Stevenson 2 Yes 3 No 1 Yes 1

The Registration Committee, Conduct Committee, Fitness to Practise Committee and Special Appeals Committee did not meet in the year to 31 March 2018. The Audit Committee was scheduled to meet six times during 2017/18. However, one Audit Committee meeting was not quorate. ** Linda Lennie was an observer at both Audit and Resources Committees on 6 December 2017 and 28 February 2018. She also attended Council on 31 October 2017. Her start date was 17 November 2017.

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Accountable Officer

Anna Fowlie was Chief Executive of the SSSC until 22 April 2018. Lorraine Gray

was appointed as the SSSC’s Interim Chief Executive (and Accountable Officer)

on 23 April 2018 and appointed permanent Chief Executive on 20 August 2018.

Lorraine Gray is therefore the designated Accountable Officer for the SSSC at

the time the Annual Report and Accounts are signed. The Accountable Officer is

personally responsible to Scottish Ministers, who are ultimately accountable to

the Scottish Parliament, for securing propriety and regularity in the management

of public funds and for the day-to-day operations and management of the SSSC.

The detailed responsibilities of the Accountable Officer for a public body are set

out in a Memorandum from the Principal Accountable Officer of the Scottish

Administration which is issued to the Chief Executive on appointment and

updated from time to time.

Executive Management Team (EMT)

The EMT supports the Chief Executive in her Accountable Officer role through the

formal Scheme of Delegation. The EMT comprised the Director of Strategic

Performance and Engagement, the Director of Fitness to Practise, the Director of

Corporate Services (to 24 September 2017) Head of Shared Services (from 25

September 2017) and the Head of Learning and Development. Each of these

officers has responsibility for the development and maintenance of the

governance environment within their own areas of control.

External Audit Appointment

Under the Public Finance and Accountability (Scotland) Act 2000 our

independent auditors are appointed by the Auditor General for Scotland by Audit

Scotland. Audit Scotland appointed Grant Thornton UK LLP as our independent

external auditors for a 5 year period from 1 April 2016.

Internal audit

The SSSC’s internal audit function is contracted out. Internal audit forms an

integral part of the SSSC’s internal control and governance arrangements. The

internal audit service operates in accordance with Public Sector Internal Audit

Standards and undertakes an annual programme of work approved by the Audit

Committee. This annual programme is based on a formal risk assessment 49

process which is updated on an on-going basis to reflect evolving risks and

changes. It also takes account of the three year Strategic Internal Audit Plan

and the Annual Internal Audit Plan.

Each year our internal auditors provide the Audit Committee with assurance on

the whole system of internal control. In assessing the level of assurance to be

given for 2017/18, our internal auditors take into account:

• All reviews undertaken as part of the 2017/18 internal audit plan;

• Any scope limitations imposed by management;

• Matters arising from previous reviews and the extent of follow-up action taken, including in year audits;

• Expectations of senior management, the Council and other stakeholders;

• The extent to which internal controls address the client’s risk management/control framework;

• The effect of any significant changes in the SSSC’s objectives or systems; and

• The proportion of the SSSC’s internal audit coverage achieved to date.

The internal auditors overall opinion for 2017/18 was:

“the SSSC has a framework of controls in place that provides reasonable assurance regarding the organisation’s governance framework, effective and efficient achievement of objectives and the management of key risks.”

Code of Corporate Governance review

There is an annual review of our Code of Corporate Governance and the

associated Register of Policies.

We have determined to hold a three yearly review of our Standing Orders and

Scheme of Delegation. Revisions are made within the three year cycle if

required.

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Risk management

The SSSC has a Risk Management Policy. The main priorities of this policy are

the identification, evaluation and control of risks which threaten our ability to

deliver our objectives. The policy provides direction on a consistent, organised

and systematic approach to identifying risks, the control measures that are

already in place, the residual risk, the risk appetite and action that is necessary

to further mitigate against risks.

Risks identified are maintained on a Strategic Risk Register and addressed in the

preparation of the Strategic Plan. The Strategic Plan has been developed to show

clear links between risks identified on the Risk Register and the SSSC’s strategic

objectives. As a result, the risks identified become embedded in managers’ work

plans for the year. The Council has agreed a risk appetite statement to underpin

the SSSC’s approach to risk management and control.

Information governance

We have information governance policies and procedures in place to ensure we

use and store information securely under the Freedom of Information (Scotland)

Act 2002 and the Data Protection Act 2018. We also have a procedure to

respond to suspected data breaches and operate a Records Management Policy

and a Data Protection Policy, which provide a consistent, organised and

systematic approach to responding to requests for information and managing the

information that we hold. To support this work we have an annual information

governance training strategy, which includes training our employees to meet the

new General Data Protection Regulation that came into place May 2018.

We referred no data breaches to the Information Commissioner’s Office this

year. We received 41 Freedom of Information requests compared to 30 in

2016/17. And of these, we:

• refused one in full

• refused three in part

• zero went to further review

• zero were appealed to the Information Commissioner’s Office.

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Freedom of information requests and data breaches 2015/16 2016/17 2017/18 Number of data breaches 62 85 58 Data breaches referred to the Information Commissioner’s Office 1 1 0 Freedom of information requests 39 30 41 Percentage of freedom of information requests responded to on time 100 97 98

Complaints handling

We monitor all complaints we receive and make sure that we respond to them

within the timescales advised by the Scottish Public Services Ombudsman. We

record the reasons for any complaints to identify areas for improvement in our

processes and procedures. In 2017/18, the main reason for stage one

complaints was the fitness to practise process. At stage two, the main reason

was our fitness to practice procedures.

2015/16 2016/17 2017/18

Stage 1 complaints received 315 379 292 Percentage responded to within 5 working days 92% 94% 93% Stage 2 complaints received 26 19 24 Percentage acknowledged within 3 working days 85% 84% 96% Percentage responded to within 20 working days 77% 89% 96%

System of internal financial control

Within the SSSC’s overall governance framework specific arrangements are in

place as part of the system of internal financial control. This system is intended

to ensure that reasonable assurance can be given that assets are safeguarded,

transactions are authorised and properly recorded and material errors or

irregularities are either prevented or would be detected within a timely period.

The SSSC’s system of internal financial control is based on a framework of

financial regulations, regular management information, administrative

procedures (including segregation of duties), management supervision and a

52

system of delegation and accountability. Development and maintenance of the

system is the responsibility of managers within the SSSC. In particular, the

system includes:

• Financial Regulations and Standing Orders

• comprehensive budgeting systems

• regular reviews of periodic and annual financial reports which indicate

financial performance against forecast

• a comprehensive set of control reconciliations performed regularly

• regular compliance testing

• setting targets to measure financial and other performance

• the preparation of regular financial reports which indicate actual

expenditure against the forecasts

• clearly defined capital expenditure guidelines.

Review

The effectiveness of our Code of Corporate Governance is reviewed annually.

Individual policies and procedures that contribute towards the overall

governance framework are also subject to periodic review. This review is

informed by:

• the views of Audit Committee on the assurance arrangements

• the opinions of internal and external audit on the quality of the systems

of governance, management and risk control

• “Certificates of Assurance” supplied by EMT members to the Accountable

Officer following a review of the governance arrangements within their

specific areas of responsibility

• feedback from managers and staff within the SSSC on our performance,

use of resources, responses to risks, and the extent to which in-year

budgets and other performance targets have been met.

Significant issues

No significant governance issues have been identified as a result of the review

process.

53

Developing the governance framework

Review of Corporate Governance

The annual review of Corporate Governance is scheduled for December 2018 and

the review of the Register of Policies will be carried out during October 2018.

Quality assurance

We are members of Quality Scotland and have adopted the European Foundation

Quality Management (EFQM) framework. Working with Quality Scotland we have

identified a number of areas for improvement and work will continue on those

projects in 2018/19.

Risk management

Work is continuing on embedding risk management throughout the organisation

through developing operational risk registers and understanding the links

between strategic and operational risk.

Preparation for General Data Protection Regulation (GDPR)

We undertook preparatory work during 2017/18 to ensure compliance with

GDPR and this work will continue into the 2018/19 financial year. The GDPR

apply in the UK from 25 May 2018. The Government has confirmed that the UK’s

decision to leave the EU will not affect the commencement of the GDPR.

Counter Fraud and Corruption Framework

The SSSC’s new Counter Fraud and Corruption Framework, including a counter

fraud and corruption policy, strategy and response plan together with a formal

action plan was agreed in May 2017. This replaced the Fraud Policy and

Response Plan. A fraud and corruption risk register was also agreed to

document the controls in place to mitigate fraud. This complies with the CIPFA

Code of Practice on Managing the risk of Fraud and Corruption. The Counter

Fraud and Corruption Framework will be reviewed during the 2018/19 financial

year.

54

Certification

The SSSC’s governance framework has been in place for the year ended 31

March 2018 and up to the date of signing of the Accounts.

It is my opinion that reasonable assurance can be placed upon the adequacy and

effectiveness of the SSSC’s systems of governance. Although areas for further

improvement have been identified the annual review has provided sufficient

evidence that the SSSC’s governance arrangements have operated effectively

and that the SSSC complies with all relevant guidance and generally accepted

best practice in all significant respects.

55

4. Remuneration and staff report UNAUDITED INFORMATION

4.1 Remuneration report

Introduction

This report provides information on the remuneration of SSSC Council Members

and senior managers in 2017/18. Senior managers are members of the

Executive Management Team (EMT). The EMT is the Chief Executive, the

Director of Strategic Performance and Engagement, the Director of Fitness to

Practise, the Director of Corporate Services (Head of Shared Services from 25

September 2017) and the Head of Learning and Development. The report

contains both audited information and information which is not specifically

subject to audit.


The Remuneration Committee determines the performance element of the pay of

the EMT excluding the pay of the Chief Executive. The performance element of

EMT pay is dependent on satisfactory performance. This will ensure the EMT

member can move to the next salary point within their pay grade.

The following Council Members have been appointed to sit on the Remuneration

Committee:

• Professor James McGoldrick (Convener)

• Audrey Cowie (Chair of Resources Committee)

• Paul Dumbleton (Vice Chair of Resources Committee).

The Committee is advised by the following officers:

• Chief Executive

• Head of Human Resources.

56

Remuneration policy

Members

The remuneration of Council Members is determined by Scottish Ministers. There

is no performance element to Members’ remuneration.

Executive Management Team

Chief Executive

The Chief Executive’s remuneration is determined by the Senior Salaries Review

Body. Performance is assessed through an annual appraisal performed by the

Convener and this appraisal is submitted to the Scottish Government to allow

the Chief Executive’s remuneration to be agreed.

Senior managers

The three senior managers employed by the SSSC (Director of Strategic

Performance and Engagement, Director of Fitness to Practise and Head of

Learning and Development) who comprised the EMT during 2017/18 are on a

salary scale of £58k to £69k. Incremental progression to the maximum of the

scale is determined by performance. Performance is assessed by the SSSC’s

Performance Development Review System and progression is subject to

agreement by the Remuneration Committee. The SSSC’s pay strategy must be

approved by the Scottish Government. Subject to that approval, a pay award

package is negotiated with the trade union. When the pay award package has

been agreed it is applied to the remuneration of senior managers and the main

body of SSSC staff.

The Director of Corporate Services and Head of Shared Services are employed

by the Care Inspectorate and work for the SSSC through a shared service

arrangement.

Notice periods - Members

Council Members are appointed for a period determined by Scottish Ministers.

Council Members are eligible to be re-appointed following the end of a period of

Council membership. Either party may terminate early by giving notice.

57

Normally there is no payment available in the event of early termination of the

contract. However, where special circumstances exist, Scottish Ministers may

determine that compensation for early termination is appropriate and instruct

the SSSC to make a payment. The value of the payment would also be

determined by Scottish Ministers.

Details of the service contracts for Council Members serving during the year are

detailed below:

Name

Current term

Date of initial

appointment

Date of re-appointment

Date of termination

of appointment

Professor James

McGoldrick (Convener)

2nd

01 Sept 2013

01 Sept 2016

31 Aug 2019

Dame Anne Begg 1st 01 Jan 2016 n/a 31 Dec 2018

Audrey Cowie 2nd 01 Sept 2013 01 Sept 2016 31 Aug 2019

Paul Dumbleton 2nd 01 Sept 2013 01 Sept 2016 31 Aug 2019

Paul Edie* 4th 15 April 2013 15 April 2017 14 April 2020

Linda Lennie 1st 01 Nov 2017 n/a 31 Oct 2020

Professor Joyce Lishman 2nd 01 Oct 2012 01 Oct 2015 30 Sept 2018

Forbes Mitchell 2nd 01 Sept 2013 01 Sept 2016 31 Aug 2019

Andrew Rome 2nd 01 Sept 2013 01 Sept 2016 31 Aug 2019

Harry Stevenson 2nd 01 Sept 2012 01 Sept 2015 31 Aug 2018

* Paul Edie is Chair of the Care Inspectorate. There is a reciprocal arrangement where the

Convener of the SSSC is a Board Member of the Care Inspectorate and the Chair of the Care

Inspectorate is a Council Member. Paul Edie is in his fourth term of office due to a series of

short appointments.

Chief Executive

Anna Fowlie was appointed as the SSSC’s Chief Executive on 2nd November

2009. The normal retirement age for this post is 65 and Anna Fowlie will attain

normal retirement age in 11.4 years. Termination of the contract requires a

notice period of six months by either party.

58

Anna Fowlie left the SSSC on 22 April 2018 and Lorraine Gray was appointed

Interim Chief Executive on 23 April 2018. Lorraine Gray was appointed on a

permanent basis to the post of Chief Executive on 20 August 2018.

There are no compensation payments specified in the Chief Executive’s contract

in the event of early termination.

Senior managers

The Director of Strategic Performance and Engagement, Director of Fitness to

Practise and Head of Learning and Development are all engaged on permanent

contracts and are subject to the normal retirement age of 65. Termination of the

contract requires a notice period of three months by either party.

There are no compensation payments specified in the contracts in the event of

early termination of the contract.

Name Title Date of

appointment Years to normal retirement age

Lorraine Gray

Director of Strategic Performance and Engagement

18 Feb 2008

11.4 Maree Allison

Director of Fitness to Practise

1 March 2010

23.0

Phillip Gillespie

Head of Learning and Development

25 April 2016

18.6

Services from other organisations

Gordon Weir, the Director of Corporate Services and Kenny Dick, Head of Shared

Services are employed by the Care Inspectorate but provide professional

services to the SSSC through a Service Level Agreement (SLA). Gordon Weir

served on the Executive Management Team until 24 September 2017 and Kenny

Dick served on the EMT from 25 September 2017. The SSSC made payments to

the Care Inspectorate for professional services on the EMT as follows:

2017/18 £000

2016/17 £000

Gordon Weir, Director of Corporate Services 26.7 26.3

59

Discretionary benefits policy

The Chief Executive, and senior managers do not have any contractual rights to

early termination compensation payments but the SSSC operates a Discretionary

Benefits Policy that is applicable to all staff (excluding Council Members).

This policy allows additional years of pensionable service to be awarded to those

members of the pension scheme who have more than five years pensionable

service. The award of additional pensionable service is limited to a maximum of

six and two thirds years in a redundancy situation and 10 years if early

termination is in the interests of the efficiency of the service.

Alternatively, pension scheme members with more than two years pensionable

service may be paid compensation of up to 104 weeks’ pay.

The number of years added or the amount of compensation paid, if any, is

determined on the basis of individual circumstances and the employee’s age and

length of service. All awards of additional service and compensation for early

termination are subject to a three year pay-back period and must be approved

by the Council.

AUDITED INFORMATION

Remuneration - SSSC Council Members

Salary 2016/17

£000

Salary 2017/18

£000 25 – 30 Professor James McGoldrick (Convener) 25 - 30

0 – 5 Dame Anne Begg 0 – 5 0 – 5 Lorraine Brown (to 31/10/2016) 0 0 – 5 Audrey Cowie 0 – 5 0 – 5 Paul Dumbleton 0 – 5

0 Linda Lennie (from 01/11/2017) 0 – 5 0 – 5 Professor Joyce Lishman 0 – 5

5 – 10 Forbes Mitchell 0 – 5 0 – 5 Andrew Rome 0 – 5 0 – 5 Harry Stevenson 0 - 5

Paul Edie, Chair of the Care Inspectorate is a member of the Council but receives

no remuneration from the SSSC. There is a reciprocal arrangement in place

60

whereby the Convener of the SSSC, is a member of the Board of the Care

Inspectorate and receives no remuneration from the Care Inspectorate.

Council Members are not eligible to join the pension scheme available to

employees of the SSSC.

Remuneration – Executive Management Team

The salaries and pension entitlements of the Chief Executive and senior

managers are as follows: Single Total Figure of Remuneration

Salary Benefits in Kind

(to nearest £100) Pension

Benefits*

Total 2017/18 2016/17 2017/18 2016/17 2017/18 2016/17 2017/18 2016/17 £000 £000 £ £ £000 £000 £000 £000 Anna Fowlie Chief Executive

80-85 80-85 0 0 27 17

110 - 115 100 – 105

Lorraine Gray Director of Strategic Performance and Engagement

65-70 60-65 0 0 22 (18) 85 - 90 45 - 50

Maree Allison Director of Fitness to Practise

60-65 60-65 0 0 21 20 80 – 85 80 – 85

Phillip Gillespie ** Head of Learning and Development

55-60 n/a 0 0 n/a n/a 55 - 60 n/a

*The value of pension benefits accrued during the year is a calculated as (the

real increase in pension multiplied by 20) plus (the real increase in lump sum)

less (the contributions made by the individual). The real increases exclude

increases due to inflation or any increases or decreases due to transfer of

pension rights.

** There are no 2016/17 comparative figures for the Head of Learning and

Development as he joined the EMT in 2017/18.

Salary

Salary includes gross salary; overtime; recruitment and retention allowances

and any other allowance to the extent that it is subject to UK taxation. This

61

report is based on accrued payments made by the SSSC as recorded in the

Annual Accounts.

Benefits in kind

The monetary value of benefits in kind covers any benefits provided by the SSSC

and treated by HM Revenue and Customs as a taxable emolument. No benefits

in kind were paid during 2017/18.

Fair Pay Disclosure

We are required to disclose the relationship between the remuneration of the

highest paid director and the median remuneration of our workforce.

The Chief Executive was the highest paid director in the financial year 2017/18

and 2016/17. The full-time annual salary for the Chief Executive is in the salary

band £80,000 to £85,000. The mid-point of this band is £82,500 which is 3.42

times greater than the median remuneration of the workforce. One agency

employee received remuneration in excess of the Chief Executive during

2017/18. In 2016/17, no employee received remuneration in excess of the

Chief Executive.

2017/18 £

2016/17 £

Highest paid employee (mid-point) 82,500 82,500 Median salary 24,105 25,239 Remuneration ratio 3.42 3.27 Staff minimum FTE remuneration 16,320 15,015 Staff maximum FTE remuneration (*agency worker) *118,250 67,008

Total remuneration includes salary, overtime and other taxable allowances as

well as severance payments. It does not include employer pension contributions

and the cash equivalent transfer value of pensions. Salaries are grossed up for

employees who have not worked full time or for the full financial year.

62

Local Government Pension Scheme (LGPS) Details of the LGPS and the SSSC’s status as an admitted body to Tayside

Superannuation Fund are contained in note 5 of the Annual Accounts. The Chief

Executive and Directors are all members of the LGPS.

As at 31 March 2018 Cash Equivalent Transfer

Values (CETVs)

Accrued pension

at age 65 £000

Related

lump sum

£000

Real

increase in pension at

age 65 £000

Real increase in

related lump sum at age 65

£000

As at

31 March 2017 £000

As at

31 March 2016 £000

Real Increase

£000

Chief Executive

55 - 60

65 - 70

0 – 2.5

0 – 2.5

619

569

37

Director of Strategic Performance and Engagement

25 - 30

0 - 5

0 – 2.5

0 – 2.5

178

154

20 Director of Fitness to Practise

35 - 40

-

0 – 2.5

-

91

75

14 Head of Learning and Development

35 - 40

20 - 25

n/a

n/a

209

-

n/a

There are no 2016/17 comparative figures for the Head of Learning and

Development as he joined the EMT in 2017/18.

Cash Equivalent Transfer Values

A Cash Equivalent Transfer Value (CETV) is the actuarially assessed capitalised

value of the pension scheme benefits accrued by a member at a particular point

in time. The benefits valued are the member’s accrued benefits and any

contingent spouse’s pension payable from the scheme. A CETV is a payment

made by a pension scheme or arrangement to secure pension benefits in

another pension scheme or arrangement when the member leaves a scheme and

chooses to transfer the benefits accrued in their former scheme. The pension

figures shown relate to the benefits that the individual has accrued as a

consequence of their total membership of the pension scheme, not just their

service in a senior capacity to which disclosure applies.

The figures include the value of any pension benefit in another scheme or

arrangement which the member has transferred to the LGPS. They also include

any additional pension benefit accrued to the member as a result of their buying

additional pension benefits at their own cost. CETVs are worked out in 63

accordance with The Occupational Pension Schemes (Transfer Values)

(Amendment) Regulations 2008 and do not take account of any actual or

potential reduction to benefits resulting from Lifetime Allowance Tax which may

be due when pension benefits are taken.

Real increase in CETV

This reflects the increase in CETV that is funded by the employer. It does not

include the increase in accrued pension due to inflation, contributions paid by

the employee (including the value of any benefits transferred from another

pension scheme or arrangement) and uses common market valuation factors for

the start and end of the period.

Payment of compensation for loss of office

There was provision made for a senior manager regarding a potential settlement

agreement arising from an employment tribunal raised against the SSSC in

December 2017. No Council Members or other senior managers received any

payment or other compensation for loss of office.

64

4.2 Staff Report

4.2.1 Staff numbers, permanent and other

The tables below provide analysis of permanent and non-permanent staff

engaged to work for the SSSC during 2017/18 and related costs. Staff numbers

are expressed as average full time equivalents (FTE) employed in the year.

Permanently Employed Others Total

FTE FTE FTESenior managers 3 0 3Other employees 224 21 245Agency workers 0 2 2Secondments inward 0 1 1Total staff engaged 227 24 251

Secondments outward (2) 0 (2)

Net staff engaged on SSSC activity 225 24 249

2017/18


£000 £000 £000Senior manager salaries 260 0 260Other employee salaries 6,348 600 6,948Social security costs 670 55 725Pension service costs 2,188 100 2,288Total cost directly employed staff 9,466 755 10,221

Council members (i) 0 50 50Fitness to Practise Panel Members (ii) 0 354 354External Assessors (ii) 0 10 10Agency workers 0 147 147Secondments inward 0 83 83Total cost of people engaged 9,466 1,400 10,865

58 0 58Other staff costs 122 0 122Staff costs (SCNE) 9,646 1,400 11,045

Secondments outward (123) 0 (123)Net staff costs 9,523 1,400 10,922

2017/18

Severance costs

65

(i) There was a Convener and 9 Council Members during the year. Council Members are office

holders and are not included in the staff numbers.

(ii) Other staff costs include the cost of Fitness to Practise Panel Members who take part in hearings

and make decisions about workers’ fitness to practise. We engaged 99 panel members in

2017/18 for an average of 17 days. External Assessors review overseas qualifications for

registration purposes. We engaged six external assessors during 2017/18.

2016/17 Comparative information

2016/17

Permanently

Employed Others Total FTE FTE FTE

Senior managers 4 0 4 Other employees 229 23 252 Agency workers 0 0 0 Secondments inward 0 1 1 Total staff engaged 233 24 257

Secondments outward (2) 0 (2)

Net staff engaged on SSSC activity 231 24 255


£000 £000 £000Senior manager salaries 276 0 276Other employee salaries 6,407 594 7,001Social security costs 653 53 706Pension service costs 1,860 99 1,959Total cost directly employed staff 9,196 746 9,942

Council members (i) 0 59 59Fitness to Practise Panel Members (ii) 0 397 397External Assessors (ii) 0 18 18Agency workers 0 66 66Secondments inward 0 2 2Total cost of people engaged 9,196 1,288 10,484

153 0 153Other staff costs 87 0 87Staff costs (SCNE) 9,436 1,288 10,724

Secondments outward (112) 0 (112)Net staff costs 9,324 1,288 10,612

2016/17

Severance costs

66

(i) There was a Convener and 9 Council Members during the year. Council Members are office

holders and are not included in the staff numbers.

(ii) Other staff costs include the cost of Fitness to Practise Panel Members who take part in hearings

and make decisions about workers’ fitness to practise. We engaged 81 panel members in

2016/17 for an average of 22 days. External Assessors review overseas qualifications for

registration purposes. We engaged seven external assessors during 2016/17.

Details of the pension arrangements for the SSSC are contained in note 5 of the

Accounts. It should be noted that the pension service costs in the table above

include adjustments for International Accounting Standard 19 (IAS19)

“Employee Benefits” pension valuations. The difference between the employer

contributions actually paid and the pension cost figure adjusted for IAS19 is

detailed in note 3b of the Accounts.

4.2.2 Staff composition by gender The table below provides a gender breakdown of directly employed staff as at 31

March 2018. Staff numbers are provided on a head count basis.

Permanent Other Staff Total Role Male Female Male Female Male Female Executive Management Team

1

3

0

0

1

3

Other staff 60 174 2 20 62 194 Total 61 177 2 20 63 197

4.2.3 Sickness absence

We lost 4.4% working time to sickness absence during 2017/18, which is an

improvement over last year’s figure of 4.7%. Our figure for 2017/18 is close to

the Chartered Institute of Personnel Development’s 2016 average of 4.3%, but

higher than the Office for National Statistics public sector average for 2016,

2.9% (2017 data is not yet available for these benchmark figures).

4.2.4 Staff turnover data

The SSSC’s voluntary staff turnover was 9.1% in 2017/18. This compares to

11.4% in 2016/17. The Chartered Institute of Personnel and Development

(CIPD) median rate of voluntary turnover for all employers was 10.0%.

67

4.2.5 Policies in relation to disabled people

The SSSC is committed to mainstreaming all three strands of the general

equality duty throughout our organisation - eliminating discrimination,

harassment, victimisation and any other conduct that is prohibited by or under

the Equality Act 2010. We seek to make sure that the duty is implemented as

part of our human resources policy and practice. For example, we make

adjustments for people with disabilities, regularly review our human resources

policies, and deliver training and workshops to raise awareness of issues

affecting people with protected characteristics.

The SSSC operates a Guaranteed Job Interview Scheme as part of our selection

process. The scheme guarantees candidates who consider themselves to have a

disability, to be shortlisted for posts they meet the essential criteria for.

The SSSC's Maximising Attendance Policy provides guidance and advice on how

to support an employee who becomes disabled while employed by the SSSC.

The SSSC is committed to developing all staff and positively values the different

perspectives and skills each brings to our work. The Performance Development

Review System includes the commitment, at each level in the organisation, as

an objective to promote the SSSC's overall objective of 'valuing diversity;

improving opportunity'.

4.2.6 Expenditure on consultancy

In 2017/18 there was expenditure of £67.8k to provide leadership development,

support the development of Integration and secure tax and health and safety

advice. Expenditure of £10.5k was incurred in 2016/17 on research in support of

developing our digital strategy and tax advice.

4.2.7 Exit packages – (voluntary early severance/voluntary early

retirement scheme/settlement agreements)

During 2017/18 one staff member left the SSSC and received a voluntary

severance payment.

68

Exit costs include:

• Compensation for reduced notice

• Redundancy payments

• Employer costs of providing early unreduced access to pension (strain on

fund).

Settlement agreements were reached with two ex-employees during the

2017/18 financial year. A provision has been created in expectation of a third

settlement payment (detailed at note 11c). The settlement agreements were

agreed by Scottish Government in the interest of value for money.

The table below shows the number of departures and associated costs:

2017/18 2016/17

Exit package cost band

Number of departures

Total cost £000

Number of departures

Total cost £000

Up to £25,000 4* 58 1 4 £100,000 to £150,000 0 0 1 149 4 58 2 153

*includes a provision in expectation of a settlement agreement for one departure. Exit costs are accounted for in full when the decision to grant compensation

cannot be withdrawn. Redundancy and other departure costs have been paid in

accordance with the SSSC’s Retirement and Redundancy Policy and the Local

Government Pension Scheme Regulations for Scotland. Where the SSSC has

agreed early retirements, the strain on fund costs are met by the SSSC and not

the Local Government Pension Scheme.

4.2.8 Trade Union Facility Time

The Trade Union (Facility Time Publication Requirements) Regulations 2017

came into force on 1st April 2017. The regulations require public sector

employers to publish specific information related to facility time provided to

trade union officials. The information for 2017/18 follows.

69

Relevant union officials The total number of SSSC employees who were relevant union officials during

the 2017/18 financial year is detailed below:

Number of employees who were relevant union officials during the relevant period

Full-time equivalent employee number

3.0 2.6

Time spent on facility time The table below provides the number of our employees who were relevant union

officials employed during 2017/18 and the percentage of their working hours

spent on facility time.

Percentage of time Number of employees 0% 0

1-50% 3

51%-99% 0

100% 0

Percentage of pay bill spent on facility time The table below gives details of the percentage of time spent on facility time as

a percentage of our pay bill.

Total cost of facility time £0.048m

Total pay bill £9.107m

Percentage of the total pay bill spent on facility time 0.053%

Paid trade union activities The table below provides hours spent by employees who were relevant union

officials during the 2017/18 financial year as a percentage of total paid facility

time hours.

Time spent on paid trade union activities as a percentage of total paid facility time hours 68.94%

70

5. Parliamentary Accountability Report

5.1 Losses and special payments

There were no losses or special payments which exceed the £300,000 reporting

threshold in the year to 31 March 2018 (nil for the year to 31 March 2017).

5.2 Fees and charges

The SSSC charges fees to individual social care service workers applying to join

the Register. Once registered an annual continuation of registration fee is

charged and following a set number of years (currently either three or five years

dependent on the part of Register) a renewal of registration fee is charged.

Under section 57 of the Regulation of care (Scotland) Act 2001, the SSSC can

set reasonable fees through changes to our Registration Rules. This requires the

consent of Scottish Ministers.

A review of fees and consultation with stakeholders was carried out during

2016/17 and a fee increase applied from 1 September 2017.

Our budget is funded mainly by a mixture of grant in aid from the Scottish

Government, specific grants (mainly from the Scottish Government) and fees

paid by registrants. The 2017/18 budget was based on funding of 78% from

grant in aid, 13% from fees charged to applicants and registrants and 9% from

specific grants (2016/17; 82% grant in aid, 10% specific grants and 8% fees).

Income collected from fees charged to applicants to register and registrants is

shown in the table below:

2017/18 2016/17 Budget Actual Variance Budget Actual Variance £000 £000 £000 £000 £000 £000

Registration Fees 2,743 2,598 145 2,059 2,090 (31) Lorraine Gray Chief Executive and Accountable Officer xx October 2018

71

6. Independent Auditors Report

Independent auditor’s report to the members of the Scottish Social

Services Council, the Auditor General for Scotland and the Scottish

Parliament

This report is made solely to the parties to whom it is addressed in accordance

with the Public Finance and Accountability (Scotland) Act 2000 and for no other

purpose. In accordance with paragraph 120 of the Code of Audit Practice

approved by the Auditor General for Scotland, we do not undertake to have

responsibilities to members or officers, in their individual capacities, or to third

parties.

Report on the audit of the financial statements

Opinion on financial statements

We have audited the financial statements in the annual report and accounts of

the Scottish Social Services Council for the year ended 31 March 2018 under the

Regulation of Care (Scotland) Act 2001. The financial statements comprise the

Statement of Comprehensive Net Expenditure, the statement of financial

position, the Statement of Cash Flows, the Statement of Changes in Taxpayers’

Equity and notes to the accounts, including a summary of significant accounting

policies. The financial reporting framework that has been applied in their

preparation is applicable law and International Financial Reporting Standards

(IFRSs) as adopted by the European Union, and as interpreted and adapted by

the 2017/18 Government Financial Reporting Manual (the 2017/18 FReM).

In our opinion the accompanying financial statements:

• give a true and fair view in accordance with the Regulation of Care

(Scotland) Act 2001 and directions made thereunder by the Scottish

Ministers of the state of the body's affairs as at 31 March 2018 and of

its net expenditure for the year then ended;

• have been properly prepared in accordance with IFRSs as adopted by

the European Union, as interpreted and adapted by the 2017/18

FReM; and

• have been prepared in accordance with the requirements of the

Regulation of Care (Scotland) Act 2001 and directions made

72

thereunder by the Scottish Ministers.

Basis of opinion

We conducted our audit in accordance with applicable law and International

Standards on Auditing (UK) (ISAs (UK)). Our responsibilities under those

standards are further described in the auditor’s responsibilities for the audit of

the financial statements section of our report. We are independent of the body in

accordance with the ethical requirements that are relevant to our audit of the

financial statements in the UK including the Financial Reporting Council’s Ethical

Standard, and we have fulfilled our other ethical responsibilities in accordance

with these requirements. We believe that the audit evidence we have obtained is

sufficient and appropriate to provide a basis for our opinion.

Conclusions relating to going concern basis of accounting

We have nothing to report in respect of the following matters in relation to which

the ISAs (UK) require us to report to you where:

• the use of the going concern basis of accounting in the preparation of

the financial statements is not appropriate; or

• the body has not disclosed in the financial statements any identified

material uncertainties that may cast significant doubt about its ability

to continue to adopt the going concern basis of accounting for a

period of at least twelve months from the date when the financial

statements are authorised for issue.

Responsibilities of the Accountable Officer for the financial statements

As explained more fully in the Statement of the Accountable Officer

Responsibilities, the Accountable Officer is responsible for the preparation of

financial statements that give a true and fair view in accordance with the

financial reporting framework, and for such internal control as the Accountable

Officer determines is necessary to enable the preparation of financial statements

that are free from material misstatement, whether due to fraud or error.

In preparing the financial statements, the Accountable Officer is responsible for

assessing the body's ability to continue as a going concern, disclosing, as

applicable, matters related to going concern and using the going concern basis

of accounting unless deemed inappropriate. 73

Auditor’s responsibilities for the audit of the financial statements

Our objectives are to achieve reasonable assurance about whether the financial

statements as a whole are free from material misstatement, whether due to

fraud or error, and to issue an auditor’s report that includes our opinion.

Reasonable assurance is a high level of assurance, but is not a guarantee that an

audit conducted in accordance with ISAs (UK) will always detect a material

misstatement when it exists. Misstatements can arise from fraud or error and

are considered material if, individually or in the aggregate, they could

reasonably be expected to influence the economic decisions of users taken on

the basis of these financial statements.

A further description of the auditor’s responsibilities for the audit of the financial

statements is located on the Financial Reporting Council's website

www.frc.org.uk/auditorsresponsibilities. This description forms part of our

auditor’s report.

Other information in the annual report and accounts

The Accountable Officer is responsible for the other information in the annual

report and accounts. The other information comprises the information other than

the financial statements, the audited part of the remuneration and Staff Report,

and our auditor’s report thereon. Our opinion on the financial statements does

not cover the other information and we do not express any form of assurance

conclusion thereon except on matters prescribed by the Auditor General for

Scotland to the extent explicitly stated later in this report.

In connection with our audit of the financial statements, our responsibility is to

read all the other information in the annual report and accounts and, in doing so,

consider whether the other information is materially inconsistent with the

financial statements or our knowledge obtained in the audit or otherwise appears

to be materially misstated. If we identify such material inconsistencies or

apparent material misstatements, we are required to determine whether there is

a material misstatement in the financial statements or a material misstatement

of the other information. If, based on the work we have performed, we conclude

that there is a material misstatement of this other information, we are required

to report that fact. We have nothing to report in this regard. 74

https://www.frc.org.uk/Our-Work/Audit-and-Actuarial-Regulation/Audit-and-assurance/Standards-and-guidance/Standards-and-guidance-for-auditors/Auditors-responsibilities-for-audit/Description-of-auditors-responsibilities-for-audit.aspx

Report on regularity of expenditure and income

Opinion on regularity

In our opinion in all material respects the expenditure and income in the

financial statements were incurred or applied in accordance with any applicable

enactments and guidance issued by the Scottish Ministers.

Responsibilities for regularity

The Accountable Officer is responsible for ensuring the regularity of expenditure

and income. We are responsible for expressing an opinion on the regularity of

expenditure and income in accordance with the Public Finance and Accountability

(Scotland) Act 2000.

Report on other requirements

Opinions on matters prescribed by the Auditor General for Scotland

In our opinion, the auditable part of the Remuneration and Staff Report has been

properly prepared in accordance with the Regulation of Care (Scotland) Act 2001

and directions made thereunder by the Scottish Ministers.

In our opinion, based on the work undertaken in the course of the audit

• the information given in the Performance Report for the financial year

for which the financial statements are prepared is consistent with the

financial statements and that report has been prepared in accordance

with the Regulation of Care (Scotland) Act 2001 and directions made

thereunder by the Scottish Ministers; and

• the information given in the Governance Statement for the financial

year for which the financial statements are prepared is consistent with

the financial statements and that report has been prepared in

accordance with the Regulation of Care (Scotland) Act 2001 and

directions made thereunder by the Scottish Ministers.

75

Matters on which we are required to report by exception

We are required by the Auditor General for Scotland to report to you if, in our

opinion:

• adequate accounting records have not been kept; or

• the financial statements and the auditable part of the Remuneration

and Staff Report are not in agreement with the accounting records; or

• we have not received all the information and explanations we require

for our audit.

We have nothing to report in respect of these matters.

Joanne Brown, (for and on behalf of Grant Thornton UK LLP)

110 Queen Street

Glasgow

G1 3BX

xx October 2018

76

7. DRAFT ANNUAL ACCOUNTS



Contents Page

Statement of Comprehensive Net Expenditure 78

Statement of Financial Position 79

Statement of Cash Flows 80

Statement of Changes in Taxpayers’ Equity 81

Notes to the Accounts 82 to 105

Appendix 1 – Accounts Direction 106

77

Ref/ 2017/18 2016/17note £000 £000

Income

Registration fees 2a (2,598) (2,090)Other operating income 2b (2,369) (2,229)

(4,967) (4,319)

Expenditure

Staff costs 3a 11,045 10,724Operating expenditure 6a 4,914 4,267Postgraduate bursaries 6b 2,574 2,591Practice learning fees 6b 2,317 2,306Voluntary Sector Development Fund 6b 1,046 0Other disbursements 6b 162 51

22,058 19,939

17,091 15,620

Bank charges 26 29Net interest on defined pension (asset)/liability 5b 268 194

17,385 15,843

5b (6,260) 3,562

11,125 19,405

Total actuarial re-measurements on defined pensions (asset)/liability

Total comprehensive net expenditure before Government funding

STATEMENT OF COMPREHENSIVE NET EXPENDITUREFOR THE YEAR ENDED 31 MARCH 2018

Net operating cost on ordinary activities before interest and (return)/cost on pension scheme assets and liabilities

Net operating cost on ordinary activities after interest and net interest on pension scheme net liabilities

All operations are continuing The notes on pages 82 to 105 form an integral part of these accounts

78

STATEMENT OF FINANCIAL POSITION AS AT 31 MARCH 2018

*RestatedRef/ 2017/18 2016/17note £000 £000

Non-current assetsProperty, plant and equipment 7 37 47Intangible assets 8 0 0Prepayments - greater than one year 9 5 14Total non-current assets 42 61

Current assetsTrade and other receivables 9 1,030 764Cash and cash equivalents 10 5,592 3,995Total current assets 6,622 4,759

Total assets 6,664 4,820

Current liabilitiesTrade and other payables 11 (5,111) (3,679)Provision 11c (25) 0Total current liabilities (5,136) (3,679)

Assets plus current liabilities 1,528 1,141

Non-current liabilitiesPension (liabilities)/assets 5a (5,257) (10,168)Total non-current liabilities (5,257) (10,168)

Net (liabilities)/assets (3,729) (9,027)

Taxpayers’ equityPensions reserve SOCTE (5,257) (10,168)General reserve 12 1,528 1,141

(3,729) (9,027) *Restated: see note 9 and note 11

The notes on pages 82 to 105 form an integral part of these accounts

Lorraine Gray Chief Executive and Accountable Officer xx October 2018

79

STATEMENT OF CASH FLOWS FOR THE YEAR ENDED 31 MARCH 2018

*RestatedRef/ 2017/18 2016/17note £000 £000

Cash flows from operating activitiesNet operating cost before Government funding SCNE (11,125) (19,405)

Adjustments for non-cash items:Pension adjustments and re-measurements 5b, table 2 (4,550) 4,496Depreciation and amortisation 7, 8 10 199Increase/(decrease) in trade and other receivables 9a (257) 519Increase/(decrease) in trade and other payables 11a 1,432 (141)Increase in provisions 11c 25 0Net cash outflow from operating activities (14,465) (14,332)

Cash flows from investing activitiesPurchase of property, plant and equipment 7 0 0

Net cash outflow from investing activities 0 0

Cash flows from financing activitiesFunding from Government 13a 16,423 15,021

Net financing 16,423 15,021

10 1,958 689

Cash and cash equivalents at the beginning of the period 10 3,995 3,306

Cash and cash equivalents at the end of the period 10 5,592 3,995

Net increase/(decrease) in cash and cash equivalents in the period

*Restated: see note 9 and note 11 The notes on pages 82 to 105 form an integral part of these accounts

80

STATEMENT OF CHANGES IN TAXPAYERS’ EQUITY FOR THE YEAR ENDED 31 MARCH 2018

Pension General TotalRef/ Reserve Reserve Reservesnote £000 £000 £000

Balance at 31 March 2016 (5,672) 1,029 (4,643)

Changes in taxpayers’ equity for 2016/17 Pensions adjustment and re-measurement 5b table 2 (4,496) 4,496 0Total comprehensive net expenditure SCNE 0 (19,405) (19,405)Total recognised income and expense for 2016/17

(4,496) (14,909) (19,405)

Funding from Government 13a 0 15,021 15,021Balance at 31 March 2017 (10,168) 1,141 (9,027)

Changes in taxpayers’ equity for 2017/18Pensions adjustment and re-measurement 5b table 2 4,550 (4,550) 0Total comprehensive net expenditure SCNE 0 (11,125) (11,125)Total recognised income and expense for 2017/18

4,550 (15,675) (11,125)

Funding from Government 13a 0 16,423 16,423Balance at 31 March 2018 (5,618) 1,889 (3,729)

The notes on pages 82 to 105 form an integral part of these accounts

81

Notes to the Accounts 1 Statement of accounting policies

1.1 Basis of accounting

The accounts have been prepared in accordance with the Accounts Direction

issued by the Scottish Ministers. The Accounts Direction (reproduced at

Appendix 1) requires compliance with the Government’s Financial Reporting

Manual (FReM) which follows International Financial Reporting Standards as

adopted by the European Union, International Financial Reporting

Interpretation Committee (IFRIC) interpretations and the Companies Act 2006

to the extent that it is meaningful and appropriate in the public sector context.

The particular accounting policies adopted by the SSSC are described below.

They have been applied consistently in dealing with items considered material

in relation to the accounts.

The accounts are prepared using accounting policies and, where necessary,

estimation techniques, which are selected as the most appropriate for the

purpose of giving a true and fair view in accordance with the principles set out

in International Accounting Standard 8: Accounting Policies, Changes in

Accounting Estimates and Errors.

1.2 Accounting standards issued but not yet effective

In accordance with IAS 8, changes to IFRS that have been issued but not yet

effective have been reviewed for impact on the financial statements in the

period of initial application. IFRS 16 Leases (from January 2019) has been

considered. No significant impact on future periods’ financial statements is

anticipated.

1.3 Accounting convention

The accounts have been prepared under the historical cost convention except

for certain financial instruments and pensions that have been measured at fair

value as determined by the relevant accounting standard.

82

1.4 Going concern

The accounts have been prepared on the going concern basis, which provides

that the entity will continue in operational existence for the foreseeable future.

Further explanation of the adoption of the going concern basis is contained in

the Financial Performance section (pages 11 to 12).

1.5 Property, plant and equipment

1.5.1 Capitalisation

The capitalisation threshold for individual assets is £10,000. This applies to all

asset categories.

1.5.2 Valuation

Property, plant and equipment assets are carried at cost, less accumulated

depreciation and any recognised impairment value. The SSSC does not have

any assets held under finance leases.

Depreciated historic cost has been used as a proxy for the current value. All

property, plant and equipment have low values and short useful economic

lives which realistically reflect the life of the asset, and a depreciation charge

which provides a realistic reflection of consumption.

1.5.3 Depreciation

Depreciation is provided on property, plant and equipment on a straight line

basis using the expected economic life of the asset. A full year’s depreciation

is charged in the year the asset is first brought in to use and no depreciation

is charged in the year of disposal. The economic life of an asset is determined

on an individual asset basis.

1.6 Intangible assets

Acquired intangible assets are measured initially at cost and are amortised on

a straight line basis over their estimated useful lives. Acquired intangible

assets tend to be software and the useful lives are typically four to six years.

83

1.7 Impairment of tangible and intangible assets

All tangible and intangible non-current assets are reviewed for impairment in

accordance with IAS 36 “Impairment of Assets” when there are indications

that the carrying value may not be recoverable. If such indication exists, the

recoverable amount of the asset is estimated in order to determine the extent

of the impairment loss (if any).

The recoverable amount is the higher of fair value, less costs to sell and value

in use. If the recoverable amount of an asset is estimated to be less than its

carrying amount, the carrying amount of the asset is reduced to its

recoverable amount. An impairment loss is recognised as an expense

immediately. Where an impairment loss subsequently reverses this is

recognised as income immediately.

1.8 Government grants receivable

Grants and grant in aid in respect of revenue and capital expenditure are

treated as a source of financing and are credited to the General Reserve.

1.9 Disbursement grants and bursaries payable

This expenditure is recognised in the Statement of Comprehensive Net

Expenditure in the period in which the recipient carries out the specific

activity, which forms the basis of entitlement to grant, or otherwise meets the

grant entitlement criteria.

1.10 Leases

Leases are classified as finance leases whenever the terms of the lease

transfer substantially all the risks and rewards of ownership to the lessee. All

other leases are classified as operating leases.

The SSSC currently only holds operating leases. Costs in respect of operating

leases are charged to the Statement of Comprehensive Net Expenditure on a

straight line basis over the term of the lease. The SSSC has shared service

arrangements with the Care Inspectorate and charges in respect of Compass

House and ICT costs are disclosed as lease payments. Charges from Scottish

Ministers in respect of Quadrant House are also disclosed as lease payments.

84

1.11 Cash and cash equivalents

Cash and cash equivalents in the Statement of Financial Position consist of

cash at bank and cash in hand.

1.12 Pensions

The SSSC accounts for pensions under the IAS 19 “Employee Benefits”

standard as adapted to the public sector.

The SSSC is an admitted body to the Local Government Pension Scheme

(LGPS) and this is a defined benefit scheme. Obligations are measured at

discounted present value whilst plan assets are recorded at fair value. The

operating and financing costs of such plans are recognised separately in the

Statement of Comprehensive Net Expenditure. Service costs are spread

systematically over the expected service lives of employees. Financing costs

and actuarial gains and losses are recognised in the period in which they arise.

The SSSC’s funding rules require the General Reserve balance to be charged

with the amount payable by the SSSC to the pension scheme and not the

amount calculated according to the application of IAS 19. Therefore there are

appropriations to/from the Pensions Reserve shown in the Statement of

Changes in Taxpayers’ Equity to reverse the impact of the IAS 19 entries

included in the Statement of Comprehensive Net Expenditure to ensure the

General Reserve balance is charged with the amount payable by the SSSC.

1.13 Short term employee benefits

The SSSC permits the carry forward of unused annual leave entitlement and

accumulated flexible working hours scheme balances. Entitlement to annual

leave and flexible working hours are recognised in the accounts at the time

the employee renders the service and not when the annual leave and

accumulated hours balances are actually used.

1.14 Shared services

The SSSC shares its headquarters and some services with the Care

Inspectorate. The Care Inspectorate charges the SSSC for services provided

85

based on a Service Level Agreement (SLA). The SLA contains arrangements

akin to a lease for accommodation costs and ICT equipment.

1.15 Value Added Tax (VAT)

The SSSC can recover only a nominal value of VAT incurred on purchases,

with irrecoverable VAT being charged to the Statement of Comprehensive Net

Expenditure.

1.16 Revenue and capital transactions

Revenue and capital transactions are recorded in the accounts on an income

and expenditure basis ie recognised as they are earned or incurred, not as

money is received or paid. All specific and material sums payable to and due

by the SSSC as at 31 March 2018 have been brought into account.

1.17 Financial instruments

The SSSC does not hold any complex financial instruments. As the cash

requirements of the SSSC are met through grant in aid provided by the

Children and Families Directorate of the Scottish Government, financial

instruments play a more limited role in creating and managing risk than would

apply to a non-public sector body. The majority of financial instruments relate

to contracts to buy non-financial items in line with our expected purchase and

usage requirements and the SSSC is therefore exposed to little credit, liquidity

or market risk.

Financial assets and financial liabilities are recognised on the Statement of

Financial Position when the SSSC becomes a party to the contractual

provisions of the instrument.

Trade receivables

Trade receivables are non-interest bearing and are recognised at fair value,

reduced by appropriate allowances for estimated irrecoverable amounts.

Trade payables

Trade payables are non-interest bearing and are stated at fair value.

86

1.18 Changes in accounting policy

There have been no changes in accounting policy during the year.

1.19 Operating segments

Financial reporting to senior decision makers is at organisation wide level and

therefore segmental reporting under IFRS 8 is not required.

1.20 Contingent Liabilities

There were no contingent liabilities as at 31 March 2018.

2 Operating income

2017/18 2016/17£000 £000

2a Registration fees 2,598 2,090

2b Other operating income:Practice learning reimbursement (i) 2,081 1,969Modern apprenticeship fees 149 129Recharges for seconded staff 123 112Other income (ii) 8 10Protection of Vulnerable Groups (PVG) fee recovery 8 9

2,369 2,229 (i)

Practice learning fees are paid to universities to fund practice learning days for

social work students within workplace settings. An administration fee is paid to

each university to administer this function. The Scottish Government

reimburses the payments the SSSC makes to universities.

(ii) Other income for 2017/18 comprises: supplier discounts and rebates £6k and

other recharges of £2k. Other income for 2016/17 comprises: supplier

discounts and rebates £8k and other recharges of £2k.

3 Staff numbers and costs

3a An analysis of staff numbers and costs is disclosed in section 4.2.1 (staff

numbers by permanent and other) of this report. A summary of cost is

provided in the table below:

87

2017/18 2016/17Staff cost summary £000 £000Permanently employed staff 10,221 9,942Other people engaged 644 542Other staff costs 180 240

Total staff costs 11,045 10,724

3b Analysis of impact of actuarial pension valuation adjustments (see

note 5) The table below provides details of the difference between the employer

contributions we actually paid to the pension scheme administrator and the

service cost disclosed in the Annual Report and Accounts. Our budget is based

on employer contributions payable. Service cost is a figure derived from

actuarial analysis in accordance with IAS19.

Analysis of impact of actuarial pension 2017/18 2016/17valuation adjustments on staff costs (note 5) £000 £000Actual paymentsEmployer pension contributions actually paid 1,195 1,207Unfunded pension payments actually paid 25 20Total pension related payments actually paid 1,220 1,227

Accounting entries (IAS 19 note 5)Service costs included in staff costs (SCNE) 2,293 1,959

Variance between actual costs and accounting basis 1,073 732

4 Severance and settlement costs

The total cost of exit packages and settlement agreements in 2017/18 was

£58k (2016/17: £153k). Details of exit packages are disclosed in section

4.2.7 (exit packages) of this report.

5 Post-employment benefits: pensions

International Accounting Standard 19 (IAS 19) “Employee Benefits” sets out

the accounting treatment to be followed when accounting for the costs of

providing a pension scheme.

88

Tayside Superannuation Fund

The Tayside Superannuation Fund is a multi-employer scheme which includes

local authorities and admitted bodies.

The fund is administered by Dundee City Council and the pension scheme is

part of the Local Government Pension Scheme (LGPS). It is a defined benefit

scheme, which means that the benefits to which members and their spouses

are entitled are determined by pensionable pay and length of service.

Contributions are set every three years as a result of the actuarial valuation of

the fund required by the regulations. An actuarial valuation of the fund as at 1

April 2018 has just been completed. Employer contribution rates have been

set at 17% for 2018/19, 2019/20 and 2020/21. The next actuarial valuation of

the fund will be carried out as at 31 March 2020 and will set contributions for

the period 1 April 2021 to 31 March 2024. There are no minimum funding

requirements in the LGPS but the contributions are generally set to target a

funding level of 100% using the actuarial valuation assumptions.

The contributions paid by the SSSC for the year to 31 March 2018 were

£1,195k representing 17.0% of pensionable pay (2016/17: £1,207k

representing 17.0% of pensionable pay). Employee contribution rates were in

the range 5.5% to 9.4% based on earnings bands. The employer’s

contribution rate for the year to 31 March 2019 is 17%.

Participating in a defined benefit pension scheme exposes the SSSC to the

following of risks:

• Investment risk: The fund holds investment in asset classes, such as

equities, which have volatile market values and while these assets are

expected to provide real returns over the long-term, the short-term

volatility can cause additional funding to be required if a deficit

emerges.

• Interest rate risk: The fund’s liabilities are assessed using market yields

on high quality corporate bonds to discount future liability cashflows.

89

As the fund holds assets such as equities the value of the assets and

liabilities may not move in the same way.

• Inflation risk: All of the benefits under the fund are linked to inflation

and so deficits may emerge to the extent that the assets are not linked

to inflation.

• Longevity risk: In the event that the members live longer than assumed

a deficit will emerge in the fund. There are also other demographic

risks.

In addition, as many unrelated employers participate in the Tayside Pension

Fund, there is an orphan liability risk where employers leave the fund but with

insufficient assets to cover their pension obligations so that the difference may

fall on remaining employers.

All of the risks above may also benefit the employer e.g. higher than expected

investment returns or employers leaving the fund with excess assets which

eventually get inherited by the remaining employers.

The SSSC’s share of the underlying assets and liabilities have been separately

identified on the following basis:

5a Employee benefits – Statement of Financial Position recognition

As at 31 March 2018

As at 31 March 2017

£000 £000 Present value of funded obligation 38,999 35,936 Fair value of scheme assets (bid value) 33,767 26,210 Net liability 5,232 9,726 Present value of unfunded obligation 386 442 Net liability in Statement of Financial

Position

5,618

10,168

90

5b Statement of Comprehensive Net Expenditure costs for the year to 31

March 2018

The amounts recognised in the Statement of Comprehensive Net Expenditure

are as follows:

Table 1: £000 £000 £000 £000Service costs 2,293 1,959

Administration expenses 8 8

Net interest on defined liability/(asset) 268 194

(5) 4

Return on plan assets in excess of interest (725) (3,957)

Other actuarial (losses)/gains on assets (4,676) 0

Change in financial assumptions (1,988) 7,517

Change in demographic assumptions (1,918) 0

Experience loss/(gain) on defined benefit obligation 3,413 (2)

Total re-measurements (5,899) 3,562

Total (3,330) 5,723

Actual return on scheme assets (1,478) (4,746)

Difference between actual employer’s contributions plus unfunded payments and actuarial assumptions

Year to 31 March 2017


The SSSC recognises the cost of retirement benefits in the reported operating

cost when they are earned by employees, rather than when the benefits are

eventually paid as pensions. However, the charge required to be made under

the SSSC’s funding rules is based on the cash payable in the year. This

requires the real cost of post-employment/retirement benefits to be reversed

out of the General Reserve via the Statement of Changes in Taxpayers’ Equity.

The following transactions have been applied to the Statement of

Comprehensive Net Expenditure and the General Reserve via that Statement of

Changes in Taxpayers’ Equity during the year.

Table 2: 2017/18 2016/17

Actuarial adjustments are made for: note £000 £000

Staff costs 3b 1,073 732

Administration expenses 5b table 1 8 8

Net interest on defined liability/(asset) 5b table 1 268 194

Total re-measurements 5b table 1 (5,899) 3,562

Total actuarial adjustments (4,550) 4,496

91

5c Benefit obligation reconciliation for the year to 31 March 2018

Changes in the present value of the defined benefit obligations are as follows:



£000 £000 £000 £000

Opening defined benefit obligation

36,378

25,724 Current service costs 2,293 1,716 Past service costs including curtailments 0 243 Interest costs 1,021 983 Estimated benefits paid net of transfers in (248) (236) Contributions by scheme participants 454 453 Unfunded pension payments (20) (20) Total scheme transactions 186 197 Change in financial assumptions (1,988) 7,517 Change in demographic assumptions

Experience loss/(gain) on defined benefit obligation

(1,918)

3,413

0

(2)

Total actuarial (gains)/losses (493) 7,515 Closing defined benefit obligation 39,385 36,378 5d Fair value of fund assets reconciliation for the year to 31 March 2018

Changes in the fair value of fund assets are as follows:

Year to

31 March 2018 Year to

31 March 2017 £000 £000 £000 £000

Opening fair value of fund assets 26,210 20,052 Interest on assets 753 789 Estimated benefits paid plus unfunded net

of transfers in

(268)

(256)

Contributions by employer including unfunded

1,225

1,223

Contributions by scheme participants 454 453 Total scheme transactions 1,411 1,420 Return on assets less interest 725 3,957 Other actuarial gains

Administration expenses 4,676

(8) 0

(8) Closing fair value of fund assets 33,767 26,210

92

5e Projected pension expense for the year to 31 March 2019

Projected pension expense


£000 Service cost 2,378 Net Interest on the defined liability/(asset) 130 Administration expenses 11 Total 2,519 Employer contributions 1,158

Note that these figures exclude the capitalised cost of any early retirements or

augmentations which may occur after 31 March 2018.

5f SSSC fund assets

The table below provides details of the estimated asset allocation of the fund

for the SSSC.

31 March 2018 31 March 2017 Asset share – bid value £000 % £000 % Equities 23,339 69% 18,869 72% Gilts 1,790 5% 1,737 7% Other bonds 3,909 12% 2,585 10% Property 3,979 12% 2,586 10% Cash 746 2% 433 1% Alternatives 4 0% - - Total 33,767 100% 26,210 100%

The SSSC’s share of the assets of the fund is approximately 1%.

5g Financial assumptions as at 31 March 2018

The financial assumptions used for IAS 19 calculations are below. These

assumptions are set with reference to market conditions at 31 March 2018.

The estimate of the duration of the employer’s past service liabilities is 25

years.

An estimate of the employer’s cashflows is made using notional cashflows

93

based on the estimated duration. These estimated cashflows are then used to

derive a Single Equivalent Discount Rate (SEDR). The discount rate derived is

such that the net present value of the notional cashflows, discounted at this

single rate, equates to the net present value of the cashflows, discounted

using the annualised Merrill Lynch AA rated corporate bonds yield curve

(where the spot curve is assumed to be flat beyond the 30 year point). The

approach has changed from the “spot rate” approach adopted at the previous

accounting date to reflect national auditor preferences.

Similarly, the approach used to derive the discount rate, the Retail Price Index

(RPI) increase assumption is set using a Single Equivalent Inflation Rate

(SEIR) approach, using the notional cashflows described below. The single

inflation rate derived is that which gives the same net present value of the

cashflows, discounted using the annualised Merrill Lynch AA rated corporate

bond yield curve, as applying the BoE implied inflation curve. As above, the

Merrill Lynch AA rated corporate bond yield spot curve is assumed to be flat

beyond the 30 year point and the BoE implied inflation spot curve is assumed

to be flat beyond the 40 year point. The approach has changed from the “spot

rate” approach adopted at the previous accounting date to reflect national

auditor preferences.

As future pension increases are expected to be based on Consumer Price

Index (CPI) rather than RPI, CPI is assumed to be 1.0% below RPI i.e. 2.3%

per annum. The actuary believes this is a reasonable estimate for the future

differences in the indices, based on the different calculation methods and

recent independent forecasts. This is a slightly higher deduction than at the

last accounting date where we assumed that CPI was 0.9% lower than RPI.

Salary increases are assumed to be 1.0% per annum above CPI in addition to

a promotional scale.

Assumptions at:

31 March 2018

31 March 2017

31 March 2016

% p.a. % p.a. % p.a. Discount rates 2.6% 2.8% 3.8% Pensions increases 2.3% 2.7% 2.5% Salary increases 3.3% 3.7% 4.3%

94

5h Demographic/statistical assumptions

A set of demographic assumptions that are consistent with those used for the

most recent funding valuation, which was carried out as at 31 March 2017 have

been adopted. The post retirement mortality tables adopted are the S2PA

tables with a multiplier of 130%. These base tables are then projected using

the CMI 2016 Model, allowing for a long-term rate of improvement of 1.5% per

annum with a smoothing parameter of 7.5.

The assumed life expectations from age 65 are shown below:

Life expectancy from age 65

31 March 2018 years

31 March 2017 years

Retiring today Males 20.3 21.4 Females 22.2 23.5 Retiring in 20 years Males 22.1 23.7 Females 24.1 25.8 The following assumptions have been made:

• Members will exchange half of their commutable pension for cash at

retirement,

• Members will retire at one retirement age for all tranches of benefit,

which will be the pension weighted average tranche requirement age,

and

• It is assumed that opted-in active members will continue to pay 50% of

contributions for 50% of benefits under the new scheme.

95

5i Sensitivity analysis

The following table sets out the impact of a change in the discount rates on the

defined benefit obligation and projected service cost along with a +/- 1 year age

rating adjustment to the mortality assumption.

£000 £000 £000

Adjustment to discount rate +0.1% 0.0% -0.1% Present value of total obligation 38,428 39,385 40,366 Projected service cost 2,310 2,378 2,448

Adjustment to long term salary increase +0.1% 0.0% -0.1% Present value of total obligation 39,539 39,385 39,232

Projected service cost 2,379 2,378 2,377 Adjustment to pension increases and deferred revaluation

+0.1%

0.0%

-0.1%

Present value of total obligation 40,214 39,385 38,577 Projected service cost 2,447 2,378 2,311

Adjustment to life expectancy assumptions +1 year None -1 year

Present value of total obligation 40,787 39,385 38,032 Projected service cost 2,454 2,378 2,304

6 Analysis of operating costs 6a

2017/18 2016/17Operating expenditure £000 £000Supplies and services 2,472 1,449Administration costs 1,419 1,578Property costs 780 780Transport costs 210 233Depreciation and amortisation of assets 10 199Pension administration costs (IAS 19) 8 8Changes in debt impairment allowance 15 20

4,914 4,267 The above total includes £19.2k (2016/17: £18.9k) for external auditor’s

remuneration. External audit did not receive any fees in relation to non-audit

work.

96

6b Analysis of disbursements

During 2017/18 postgraduate bursaries totalling £2.574m (2016/17: £2.591m)

were managed by the SSSC. Of this £1.554m (2016/17: £1.582m) was paid

directly to students undertaking postgraduate social work training and £1.020m

(2016/17: £1.009m) to universities for tuition fees.

A total of £2.317m (2016/17 £2.306m) was paid to universities to support

practice learning opportunities during the year.

In 2017/18 the SSSC took over responsibility for administering the Voluntary

Sector Development Fund (VSDF) on behalf of the Scottish Government. A total

of £1.046m was paid to voluntary organisations to provide training for support

workers in housing support and care at home services.

Disbursements totalling £0.162m were paid in 2017/18. Scottish Care received

£0.080m for Workforce Development Matters activity and the Coalition of Care

and Support Providers in Scotland (CCPS) received £0.070m for workforce

development training and learning support activity. We contributed £0.012m to

the Skills for Care and Development Partnership.

Disbursements totalling £0.051m were paid in 2016/17. Glasgow Caledonian

University received £0.038m to Evaluate the Chief Social Work Officer Award

and support students undertaking the Chief Social Work Officer programme. We

contributed £0.008m to the Skills for Care and Development Partnership and

£0.005m to the University of Edinburgh for research on child protection in

Scotland.

97

7 Property, plant and equipment

Total£000 £000 £000

Cost or valuation:At 1 April 2017 145 154 299Additions 0 0 0Disposal/de-recognition 0 0 0At 31 March 2018 145 154 299

Depreciation:At 1 April 2017 145 107 252Charged in year 0 10 10Disposal/de-recognition 0 0 0At 31 March 2018 145 117 262

Net book value:At 31 March 2018 0 37 37

At 31 March 2017 0 47 47

Total£000 £000 £000

Cost or valuation:At 1 April 2016 145 154 299Additions 0 0 0Disposal/de-recognition 0 0 0At 31 March 2017 145 154 299

Depreciation:At 1 April 2016 145 97 242Charged in year 0 10 10Disposal/de-recognition 0 0 0At 31 March 2017 145 107 252

Net book value:At 31 March 2017 0 47 47

At 31 March 2016 0 57 57

Plant & equipment

Furniture & fittings

Plant & equipment

Furniture & fittings

98

8 Intangible assets

Informationtechnology

£000Cost or valuation:At 1 April 2017 1,071Additions 0Disposal/de-recognition 0At 31 March 2018 1,071

Amortisation:At 1 April 2017 1,071Charged in year 0Disposal/de-recognition 0At 31 March 2018 1,071

Net book value:At 31 March 2018 0

At 31 March 2017 0

Informationtechnology

£000Cost or valuation:At 1 April 2016 1,071Additions 0Disposal/de-recognition 0At 31 March 2017 1,071

Amortisation:At 1 April 2016 882Charged in year 189Disposal/de-recognition 0At 31 March 2017 1,071

Net book value:At 31 March 2017 0

At 31 March 2016 189

99

9 Trade and other receivables

9a

Amounts falling due within one yearPrepayments and accrued income 574 551Trade receivables 381 176Other receivables 75 37Total unimpaired receivables 456 213

1,030 764

Amounts falling due after more than one yearPrepayments 5 14

Total trade and other receivables 1,035 778

Restated2017/18

£0002016/17

£000Summary of trade and other receivables

Trade and other receivables are non-interest bearing. Credit terms are generally

30 days. Trade and other receivables are recorded at fair value, reduced by

appropriate allowances for estimated irrecoverable amounts. There are no

amounts receivable after more than one year.

The 2016/17 accounts were restated to remove £444k of postgraduate bursary

expenditure which was incorrectly treated as a debtor when this should have

reduced the creditors balance. There is a corresponding adjustment to trade

and other payables (note 11).

9b 2017/18 2016/17Provision for impairment of receivables £000 £000As at 1 April (34) (15)Charge for the year (172) (142)Unused amounts reversed 6 2Uncollectable amounts written off 150 121As at 31 March (50) (34)

As at 31 March 2018, trade and other receivables of £50k (2016/17: £34k) were

past due and impaired. The amount of the provision is £50k (2016/17: £34k).

The ageing analysis of these receivables is as follows:

100

2017/18 2016/17Aged analysis of past due and impaired receivables £000 £000Up to 3 months past due 34 223 to 6 months past due 4 2Over 6 months past due 3 6Over 12 months past due 9 4

50 34

As at 31 March 2018, trade and other receivables of £456k (2016/17: £213k)

were due but not impaired. The ageing analysis of these receivables is as

follows:

2017/18 2016/17

Aged analysis of unimpaired receivables due £000 £000Not yet due 342 183Up to 3 months past due 90 143 to 6 months past due 18 6Over 6 months past due 4 5Over 12 months past due 2 5

456 213

9c Restated

2017/18 2016/17Analysis of trade and other receivables £000 £000

Amounts falling due within one yearBodies external to Government 979 734Other Government bodies 49 28Local authorities 2 2

1,030 764

Amounts falling due after more than one yearBodies external to Government 5 14

Total trade and other receivables 1,035 778

101

10 Cash and cash equivalents

2017/18 2016/17£000 £000

Balance as at 1 April 3,995 3,306Net change in cash and cash equivalent balances 1,597 689Balance as at 31 March 5,592 3,995

The following balances as at 31 March were held at:Government banking service 5,592 3,962Commercial banks and cash in hand 0 33Balance as at 31 March 5,592 3,995

11 Trade and other payables

11a Restated2017/18 2016/17

Summary of trade and other payables £000 £000Amounts falling due within one yearTrade payables 2,561 2,137Accruals and deferred income 2,116 1,043Other taxation and social security 171 178Other payables 251 312VAT 12 9Total trade and other payables 5,111 3,679

11b Restated

2017/18 2016/17Analysis of trade and other payables £000 £000Amounts falling due within one yearBodies external to Government 3,192 2,039Higher education institutes (HEIs) 1,220 1,167Other Government bodies 547 208Local authorities 152 265Total trade and other payables 5,111 3,679

Payables and receivables for 2016/17 were restated. The 2016/17 accruals and deferred income figure was reduced by £444k because expenditure was incorrectly treated as a debtor when this should have reduced the creditors balance. There is a corresponding adjustment to trade and other receivables (note 9).

11c A provision for a liability of £25k was created as at 31 March 2018 in relation to a

potential settlement agreement arising from an employment tribunal claim raised against the SSSC in December 2017.

102

Provision for liabilities

2017/18 £000

As at 1 April 0 Addition 25 Amounts charged against the provision 0 Closing balance 25

12 Sources of financing

2016/17Total Ref/ Revenue Capital Total£000 General Reserve note £000 £000 £000

1,029 Opening balance 1,094 47 1,141

(19,405) (deficit) for the year SCNE (11,115) (10) (11,125)

4,496Pension adjustments and re-measurements 5b (4,550) 0 (4,550)

15,021 Grants and grant in aid 13a 16,423 0 16,423

1,141 Closing balance 1,852 37 1,889

2017/18

13 Government funding

13a 2017/18 2016/17Grants and grant in aid £000 £000Grant in aid 14,348 14,208Voluntary Sector Development Fund 1,050 0Workforce development grant 401 347Self-directed support grant 363 268Promoting excellence: dementia strategy 164 165Enhanced learning and CPD within childcare sector 50 0Leadership and integration in primary care 27 29Development of a smartphone app on child development 20 0Development of framework for Foster Carers in Scotland 0 4

Total funding from Government 16,423 15,021 All grant conditions have been met. The amounts in the table reflect grants

drawn down, net of any repayments. Therefore, as at 31 March 2018 no grants

are due for repayment.

103

13b 2017/18 2016/17Grant in aid analysis £000 £000Approved grant in aid from Scottish Government 14,348 13,508Grant drawndown during the year 14,348 14,208Additional grant in aid approved during the year 0 700

14

Capital commitments

There were no capital commitments as at 31 March 2018.

15 Commitments under leases 15a Operating leases Commitments under operating leases to pay rentals during the year following

the year of these accounts are given in the table below, analysed according to the period in which the lease expires.

Obligations under operating leases comprise:

2017/18 £000

2016/17 £000

Buildings:

within 1 year 765 777 within 2 to 5 years 3,059 3,110 beyond 5 years 42 819 3,866 4,706 Other: within 1 year 492 492 within 2 to 5 years 0 0 beyond 5 years 0 0 492 492

Other leases comprise the charges from the Care Inspectorate for information

and communications technology services.

15b

Finance leases

There are no obligations or commitments under finance leases.

16 Contingent liability

There were no contingent liabilities as at 31 March 2018.

104

17 Related-party transactions

The SSSC is a Non-Departmental Public Body (NDPB) sponsored by the Office

of the Chief Social Work Adviser of the Children and Families Directorate of the

Scottish Government. The SSSC has shared service arrangements with the

Care Inspectorate 2017/18 £1,421k (2016/17 £1,235k). Both Scottish

Government and the Care Inspectorate are regarded as related parties with

which the SSSC has had various material transactions during the year.

A Register of Interests is maintained and updated annually. None of the Council

Members, key managerial staff or other related parties has undertaken

material transactions with the SSSC during the year.

18 Post statement of financial position events

An employment tribunal claim was raised against the SSSC in December 2017.

The tribunal claim was settled during August 2018 and a provision of £25k is

included in the Statement of Financial Position in expectation of the settlement

payment. There were no other events after the Statement of Financial

Position date relating to the 2017/18 financial year.

105

Appendix 1 SCOTTISH SOCIAL SERVICES COUNCIL Scottish Government Logo –(to be inserted in printed version) DIRECTION BY THE SCOTTISH MINISTERS 1. The Scottish Ministers, in pursuance of paragraph 9(1) of Schedule 2 to

the Regulation of Care (Scotland) Act 2001, hereby give the following direction.

2. The statement of accounts for the financial year ended 31 March 2006,

and subsequent years, shall comply with the accounting principles and disclosure requirements of the edition of the Government Financial Reporting Manual (FReM) which is in force for the year for which the statement of accounts are prepared.

3. The accounts shall be prepared so as to give a true and fair view of the

income and expenditure and cash flows for the financial year, and of the state of affairs as at the end of the financial year.

4. This direction shall be reproduced as an appendix to the statement of

accounts. The direction given on 25 November 2001 is hereby revoked.

Signed by the authority of the Scottish Ministers Dated: 16 January 2006

106

© 2018 Grant Thornton UK LLP | Scottish Social Services Council | September 2018

Scottish Social Services Council (SSSC)

External Audit Annual Report to the Accountable Officer and the Auditor

General for Scotland for the financial year ended 31 March 2018

Final Report 26 September 2018 (Draft)

Cover page

Joanne Brown

Engagement Leader

Angelo Gustinelli

External Audit

Manager

Council 23 October 2018

Agenda item: 05.2

© 2018 Grant Thornton UK LLP | Scottish Social Services Council | September 2018 2

Our audit at a glance

An audit

underpinned by quality

Significant audit risks are: management

override of controls; and the risk of fraud

in revenue and expenditure as set out in

International Auditing Standards (ISAs

UK) and Practice Note 10.

Our risk assessment remained unchanged

and we did not identify any adjustments in

these three areas in our work.

A wider scope audit for SSSC, as set out in our plan, was

considered not appropriate. However we have considered your

financial arrangements and future direction.

SSSC achieved a net surplus of £0.397 million against a budgeted

deficit of £0.270 million. SSSC have a financial strategy in place

which provides a framework to enable the SSSC’s resources to be

managed and prioritised effectively. This will help to ensure the

SSSC’s viability and sustainability. SSSC are currently

implementing a digital transformation programme based on their

Digital Strategy.

[THIS SECTION OF THE REPORT TO BE UPDATED POST

REVIEW OF FINANCE PAPER AND DIGITAL

CONVERSATIONS}

We have fulfilled our responsibilities per

International Standards of Auditing (ISAs)

(UK) and the Audit Scotland Code of Audit

Practice throughout our work and this final

report to the Accountable Officer and the

Auditor General for Scotland concludes

our work.

Our work was undertaken in accordance

with our agreed timetable. The draft

financial statements produced by

management were of a high standard with

complete information and good supporting

working papers. We thank management

for their support and assistance during our

work

We have built on our relationship with

SSSC management during the year and

this has ensured an efficient audit process

to allow for the audit to be concluded on a

timely basis. Our audit opinion for the

financial year 2017/18 is unqualified.

Materiality has been updated based on

the unaudited 2017/18 financial

statements to £330,000 (1.5% of gross

2017/18 expenditure).

Performance materiality is £248,000 and

we have reported to management

everything identified over £16,500 (5% of

materiality).


Section Page

1. Introduction 4

2. The Financial Statements Audit 5

3. Financial arrangements and future direction 9

Appendices:

1. Audit adjustments 11

2. Action plan and follow up of 2016/17 recommendations 12

3. Fees, independence and fraud 13

4. Communication of audit matters with the Accountable Officer 14

Contents

Adding value through our external audit work

First and foremost our objective is to ensure we deliver a quality external audit which fully complies with

International Standards of Auditing (ISAs) UK and the Audit Scotland Code of Practice (2016). By ensuring our

audit is efficient and effective, gives you assurance over our opinion.

Through this Annual Report we seek to provide insight and commentary over certain aspects of SSSC’s

arrangements, sharing relevant practices with the Audit Committee and Management.

We have continued to build on our working relationship with management and our understanding of SSSC as an

organisation. During the year we have shared relevant publications with management, in particular from Audit

Scotland, and also supported with any technical queries.

Lastly we are committed to audit quality. We shared the Audit Scotland Audit Quality Annual Report at the

September Audit Committee and in addition to the financial statements audit we shared good practice on the

front end of the SSSC accounts.


This report is a summary of our findings from our

external audit work for the financial year ended 31 March

2018.

Our work has been undertaken in accordance with

International Standards of Auditing (ISAs) (UK) and the

Audit Scotland Code of Audit Practice 2016.

Our report is addressed to Lorraine Gray as SSSC

Accountable Officer, in respect of her role as set out and

agreed with Scottish Ministers. In addition, in

accordance with our reporting responsibilities the report

is jointly addressed to the Auditor General for Scotland.

Once finalised this report will be made publically

available on the Audit Scotland website (www.audit-

scotland.gov.uk)

Our report was presented as a draft to the SSSC Audit

Committee on 26 September 2018. Once all outstanding

matters are complete the report will be updated and

finalised. SSSC intend to take this report alongside the

final 2017/18 financial statements to the Council meeting

on 24 October 2018, and will then be signed for SSSC

on behalf of the Accountable Officer.

We would like to thank SSSC management and the

finance team for an effective year-end audit process and

all their support and assistance in the audit process.

Structure of this report

As set out in our Audit Plan (February 2018) we consider

in accordance with the Audit Scotland Code of Practice

that SSSC is a smaller body. Therefore full wider scope

is not appropriate. Our report concludes on our financial

statements audit and certain aspects of SSSC’s

arrangements as follows:

The Financial Statements Audit – Section 2

Financial arrangements and future direction – Section 3

Our Opinion

For the financial year ended 31 March 2018

we have issued an unmodified audit opinion

• True and fair view of the financial

statements

• Regularity – expenditure has been incurred

in accordance with the purpose of SSSC

• Other prescribed matters (which include

the audited information in the remuneration

report)

Introduction

The audit process

We received a complete set of financial

statements on 2 July 2018 including the

performance report, strategic report and

governance statement.

This was in line with the timetable we agreed.

The draft financial statements were supported

by good working papers and the audit was

efficient.

We identified no unadjusted differences to

report to the Audit Committee and the Council.

During the course of the audit it was noted that,

due to the actual asset returns not meeting the

actuaries estimation, the defined benefit net

pension liability were materially understated.

Management obtained a revised actuarial

valuation and adjusted the net defined pension

scheme liability.

We also noted the reclassification of a

contingent liability to a provision.

We identified minor disclosure enhancements

and these have been reflected in the financial

statements.

http://www.audit-scotland.gov.uk/




Internal control environment

During the year we sought to understand SSSC’s overall control environment (design) as related to the financial

statements. In particular we have:

• Considered procedures and controls around related parties, journal entries and other key entity level controls.

In particular placing reliance on the work of Audit Scotland in their role of Scottish Government external

auditors (key financial controls May 2018)

• Performed walkthrough procedures on key financial controls in particular journals, payroll and ledger controls

Our work over controls is limited to our ISA requirements in understanding an entities control environment. Our

audit is not controls based and we do not seek reliance over controls. Our audit is fully substantive based in

nature.

We identified no material weaknesses or areas of concern from this work which would have caused us to alter

the planned approach, set out in our plan.

Audit approach and materiality

Our audit approach was set out in our annual audit plan presented to the Audit Committee in February 2018.

Our materiality calculations, set out in our plan, were based on the audited 2016/17 financial statements, this

has been updated to reflect the unaudited 2017/18 financial statements. Overall materiality has been set at

£330,000 (1.5% of gross expenditure) and performance materiality is set at £248,000. (75% of materiality). We

report to management any audit difference identified over £16,500 (Trivial as 5% of materiality).

We did not identify any additional significant audit risks from those identified in our audit plan. Our work

completed in relation to the audit risks identified (management override of controls and risk of fraud in income

and expenditure) is set out on page 7.

• they give a true and fair view

• have been properly prepared in accordance with relevant legislation and standards

• the wider information contained in the financial statements e.g. Performance and Strategic

report

• regularity of expenditure

• audited parts of the remuneration and staff report have been prepared in accordance with the

guidance

Our audit work was completed in accordance with International Standards in Auditing (UK) (ISAs)

and the Audit Scotland Code of Audit Practice (May 2016). Based on our audit procedures

performed we have issued an unmodified audit opinion on the financial statements including:

The financial statements audit

Internal Audit

As set out in our external audit plan we have not placed formal reliance on the work of the Scott-Moncrieff,

SSSC’s internal audit provider. We reviewed the internal audit plan and individual reports issued to date, to

consider if any impact on our audit approach, with none being noted and all reports receiving substantive

assurance.

The opinion of internal audit for the year was reasonable assurance, which is consistent with prior year.

The findings of internal audit do not disagree with our knowledge and understanding of SSSC as an

organisation.


Narrative elements of your annual accounts

In accordance with our responsibilities we have reviewed your narrative aspects of the Annual Accounts and

Report. We have considered the consistency of this narrative with our understanding and the financial statements

and have set out our observations below. We have also audited the required information in the remuneration report

(marked audited) and have no matters we wish to bring to your attention.

Key aspects of your financial statements

As set out in our audit plan we consider particular aspects of your financial statements in relation to management

judgements including estimates and where management may have particular options or choices in what accounting

standards or disclosure requirements to apply. We have summarised where these apply, and our conclusions

below.

In relation to the audit risk of

fraud in respect of expenditure

and income, we tested SSSC’s

cut of arrangements in particular

(timing of transaction) and

identified no issues in accruals

or prepayments which would

indicate potential fraud.

There was a post balance

sheet event in relation to the

outcome of the employment

tribunal as discussed above.

6

Overall observations

• SSSC should to look at the “front end” of

the Annual Report and Accounts to

ensure it tells the story of SSSC as an

organisation including strategic priorities,

risks and challenges and opportunities.

• There is further opportunities to continue

to focus on the outcomes of SSSC as an

organisation and continue to make use of

graphics as appropriate.

Performance Report

• The performance report is in line with

our understanding of SSSC.

• The Accountable Officer’s statement

is detailed

• Risks are aligned to SSSC’s internal

risk reporting

Remuneration Report

• Has been prepared in accordance

with the Public Finance and

Accountability (Scotland) Act 2000

and directions thereunder

• The senior managers reflected in the

report have been correctly identified

in accordance with FReM

Governance Statement

• As required by the FReM the

Governance statement is included in the

Accountability report

• No material issues of governance in

year that are required to be reported

• The governance statement is in

accordance with the FReM

• The statement is supported by individual

assurances to the Accountable Officer

over internal controls

Annual report and

accounts include the

Performance report and

Accountability report

(including remuneration

and governance)

SSSC’s accounting policies are consistent with the FReM and are unchanged from prior year.

Overall the SSSC accounts are considered simple accounts with few areas of estimate or judgement.

In terms of uncertainties, there were contingent liabilities in the draft financial statements for an employment tribunal (£0.078

million) and potential exit costs in relation to the Digital Transformation projection (£0.700 million). Both of the aforementioned

contingent liabilities were adjusted for in the audited financial statements with the outcome of the employment tribunal known

as at August 2018, resulting in the creation of a Provision for £0.025 Million and the potential exit costs reducing to nil due to

the Scottish Government absorbing these costs.

Finally SSSC, as set out in the performance

and accountability reports, consider

themselves a going concern. They have

an agreed budget with the Scottish

Government for 2018/19 and have a

Strategic Plan, which covers SSSC’s three-

year vision and outcomes from 2017 to

2020 and Financial Strategy 2018-19 to

2024-25, although only receive a one year

budget settlement.

Given SSSC’s role as the regulator for the

social service workforce in Scotland, their

role is set out in Scottish legislation and we

have no reason to believe this legislation

will change. On this basis we agree with

managements assertion they meet the

going concern criteria.


Identified audit risks and our conclusions Within our annual external audit plan we identified significant audit risks and our planned approach. We have

set out below a summary of the work undertaken over these risks and our audit conclusions

Overview of our audit risks identified at planning and our proposed approach

Risk of fraud in revenue Risk of fraud in expenditure Management override of controls

Th

e R

isk

As set out in ISA 240, there is a

presumed risk that revenue may by

misstated due to improper recognition

of revenue. Grant Funding from the

Scottish Government is well forecast

and agreed directly to funding award

letters and is therefore inherently lower

risk of fraud. Our presumed risk

focuses on fees and charges We

consider the risk to be prevalent

around the year end and therefore

focus our audit work on transactions

around the year end.

Operating expenditure is understated

or not treated in the correct period (risk

of fraud in expenditure). As set out in

Practice note 10 (revised) which

applies to public sector entities.

As set out in ISA 240, across all

entities there is a presumed risk of

fraud being perpetrated by

management through its ability to

manipulate accounting records directly

or indirectly and prepare fraudulent

financial statements by overriding

controls that otherwise appear to be

operating effectively. override of

controls is present in all entities.

Ou

r p

lan

ne

d r

es

po

ns

e

• Walkthroughs of the controls and

procedures around material income

streams and validation of key

controls where appropriate

• Agree income in year to supporting

receipts/invoices/cash

• Consider income cut off

procedures and substantive testing

over pre and post year end

balances

• A focus on recoverability of

balances at the year end

• Perform cut off at year end on pre

and post year end transactions and

recording

• Walkthrough of the key expenditure

controls in place

• Regularity – Expenditure incurred

in accordance with the type/nature

of SSSC as an organisation

• A focus on understanding

how/where management override

of controls may occur

• Review of the controls over journal

entries

• Understanding key areas of

judgement and estimation within

the financial statements and the

basis for these judgements and the

application of accounting policies

• Reviewing unusual and/or

significant transactions

Ou

r C

on

clu

sio

ns

• Our walkthroughs did not identify

any significant control deficiencies

within the revenue processes.

• Our testing did not identify any

issues over the completeness and

accuracy of income.

• Our testing of cut-off confirmed

income transactions were treated

in the correct period.

• Our testing of grant income and

expenditure confirmed that

spending is in line with the

conditions of the grant as set out in

the award letters.

• We did not identify any incorrect

recording or classification of

operating expenditure in the annual

accounts based on our substantive

audit testing.

• Our testing of cut-off identified

transactions sampled were treated

in the correct period.

• Our testing confirmed expenditure

recorded in the annual accounts

was incurred in accordance with

the purpose and nature of SSSC

as an organisation and in

accordance with relevant laws and

regulations.

Given the nature of SSSC’s activities,

the key accounting estimate is the

contingent liabilities. We have reviewed

contingent liabilities at the year end

and these were adjusted for to

consider the outcome of an

employment tribunal and the position of

the Scottish Government around the

exit costs.

We made inquiries of those members

of staff who can post and authorise

journals related to inappropriate or

unusual activity with no concerns

noted. We confirmed completeness of

journals during the year, and targeted

large and/or unusual journals. We

noted no issues from our testing.

SSSC use the Scottish Government

accounting system (SEAS) We have

obtained assurance over these

arrangements through the report

provided by Audit Scotland over the

SEAS system, in their role as external

auditor for the Scottish Government.

Through our substantive audit testing,

we did not identify any significant or

unusual transactions that are out with

the normal course of business.


Other key areas of the financial statements

Overview of other areas of audit focus identified at

planning and our proposed approach

Pension scheme liabilities

Th

e R

isk

SSSC participate in the Tayside Superannuation Fund defined benefit

pension scheme. SSSC recognises its share of the defined benefit

pension scheme assets and liabilities. These are valued through an

actuarial valuation. As at 31 March 2017 SSSC recognised a net

pension liability of £10.168 million.

While we have no underlying concerns around the historic accounting

treatment, given the scale of the liability recognised and level of

judgement in the assumptions used in the actuarial valuation the

pension scheme liability is an area of increased inherent risk.

Management obtain an independent actuarial valuation to support the

year end balance and we have no underlying concerns around the

basis of the approach adopted in previous years.

Ou

r re

sp

on

se

• Review of accounting treatment adopted by SSSC for post

employment benefits and confirm that it complies with the FReM

and IAS 19: Employee benefits.

• Confirming that the valuation is consistent with the actuaries’

valuation and that the actuarial assumptions underpinning the

valuation are reasonable and reflective of SSSC’s circumstances.

Ou

r c

on

clu

sio

n

• We have confirmed that the accounting treatment adopted by

SSSC is in line with the FReM and appropriate.

• We have confirmed the numbers and disclosures are in line with

the updated actuarial assumptions, however the numbers were

subject to a late adjustment.

• The SSSC share of defined benefit pension scheme assets and

liabilities is estimated through an annual actuarial valuation. The

actuarial valuation provides an estimate of the SSSC future net

pension obligations as at the balance sheet date. The scheme

assets are estimated by the actuary based on market valuations as

at 28 February 2018 with forecast position based on expected

return on investments to 31 March 2018. Due to actual asset

returns not achieving the actuaries estimation, within the draft

accounts, the SSSC share of the total Tayside Pension Fund

assets were overstated by £0.361 million, resulting in

understatement of the net pension liability.

• Management obtained a revised actuarial valuation to reflect actual

asset values held at 31 March 2018 and the financial statements

were adjusted accordingly (see Audit Adjustments, page 12).

As part of our audit there were other key areas of focus during the course of our audit. Whilst not considered a

significant risk, these are areas of increased risk due to their complexity or magnitude.


Financial arrangements and future direction

SSSC’s

financial

position

The main financial objectives of SSSC are to continue to meet its operational

requirements, and minimise the risk of SSSC being unable to meet its strategic

objectives as a result of insufficient resourcing. SSSC’s budget is funded mainly by a

mixture of grant in aid, specific grants from the Scottish Government and fees paid by

registrants.

In 2017/18, SSSC had total comprehensive net expenditure before government

funding of £11.100 million and total grant funding of £16.423million. SSSC achieved a

net surplus of £0.397 million against a budgeted deficit of £0.270 million, showing an

underspend of £0.692 million.

The Statement of Financial Position shows a net liability position of £3.729 million

which has reduced from £9.027 million in 2016/17, with the majority of which is

attributable to the significant decrease in the pensions liability. A significant proportion

of SSSC’s expenditure in 2017/18 relates to staff costs (£11.045 million) and, similar to

other public sector entities, the pension liability is a material figure. However, it is not

expected that the Scottish Government will withdraw support for the pension liability.

SSSC Vision

2020

The SSSC has a Strategic Plan, which covers SSSC’s three-year vision and outcomes

from 2017 to 2020. The SSSC Vision focuses on how their work allows the people of

Scotland to rely on social services being provided by a trusted, skilled and confident

workforce.

SSSC Vision highlights their Strategic outcomes; The right people are on the Register;

SSSC standards lead to a safe and skilled social service workforce; SSSC resources

support the professional development of the social service workforce; SSSC

stakeholders value our work

Key observations

SSSC’s workforce is its largest cost. Between 2017-2020, registration numbers are expected to rise, which will put additional pressure on SSSC’s resources and workforce.

Given that 50% of the cost base is staff costs, there is little room for efficiency savings to be made, particularly as staffing needs to increase in order to maintain capacity to provide services. In addition, a pay rise of 1% has been budgeted for 2018/19. Each 1% increase in the pay award to staff costs an additional £0.105 million

Workforce planning is an ongoing process that an organisation carries out to match its workforce to its desired organisational objectives and outcomes. The SSSC needs to understand its current staff profile and how it is currently deployed, identify the mix and numbers and types/skills of staff needed in the future and develop plans to move towards the desired workforce shape and size. An update of the current workforce plans will be carried out in 2018/19.

Workforce

Other SSSC

Matters

SSSC are currently implementing a digital transformation programme based on their

Digital Strategy, to help facilitate the streamlining of their work. SEQUENCE has been

an important contributor to the efficiencies regime so far and the addition of case

management functionality means SSSC should be able to anticipate further efficiencies

and business improvements.

Whilst a relatively simple budget setting exercise it does raise risks around future financial sustainability and ability to invest in future activities.

The financial

constraints are

recognised and

SSSC are producing

a long term financial

plan and continue to

discuss with

Government.

We will continue to monitor the workforce plans for SSSC during our 2018/19 external audit.

SSSC Council should

continue to develop

solutions to the

challenges they face.

Finances –

The future

The Scottish Social Services Council has a Draft Financial Strategy 2018-19 to 2024-

25 which was considered by the Resources Committee at its meeting in June 2018.

The financial strategy provides a framework to enable the SSSC’s resources to be

managed and prioritised effectively. This will help to ensure the SSSC’s viability and

sustainability.

The outline models that combine the current 3 year budget with the extended forecasts

to 2024/25 show a funding deficit of £0.895 million in 2024/25. There are many

variables that could affect this figure e.g. if there is a 3% reduction in assumed grant in

aid from 2021/22 onwards, the deficit increases to £2.643 million in 2024/25.

We will consider the

2020 strategy and

the progress during

our 2018/19 external

audit.


ICT Digital

project and

shared

service

arrangement

with the

Care

Inspectorate

[THIS SECTION OF THE REPORT TO BE UPDATED POST REVIEW OF FINANCE PAPER AND

DIGITAL CONVERSATIONS}

Key observations

© 2018 Grant Thornton UK LLP | Scottish Social Services Council | September 2018

Appendices

Independence, fees and fraud responsibilities

Communication of audit matters with the Accountable Officer

Action plan and follow up of 2016/17 recommendations

Audit adjustments


Audit adjustments

Uncorrected and corrected misstatements

We are pleased to report that there were no uncorrected misstatements to the financial statements arising

during our audit.

There were a number of minor (not material) adjustments between the first set of unaudited accounts we

received to audit and the final version. These were primarily in relation to late allocation adjustments between

the draft trial balance. The adjustments made are detailed below;

Disclosure misstatements

In accordance with auditing standards we are required to highlight significant disclosure misstatements to allow

Audit Committees to evaluate the impact of these matters on the financial statements. There were no

material/significant disclosure misstatements identified we wish to bring to your attention.

Item

Dr

(£’000)

(Cr)

(£’000) Description

1 Contingent Liability (Tribunal) 78 Contingent liabilities for an employment

tribunal (£0.078 million) and potential

exit costs in relation to the Digital

Transformation projection (£0.700

million) were adjusted for in the audited

financial statements with the outcome

of the employment tribunal known as at

August 2018, resulting in the creation

of a Provision for £0.025 Million and the

potential exit costs reducing to nil due

to the Scottish Government absorbing

these costs. This was changed as

more information became available not

as a result of audit findings.

Expense (78)

2 Provision (Tribunal) (25)

Expense 25

3 Contingent Liability (Exit Cost) 700

Expense (700)

4 Other operating income (Pension

reserve) 361 Adjustment to recognise defined benefit

pension scheme net liability actuarial

estimation difference. Defined benefit pension liability (361)


Action plan and follow up of 2016/17

external audit recommendations We have set out below, based on our audit work undertaken in 2017/18, those risks and recommendations we

consider are of a higher risk to SSSC that Management may wish to consider in the future. We have also

completed follow up of our 2016/17 recommendations and this is reflected below for information.

Recommendation from 2016/17 audit Agreed management response

Year end accounts timetable

As in previous years we undertook our external audit work

over the first three weeks of July. The Accounts are not

approved by the Council until October so there is either scope

to move the audit process to later on, or for the Council to

sign the accounts earlier. This would be a decision for

Management and the Audit Committee to consider.

Risk: A subsequent event happens post audit and before

signing which could require substantial changes the accounts.

The previous year accounts are still being considered 6

months into the new financial year, and resources directed to

audit could be directed to future year budget setting

Management update:

Management and the Audit Committee

considered the audit timetable within the

context of when the Council approve the

accounts and agreed that the timetable

should remain the same.

Action owner:

Head of Finance and Corporate

Governance.

Timescale for implementation:

Complete.

Annual report

The performance analysis contains a lengthy narrative around

performance, which are difficult to interpret and understand.

Including a snapshot of performance and key

statistics/performance outcomes during the year would

provide the users of the accounts with an overview of

performance and enhance understandability.

Risk: The overall readability and understandability of the

financial statements is diminished, as it is difficult to interpret

performance against targets and strategic outcomes.

Management update:

We have made progress in 2017/18 to bring

the document in line with the FREM. We

are working towards a more summarised

document for 2018/19 and plan to include

more infographics and data visualisation

Action owner:

Head of Performance and Improvement.


On-going.

ICT Digital project and shared service arrangement with

the Care Inspectorate

[THIS SECTION OF THE REPORT TO BE UPDATED POST

REVIEW OF FINANCE PAPER AND DIGITAL

CONVERSATIONS}

Management update:

#

Action owner:

#


#


The audit fee was calculated in accordance with guidance

issued by Audit Scotland and agreed with Management.

The above fee has not changed and our final fee was £19,180

Independence and ethics

We confirm that there are no significant facts or matters that

impact on our independence as auditors that we are required

or wish to draw to your attention.

We have complied with the Auditing Practices Board's Ethical

Standards and therefore we confirm that we are independent

and are able to express an objective opinion on the financial

statements.

We confirm that we have implemented policies and procedures

to meet the requirements of the Auditing Practices Board's

Ethical Standards.

We are required by auditing and ethical standards to

communicate any relationships that may affect the

independence and objectivity of the audit team.

We can confirm no independence concerns have been

identified.

Fees, independence, fraud arrangements

External Audit Fee

Fees for other services

Service Fees £

We can confirm there are no non-audit fees

for the 2017/18 financial year

Nil

Service Fees £

External Auditor Remuneration 14,700

Pooled Costs 3,580

Contribution to Audit Scotland costs 900

Contribution to Performance Audit and Best Value 0

2017-18 Fee 19,180

In assessing our audit risks, the audit team was alert to the

possibility of fraud at SSSC.

As part of our audit work we are responsible for:

• identifying and assessing the risks of material

misstatement of the financial statements due to fraud in

particular in relation to management override of controls.

• Leading a discussion with those charged of governance

(for SSSC this is assumed to be the Audit Committee) on

their view of fraud. We did this when presenting our audit

plan and in the form of management and those charged

with governance questionnaires which were received in

July 2018.

• designing and implementing appropriate audit testing to

gain assurance over our assessed risks of fraud

• responding appropriately to any fraud or suspected fraud

identified during the audit. – None were identified in-year

As auditors we obtain reasonable but not absolute assurance

the financial statements as a whole are free from material

misstatement, whether due to fraud or error.

We will obtain annual representation from management

regarding managements assessment of fraud risk, including

internal controls, and any known or suspected fraud or

misstatement.

Fraud arrangements

It is SSSC’s responsibility to establish arrangements to

prevent and detect fraud and other irregularity. This includes:

• developing, promoting and monitoring compliance with

standing orders and financial instructions

• developing and implementing strategies to prevent and

detect fraud and other irregularity

• receiving and investigating alleged breaches of proper

standards of financial conduct or fraud and irregularity.

Throughout the audit we worked with SSSC to review specific

areas of fraud risk, including the operation of key financial

controls.

We also examined certain policies in place, strategies,

standing orders and financial instructions, as relevant to the

fraud framework, to ensure that they provide a reasonable

framework of internal control.

No suspected frauds or irregularities have been identified by

Management and reported in-year.


Communication of audit matters with the

Accountable Officer

International Standards on Auditing (UK) (ISA) 260, as well as other ISAs, prescribe matters which we are required to

communicate with those charged with governance, and which we set out in the table above.

We communicate any adverse or unexpected findings affecting the audit on a timely basis, either informally or via a report to

SSSC Management and the Audit Committee.

Our communication plan

Audit

Plan

Audit

Findings

Respective responsibilities of auditor and management/those charged with governance Overview of the planned scope and timing of the audit, including planning assessment of audit risks and wider

scope risks

Confirmation of independence and objectivity

We are independent of SSSC and have not identified any conflicts of interest

A statement that we have complied with relevant ethical requirements regarding independence. Relationships and

other matters which might be thought to bear on independence. Details of non-audit work performed by Grant

Thornton UK LLP and network firms, together with fees charged. Details of safeguards applied to threats to

independence

We have not incurred any non-audit fees during the year and no threats to independence identified

Significant matters in relation to going concern

No significant going concern matters identified

Views about the qualitative aspects of SSSC accounting and financial reporting practices, including accounting

policies, accounting estimates and financial statement disclosures

Set out in the Financial statements section of our report

Significant findings from the audit

No significant findings from our audit

Significant matters and issues arising during the audit and written representations that have been sought

Letter of representation will be shared and signed by the Accountable Officer when signing the financial

statements. This is our standard, unmodified letter of representation.

Significant difficulties encountered during the audit

No difficulties encountered

Significant deficiencies in internal control identified during the audit

None identified

Significant matters arising in connection with related parties

None identified

Identification or suspicion of fraud involving management and/or which results in material misstatement of the

financial statements

None identified. A nil fraud return was submitted to Audit Scotland in April 2018 in accordance with the

planning guidance.

Non-compliance with laws and regulations

None noted

Unadjusted misstatements and material disclosure omissions

None noted. Minor disclosure amendments only and these were not material in nature

Expected modifications to the auditor's report, or emphasis of matter

None, an unqualified opinion

© 2018 Grant Thornton UK LLP. All rights reserved.

‘Grant Thornton’ refers to the brand under which the Grant Thornton member firms

provide assurance, tax and advisory services to their clients and/or refers to one or more

member firms, as the context requires.

Grant Thornton UK LLP is a member firm of Grant Thornton International Ltd (GTIL). GTIL

and the member firms are not a worldwide partnership. GTIL and each member firm is a

separate legal entity. Services are delivered by the member firms. GTIL does not provide

services to clients. GTIL and its member firms are not agents of, and do not obligate, one

another and are not liable for one another’s acts or omissions. grantthornton.co.uk

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Page 1 of 9

Council

23 October 2018

Agenda item: 05.3

Report no: 33/2018

Title of report Audit Committee Annual Report to the Council 2017/18

Public/confidential Public

Action For approval

Summary/purpose of report

This report represents a summary of the work of the Audit Committee, gives the Committee’s opinion on the

assurance that this work provides and recommends that the Council approve the 2017/18 Annual Report and

Accounts.

Recommendations

That the Council: 1. notes the work of the Audit Committee;

2. notes the Committee’s assessment of its performance

and the plans to address development areas, 3. approves the 2017/18 Annual Report and Accounts,

4. agrees that it is appropriate for the Chief Executive

as Accountable Officer to sign the Annual Report and Accounts at all of the appropriate points within the

document.

Link to Strategic Plan The information in this report links to:

Outcome 4: Our Stakeholders value our work, and

Strategic Priority 6: High Standards of Governance

Link to the Risk Register

An effective governance framework supports mitigation of the following risks:

Strategic Risk 2: The SSSC is not able to demonstrate to our stakeholders (including SG) that its operational

activity is fulfilling its strategic outcomes.

Strategic Risk 5: The SSSC does not have sustainable resources to support the delivery of Strategic Plan outcomes.

Author Forbes Mitchell, Audit Committee Chair

Documents attached None.

Page 2 of 9

1. INTRODUCTION

1.1 The Audit Committee Annual Report to the Council summarises the work of

the Audit Committee for the past financial year and presents the Committee’s opinion on the assurance that this work provides. The report also contains the

Audit Committee’s recommendation to the Council on the approval of the Annual Report and Accounts.

1.2 The Audit Committee met on six occasions and there was one instance when the Committee was not quorate. One Audit Committee was held by

teleconference.

2. REMIT OF AUDIT COMMITTEE

2.1 The purpose of the Audit Committee is to take an overview of the financial reporting arrangements of the Council, the external and internal audit

arrangements and also to ensure that there is a sufficient and systematic review of the internal control arrangements of the organisation, including arrangements for risk management.

2.2 The Audit Committee approach is to seek/gain assurance in line with good

practice and the Audit and Assurance Committee Handbook.

3. SUMMARY OF AUDIT COMMITTEE WORK

3.1 Internal audit reports considered

Scott Moncrieff, the Internal Auditors, use a system for categorizing assurance levels where each control objective is assessed and categorized using a colour coded approach. The colour code system is as follows:

RED Fundamental absence or failure of key controls.

AMBER Control objective not achieved – controls are inadequate or

ineffective.

YELLOW Control objective achieved - no major weaknesses but scope for

improvement. GREEN Control objective achieved – controls are adequate, effective and

efficient.

Page 3 of 9

In addition to the above control assessments Scott Moncrieff assign

management action grades to demonstrate risk exposure. They are graded, using the same colour coding as follows:

4

RED

Very high risk exposure - major concerns requiring

immediate senior attention that create fundamental risks within the organisation

3

AMBER High risk exposure - absence / failure of key controls that create significant risks within the organisation

2

YELLOW

Moderate risk exposure - controls are not working effectively and efficiently and may create moderate risks within the organisation

1

GREEN

Limited risk exposure - controls are working effectively, but could be strengthened to prevent the creation of minor

risks or address general house-keeping issues

The following reports were submitted to and considered by the Committee:

Int. Audit

Plan Year

Report Title

Committee Date

Assurance

2016/17

Workforce Planning

27 April 2017

3 red 4 yellow

2016/17

Partnership working 7 June 2017 3 yellow

2017/18 Strategic planning 27 September

2017 2 amber 2 yellow

2017/18 Financial systems 28 February 2018 2 Yellow

1 green

There were three recommendations graded at the red assurance level in reports considered by Audit Committee during 2017/18. Audit Committee has

not raised any concerns over the implementation of these recommendations and Members are satisfied that these recommendations are being

implemented. However, should the Committee have concerns they would raise this as a risk as part of the risk item on each Audit Committee agenda.

3.2 Consideration of the 2016/17 draft Annual Report and Accounts

The Committee held a meeting on 30 August 2017 dedicated to a detailed review of the draft Annual Report and Accounts. At the meeting of 27 September 2017, the Committee considered the draft 2016/17 Annual Report

and Accounts and the associated report from Grant Thornton and recommended that the Council approve the 2016/17 Annual Report and

Accounts.

The Committee reviewed the Governance Statement which is included within the Annual Report and Accounts.

Page 4 of 9

3.3 Review of Audit Plans

The Committee reviewed and approved the Strategic Internal Audit Plan

(2016-19) and Internal Audit Plan for 2017/18 along with the associated assignment plans for 2017/18. The Committee monitored progress against

this plan throughout the year. The draft Internal Audit Plan 2018/19 was considered at the Audit Committee

meeting of 28 February 2018. This document set out the Strategic Internal Audit Plan 2016-19 which included the draft internal audit programme for

2018/19. The review of annual and strategic audit plans strives to ensure a strong relationship between the planned internal audits, the strategic risk register and the SSSC’s duty to provide best value. The final version of these

plans along with 2018/19 individual audit assignment plans are to be approved early in the 2018/19 financial year.

The Committee received the External Audit Plan for 2017/18 from the External

Auditors, Grant Thornton.

3.4 Implementation of Audit Recommendations

Throughout the year the Committee monitored management’s progress

towards implementing audit recommendations. This is achieved by reviewing

recommendation follow up reports prepared by Internal Auditors summarising progress on completed actions at each quarterly Audit Committee meeting.

The internal Auditor’s Annual Report concluded that of the 17 actions due to be implemented by 31 March 2018, 14 (82%) were fully implemented, 3

(18%) were partially completed.

3.5 Other Work Audit Committee Self-assessment

The annual Audit Committee Self-Assessment was carried out by the Committee at its meeting in February 2018.

Member Development

Training on interpreting the Annual Accounts was provided for Members and one to one induction training was provided to a new Audit Committee Member. All Council Members also attended a development session on risk and risk

appetite. One Council Member attended as an observer.

Committee Development Private meetings between Audit Committee and both internal and external

audit were held. The calendar of Committee business was further developed

during the year.

Review of Risk and Risk Management A review of the Strategic Risk Register was carried out in June 2017 when a

revised Risk Policy was introduced. In February 2018 the Audit Committee

reviewed a revised Risk Appetite Statement and also considered the process for reviewing the Strategic Risk Register. In March 2018 Council Members

Page 5 of 9

approved the Risk Appetite Statement and provided comment and direction on

risk management.

Audit Recommendations The Finance team continued to collect evidence on the implementation of

internal audit recommendations and after review, Internal Audit reported progress to each quarterly meeting of the Audit Committee.

Audit Scotland Publications All Audit Scotland national reports that were considered relevant to the work

of the Audit Committee were considered during the year. Business Continuity Planning (BCP)

In June 2017 the Committee and Council agreed that Business Continuity Planning should be included in the Audit Committee’s terms of reference. The

Committee received updates on BCP progress during the year. Counter Fraud and Corruption Framework

The SSSC’s new Counter Fraud and Corruption Framework, including a counter fraud and corruption policy, strategy and response plan together with a formal

action plan were agreed in May 2017. This replaced the Fraud Policy and Response Plan. A fraud and corruption risk register was also agreed to document the controls in place to mitigate fraud.

3.6 Priorities for 2018/19 Committee Development

Members of the Audit Committee will continue to hold private meetings with External and Internal Audit at least annually. A “horizon scanning” agenda

item will continue to be considered at each meeting, with the exception of the summer meeting which is specifically focussed on the Annual Report and Accounts.

Risk Management

The regular review and update of the Risk Register is a task of significant importance. The Risk Management Policy will continue to be reviewed

annually alongside the risk register in line with planned committee work. The Risk Register Summary will be a substantive item on each Audit Committee agenda.

Council Members Development Session on the Annual Report and Accounts

All Council Members will be invited to a development session on the Annual Report and Accounts. This session will allow sufficient time for more detailed consideration and explanation of the information contained within the Annual

Report and Accounts.

Digital Transformation The Committee will consider and monitor risks associated with the Digital Strategy.

Page 6 of 9

Counter Fraud and Corruption Framework

The Committee will review the Counter Fraud and Corruption Framework. It is anticipated that a shared service arrangement will be agreed with NHS

Counter Fraud Services (CFS) during 2018/19.

Council and Committee Improvement Agenda There is an ethos of continuous improvement in our corporate governance.

This includes our Review of Committee Effectiveness where we identified areas

for improvement. The Council and Committee improvement agenda will tie in with any improvement actions identified in the leadership and strategy

elements of the EFQM work. The Council and Committee self-evaluation work will also feed into the EFQM performance review.

Brexit During the year we will consider the impact of Brexit.

Horizon Scanning The Committee will review the new Audit and Assurance Committee Handbook

and implement any relevant learning or actions.

4. PROGRAMME OF COMMITTEE MEETINGS

4.1 The table below details business for the 2018/19 Audit Committee year.

2018/19

Meeting Date Business

30 May 2018 Internal Audit: Recommendations Follow up Report

Internal Audit Annual Report 2017/18 Strategic Internal Audit Plan 2016-19 and Final Annual

Internal Audit Plan 2018/19 Review of Individual Internal Audit Assignment Plans 2018/19 C1. Digital Strategy Internal Audit Report

SSSC:

Draft Audit Committee Annual Report to Council 2017/18 Strategic Risk Register review process Business Continuity Planning

29 August 2018

External Audit: Annual Report and Accounts statutory audit progress Private meeting with external audit

SSSC:

Draft Audit Committee Annual Report to Council 2017/18 Draft Annual Report and Accounts

26 Sept 2018 Internal Audit:

Internal Audit Plan 2018/19 Progress Report Recommendations Follow up Report Internal Audit Reports

Internal Audit private meeting with Audit Committee

Page 7 of 9

2018/19

Meeting Date Business

External Audit:

Report to those charged with governance on the 2017/18 audit

SSSC Draft Annual Report and Accounts 2017/18

Draft Audit Committee Annual Report to Council 2017/18 Counter Fraud & Corruption Framework annual review Annul Shared Service Report

29 Nov 2018 Internal Audit: Internal Audit Plan 2018/19 Progress Report Recommendations Follow up Report

Internal Audit Reports

External Audit: Progress update Private Meeting with External Auditors

TBC SSSC: Audit Committee Effectiveness Session

20 Feb 2019 Internal Audit:

Review of Strategic Internal Audit Plan 2019-22 & Draft Internal Audit Plan 2019-20

Internal Audit Plan 2018-19 Progress Report

Internal Audit Follow-up Report Internal Audit Reports

External Audit:

Annual Audit Plan 2018/19

SSSC:

Update of Strategic Risk Register

4.2 All Audit Committee agendas contain the following standing items:

Horizon Scanning Risk Identification

Schedule of Committee Business.

5. FRAUD

5.1 The Committee received assurance at its meeting of 30 May 2018 that there had been no incidences of fraud detected during the 2017/18 financial year.

Page 8 of 9

6. AUDIT COMMITTEE EFFECTIVENESS

6.1 The Committee has reviewed the way in which it operates and has made the

assessment that it operates effectively. The conclusion was reached using national guidance on effective audit committees.

6.2 The Committee believes it has particular strengths in the following areas:

The Audit Committee constructively challenges assurance providers about the scope of their activity, their evidence and conclusions.

The Audit Committee has a good balance of members with the appropriate

type and level of experience. Co-option of Committee members with

particular specialist expertise would be considered where necessary or relevant.

The planning of internal audit work is effective with good links between

identified strategic risks and the audits planned over a rolling three year

period. There is sufficient flexibility to respond effectively to emerging issues.

The Audit Committee is clear about the Council’s expectations of it.

6.3 The Committee has also identified the following areas that require to be developed:

The Audit Committee continues to develop the evaluation of its

effectiveness. This includes using the Audit Committee Self-Assessment

Checklist, benchmarking and the seeking of external and internal auditor’s opinions.

7. QUALITY OF INTERNAL AUDIT

7.1 In overall terms the Committee has assessed the work of Scott-Moncrieff the

appointed internal auditors for 2017/18. The Committee is of the view that the standard of internal audit work and the reports produced was

adequate. However, there was concern about the quality of specific assignments particularly with respect to planning and reporting. There was also concern that the quality of the management of the internal programme

had declined. Scott Moncrieff has appointed a new internal audit manager in response to this and improvement is expected in 2018/19.

8. QUALITY OF EXTERNAL AUDIT

8.1 The SSSC’s external auditors, Grant Thornton, are appointed by the Auditor

General for Scotland. The audit of the 2017/18 Annual Report and Accounts will be the second year of Grant Thornton’s engagement.

8.2 External audit attend Audit Committee meetings to ensure Audit Committee members are kept informed of progress, audit developments and any issues

identified. This includes providing informative reports on external audit

Page 9 of 9

planning and the findings from audit work. The Committee believes there is a

good working relationship between the Grant Thornton audit team, SSSC staff and the Audit Committee.

9. GOVERNANCE STATEMENT 9.1 The Committee have reviewed the Governance Statement contained within the

draft 2017/18 Annual Report and Accounts. The Committee is of the opinion that the Governance Statement fairly reflects the adequacy and effectiveness

of the SSSC’s governance and risk framework for the year ended 31 March 2018 and up to the date of approval of the draft Annual Report and Accounts.

9.2 The statement addresses all issues that the Committee considers to be pertinent.

9.3 The Committee advises the Council and Accountable Officer that in its opinion

it is appropriate for the Accountable Officer to sign the Statement.

10. ASSURANCE OPINION 10.1 In preparation for developing this report to the Council, the Audit Committee

held private meetings with both internal and external audit. The meetings were an opportunity to review the way in which the Committee operates, and

to identify any issues which the Committee would wish to draw to the attention of the Council.

10.2 No issues arose from the private meetings with internal or external audit.

10.3 The Committee is of the opinion that the assurances supplied are reliable, have integrity and are sufficiently comprehensive to support the Council and the Accountable Officer in their decision making and their accountability

obligations.

11. ANNUAL REPORT AND ACCOUNTS

11.1 Following detailed review of the draft document and consideration of the

external auditor’s report, the Audit Committee consider the draft Annual

Report and Accounts taken as a whole is fair, balanced and understandable and provides the information necessary for stakeholders to assess the SSSC’s

performance and strategy. 11.2 On this basis, the Committee recommends that the Council approves the draft

Annual Report and Accounts for the year ended 31 March 2018.

Council

23 October 2018

Agenda item: 06

Report no: 34/2018

Title of report Corporate Governance


Action For decision

Summary/purpose of

report

This report:

1. updates Council on the urgent business dealt

with by the Convener and Chief Executive Officer on 14 September 2018, namely to appoint members to Audit and Resources Committees

2. recommends that Council appoints members to

the Audit and Resources Committee

3. updates Council on the change of dates for

Council and Committee meetings for 2019

4. asks Council to note the updated Register of Interests.

Recommendations The Council is asked to:

1. note the urgent business disposed of by the

Convener and Chief Executive, its consideration and outcome

2. approve the appointment of Council Members to Audit and Resources Committee as set out in Appendix 1

3. approve the changes to the Schedule of Council and Committee meetings for 2019 as set out in

appendix 2

4. note the changes to the Register of Interests to take account of new Council Members.


Outcome 4 - our stakeholders value our work

Priority 6 - high standards of governance.

Link to the Risk

Register

Risk 2 - The SSSC is not able to demonstrate to our

stakeholders (including SG) that its operational activity is fulfilling its strategic outcomes.

2

Author Christopher Weir

Head of Corporate Governance and Hearings Tel: 01382 346456

Documents attached Appendix 1: Updated membership of Council and Committees

Appendix 2: Amended Calendar of Business

3

1. INTRODUCTION

1.1 This report addresses matters of governance namely proposed changes to

the Scheme of Delegation and the Council Members Register of Interests, updates Council on the urgent business dealt with by the Convener and

Chief Executive Officer and recommends the approval of Council members to Audit and Resources Committees. In addition, it requests approval for changes to Council Members on the change of dates for 2019 Council and

Committee meetings.

2. DISPOSAL OF URGENT BUSINESS

2.1 Audit and Resources Committees took place on 26 September 2018. Under the terms of the Standing Orders, the Resources Committee will meet not less than three times per year and the Audit Committee will

meet not less than four times per year. The Audit Committee meeting was of particular importance because it was the final opportunity for the

Committee to scrutinise the Annual Report and Accounts before they are presented to October Council for approval.

2.2 The Corporate Governance Team received apologies from a number of

members, the result of which meant that it would have been impossible for either committee to form a quorum of remaining members. There are

a maximum of five Council members on each Committee, three of which need to be present for a quorum to be formed.

2.3 Under Standing Order 19.1 the Chief Executive and the Convener may dispose of any matters of an urgent nature that require to be dealt with before the next scheduled meeting of Council or Committee that would

usually deal with that same matter.

2.4 In this case, the Chief Executive called a meeting with the Convener on 14

September 2018. The Head of Legal and Corporate Governance was also in attendance to give advice. The urgent business under consideration was to appoint Audrey Cowie and Professor Alan Baird to Audit Committee and

to appoint Theresa Allison and Keith Redpath to Resources Committee.

2.5 The maximum membership of each Committee is five members. The

Convener and Chief Exec decided to remove Dame Anne Begg and Professor Joyce Lishman from Audit Committee so that the Council were not in excess of the maximum membership requirements. Harry

Stevenson had already vacated his Council Membership by that point and there was an existing vacancy on Resources Committee. It was not

therefore necessary to remove any existing members from the Resources Committee to appoint enough members for the meeting to be quorate.

2.6 The Convener and Chief Executive decided that this would be a temporary

measure until October Council and that Council would be asked to review and appoint a new membership of Audit and Resources Committees at

October Council.

4

2.7 The outcome of this course of action meant that both Audit and Resources were quorate when held on 26 September 2018 and that all relevant

business was conducted in accordance with the Standing Orders and our statutory obligations.

3. APPROVAL OF MEMBERSHIP OF AUDIT AND RESOURCES

3.1 The Audit and Resources Committees have a maximum membership of 5 Council members. For each meeting three of those members need to be in

attendance for the meeting to be quorate. Two former Council members have now stepped down from Council and therefore are no longer eligible

for Committee membership.

3.2 Council is asked to approve the membership of the committees as set out in appendix 1 to this report. The Convener and Chief Executive discussed

the membership of the relevant committees at their meeting. We have attempted to take into account relevant experience and any requests from

Council members to specifically sit on a particular committee. In addition we have tried to ensure that the membership for each committee is different although given the numbers involved some measure of

duplication is inevitable.

4. CHANGE OF DATES FOR COUNCIL AND COMMITTEE MEETINGS

4.1 The dates for Council and Committee meetings were set at the January 2017 Council meeting. The document at appendix 2 of this report sets out

the dates for all Council and Committee meetings scheduled during 2019. We have highlighted proposed changes to dates in red text. Council is asked to approve this new calendar of meetings to take account of Council

member’s availability.

5. COUNCIL MEMBERS REGISTER OF INTERESTS

5.1 In accordance with the Code of Conduct and in line with annual reporting, Council Members have completed and submitted their registered interests. The register will be uploaded to the SSSC website following this meeting.

5.2 The Council is asked to note the register which is available to view on basecamp.

6. RESOURCE IMPLICATIONS

6.1 None.

5

7. EQUALITIES IMPLICATIONS

7.1 This report will have no negative impact on people with one or more

protected characteristics and a full Equality Impact Assessment is not required.

8. LEGAL IMPLICATIONS

8.1 The Council must ensure that its governance processes and documents are fit for purpose and accurately reflect the practices in place.

9. STAKEHOLDER ENGAGEMENT

9.1 No stakeholder engagement has been carried out as these are internal

matters. The register of interests is available on the website and Council meetings are held in public and the dates of meetings publicised in advance.

10. IMPACT ON USERS AND CARERS

10.1 The matters addressed in this report relate to internal governance and

have no direct impact on users and carers. However the fact that the SSSC is well governed and transparent provides confidence in our work.

11. CONCLUSION

11.1 Council is asked to approve the proposed changes to the Scheme of Delegation in order to accommodate the current staffing structure and to

note that the Council Members Register of Interests has been updated.

12. BACKGROUND PAPERS

12.1 None.

Council

23 October 2018

Agenda item: 06

Report no: 34/2018

Appendix 1

19/10/2018

Council and Committee Members and Chairs appointments effective from November 2018 Council Quorum- one third (rounded up to a whole number) of the appointed Members and the Convener

Name Expiry of appointment term as a Council Member

Professor Jim McGoldrick - Convener

up to 31 August 2019

Theresa Allison up to 31 August 2021

Alan Baird up to 31 August 2021

Dame Anne Begg up to 31 December 2018

Audrey Cowie up to 31 August 2019

Paul Dumbleton up to 31 August 2019

Paul Edie up to 14 April 2021

Linda Lennie up to 31 October 2020

Forbes Mitchell up to 31 August 2019

Keith Redpath up to 31 August 2021

Andrew Rome up to 31 August 2019

Audit Committee

Quorum – three Council Members Maximum membership – five Council Members

Name

Forbes Mitchell - Chair

Andrew Rome – Vice Chair

Alan Baird

Audrey Cowie

Linda Lennie

Resources Committee

Quorum – three Council Members Maximum membership – five Council Members

Name

Audrey Cowie - Chair

Paul Dumbleton – Vice-chair

Theresa Allison

Forbes Mitchell

Keith Redpath

19/10/2018

Fitness to Practise Committee Quorum – 12 Members No Maximum

Name


Andy Rome – Vice-chair

Registration Committee

Quorum – 12 Members No Maximum

Name



Conduct Committee Quorum – 12 Members

No Maximum

Name



Joint SSSC/NES

Name

Professor Jim McGoldrick

Linda Lennie

Vacancy

Vacancy

Vacancy

Council

23 October 2018

Agenda item: 06

Report no: 34/2018

Appendix 2

1

Meeting dates January 2019 – January 2021

Meeting 1.30pm

start Lead Officer Admin Support Date of Meeting

Council Lorraine Gray Audrey Wallace 29/01/2019

Council Lorraine Gray

Audrey Wallace 26/03/2019







Council Lorraine Gray Audrey Wallace31/03/2020




2


Meeting 10.30am


Resources Committee

Chris Weir Audrey Wallace 20/02/2019

Resources

Committee Chris WeirAudrey Wallace 05/06/2019

Possible Resources

Committee Chris Weir

Audrey Wallace

Only convened if budget

update is needed

28/08/2019

Resources


Resources Committee Chris Weir






Possible Resources Committee

Chris WeirAudrey Wallace

Only convened if budget

update is needed

26/08/2020





3


Meeting 1.30pm


Audit Committee Chris Weir




Audit

Committee Chris WeirAudrey Wallace

Annual Accounts

28/08/2019







Audit



Audrey Wallace Annual Accounts only

26/08/2020





4


Meeting time

10.30am – 12.30pm Lead Officer Admin Support Date of Meeting

Policy Forum Liz MacKinnon

Audrey Wallace

13/02/2019


Audrey Wallace

15/05/2019


Audrey Wallace

18/09/2019


Audrey Wallace

18/12/2019


Audrey Wallace

17/02/2020


Audrey Wallace

13/05/2020


Audrey Wallace

16/09/2020


Audrey Wallace

16/12/2020

Meeting 10.30am


Remuneration

Committee Lorraine Gray Audrey Wallace 17/04/2019


Lorraine Gray Audrey Wallace 15/04/2020

1

Council

23 October 2018

Agenda item: 07

Report no: 35/2018

Title of report Covering report for Budget Monitoring Report as at 31 August 2018


Action For approval

Summary/purpose

of report

To provide Council with information on the SSSC’s projected

budget monitoring position on the core operating budget and specific grant funded expenditure for the year to 31 March 2018.

The report was discussed at Resources Committee on 26

September 2018 and there are no updates to this report since that Committee.

Resources Committee noted the report and recommended the budget monitoring statement for submission to Council

and the Sponsor.

Recommendations

The Council is asked to: 1. consider and approve the attached budget monitoring

report for submission to the Sponsor.

Link to Strategic Plan

The information in this report links to:

Strategic Outcome 4: Our stakeholders value our work, and Strategic Priority 6: High Standards of Governance.


Regular monitoring of performance against the budget supports mitigation of the following risks:

Strategic Risk 2: The SSSC is not able to demonstrate to

our stakeholders (including Scottish Government) that its operational activity is fulfilling its strategic outcomes

Strategic Risk 5: The SSSC does not have sustainable resources to support the delivery of Strategic Plan

outcomes.

Author

Nicky Anderson Head of Finance Tel: 01382 207206

2

Director Kenny Dick Interim Director of Corporate Services

Tel: 01382 207122

Documents attached

Budget Monitoring Report as at 31 August 2018

3

Resources Committee

26 September 2018

Agenda item: 07 Report no: 20/2018

Title of report Budget Monitoring Report as at 31 August 2018


Action For consideration and approval.


To provide Resources Committee with the budget monitoring position on the core operating budget and specific grant funding for the year to 31 March 2019.

Recommendations The Resources Committee is asked to:

1. consider the core operating budget monitoring statement

for the year to 31 March 2019 (Appendix A)

2. consider the specific grant funding budget monitoring

statement for the year to 31 March 2019 (Appendix B)

3. consider the summary of ICT digital transformation

requirements for 2018/19 and ICT recurring costs for 2019/20 (Appendix C)

4. note the areas of specific attention in section 7 of this

report

5. note the projected general reserve position detailed in

Section 8.

Link to Strategic

Plan


Strategic Outcome 4: Our stakeholders value our work, and Strategic Priority 6: High Standards of Governance.

Link to the Risk

Register

Regular monitoring of performance against the budget supports

mitigation of the following risks:

Strategic Risk 2: The SSSC is not able to demonstrate to our stakeholders (including Scottish Government) that its operational activity is fulfilling its strategic outcomes

Strategic Risk 5: The SSSC does not have sustainable resources

to support the delivery of Strategic Plan outcomes.

4

Author Nicky Anderson

Head of Finance 01382 207206

Documents attached

Appendix A: Core operating budget monitoring statement Appendix B: Specific grant funding monitoring statement Appendix C: ICT digital transformation expenditure

EXECUTIVE SUMMARY:

The projected outturn position on the core operating budget is an overspend of

£1,084k as at 31 August 2018. The projected overspend mainly relates to our

digital transformation programme.

The digital transformation programme is being managed over the previous

2017/18 financial year and the current 2018/19 financial year. Due to

programme timings, £765k of planned 2017/18 expenditure and funding has

been carried forward to 2018/19. The funding is contained in the general

reserve balance. Therefore, there is an unplanned projected overspend of £319k.

In year savings of £142k are required to ensure the general reserve balance is

maintained at the minimum of the target range (2% £423k) as set out in the

financial strategy. There are still some unknown and unquantifiable costs

associated with the digital transformation programme.

All specific grants expenditure is projected to be spent as at 31 August 2018.

5

Summary of movements since last reported position: The position reported to Council on 7 August 2018 was a projected overspend of £1,324k. This was based on the ledger position at 30 June 2018.

The position based on the ledger as at 31 August 2018 is a projected overspend

of £1,084k. This represents a movement of £240k against the previously reported position.

£000 £000

Current projected net expenditure/(income) 1,084 Last reported net expenditure/(income) 1,324 Change to net expenditure position (240)

Summary of changes:

Total

Projection

increase/

(decrease) £000

Expenditure:

(109) Staff costs

Accommodation costs (150) Administration costs 57

Travel costs (2)

Supplies and services (118)

Third party payments (1)

Income:

(323)

Registration fees 100

Seconded Officers (17)

Grand total:

83

(240)

The main reasons for these variances are detailed below: Staff costs The staff costs projection has reduced by £109k.

Salary costs

The projection for staff salaries has reduced by £99k mainly due to delays in filling posts (slippage) comprising Fitness to Practise £64k, Performance and Improvement £14k, Communications £13k and Registration £8k.

This is partly offset by an increase to projection of £69k in relation to staff to be employed on the new SSSC Digital Support Team (£42k) and Registration overtime (£27k). The £42k increase to the projection for the new Digital Support Team was previously reported under ICT costs.

6

Other staff costs

The projection for hearing panel member allowances has reduced by £226k. This projection is based on the maximum number of hearings expected for the remainder of this financial year.

There is a £9k reduction to the training projection for Registration as this budget is no longer required.

These reductions are partially offset by increases to the projection for hired

agency staff costs totalling £107k for:

extension of the Digital Transformation lead to 31 March 2019 £65k; employment of a temporary HR Adviser £38k; temporary Communications business support staff £4k.

The projection for staff recruitment costs has increased by £36k mainly due to the recruitment of our new Chief Executive and advertising for Fitness to Practise

posts.

There are unplanned staff severance costs of £7k from a settlement agreement arising from a recent employment tribunal.

The projection for medical costs has increased by £4k due to a higher number of

occupational health referrals than budgeted. There is also a projection increase of £1k for staff Display Screen Assessment (DSE) costs.

Training costs for the new Legal and Governance department are projected to be £2k more than budget.

Accommodation costs

OMT have considered proposals for the reconfiguration of Compass and Quadrant House. The estimated cost has been established and the accommodation cost projection reduced by £150k as a result.

Administration costs

The administration costs projection has increased by £57k. The reasons for this

are detailed below. The projection for fee write offs due to registrants lapsing or being removed

from the register has increased by £91k. Other projection increases totalling £56k are for:

employment law advice £15k; postage costs relating to hearings £10k; professional services employed to carry out the ICT shared services

lessons learned review £9k; legal advice for hearings which began prior to the move to legally qualified

chairs 5k;

contribution to the 2018/19 Alzheimer’s Scotland event £5k; OMT/EMT leadership programme £5k;

7

Translation cost for hearings £4k and employing facilitators for senior manager planning events £3k.

These increases to projections are partially offset by savings totalling £83k agreed by EMT on 4 September 2018. The savings related to Communication’s

print, design costs and postages budgets which are no longer required.

The projection for telephony costs has reduced by £7k due to savings from the new telephone contract.

Travel costs The projection for Registration travel has reduced by £2k.

Supplies and Services

The supplies and services projection has reduced by £118k. This is mainly due to a decrease of £119k to the projection for digital

transformation costs. This was in relation to ipads for paperless hearings which will no longer be purchased in this financial year and a reduction to the number

of Project Manager hours required for the Case Management System (CMS). Other projection reductions totalling £14k relate to:

HR recruitment portal no longer required £8k; Registration engagement events which will no longer go ahead in this

financial year £4k and Venue hire and hospitality costs £2k.

These reductions are partially offset by an increase of £15k for the automated telephone payments system (Tonepay).

Third party payments The agreed contribution to Skills for Care for this financial year is £1k less than budget. This contribution is for promoting and enhancing the SSSC’s role as a Sector Skills Council.

Income

The projection for Registration fee income has reduced by £100k. This is based on actual data to August 2018 and projections for September 2018 to March

2019. This is mainly due to less annual and renewal fee income being received than expected when the budget was set.

An 18 month secondment to Scottish Government commencing in September 2018 will increase income by £32k for 2018/19. The projection for staff costs

includes a corresponding amount for temporarily backfilling this post.

This is partly offset by a £15k reduction to income due to a secondment to the Law Society of Scotland ending four months earlier than planned as the employee is leaving the SSSC.

8

1.0 INTRODUCTION 1.1 This is the first Resources Committee budget monitoring report of the

2018/19 financial year. The Council received a budget monitoring report at its meeting of 7 August 2018. The SSSC has in place formal processes

for the accurate recording, reporting and effective managerial control of its funds. Monthly budget monitoring reports are presented to EMT from July each financial year. Resources Committee and Council receive

budget monitoring reports at each meeting between July and March each financial year.

1.2 This budget monitoring report provides separate analysis of the core

operating budget position and specific grant funded expenditure.

1.3 The Scottish Social Services Council (SSSC) agreed a total core operating

budget of £20.3m on 21 March 2018 and specific grant funding totalling £0.7m has been awarded to the SSSC to date. This provides a total

budget of £21m for 2018/19. In addition, funding of £0.765m from

2017/18 has been carried forward to 2018/19 as part of the general reserve balance for the digital transformation programme.

2.0 2018/19 – SUMMARY OF FINANCIAL POSITION

Core operating budget projected outturn 2.1 There is a planned overspend of £765k on core operating expenditure as a

corresponding amount was carried forward in the general reserve from

2017/18 for use during 2018/19. The projected outturn position on the core operating budget is an overspend of £1,084k as at 31 August 2018.

After the brought forward funding of £765k is applied, there is a projected net overspend of £319k on core operating expenditure as at 31 August 2018. The projected overspend mainly relates to our digital

transformation programme. The budget monitoring statement for the core operating budget is attached at Appendix A.

Specific grants projected outturn

2.2 There is a planned overspend of £126k on specific grants as a

corresponding amount was carried forward in the general reserve from 2017/18 for use during 2018/19. All specific grants expenditure is projected to be spent as at 31 August 2018. The budget monitoring

statement for specific grant funding is attached at Appendix B.

9

3.0 OPERATING BUDGET VARIANCES - EXPENDITURE 3.1 The reasons for variances on the core operating expenditure budget are

explained below.

Staff costs £16k 3.2 There is a total projected overspend of £16k on staff costs.

Salary and other staff costs

3.3 There is a projected overspend of £301k for the employment of staff working on the ICT digital transformation project (see Appendix C). This relates to hired agency staff (£223k) and staff employed on the new SSSC

Digital Support team (£78k). 3.4 Hired agency costs are expected to be £43k overspent from the

employment of a temporary HR Adviser (£38k), temporary business support staff for the Communications team (£4k) and a temporary Health and Safety Assistant (£1k).

3.5 Recruitment costs will be overspent by £36k due to the recruitment of our

new Chief Executive and adverts placed in Scottish Legal News for Fitness to Practise posts.

3.6 Overtime is planned for the Registration department to reduce application

form processing lead times from seven to three weeks at a cost of £27k. 3.7 There are unplanned staff severance costs of £7k from a settlement

agreement arising from a recent employment tribunal.

3.8 Staff medical costs relating to occupational health referrals are projected

to be £4k more than budget. 3.9 Training costs for the new Legal and Governance team are expected to be

£2k more than budget.

3.10 Costs arising from staff Display Screen Equipment (DSE) assessments will

be £1k overspent.

The above overspends are partially offset by the underspends detailed in

section 3.12 to 3.14 below. 3.11 There is a reduction of £226k to the projection for hearing panel member

allowances. This projection is based on the maximum number of hearings

expected for the remainder of this financial year. 3.12 There is currently an underspend of £170k on staff salaries. This is

mainly due to delays in filling vacant posts (slippage), maternity leave and staff not being in the pension scheme. It is anticipated the slippage saving will increase as the year progresses.

10

3.13 A further underspend of £9k is projected from the Registration training budget which is no longer required.

Accommodation costs (150k)

3.14 OMT have considered proposals for the reconfiguration of Compass and

Quadrant House. The estimated cost has been established and the

accommodation cost projection reduced by £150k as a result.

Administration costs £67k 3.15 Fee write offs are projected to be £91k more than budgeted. Fees are

written off due to registrants lapsing and/or being removed from the

register and the number of write offs are increasing as the register increases. The value written off is also increasing due to increased fees.

3.16 Employment law advice is expected to cost £18k and legal advice for

hearings which began before the move to legally qualified chairs is projected at £15k.

3.17 Professional fees are expected to be overspent by £26k due to

Professional services employed to review ICT shared services lesson

learned £9k; Employing facilitators for senior management planning and

leadership events £8k;

contribution to be paid for the 2018/19 Alzheimer’s Scotland event £5k and

translation costs for hearings £4k.

3.18 The above overspends are partially offset by budget savings totalling £83k

relating to Communication’s print, design costs and postages budgets.

Travel costs (£2k) 3.19 An underspend of £2k is expected from Registration travel costs.

11

Supplies and services expenditure £1,107k

Digital transformation ICT costs

3.20 Digital transformation ICT costs are projected to be overspent by £1,102k as shown in the table below.

Budget £000

Projected Expenditure

£000

Projected overspend

£000

Digital transformation 1,350 2,452 1,102 ICT SLA 540 540

1,890 2,992 1,102

3.21 Appendix C shows a summary of projected ICT digital transformation

expenditure for 2018/19 and ICT recurring costs for 2019/20. 3.22 It should be noted that the timings of elements of the digital

transformation programme are uncertain and some expenditure budgeted

in the 2017/18 financial year has fallen into the 2018/19 financial year. The digital transformation programme is being managed over the previous

and current financial years. 3.23 Costs are not yet available for some areas of development and future

maintenance. These additional costs will be built into the projections as

soon as they become available.

Other supplies & services 3.24 Automated telephone payment collections (Tonepay) has been

implemented at a cost of £15k. The purchase of MacBooks for the Digital Learning team will cost £4k. There are other minor variances totalling £3k.

3.25 The purchase of an HR recruitment portal is no longer going ahead saving

£8k.

3.26 Venue hire and hospitality will be underspent by £5k as the Registration

engagement events and conference attendance will not be taking place this financial year.

Third party payments (£1k)

3.27 An underspend of £1k is projected following agreement of the 2018/19 contribution to Skills for Care and Development for promoting and enhancing the SSSC’s role as a Sector Skills Council.

12

4.0 OPERATING BUDGET VARIANCES - INCOME

Reasons for the income budget variances are detailed below.

Grant in aid and disbursements 4.1 The projections within this report assume grant in aid and practice

learning fee income will be fully drawn down for the year.

Registration fees £100k 4.2 Projections at 31 August 2018 suggest that registration income will be

£100k less than budget. The main reasons are that there are more annual fees being lapsed and not being renewed than expected when the budget was set and we are receiving less renewal fees than budgeted. Financial modelling work will shortly begin in readiness for setting the 2019/20 budget and this work will be used to inform 2018/19 projections.

Other income (£53k)

4.3 Four outward secondments will provide unbudgeted income of £53k.

5.0 SPECIFIC GRANTS AWARDED TO THE SSSC 5.1 Four specific grants totalling £660k have been agreed for 2018/19. The

Scottish Government approved carry forward of £126k from 2017/18

providing total specific grant funding of £786k in 2018/19. As at 31 August 2018, 37% of the projected grant expenditure was spent or committed. Plans are in place for the remaining available grant funding.

Workforce development grant

5.2 Workforce Development Grant (WDG) totalling £442k has been agreed

with the Scottish Government for the 2018/19 financial year. In addition, the Scottish Government agreed that £122k of funding from 2017/18

could be held in the general reserve to be used in 2018/19. This provides total available WDG funding of £564k. Current projections suggest this funding will be used in full.

Workforce development – Health and social care integration

5.3 Workforce development – health and social care integration grant of

£192k has been agreed for 2018/19. In addition, the Scottish

Government agreed that £4k of underspend from 2017/18 could be held in the general reserve for use in 2018/19. This provides total funding of

£196k for this project in 2018/19. Current projections indicate this will be fully utilised.

13

Leadership and Integration in Primary Care Grant 5.4 A grant offer of £18k was agreed with Scottish Government on 27 July

2018 for undertaking and promoting leadership and integration in primary care. Current projections indicate this will be fully utilised.

Cyber Resilience grant

5.5 A grant offer for video-based learning resources on cyber resilience for

Social Service workers for the sum of £8k was agreed with Scottish Government on 31 July 2018. Current projections indicate this will be fully utilised.

6.0 GRANTS PAID TO OTHER BODIES 6.1 The following grants have been awarded to other bodies during 2018/19

from the Workforce Development Grant (WDG) (section 5.2) and grant in

aid (GIA).

2018/19 Third Party Grants Funding

source

£000

Scottish Care WDG 80 Coalition of Care Providers Scotland (CCPS) Skills for Care

WDG GIA

70 8

Total grants awarded to other bodies

(at 31 August 2018)

158

6.2 Further grant agreements are being drawn up for work associated with the Newly Qualified Social Worker (NQSW) pilots which have a budget allocation of £150k under the Workforce Development Grant. Work is underway but a full breakdown how funds will be allocated to each of the pilot sites is not yet agreed.

14

7.0 PROJECTIONS AT SIGNIFICANT RISK TO CHANGE

7.1 There are a number of areas of the budget where there are financial

uncertainties. Items listed in the table below are closely monitored by the appropriate members of EMT as we view these as having the potential to

significantly change the projected financial position. The Committee is asked to note that these areas are being closely monitored and any significant issues will be escalated to Committee as appropriate.

Budget area

Budget issue

Potential

over/

(under) spend £000

Responsible

EMT Member

Staff costs Projected staff costs are based on staff in post as at 31

August 2018 and known future changes at this date. EMT

will continue to monitor changes in staffing closely

throughout the year.

+/-

All

Digital

Transformation

Programme

Total projected expenditure of £3,293k for 2018/19 (see

Appendix C). Funding available for digital transformation

totals £2,655k leaving an unfunded projected overspend of

£638k.

We are committed to some development work for which

costs are not yet known so the £638k overspend will

increase as these costs are identified.

Whole project

overspend of

£638k

Overspend will

increase as

unknown costs

are identified

Chief Executive

Registration

income

Projections at 31 August 2018 suggest that registration

income will be £100k less than budget. Registration

modelling work will shortly begin in readiness for setting the

2019/20 budget and this work will be used to inform

2018/19 projections. Registration income will continue to be

closely monitored.

+/-

Director of

Regulation

Workforce

Development

Grant

NQSW Pilots are currently projected at budget of £150k.

Work is underway for the allocation of this budget for which

there are three broad pilot sites but within each site more

than one area will participate.

There is a potential risk that not all work will be completed in

this financial year as there are difficulties in procuring the

specialist nature of this work.

-

Director of

Development

and Innovation

Workforce

Development

Grant

The impact analysis of the digital learning products project is

currently projected at budget of £15k. No bids were

received from the invitation to quote. Work is now underway

to procure this specialist area of work as a non-competitive

action (NCA). There is a risk that it is not possible to procure

this piece of work.

- £15k

Director of

Development

and Innovation

15

8.0 FINANCIAL IMPLICATIONS – GENERAL RESERVE 8.1 As at 31 August 2018 the 2018/19 projected outturn position on the core

operating budget is an overspend of £1,084k. Specific grant funding is projected to be fully spent.

8.2 The 2017/18 outturn position is a general reserve balance of £1,491k

(subject to audit). Of this £1,365k relates to our core operation budget

and £126k to specific grants. 8.3 The 2018/19 projected overspend of £1,084k will require to be funded

from the general reserve at 31 March 2019 if in-year savings or additional

funding are not identified. This would leave a general reserve balance of £281k at 31 March 2019.

8.4 The general reserve included £765k which is a planned contribution to

digital transformation costs. The net overspend is £319k more than was expected to be required to be funded from the general reserve in

2018/19. This is shown in the table below which summarises the projected general reserve balance position as at 31 March 2019.

Projected General Reserve movement:

Core operating

budget £000

Specific

Grants £000

Total £000

General reserve opening balance at 1 April 2018

(1,365)

(126)

(1,491)

Utilisation of specific grant funding brought forward

126

126

Planned use of general reserve (Digital Transformation)

765

765

Unplanned use of general reserve

319

319

Projected general reserve at 31 March 2019 (281) 0 (281)

8.5 Should the final outturn be as currently projected and no savings or additional funding identified, there would be a general reserve balance of

£281k as at 31 March 2019. £281k is 1.39% of gross expenditure. This is £142k less than the target general reserve balance range which is 2% (£423k) to 2.5% (£529k) of gross expenditure.

8.6 In order to bring the general reserve back into our planned range of 2%

to 2.5% minimum savings of £142k are required. In addition to this, further savings will be required to offset any further digital transformation costs (see paragraph 3.20). Work is continuing to identify in-year savings

in order to meet the budget shortfall and the overall financial position will continue to be closely monitored.

16

9.0 HUMAN RESOURCE IMPLICATIONS 9.1 There are no human resource implications arising from this report.

10.0 EQUAL OPPORTUNITIES

10.1 Budget monitoring helps to support the SSSC’s commitment to equal

opportunities and working towards equality and diversity.

11.0 LEGAL IMPLICATIONS 11.1 Budget monitoring reports are compiled in accordance with guidance

issued by the Scottish Government and in line with requirements of the

Scottish Government Executive Framework Agreement and the Council’s Standing Orders and Financial Regulations.

12.0 STAKEHOLDER ENGAGEMENT 12.1 There are no immediate implications for stakeholder engagement, but

continued budget monitoring is part of a robust financial management framework which is required to ensure that the service we provide to our stakeholders is as good as it can be.

13.0 IMPACT ON USERS AND CARERS 13.1 The budget is developed in line with corporate planning priorities and

monitored regularly to assist the Council in meeting its objectives of

improving services and raising standards. This will support improved services to users and carers in the longer term.

14.0 CONCLUSION 14.1 The Resources Committee is asked to consider and approve the attached

Budget Monitoring Statement for the year to 31 March 2019 in accordance

with corporate governance requirements. 14.2 The current projected overspend may be capable of being funded by in

year underspends and control of uncommitted expenditure. However,

there are costs likely to arise that remain unidentified and it is essential that EMT retain close control of the budget throughout 2018/19.

Resources Committee

26 September 2018 Agenda item: 07

Report no: 20/2018

SSSC Budget Monitoring 2018/19 as at 31 August 2018 APPENDIX A

Summary: Core Operating Budget

2018/19

Budget

£'000

Actual

Expenditure/Income

as at 31 August 2018

£'000

Commitments


£'000

Projected year end

Expenditure/Income


£'000

Projected

Annual

Variance

£'000

Staff c osts

10,682

4,277

213

10,698

16

Ac c ommodation c osts

1,023

40

190

873

(150)

Administration c osts

858

275

184

925

67

Travel c osts

225

70

0

223

(2)

Supplies & servic es

2,463

1,016

1,143

3,570

1,107

Third party payments

9

8

0

8

(1)

Postgraduate bursaries

2,655

892

51

2,655

0

Prac tic e learning c osts

2,352

1,074

0

2,352

0

Gross expenditure - core operating budget 20,267 7,652 1,781 21,304 1,037

Government grants

(13,061)

(830)

(13,061)

0

Prac tic e learning fee inc ome (2,352) (1,074) (2,352) 0

Registration fees (4,632) (4,151) (4,532) 100

Other inc ome (222) (93) (275) (53)

Total income (20,267) (6,148) 0 (20,220) 47

Net expenditure - core operating budget

0 1,504 1,781 1,084 1,084

General reserve funding brought forward (765)

Projec ted 2018/19 over (under) spend 319

Note:

Revised budget for monitoring purposes - inc ludes adjustments made after the budget was set on 21 Marc h 2018

The projec ted year end expenditure c olumn represents the antic ipated expenditure or inc ome position at the end of the finanic al year (31 Marc h 2019)

The projec ted annual varianc e c olumn represents the varianc e between projec ted annual expenditure or inc ome and the agreed budget

15

16

Actual

to

31-Aug-18

£'000

Commitments

as at

31-Aug-18

£'000

Projected

outturn as at

31-Aug-18

£'000

Projected

Annual

Variance

£'000

98

31

564

122

98 31 564 122

70

88

196

4

0 0 18 0

0 0 8 0

70 88 222 4

168 119 786 126

(96)

0

(442)

0

(96) 0 (442) 0

0

0

(192)

0

0 0 (18) 0

0 0 (8) 0

0 0 (218) 0

(96) 0 (660) 0

72 119 126 126

Resources Committee


Report no: 20/2018

SSSC Budget Monitoring 2018/19 as at 31 August 2018 APPENDIX B

Summary: Specific Grant Funding

Budget

2018/19

£'000

Approved

Grant offer

2018/19

£'000

Expenditure

Workforc e Development

Total: Workforc e Development

Workforc e Development: Health & Soc ial Care Integratio

Leadership for Integration

Learning resourc es for Cyber Resilienc e

Total: Other specific grants

Total Expenditure

Income

Workforc e Development

Total: Workforce Development

Workforc e Development: Health & Soc ial Care Integratio

Leadership for Integration

Learning resourc es for Cyber Resilienc e

Total: Other specific grants

Total Income

Net Expenditure

442

442

442 442

192

192

18 18

8 8

218 218

660 660

(442)

(442)

(442) (442)

(192)

(192)

(18) (18)

(8) (8)

(218) (218)

(660) (660)

0 0

General Reserve funding available: Workforc e Development (122)

General Reserve funding available: Workforc e development for Health & Soc ial Care Integration (4)

Total General Reserve funding available for specific grants (126)

Projected 2018/19 over/(under) spend

0

Resources Committee


Report no: 20/2018

Scottish Social Services Council APPENDIX C

Summary of Digital Transformation programme requirements as at 31 August 2018

Funding:

2018/19 2019/20

£000 £000

Digital Transformation Budget (1,350) (1,214)

ICT SLA costs (540) (540)

Funding from general reserve (765)

Total Funding (2,655) (1,754)

Non Recurring Costs 2018/19:

Sequence

680

Case Management System 365

Uplift (network & Infrastructure) 707

Website 106

Telephones 64

Other 21 88

Shared Service Final SLA costs 540

Total Non Recurring 2,483 88

Recurring Costs 2018/19:

New Network & Infrastructure

186

285

Sequence 176 421

Case Management System 110 114

Telephones 36 96

Total Recurring 509 915

Total ICT Costs 2,992 1,003

New SSSC Digital Support Team

78

210

Digital transformation agency staff costs 223

Total Staff costs 301 210

Total digital transformation costs

3,293

1,213

digital transformation funding shortfall /(available) 638 (541)

Council

23 October 2018

Agenda item: 08

Report no: 36/2018

Title of report Consolidation of qualifications


Action For decision


To inform Council of the requirement for a temporary adjustment to the consolidation of qualifications.


1. agree with the recommendation to allow a variation of the approach to consolidation as an

interim measure until September 2020.


Outcome 2 - Our standards lead to a safe and skilled

workforce.

Priority 3 - Social service qualifications and

standards meet the needs of learners and employers.


This work relates to strategic risk number 4:

The qualifications framework and workforce development products we produce do not meet the

needs of employers and social service workers.

Author Ann McSorley Learning and Development Manager – Qualifications and Standards

Tel: 01382 207197

Director Phillip Gillespie Director of Development and Innovation

Tel: 01382 207204

Documents attached Appendix 1- Council report on consolidation of

qualifications 25.10.11

Appendix 2 - Minute of the Education Workforce Regulation Policy Committee 14.09.11

2

1. INTRODUCTION

1.1 In 2011 Council agreed to consolidate qualification requirements to provide clearer guidance on acceptable qualifications for registration and,

reduce the number of inappropriate qualifications presented by applicants.

1.2 In the process of registration of Care at Home and Housing Support

Services an anomaly to the consolidation of qualifications has been identified.

1.3 Council is asked to approve an interim adjustment to the original decision.

This allows for a consistent and proportionate approach to assessment of

qualifications.

2. INFORMATION

2.1 In 2011 Council agreed that once the date of required registration had been met we would:

only accept the national benchmark qualifications

no longer consider and assess any new qualifications presented

continue to accept qualifications agreed for registration prior to the date of required registration.

2.2 The SSSC has become aware of an anomaly to the decision. This arose in

early 2018 as the register opened and individuals began presenting

qualifications for registration.

2.3 Members of the Qualification Panel, held on 6 June 2018, recommended that an adjustment was required to the original decision and that approval be sought from Council on the interim measure.

2.4 Currently, the qualification criteria for the following parts of the Register

are the same:

Support Workers in Care Home Services for Adults

Support Workers in Housing Support Services

Support Workers in Care at Home Services

2.5 The date of required registration for support workers in Care Home Services for adults was September 2015. In line with the consolidation of

qualifications we would not carry out an assessment of a qualification presented for this part of the Register beyond this date, other than the benchmark qualification.

2.6 The date of required registration for support workers in housing support

and care at home services is 30 September 2020 which means we will

3

continue to assess qualifications presented to us for these parts of the Register until then.

2.7 We are now aware of circumstances where workers are carrying out

multiple roles which require registration on more than one part of the Register and applying the consolidation rule is not logical or pragmatic. For example someone who is working in a care home service and a care at

home service, we would not assess their qualification for one part of the Register but would for the other. They would be registered on the care

home part of the Register subject to a condition whilst their qualification for the other part may be assessed as equivalent and therefore acceptable.

2.8 At the moment no Registrants have been affected. Addressing this

anomaly would facilitate movement between these register parts.


3.1 This work will be undertaken as core activity of the Development and Innovation Directorate. There are no new financial implications arising

from this report.


4.1 This policy will have no negative impact on people with one or more protected characteristics and a full Equality Impact Assessment is not required.

5. LEGAL IMPLICATIONS 5.1 The proposal outlined in this report falls within the general duties and

powers conferred on the SSSC by section 46(2)(c) of the Regulation of Care (Scotland) Act 2001. It would therefore be lawful for the SSSC to

take the proposed action.


6.1 We will communicate the proposed temporary measure to individuals, employers and other stakeholders using the website and e-bulletin.


7.1 This adjustment to the consolidation of qualifications will ensure that

social service workers who work across multiple services or in multiple

roles are not disproportionately affected and required to gain multiple qualifications in order to demonstrate their knowledge, skills and

experience. This will prevent there being a barrier to registrants

4

registering on multiple register parts allowing them to be flexible to meet the changing needs of services and models of care and will support

improved outcomes for people who use services and their carers.

8. CONCLUSION

8.1 It is recommended that Council agree that, until the date of required registration has been achieved for support workers in Care at Home and

Housing Support in 2020, we will assess qualifications presented for any other Register part that the worker is undertaking a role for. This will make sure a consistent approach is applied.

8.2 We will communicate the proposed temporary measure to individuals,

employers and other stakeholders using the website and e-bulletin. 8.3 We will continue to fulfil our obligation to accept qualifications previously

agreed for registration.

8.4 New models of service delivery and national policies, such as integration of social care and health, will require further consideration of our approach

to qualifications required for registration. Work on the National Health and Social Care Workforce Plan will contribute to our future approach to register parts. This will require further consideration by Council in the

future.


9.1 None.


Report to: Council

Report No:

Date:

Council23 October 2018 Agenda item: 08

Report no: 36/2018 Appendix 1

Title:

Author:

23/11

25 October 2011

Consultation on Consolidation of Qualifications for Registration

Frances Scott, Qualifications and Standards Manager

Executive summary:

A consultation on consolidating qualifications for registration took place between April and August 2011.

There was a high level of response to the consultation and as a result of the feedback received officers are recommending that following commencement of required registration for each category of worker, the qualifications recognised for registration of new workers in that category are consolidated to the relevant main national awards.

However, in response to the feedback received officers are recommending that predecessor qualifications awarded prior to the date of required registration for the relevant part of the Register continue to be recognised; that some specialist awards continue to be included in the consolidated list and that further work is undertaken with the housing support sector to explain a_nd discuss the qualifications set for the registration of their workers.

The responses to the consultation also provided helpful feedback about the consultation process which officers will use to inform any further consultations.

Recommendations:

That the Council

i) Note the outcome of the consultation

ii) Agree the consolidation of qualifications for registration as outlined, from

1 April 2012

iii) Agree the continued recognition of a number of specialist awards

iv) Note the additional work to be undertaken to communicate the results of

the consultation to the sector

v) Note the additional work required with the Housing Support sector.

1

1. INTRODUCTION

1.1 In February 2011 the Education and Workforce Regulation PolicyCommittee (EWRPC) agreed to consult on a proposal to consolidatequalifications for registration. The proposal was to remove predecessorqualifications from the agreed list of qualifications for all parts of theregister once the required registration date for each was reached or,where that had already occurred, after an agreed lead in time.

1.2 As a result of this consolidation, the proposal was that the remainingnational qualifications for the sector, such as the SVQs in Health andSocial Care (HSC) and Children's Care Learning and Development(CCLD) and their equivalent HNCs would become the standardqualifications for registration on all appropriate parts of the register.

1.3 The purpose of this was to allow better workforce planning foremployers; ensure improved communication and less ambiguity aboutacceptable qualifications and consequently improve efficiency byreducing the time spent on qualifications enquiries.

1.4 The consolidated qualifications lists would only apply to new workersjoining the register after any required registration date. Those workersjoining the register before or by the required registration date would beentitled to use the current list of agreed qualifications for theappropriate part of the register. Workers previously on the register,leaving and subsequently returning after required registration had beenreached could use a predecessor award.

1.5 The original proposal was that workers who held recognised predecessorawards but had not previously been registered, would be required togain a consolidated award. However as a result of the consultationresponses this proposal has been revised and the amended proposal isdetailed at 2. 7.

2. CONSULTATION

2.1 The consultation took place between 01 April and 05 August 2011.Council agreed to extend the original June deadline to allow additionalresponses.

2.2 In total, the SSSC received 375 responses, including responses viaorganised events, on line, by letter and phone call. At its meeting inSeptember 2011 the EWRPC received a presentation about theconsultation and discussed the responses received and how they shouldbe responded to.

2.3 While there was broad agreement with the principle of consolidationsome specialist groups asked that their awards should continue to beaccepted for registration; in particular the BA Social Pedagogy(Aberdeen University). The omission of this award generatedconsiderable correspondence and major concern to the sector who felt

2

strongly that the award continued to be relevant to new workers entering the sector. Similar concerns were expressed by the Playwork sector at the omission of their awards for the Day Care of Children sector and by DeafBlind Scotland and some Montessori groups in relation to their specialist awards. As a result of this feedback the proposal is to continue to accept the following specialist awards:

• BA Social Pedagogy (Aberdeen University) for all previouslyspecified parts of the register except Managers of Day Care ofChildren Services

• Diploma and Certificate in DeafBlind Studies for all previouslyspecified parts of the register

• SVQ2, 3 & 4 in Playwork for all previously specified parts of theregister except Managers of Day Care of Children Services afterDecember 2011.

• Previously specified Montessori awards for support worker andpractitioners of Day Care of Children Services.

2.4 The Housing sector expressed concern at the exclusion of housing specific qualifications. The consultation has showed that more work has to be done with this sector to ensure there is a clearer understanding of what constitutes a housing support service, rather than a housing service and what workers are within the scope of registration. Officers also need to discuss and clarify these issues with the Care Inspectorate to ensure consistent advice to the sector. It is recommended no additional housing awards are added until this further work is undertaken with the sector.

2.5 Excluding responses relating to BA Social Pedagogy there was general agreement with the proposal to consolidate qualifications; however this agreement was particularly evident at events when the proposal was explained fully. Initially some in the sector expressed concerns about whether registrants with predecessor qualifications could continue to depend on them for renewal of registration and were reassured when it was confirmed that was what was proposed.

2.6 Local Authorities who did not support the proposal were concerned, that following commencement of required registration, workers who held previously recognised predecessor awards but had not been registered before, would be required to gain a qualification from the consolidated list of recognised qualifications. They suggested this would mean the SSSC would be treating social care workers less favourably than social workers since social workers would have been able to apply for registration for the first time on the basis of predecessor awards.

2. 7 To address these concerns officers are recommending the following amended proposal:

• After required registration commences for a part of the Registerworkers may continue to apply for registration and renewal ofregistration on the basis they hold a predecessor qualification whichwas previously on the list of recognised qualifications for that part.

3

• Applicants must provide documentary evidence from an awardingbody that they were awarded their predecessor qualification priorto the date required registration commenced for the relevant partof the Register.

• Following the date of commencement of required registration forany part, any applicant who does not hold a qualification from theconsolidated list of recognised qualifications or a recognisedpredecessor qualification gained before the date of requiredregistration will have to attain a qualification from the consolidatedlist for the relevant part of the Register or in the case of applicantsfor the part for social workers will have to hold a qualification fromthe consolidated list.

2.8 If Council accepts the proposal to consolidate the list of recognised qualifications it is anticipated additional work will be needed to communicate how the process of consolidation will operate for those who are new to the workforce and to communicate the position for holders of predecessor awards. It is proposed to introduce the changes from 1 April 2012.

2.9 Where workers have been out of practice for some time it is particularly important that employers ensure that they receive a comprehensive induction to their post and that any gaps in their knowledge and skills as a result of developments in practice methods and changes in relevant legislation and policies and procedures are identified and addressed.

2.10 To assist employers in this regard and to assist workers who are contemplating a return to work the SSSC will discuss the development of 'return to social care practice' award with awarding bodies.

2.11 Given the broad agreement for the principle of consolidation of qualifications Council is asked to:

a) Agree to consolidate qualifications for relevant parts of the registeras outlined

b) note the additional work required between the Housing Supportsector, SSSC and the Care Inspectorate

c) note the need for a communication strategy to take forward thiswork effectively.

3. FINANCIAL IMPLICATIONS

3.1 This work is accounted for in the core budget of the Qualifications andStandards team but work will need to be co-ordinated with Registry andCommunications to ensure it is effective. Consideration will need to begiven in the budget for 2012-13 about how this can best bedisseminated and any costs that might occur.

4

4. HUMAN RESOURCE IMPLICATIONS

4.1 There are no additional human resource implications and this can bemanaged within the existing staffing allocations.

S. EQUAL OPPORTUNITIES

5.1 The Education and Workforce Development team pays regard to theSSSC's general and specific duties and promotes equal opportunities inall aspects of its work.


6.1 Legal advice has been that it is essential to ensure that the sector isaware of the proposed changes and given sufficient notice beforeimplementation. The views presented by the sector to the SSSC havebeen considered, listened to and taken seriously as reflected in thisreport.


7 .1 This has been an extensive consultation that has included stakeholdersincluding service users; parents, service providers and employersgenerally. The 375 responses are indicative of a wide interest from arange of sources. We received feedback about the process of theconsultation, for example, the amount of notice given about theconsultation and we will use this feedback to inform and improve futureconsultations.


8.1 It is anticipated that service users and their carers will be more easilyable to identify the qualifications they can expect workers who providecare services to hold. Currently the lists of qualifications are difficult tonavigate and confusing for anyone who is not a learning anddevelopment specialist. This proposal will make the lists clearer.

9. CONCLUSION

9.1 This consultation has provided the SSSC with rich feedback which hasled to officers amending proposals and reviewing consultation processes.The feedback provides a sound basis on which to makerecommendations to Council.

5

10. BAC.KGROUND PAPE.RS

10.1 None.

Contact Officer: Designation:

Tel:

6

Frances Scott Qualifications and Standards Manager 01382 207154


Confirmed minute of the Education and Workforce Regulation Policy Committee held on 14 September 2011 in Compass House, Dundee.

Present: Mr Garry Coutts, Chair Ms Maureen O'Neill, Vice Chair Ms Elizabeth Carmichael, Vice Chair Mrs Margaret McKay, Council Member Dr Anne Haddow, Council Member Mr Michael Cairns, Council Member Mr Ian Doig, Council Member Mr Kingsley Thomas, Council Member

In attendance: Ms Anna Fowlie, Chief Executive Ms Geraldine Doherty, Registrar Ms Val Murray, Legal Adviser Mr Bryan Healy, Workforce Intelligence Manager Ms Frances Scott, Qualifications and Standards Manager Ms Lorraine Gray, Policy and Public Affairs Manager

1. Welcome

Ms Nicola Gilray, Communications Manager Mr Neil Macleod, EWD Adviser Ms Julie Thomson, EWD Adviser Ms Caroline Sturgeon, EWD Adviser Ms Anne Reid (minute taker)

1.1 The Chair welcomed everyone to the meeting in particular Julie Thomsonand Caroline Sturgeon, Education and Workforce Development Advisers,who were attending as part of their induction.

2. Apologies for absence

2.1 Apologies were submitted by Bart McGettrick, Karen Croan and Stan Smith,Council Members.

3. Declarations of interest

3.1 As Chair of NHS Highland and Rector of University of the Highlands andIslands, Garry Coutts declared interest in all agenda items. MargaretMcKay declared interest as a registered social worker.

4. Action list from previous meeting

4.1 Committee noted that Actions had been completed.

1



5. Matters arising from the previous meeting:

5.1 Sector Skills Assessment and Workforce Skills Report, 2011/12:

Neil Macleod, Education and Workforce Development Adviser, updated Committee on the implementation of the Sector Skills Assessment (SSA) 2010/11 and future work in this area. The SSA was published in May 2011. As part of the implementation a communications strategy was developed. This strategy includes the publication of themed summaries which will highlight key messages for employers, SSSC staff and other stakeholders. Implementation of the action plan is also underway. The action plan includes a research project which will examine data on migrant workers in Care at Home / Care Home / Housing support services and work to improve the SSSC's knowledge of the numbers of volunteers and personal assistants.

5.2 Since the last Committee meeting the UK Commission for Employment and Skills (UKCES) have indicated that they will require an SSA for the Scottish social services sector after all. The UKCES are very prescriptive about the SSA's content in 2011/12 and will provide standardised tables for inclusion in the report. The intention is to develop brief SSAs which are comparable with other sectors. The SSA 2011/12 is due for submission to UKCES in January 2012. The timetable for submitting this SSA is not compatible with the Committee timetable. It was therefore agreed that a Chair's Action will be used to finalise the SSA 2011/12. The Committee will receive a draft of the SSA for comment prior to this stage.

5.3 Work is continuing on plans to develop a more detailed report which will explore key workforce intelligence issues in greater detail, including data on training provision and numbers of registered workers. This work is provisionally entitled The Workforce Skills Report (WSR) and is primarily undertaken as part of the SSSC's responsibilities under the Regulation of Care (Scotland) Act 2001. The WSR will follow a similar format to the SSA 2010/11.

5.4 The Convener queried the value of producing the SSA and the WSR. Neil Macleod noted that the SSA is required by UKCES, while the WSR is primarily about focusing on the SSSC's workforce data responsibilities. The WSR examines data that cannot be covered within the new SSA format. Ian Doig queried the potential for contradictory findings in the reports. Neil Macleod explained that the SSSC would be the final author of both documents so would address any apparent contradictions. Bryan Healy pointed out that data from the SSA 2011/12 will feed into the WSR. The draft WSR will be circulated to Committee in early 2012/13.

5.5 Finally, it was noted that the development of SSAs from 2012/13 onwards will be subject to a tendering process. Committee accepted the recommendations and welcomed the plans to develop the WSR. Committee queried the purpose and added value of the SSA. Committee noted that officers are engaged in ongoing discussions with SfCD, UKCES and Scottish Government about these issues.

2

5.6 Professional Boundaries Guidance: Geraldine Doherty advised that Elizabeth Carmichael, Margaret McKay, Mike Cairns and Maureen O'Neil met with Ann Moffat, Conduct Case Manager, and her to discuss the development of guidance about maintaining professional boundaries. It was agreed the guidance will be developed for supervisors and managers to assist them to increase the awareness of their staff about professional boundaries and how to recognise and address issues that may emerge about maintaining them in their day to day practice. The guidance will also refer to and reinforce the standards in the SSSC Code of Practice for Social Service Workers.

5. 7 A group from across various departments within the SSSC has begun drafting the guidance. The Care Council of Wales and the Northern Ireland Social Care Council are interested in this work. A meeting of Four Country CEOs and Directors is scheduled for later this month and Professional Boundaries Guidance is included on the agenda.

5.8 Care at Home and Housing Support Consultation: Frances Scott provided a brief update on the Care at Home and Housing Support Consultation which ran from 6 June to 26 August 2011. A report on the outcome of the consultation will be submitted to Council in October 2011.

5.9 Anne Haddow expressed concern that that the online questionnaire did not allow respondents to designate themselves as carers. This was noted and assurance given that the designation 'carer' would be included in future consultation templates.

6.0 Consultation on Consolidation of Qualifications for Registration

6.1 Frances Scott gave a presentation on the feedback received through the consultation on Consolidation of Qualifications for Registration and the recommendations that are being made as a result of that feedback. She explained that the proposal was that once required registration commences for a category of worker the current list of acceptable qualifications for registration is consolidated to the main national awards. She advised this consolidated list would only apply to new registrants; existing registrants could continue to depend on predecessor qualifications for maintenance of their registration.

6.2 She outlined the key issues that emerged, namely the Camphill Community and other child care organisations argued strongly that the BA Social Pedagogy (BASP) should be retained as an award for registration and specialist groups such as Deaf Blind Scotland, Montessori and Out of School Care and Play work respondents agreed with the proposal but asked that their specialist awards should continue to be recognised. Some Housing Support respondents commented that the proposed range of qualifications for their sector was too narrow and the qualifications were too care orientated.

6.3 Nineteen Local Authorities responded with 12 supporting the proposal, the seven Local Authorities who did not support to the proposal raised concerns that the SSSC would be treating social care workers less favourably than

3

social workers as predecessor awards will continue to be accepted for social workers.

6.4 Frances Scott explained that a number of respondents criticised the consultation process and commented that the SSSC had not publicised the consultation enough or given sufficient time for response and had not explained the rationale for the proposed changes sufficiently or tested them out in advance with stakeholders who would be affected by them.

6.5 Committee members welcomed the presentation and a general discussion ensued. Committee members agreed with the advice of officers that it should be recommended to Council that the specialist qualifications highlighted in the presentation should be added to the list of consolidated qualifications. It was agreed further discussion was needed with the Housing sector to address their concerns and to reinforce that registration is focused on workers in their services who are providing care not those who are undertaking more general housing administrative work.

6.6 Committee considered the concerns that the proposals would mean social care workers would be treated less favourably than social workers. Officers confirmed that social care workers with predecessor qualifications who had been registered prior to the commencement of Required Registration for the relevant part of the Register, even if they were not registered at the point Required Registration commenced, would still be able to depend on their qualification if they applied for registration in the future on the same part of the Register. The individuals who would be affected would be those who had never been registered prior to the commencement of Required Registration who then came forward in future to apply for registration. Committee discussed the need to agree policy based on general expected circumstances rather than circumstances that might affect a small number of people and also the role of employers to ensure that applicants for jobs have current and up to date knowledge.

6. 7 Committee discussed the comments on the process of the consultation and the lessons learned from it in particular that people value face to face discussion of proposals. The value of testing out proposals was agreed and it was decided that the planned consultation on simplifying the categorisation of the Register should be delayed to allow for discussion with a range of stakeholders. However, Committee agreed that it is important consultations are genuine and not just processes for seeking confirmation of views already gathered.

6.8 In response to a question from Kingsley Thomas, Frances Scott advised the "Working It Out "report was a Children in Scotland publication on workforce development. The report provided workforce information and made comparisons with other European countries and recommended that a social pedagogical approach should be adopted to residential child care in Scotland. She confirmed that this recommendation has not been adopted as Scottish Government policy. Geraldine Doherty explained that she was meeting with civil servants and Camphill representatives at the end of the month to discuss the use of pedagogical approaches in child and adult care

4

in Scotland. The importance of ensuring that recognised qualifications for registration reflect contemporary practice was agreed.

6. 9 Questions had arisen during the consultation about the lack of progress on developing the level 9 qualification for residential child care workers recommended in the NRCCI. Anna Fowlie reported that this had been raised many times with the appropriate policy division in Scottish Government, and agreed to escalate the matter to the Director, Mike Foulis.

6.10 Recommendations and actions

Committee agreed:

i) To note the reportii) To remit the Chief Executive to raise the lack of progress on the

NRCCI recommendation on a level 9 qualification for residential childcare at a senior level in Scottish Government.

7 .o Reimagining Workforce Development and Planning in Social Services - Update

7 .1 Anna Fowlie presented this report which summarised the findings of the report from Glasgow School of Art (GSA) concluding phases 1 and 2 of the service redesign project. It described the findings and recommendations and outlined proposed next steps towards implementation. She advised that areas for development are around how we communicate, how we improve our engagement with stakeholders, and how we strengthen our leadership and influencing roles.

7.2 She advised that the summary report and full report from GSA were available on Basecamp for Council members and that an abridged version of the report will be produced and distributed to stakeholders in due course.

7. 3 The report's key findings are broken down into 3 categories: tactical solutions; strategic/aspirational solutions; and commentary. She explained that the "tactical solutions" can be addressed more quickly, but the "strategic solutions" identified may take longer.

7.4 She explained that it was apparent from feedback received that stakeholders welcomed the opportunity to engage with the SSSC and to discuss the big issues facing the sector and the role the SSSC should play in addressing them. They were also looking for greater clarity and more information about the work of Education and Workforce Development and how it fits with the other functions of the organisation. It is clear from the discussions with stakeholders that there is particular confusion about the purpose and role of the Sector Skills Council.

7.5 Anna Fowlie advised that there are currently no additional resources for this work beyond 31 March 2012, and there are no guarantees that funding will be made available for it in the next financial year so future steps may have

5

to be achieved through existing or reduced funding. However, discussions would take place with Scottish Government after the Spending Review announcement. Much of what GSA have found relates to how the SSSC does things, rather than what we do.

7.6 She outlined to Committee areas which she considers should be focused on:

• Developing local engagement through pilots in the two local areaswho have shown a real enthusiasm and proactivity to working withthe SSSC.

• Developing specific links with the voluntary and private sectors• Developing mechanisms for employer engagement• Systematically reviewing our communication, internally and

externally

7. 7 She advised that following discussion with EMT, she intends to submit a proposal to Council in October about a revised staffing structure to support integrated work and increase and strengthen local engagement about EWD work and how it integrates with and underpins registration and regulation of the workforce.

7.8 A general discussion ensued; Committee welcomed the report and were content with the work so far and the proposed way forward. It was agreed that it would be important not to underestimate the time and effort that will be needed to address even the tactical solutions.

7.9 Margaret McKay pointed out that the report and the process highlighted the need for stronger linkage with the Institute for Research and Innovation in Social Services (!RISS ) and greater clarity about the respective roles and responsibilities of the new re-shaped !RISS and the SSSC.

7.10 Elizabeth Carmichael suggested a joint meeting is held with !RISS and the boards of other key partner agencies to discuss clarity of purpose, the impact of each other's work and the potential for joint work. Geraldine Doherty suggested that it would be a good time for Members of SSSC and the SCSWIS Board to meet to discuss how to progress interfacing and shared agendas.

7.11 Committee agreed a rebranding exercise would be an expensive distraction and not a priority and that the focus should be on clarifying what the SSSC can and will do in effective partnership with others and what it cannot do, for example, take on the role of a professional body for the sector.

7.12 Anna Fowlie asked for views with regard to appointing a Project Manager to assist with this work. Although recognising the work load implications of progressing next steps and the assistance a Project Manager could provide some members advised that the involvement and oversight of the Chief Executive would be critical. The Convener suggested that further thought should be given to this matter and that any proposal to employ a Project Manager should be put to Council Members for consideration.

6

7.13 Anna Fowlie will contact Alison Petch from !RISS regarding holding a joint event with SCSWIS and the SSSC to consider the way forward.

7.14 Mike Cairns pointed out that the font size within the main report made it difficult to read. This was noted and will be addressed in the abridged version. However he felt that the proposals were clear and provided a good opportunity to work with SCSWIS and to improve how the SSSC presents itself to and engages with stakeholders.

7.15 Recommendations and Actions

Committee:

i) Noted the report; andii) Asked the Chief Executive to organise a tripartite meeting between

the Boards and senior officers of the SSSC, SCSWIS and !RISS toconsider the way forward; and

iii) Asked the Chief Executive to invite Alison Petch, !RISS ChiefExecutive to present to a development session on the re-focusedI RISS.

8.0 SSSC Codes of Practice

8.1 Geraldine Doherty, Registrar, presented this report and advised that the SSSC Code of Practice for Social Service Workers and the SSSC Code of Practice for Employers of Social Service Workers cover workers' responsibilities to identify and report poor and unsafe practice and employers' responsibilities to address such concerns. She outlined the guidance given to registrants about 'whistle-blowing' and that further guidance will be provided in the SSSC newsletter.

8.2 She informed Committee members that stake holder surveys undertaken by SSSC and monitoring by the Care Commission and the Social Work Services Inspectorate indicate high levels of awareness about the Codes amongst social service workers and their employers. She explained discussions are underway with the Social Care Social Work Improvement Scotland (SCSWIS) about how it will take account of the Codes of Practice in its inspection work.

8.3 The Codes of Practice were issued in September 2002 and Committee was asked to consider whether the 10th Anniversary of the launch of the Codes would be an appropriate time to commence a review of them.

8.4 The Convener commented that the report was pertinent and gave reassurance that the Codes of Practice are clear and unambiguous and felt that it is important to check how well the codes are understood and acted upon and used by our registrants. Margaret MacKay agreed and said that although we have evidence of awareness of the Codes we need to be sure that workers and employers are implementing the standards set down in them.

7

8.5 It was agreed that a refresh of the Codes would be needed in future but it was not a priority now. The important thing was to ensure the Codes are used properly and adhered to. It was agreed that promotion and enforcement of the Codes would be included in the agenda for the planned joint meeting with SCSWIS and !RISS.

8.6 Recommendations and actions

Committee:

i) Noted the report and agreed a refresh of the Codes was not neededat this time.

ii) Agreed that promotion and enforcement of the Codes would beincluded in the agenda for the planned joint meeting with SCSWISand !RISS.

9.0 Registration and Conduct Sub-committee Members: Appointment, Appraisal, Training and Support and Procedure for dealing with Concerns

9.1 Val Murray, Legal Adviser introduced this report. She advised that decisions of the Registration and Conduct Sub-committees are made by the co-opted members of the Registration and Conduct Sub-committees, in the name of the SSSC.

9.2 Committee members were asked to review the arrangements for Subcommittees and consider whether Council Members should play a greater role in appointments and whether external consultants should be involved.

9.3 The Committee was also asked to agree a procedure for appraisal of Subcommittee members and a procedure for addressing concerns about Subcommittee members.

9.4 Val Murray advised that current arrangements for the appointment of Subcommittee members were working well with no particular problems, however it was important in governance terms to look at them again to determine whether they need to be more robust.

9.5 Committee discussed the current arrangements and proposed new approach. It was noted that some regulatory bodies use arms-length Appointment Committees to appoint panel members, but that these Committees are themselves appointed by the governing bodies. Members agreed that they were content to leave the current arrangements for the appointment of Sub-committee members in place.

9.6 The current arrangements and possible new approach to the appraisal of Sub-committee members was discussed. It is proposed there should be 360 degree appraisal which will in addition to the current arrangements require that:

• Sub-committee members will review the panel's performance as awhole alter each hearing

8

• Each individual will prepare a self-assessment which the Subcommittee Convener will sign off after each hearing

• On an annual basis, each member will be asked to prepare a shortreflective account of two hearings from which there were significantlearning outcomes

• On an annual basis, each member will be asked to prepare a trainingand development log and assess their training needs against the corecompetences.

9. 7 It was agreed that the Legal Adviser would consult with Sub-committee members about this proposed approach.

9.8 Committee were content with the training provided to Sub-committee members and noted the training in the year to date.

9.9 Committee were also content in principle with the proposed Procedure for dealing with concerns about Sub-committee members. It was noted the Scheme of Delegation would require to be amended by Council to reflect this in due course.

9.10 Recommendations and actions:

Committee:

(i) Agreed the approach to appointments outlined in Paragraph 2 of thereport;

(ii) Agreed the Legal Adviser would consult with Sub-committeemembers in respect of the proposed new system for appraisal ofSub-committee members and the Procedure for dealing withconcerns about Sub-committee members, and report back to theCommittee; and

(iii) Noted the training and support provided in the year to date and theproposals for the year as outlined in paragraph 4;

10.0 Draft responses to Health Professions Council's Consultations on draft standards of proficiency and proposed threshold level qualifications for social workers in England

10.1 Geraldine Doherty, Registrar introduced this report and advised the Health Professions Council is currently consulting on draft standards of proficiency and proposed threshold level of qualification for social workers in England.

10.2 Officers have drafted responses to the consultations and while content to recommend support for the proposed threshold level of qualification they have some concerns about the draft proficiency standards. She explained that officers were concerned that the passive language used in some of the standards suggested an understanding of required practice standards is sufficient rather than the ability to practise to required standards. They were also concerned, given the high level at which the standards are drafted, about the proposed acceptance that social workers may not be able to demonstrate they meet all the standards of proficiency throughout their careers.

9

10.3 She advised that the threshold level of qualification was more straightforward. A bachelor degree with honours is the threshold level of qualification for social workers in Scotland so officers were recommending that the SSSC should support the setting of this minimum level of qualification for social workers in England. However, they were also recommending that the monitoring teams which will visit a social work course in England in response to a significant change in course provision should include a registered social worker.

10.4 She advised that officers are meeting with colleagues from the Care Councils on 15 September 2011 to discuss education and training matters including each Council's draft response to the HPC consultations.

10.5 Anne Haddow welcomed the suggestion in the draft response that the standards should be amended to include references to the central role played by carers and suggested that this comment is strengthened to say that where carers are involved in planning the delivery of appropriate services they should be treated as equal partners.

10.6 The Convener asked for an indication of the implications and risks if the passive language remains to be added to the draft response.

10. 7 Final drafts of the consultation responses will be presented to Council forapproval at its meeting on 25 October 2011.

10.8 Recommendations

Committee agreed:

i) To note the report and include comments from Committee into thedraft responses.

11. Risk Management

11.1 There were no new risks identified.

12. Consultations from 11 May to date

12.1 Lorraine Gray advised that two consultations have been responded to within this period: (1) Scottish Government's Consultation on the common core skills,

knowledge and understanding and values for the children's workforcein Scotland; and

(2) Inquiry into Regulation of care for older people. Both consultationresponses are available on basecamp.

13. Any other competent business

13.1 Following the recent success at the European Social Services Conference in Warsaw, Anna Fowlie advised that Frances Scott has been invited, at no cost to the SSSC, to speak at the Creanova Conference in Bilbao on new

10

ways of learning and working in recognition of the innovative approach SSSC has been taking.


30 November 2011 at 10:30 am

lation Policy Committee

L'l) +'A '11

Date: ........................................................................................................................................... .

11

Council

23 October 2018

Agenda item: 09

Report no: 37/2018

Title of report Involving people who use social services and carers in the SSSC


Action For decision


This paper provides an update on the appointment to the Involving People Lead post and sets out options

for governance to oversee the development of our approach and plan.


1. note the new appointment

2. consider the options for governance during the

development of our Involving People Plan

3. agree on the governance model.


Outcome 4 - our stakeholders value our work.


Risk 2: the SSSC is not able to demonstrate to our stakeholders (including Scottish Government) that its

operational activity is fulfilling its strategic outcomes.

Author Nicola Gilray Head of Strategic Communications

Tel: 01382 207261


2

1. INTRODUCTION

1.1 This paper provides an update on the appointment of the Involving People

Lead post and sets out options for governance to oversee the development of our Involving People with Lived Experience of Social

Services Plan. 1.2 This work is part of the wider approach to engagement and research with

stakeholders. It will be aligned with and inform how we develop and deliver both our next stakeholder engagement strategy and a new

research strategy to support delivery of the strategic plan. 1.3 From our experience and from existing research in this area of

engagement, we know that having a defined purpose for involving people is essential. It must be clear and understandable and where there will be

results so that people see they are making a difference. The starting point is that the purpose for involving people in our work is for them to influence and inform decision making by the SSSC and development of

our services, resources and products. This will be refined during development of the plan.

2. INVOLVING PEOPLE APPOINTMENT

2.1 The Strategy and Performance Directorate leads the SSSC’s approach to

engaging with our stakeholders as set out in the Stakeholder Engagement Strategy and Framework. One strand of this work is our approach to involving people using social services and carers.

2.2 To date we have involved people in a number of ways, structuring

involvement where their experience and input can have most impact. This includes our main business processes as well as key projects, with

examples set out below.

review and development of the current Codes of Practice

developing our fitness to practise model of regulation review developing the current strategic plan developing the social service workforce eg:

o quality assurance and approval of qualifications o qualifications and National Occupational Standards development

o Step into Leadership o Promoting Excellence o self-directed support

o Equal Partners in Care (EPiC) o digital learning (eg supporting informal carers).

2.3 Recognising that this approach was due for review, Council Members

agreed to a temporary Involving People Lead post for a year. This would

bring the experience and expertise required to review, research and develop our SSSC Involving People with Lived Experience of Social

Services Plan.

3

2.4 There was a delay in appointing to the post however we have now made the appointment with the officer starting on 1 October. The post is for one

year with the following aims:

design and develop an effective Involving People Plan and Framework for the SSSC to support the aims of the strategic plan, establishing supporting systems, processes, action plans, structures

and roles, identifying the resources required to ensure delivery provide appropriate advice and guidance for the SSSC’s executive

and operational management teams on effective involving people methodologies

develop appropriate performance measures to help us deliver on the

objectives set out in the Involving People with Lived Experience of Social Services Plan

lead the design, directly or jointly with others, of performance

measures and systems for capturing, gathering and analysis of data which will evidence progress with delivering involvement actions and inform our work and design of our services and products

contribute to the development of a range of activities to encourage

active participation by people who use care services and their carers

and bring their lived experience to the organisation develop and maintain appropriate networks which enable people who

use social services and their carers to influence decision making by

the SSSC and development of our resources and products contribute to the SSSC’s staff development programme so that our

staff work effectively with people who use care services and their

carers.

2.5 The Involving People Lead will engage with a range of stakeholders,

groups and networks to inform the process. These will include established service user and carer networks and co-design groups, groups that

connect with those who are harder to reach, other regulators, our registrants, and our staff. The work will also establish links with the Community Planning Partnerships and the involving people leads for the

Health and Social Care Partnerships.

2.6 Linking to this work is the development of a social services volunteering programme for our staff. This programme is in the very early stages of

development and will support staff to offer their time and skills to support social services in an informal way. This helps us to gain experience of different types of services and the people that use and work in those

services and to bring that learning to our everyday work.

4

2.7 This work reflects the principles of our Stakeholder Engagement Strategy and Framework:

we actively encourage engagement as a driver for improvement

our stakeholders receive clear, coherent and consistent messages about our work and what it means for them

we make best use of people’s time in seeking their views, engaging them in decisions and sharing information

we make use, both at a strategic and an operational level, of the

information, feedback and intelligence gathered from our engagement with stakeholders.

3. GOVERNANCE PROPOSAL

3.1 This is a year-long project and, recognising that Council Members are encouraging and supportive of this work, this paper sets out options for

keeping members up to date, involved and assured of progress. Council is asked to agree their preferred governance model.

Option 1 Quarterly project progress reports to Council.

Option 2 A project reference group to oversee the

development of the Involving People Plan, including Council Members. This option also

includes quarterly reports to Council.


4.1 The delay in appointing a suitable candidate to the post means that the

post will continue into 2019/20 and this will be included in next year’s budget. There will be costs required to support option 2 (membership of a

reference group). There is a currently a budget of £5k for involving people engagement in the Communications Department budget.

5. EQUALITY IMPACT ASSESSMENT

5.1 We will carry out an equality impact assessment as part of the development of a plan to ensure there is no disproportionate effect on

anyone with a protected characteristic and also to identify where our plan can positively benefit equality groups.

5


6.1 There are no specific legal implications.


7.1 Our Stakeholder Engagement Strategy and Framework sets out how we

will listen to and act on the views of stakeholders to help us make sure the views of people who have a particular interest can influence our work. This report focuses specifically on involving people using social services

and carers. They have an interest in the effectiveness of our work. It is important that their voices are heard, directly or indirectly.


8.1 As above, this work would involve people using social services and carers more directly in aspects of our business.

9. CONCLUSION

9.1 We have now appointed to the Involving People Lead post and ask Council

to consider the options for governance and agree their preferred option.


10.1 None.

Council

23 October 2019

Agenda item: 10

Report no: 38/2018

Title of report Consultation on change to the fitness to practise process


Action For decision

Summary/purpose of

report

To seek refreshed authority to consult on introducing

a procedure of holding fitness to practise hearings when a worker requests a hearing.

Recommendations The Council is asked to: 1. grant authority to consult on the proposal.

Director Maree Allison

Director of Regulation Tel: 01382 207183

Email:[email protected]

Link to Strategic Plan The information in this report links to: Outcome 1 - The right people are on the Register.

Link to the Risk

Register

Risk: Failure in our registration or fitness to practise

processes lead to public protection failure.

Risk 5: The SSSC does not have sustainable resources to support the delivery of Strategic Plan outcomes (i.e. the strategic planning growth

assumptions are not financially sustainable).

Equality Impact Assessment (EIA)

1. An EIA was not developed and will be considered as part of the consultation process.

Documents attached Appendix 1: Sanction Comparison Charts

Background papers Council Paper 1/2016

2

1. INTRODUCTION

1.1 In 2016 Council granted authority to consult on a proposed change to the conduct process, whereby rather than only holding hearings when a worker

did not accept the allegations and sanction, we would only hold a hearing when a worker requested it.

1.2 The evidence-base for the proposal was data gathered on the conduct

model. As the move to the fitness to practise model then gathered pace, we decided that it would be premature to consult on this change at the same

time as changing the model.

1.3 This report refreshes the request for authority to consult and updates the evidence-base.

2. WORKER ENGAGEMENT

2.1 30% of workers whose fitness to practise is investigated do not engage with

the fitness to practice hearing process. We believe there are four main reasons for non-engagement:

they know that their behaviour is incompatible with registration

they have moved into a different type of work and are not interested in being able to continue to work in social services

they have retired

they do not have the right support to engage.

2.2 We are taking steps to improve the support we offer:

make it easier to attend hearings

extend and highlight the representation available

improve our literature

make soft skills a key part of recruitment and training of panel members

develop the case management system to make communication easier

implement surveys of workers, employers and witnesses to identify

other areas for improvement.

2.3 By improving support we hope to improve engagement so that all workers invested in their profession engage with us.

3

3. CURRENT PROCESS

3.1 The relevant part of the fitness to practise process currently operates in four key stages:

3.2 Due to this four-stage process, where a worker does not accept the sanction, we are able to compare the sanction proposed by fitness to practise at stage

three, and the outcome of the hearing at stage four.

3.3 The breakdown of the comparison is at Appendix 1. In particular it is broken down on the basis of the 70/30 split of workers who engage with the Clerks

during the hearing process, and those who do not. In summary, where a worker does not engage with the hearing process, the sanction proposed at

stage three is the same sanction imposed by the Fitness to Practise Panel after hearing the evidence in 94% of cases.

4. PROPOSED NEW APPROACH

4.1 With engagement levels during the hearing process at 70% over the 17 months analysed, we are holding significant numbers of hearings where

there is no engagement from the worker (97 hearings, 165 hearing days). This has an impact on witnesses going through the process of giving

evidence, care services which have to release staff which may have an

Investigate

Make a paper-based decision

If a sanction is considered appropriate, provide the worker with an opportunity to accept the sanction

If the worker does not accept the sanction, hold a hearing

4

impact on a service user, as well as resource implications for us. It also

generates a volume of formal paperwork that we have to serve on the worker throughout the process. We have had demands from disengaged

workers to stop sending paperwork to them (which we cannot do).

4.2 The evidence shows that where there is no engagement, the Fitness to Practise Solicitor makes the same decision on the basis of the paper

evidence, at stage three of the process, as the Fitness to Practise Panel make after having heard the oral evidence at stage four of the process in

94% of cases. This reflects the high standard of the Fitness to Practise Department’s investigation and decision-making.

4.3 Rather than requiring a worker to sign their acceptance of the Fitness to

Practise paper-based decision, the proposal is that we implement the paper-based decision unless the worker asks that we hold a hearing. This would

limit hearings to those cases where the worker actively disputes or disagrees with the view of the Fitness to Practise Department.

4.4 The key requirement is that the process is fair to the worker and does not

compromise public protection. This proposal would retain the key elements required to safeguard these requirements:

any worker can request a hearing

all decisions retain the right to appeal to the Sheriff Court

the evidence-base demonstrates that the Fitness to Practise

Department decision-making process has the right approach to fairness to the worker and public protection.

4.5 To provide further reassurance, the seven cases where the worker did not engage and the Fitness to Practise Panel reached a different outcome to that proposed by the Fitness to Practise Department have been analysed. This

analysis is in Table 1 of the Appendix. In three cases the difference related to witnesses failing to attend the hearing. We must also bear in mind that

different panels reach different decisions. The analysis does not give rise to a concern about a fundamental flaw in the Fitness to Practise Department decision-making process.


5.1 There are no specific resource implications associated with carrying out the

consultation which we can manage within existing staff time and travel budget.

5.2 We predict that there will be 660 temporary order or impairment hearing days arising out of this financial year’s referrals about registered workers. Each hearing day costs £950 in Panel Member fees. If we take engagement

as a measure then it is reasonable to estimate that the 30% of people who do not engage would not request a hearing.

5

5.3 Reducing hearing numbers will also increase capacity within the Fitness to

Practise and Hearings Departments, at a time when the Register and therefore workloads are increasing.


6.1 We have obtained external legal advice confirming that the proposed approach is lawful. If the consultation were successful and Members

ultimately decided to implement the proposal we would need to amend the Fitness to Practise Rules which would require the consent of Scottish

Ministers.


7.1 If approved the consultation will be advertised on the website, included in

our bulletins and highlighted to all workers through direct mailing. Focussed engagement will take place with representatives, including unions, solicitors,

advocates, law centres

8. IMPACT ON PEOPLE USING SOCIAL SERVICES AND CARERS

8.1 The public protection focus of the Fitness to Practise work would not change

through this process.

9. CONCLUSION

9.1 Members are asked to grant authority to consult on the proposal.

Council

23 October 2018

Agenda item: 10

Report no: 38/2018

Appendix 1

1

SANCTION COMPARISON CHARTS

6%

94%

Chart 1a - ALL HEARINGS May 17 - Sept 18

Sanction comparison where worker not engaged

Different sanction(6%)

Same sanction(94%)

29%

71%

Chart 1b - ALL HEARINGS May 17 - Sept 18

Sanction comparison where worker engaged/attended hearing

Different sanction(29%)

Same sanction(71%)

45%

55%

Chart 1c - ALL HEARINGS May 17 - Sept 18

Sanction comparison where worker attended hearing

Different sanction (45%)

Same sanction (55%)

2

69

25 27

2 0

50

100

Engaged Did not engage

Chart 2a - TEMPORARY ORDER HEARINGS May 17 - Sept 18

Granted

Refused

72%

28%

Chart 2b - % of Temporary Orders refused by Panel where worker engaged/attended hearing

% granted (72%)

% refused (28%)

93%

7%

Chart 2c - % of Temporary Orders refused by Panel where worker not engaged

% granted (93%)

% refused (7%)

59%

41%

Chart 2d - % of Temporary Orders refused by panel where worker attended the hearing

Granted (59%)

Refused (41%)

3

53

36

1 0 0

10

20

30

40

50

60


Chart 3a - TEMPORARY ORDER REVIEW HEARINGS May 17 - Sept 18

Granted

Refused

98%

2%

Chart 3b - % of Temporary Order Reviews refused by Panel where worker engaged/attended hearing

% granted (98%)

% refused (2%)

100%

0%

Chart 3c - % of Temporary Order Reviews refused by Panel where worker not engaged

% granted (100%)

% refused (0%)

78%

22%

Chart 3d - % of Temporary Order Reviews refused by panel where worker attended the hearing

Granted (78%)

Refused (22%)

4

33

1 3 3

36 30

0

20

40


Chart 4a - IMPAIRMENT PANEL HEARINGS May 17 - Sept 18

More restrictive sanctionimposed by panel

Less restrictive sanctionimposed by panel

45.8%

4.2%

50.0%

Chart 4b - Impairment Panel Hearing Outcomes Sanction comparison where worker engaged/attended

hearing

% less restrictive (45.8%)

% More restrictive (4.2%)

% Same (50%)

2.9% 8.8%

88.2%

Chart 4c - Impairment Panel hearing outcomes Sanction comparison where worker not engaged

% less restrictive (2.9%)

% More restrictive (8.8%)

% Same (88.2%)

56%

3%

42%

Chart 4d - Impairment Panel Hearing Outcomes Sanction comparison where worker attended hearing

Less restrictive sanctionimposed by panel (56%)

More restrictive sanctionimposed by panel (3%)

Same (42%)

5

TABLE 1

FTP Sanction

proposed at Stage 3

FTP Hearing Outcome

Analysis Employment status Hearing

Type

1 Temporary Order

Hearing

Temporary Suspension

Order

Order Refused

Borrowed money from a service user on

two occasions and did not return it. Panel considered that as the worker admitted the

wrongdoing and apologised the risk of repetition was low

Worker's employment ended

prior to the hearing. No further work in the sector recorded

2

Temporary

Order Hearing

Temporary

Suspension Order

Order Refused

Convicted of assaulting their own child.

Threatening/abusive behaviour towards partner. Panel believed that there was no

evidence of risk to people who use services

Worker's employment in the

sector ended prior to the hearing

4 Impairment

Hearing Condition

Suspension and condition

Failure to attend counselling and occupational health session arranged by employer and was then dishonest to

employer about the failure. Panel had concern about the worker's lack of

engagement through the process

Dismissed by employer and carried out shifts as an agency worker prior to the hearing

5 Impairment Hearing

Removal No misconduct

3 of the 4 Fitness To Practise witnesses did not attend

Worker's employment in the sector ended prior to the

hearing

6 Impairment Hearing

Removal 5 year warning

3 of the 4 Fitness to Practise witnesses did not attend the hearing

Worker's employment in the

sector ended prior to the hearing

7 Impairment

Hearing Removal Warning

2 of the 3 Fitness to Practise witnesses did

not attend the hearing

Worker's employment ended prior to the hearing. No

further work in the sector recorded

Council

23 October 2018

Agenda item: 11

Report no: 39/2018

Title of report Supporting workers to attend fitness to practise hearings


Action For decision

Summary/purpose of

report

To examine the different options available to support

workers to attend fitness to practise hearings.


1. consider the options

2. decide which option to proceed with 3. agree to review the decision after a period of six

months.


Outcome 1: The right people are on the register

Link to the Risk

Register


Risk 1: That failures in our regime of registration or fitness to practise leads to public protection failure.

Risk 2: The SSSC is not able to demonstrate to our stakeholders (including SG) that its operational activity is fulfilling its strategic outcomes.

Author Hannah Coleman Head of Hearings

Tel: 01382 207155

Director Maree Allison Director of Regulation

Tel: 01382 207183

Documents attached Appendix 1: Current Arrangements and Options

Appendix 2: Business Travel and Subsistence Policy

2

1. INTRODUCTION

1.1 Priority two of the Strategic Plan is that our fitness to practise process is

proportionate and accessible. Part of the work in meeting this priority is to improve the support that we offer to those within the fitness to practise process. The outcome of a fitness to practise hearing can have a

significant impact on a worker’s ability to remain in the profession. Supporting workers who want to attend hearings, to attend is an

important part of this work. We monitor the percentage of workers who attend hearings through our strategic measures. It has averaged around 32% for the last three years and the hope is that by improving the

support we offer we can improve the attendance rate.

2. CURRENT ARRANGEMENTS

2.1 We started holding hearings in 2003. The position since the outset has been that we hold hearings in Dundee, and do not provide travel or

subsistence to workers or their associates (such as representatives, supporters or their witnesses). We do offer travel and subsistence to witnesses called by the Fitness to Practise Solicitor presenting the case, in

line with the SSSC’s Business Travel and Subsistence Policy. (The Fitness to Practise Solicitor calls all witnesses considered relevant to the case to

the hearing). This approach is generally in line with other regulators.

2.2 The Hearings and Fitness to Practise Departments have recently been more proactive in offering to hold hearings in the workers’ location or to

use video conferencing facilities to facilitate engagement. The implementation has been on a case-by-case basis, rather than as a result

of a systematic, proactive approach.

2.3 Appendix 1 contains more details about the benefits, disadvantages and costs of holding hearings at the workers’ location and video conferencing.

3. OPTIONS

3.1 Whilst we do not have statistical evidence for the reasons for non-

attendance, Clerks report that the main reason workers give to them for not attending is cost. The options identified to address this reason for non-attendance are:

Option 1 We introduce a policy of proactively offering to hold every hearing in the worker’s

location or provide video conferencing

Option 2 We provide travel and subsistence to workers

on a means-tested basis

Option 3 We provide travel and subsistence to all

workers irrespective of means

3

Option 4 We provide travel and subsistence to workers and their representatives/ supporters/

witnesses on a means-tested basis

Option 5 We provide travel and subsistence to workers

and their representatives/ supporters/ witnesses irrespective of means

Details of the benefits, disadvantages and costs of the options are also set

out in Appendix 1


4.1 The potential costs of the various options are set out in Appendix 1. We have applied the SSSC’s Business Travel and Subsistence Policy (Appendix 2). The introduction of Legally Qualified Chairs has generated savings

within the Hearings Department budget. Those savings are currently directed towards the digital transformation budget. To introduce Option 1

would likely have a significant financial impact. The other options may be able to be absorbed within the budget already provided for travel and subsistence related to hearings. If not officers will make decisions about

priorities.


5.1 We have carried out equality impact assessment. The work did not require any changes as a result of the EQIA.


6.1 The Islands Act requires us to ensure that we are supporting engagement for workers that live in an island community. All of the options would

meet this requirement.

6.2 No Rule changes are required.


7.1 No formal stakeholder engagement has taken place. The identification of

the benefits and disadvantages of the different options arises from officer experience and feedback from specific hearings.


8.1 Users and carers may have an interest in attending hearings that are

about them or their service. It is extremely rare for members of the

public to attend hearings. Holding hearings local to users and carers may

4

make it easier for them to attend. However we have no statistical and only extremely limited anecdotal evidence that there are users and carers

who would like to attend the hearing. For a case with specific interest from users and carers we can make a decision to hold the hearing in their locality.

9. CONCLUSION

9.1 If we are committed to increasing attendance at hearings, and supporting

those involved in the hearing process then continuing with the existing ad hoc arrangements is not an appropriate option.

9.2 Weighing up the benefits and disadvantages of the options at Appendix 1

our recommendation is that we proceed with Option 5 for a period of six months and then review the effect on attendance and the financial

implications. In doing so, we would continue to hold the hearing at the worker’s location or provide video-conferencing where the circumstances

dictated, such as:

the geographic location of the worker

the support arrangements required by the worker or witnesses

the impact on the care service

the desire of third parties to attend.

Council

23 October 2018

Agenda item: 11

Report no: 39/2018

Appendix 1

1

SUPPORT FOR ATTENDANCE AT HEARINGS

APPENDIX 1

CURRENT ARRANGEMENTS

1. Holding Hearings in other locations

1.1 The occasions when we have held hearings in other locations have been due to the location of the worker and witnesses. The three most recent

examples are Orkney, Berwick upon Tweed, and Fort William.

1.2 Key benefits of holding hearings in other locations are:

The worker and witnesses have the benefit of their home support network on hand

The worker does not have to incur costs to attend.

The impact on staffing within a care service is limited as staff don’t have to be released for as long

It is easier for interested or affected individuals to attend and observe the hearing.

1.3 Key disadvantages are:

The facilities of the location tends not to be ideal with issues around the set-up of rooms, acoustics, sound-proofing,

temperature control, ability to manage the public and media

Staff time and costs to identify a venue with sufficient rooms

and availability, and then travel and accommodation for staff.

The hire costs of the rooms.

2. Video Conferencing

2.1 Workers and witnesses attending the hearing through video conferencing takes place in a variety of locations. We have an informal arrangement

with Scottish Court and Tribunal Service to use their equipment free of charge. We have used CI, Local Authority and Higher Education facilities free of charge or for limited charge on occasion. A Clerk travels to the

2

video conferencing site to facilitate the link and support the person attending the hearing through that medium.

2.2 Where payment is required the cost varies. Recent costs have been:

£500 to hire a room with video conferencing facilities in

Dunfermline

£1,675.80 to hire a room with video conferencing facilities in Edinburgh

£600 to hire a room with video conferencing facilities in Stirling.

2.3 Key benefits are:

It permits attendance at the hearing without the disadvantages caused by moving the hearing.

2.4 Key disadvantages are:

Workers and witnesses may feel that their participation is limited by not being present in the room

Technology can be unpredictable

The time and cost of a Clerk travelling to facilitate the video conferencing, along with the cost of hiring facilities.

3. Travel and Subsistence for workers

3.1 The Head of Hearings has authority to pay up to £200 for expenses for

workers in unforeseen circumstances, such as a worker not having the funds to travel home from Dundee. Use of this authority has been very

occasional.

3

OPTIONS

1. Background data for cost assumptions

1.1 We predict that we will hold 324 hearings over the next six months,

resulting in 602 hearing days.

We have examined the hearings held over the past six months and

extracted the following information to assist us with modelling the

options:

Type and length of the hearing 57% conclude within one day

The remainder conclude within an

average of three days

Distance from worker’s home

location to Dundee

Average distance travelled to a

hearing was 76 miles

The % of workers that attended a

hearing

39%

The % of workers that engaged with

the Clerks

69%

The proportion of fitness to practise

witnesses who travel by car rather

than train (as an indicator of the

travel options we could expect

workers to choose)

53% by car, 23% by train, 25% by a

combination of train and car

The % of workers who bring

representatives

16.25%

The % of workers who bring

supporters

Approximately 30%

The number of hearings at which the

worker called their own witness

6% of hearings

Venue hire for holding a hearing

externally or video conferencing

Average of £600 per day

4

OPTION PROJECTED COSTS BENEFITS DISADVANTAGES

1 - We introduce a policy of

proactively offering to hold every hearing in

the worker’s location or provide

video conferencing

£249,000 on venue hire

Plus travel and

subsistence for Clerks to facilitate the hearing

Additional staff would be

required to properly staff external arrangements

and to account for the lost staff time on travelling

Worker will have support of being in

home location

Less of an impact on witnesses and care

services

Facilitates attendance

by other interested parties

Unsuitable facilities affecting the hearing

Delay in holding hearings due to the time

involved in securing facilities

Prohibitive cost that could not be managed within the current budget

Video conferencing does not necessarily engender the right participation for workers

5

2 - We provide

travel and subsistence to workers on a

means-tested basis

Unknown but would be

less than option 3.

There are two potential approaches:

Receipt of benefits

Scottish Legal Aid

Board thresholds

Additional staff would be required to undertake

assessments if using Scottish Legal Aid Board

thresholds

Supports eligible

workers to attend the hearing

Targets our resources

at those with the most limited means

Affects the dignity of workers in having their

finances assessed and may discourage workers from applying

Would require the recruitment of additional

SSSC staff to carry out the assessment if using Scottish Legal Aid Board thresholds

Would delay hearings due to administer

Would likely only provide support to limited numbers of workers

3 - We provide

travel and subsistence to all workers

irrespective of means

£18,000 based on

workers attending at the same level as the engagement rate of 69%

Supports all workers

to attend the hearing

Does not affect the dignity of workers, by

having their finances assessed

Will require some additional staff time in

administering the arrangements, although it is expected this could be absorbed within existing staff time

There may be a perception from other workers or the public that it is not a fair use of fees or

grant-in-aid to provide financial support to workers who are well-remunerated

6

4 – We provide

travel and subsistence to workers and their

representatives/ supporters/

witnesses on a means-tested basis

Unknown but would be

less than option 5

As with option 2 with

the added benefit that eligible workers would have better support

to present their case

As with option 2 with the added disadvantage

that there may be a perception that it is not an appropriate use of fees or grant-in-aid to provide support to representatives, supporters

and witnesses for the worker

5 - We provide travel and

subsistence to workers and their

representatives/ supporters/ witnesses

irrespective of means

£28,000

(Including the cost for the

worker).

As with option 3 with the added benefit that

workers would have better support to

present their case

As with option 3

Business travel and subsistence Page 1 of 9 July 2016

Business Travel and Subsistence Policy

Our values

Integrity Commitment

Accountability Pride in what we do Listening and engaging

Creativity and learning




Contents

1. Purpose 3

2. Guiding principles 3

3. Monitoring and review 4

4. Further guidance 4

5. Information required when making claims 5

6. Receipts 5

7. Compliance 6

8. Business travel 6

8.1 Travel between home and SSSC office 6 8.2 Travel between home and other locations

8.3 Travel to SSSC office after a business visit 7

9. Travel using public transport 7 9.1 Rail and air travel 7

9.2 Public transport and taxis 7

10. Travel using own transport 7 11. Subsistence 8

12. Incidental expenses and expenses incurred on behalf of others 8

13. Overseas travel – employees 9

14. Undertaking personal travel while on SSSC business 9

15. Approver responsibilities 9

Appendix A - Example of mileage claim for business visit Appendix B - Schedule of rates

Appendix C - Receipts process Appendix D - Expense claim flow chart


1. Purpose

As a publicly funded body, we have a duty to make sure that we manage, allocate

and use public funds appropriately. It is vital that we manage and monitor any costs incurred as a result of carrying out official business for the SSSC. It is essential that

we comply with taxation rules and other statutory obligations. This policy sets out guiding principles that apply to all claims made to the SSSC for

reimbursement of travel and subsistence incurred while on approved, official business for the organisation. This includes employees, Council Members, sub-

committee members, external assessors and verifiers. It provides clarity around costs that can and cannot be incurred, claimed and/or reimbursed by the SSSC.

We will investigate any intentional breach or disregard of this policy under our disciplinary procedure or relevant code of conduct if appropriate. It is not defensible

for any claimant or approver to argue that they are unaware of the terms of this policy and if further clarification is required on any part of the policy you should discuss first with the appropriate authoriser for clarification before a claim is

submitted and/or approved.

2. Guiding principles

You must follow the guiding principles at all times.

All expenditure must be the result of legitimate SSSC business related

requirements. For example, going to a location for a legitimate business

reason; not for the claimant’s convenience.

You can only claim expenses incurred as a result of carrying out SSSC business that prevents the claimant operating in the normal way. For example, due to very early travel times the claimant is prevented from having breakfast

in the usual way.

Claimants and approvers have a duty to apply the policy reasonably without incurring financial gain but taking into account a common sense and pragmatic approach to achieve the most suitable, time efficient and cost effective travel

and subsistence options.

You cannot make claims before incurring the expenditure. Reimbursement is for actual cost incurred only. Claims cannot exceed the

actual expenditure. The schedule of rates show the maximum amounts allowed, they are not allowances and only actual spend should be claimed.

Any claims over the maximum amounts should only be made in exceptional

circumstances with a reason provided in the description of the claim.

All claims must be receipted and claimants must provide full and accurate

descriptions when submitting claims in line with this policy and any supplementary guidance.

SSSC employees and sub-committee members must book accommodation and all types of travel in advance through the Business Support Team. Claimants


should only claim through Pulse or expense claim forms if the travel and accommodation was required at short notice.

Sub-committee members should contact the Corporate Governance and Hearings Department for all travel and subsistence claims related matters.

Council Members should use Pulse to make monthly claims for travel and

subsistence incurred as part their official business for the SSSC in line with this

policy.

Assessors and verifiers should contact the Learning and Development Team for all travel and subsistence requirements.

For all journeys claimants must consider the most practical and cost effective method of travel and use public transport where possible. SSSC business

mileage allowances are in the schedule of rates at Appendix B. If practical and appropriate use shared transport when more than one person is travelling to a location.

For employees only – Submit claims monthly and no later than three months

after the date incurred. Claims submitted after three months must be authorised by the relevant Executive Management Team member. A late claim

may result in no payment.

3. Monitoring and review

All claims are audited and monitored in line with thorough internal procedures. Claimants are reminded that at any time they may be asked to make available

details of expenditure claimed for scrutiny by the auditors. Where expenses have been paid which should not have been paid, then these will be recovered in the following pay period or off set against the next claim in the case of sub-committee

members, assessors and verifiers. The circumstances of the situation will be investigated and the disciplinary procedure or fraud response plan may be

initiated.

4. Further guidance

Further guidance is available in the appendices to this policy and for employees and Council Members in technical and supplementary guidance on our intranet and

Basecamp.

This information is available to sub-committee members, assessors and verifiers in

hard copy where applicable.

These provide more detailed information about acceptable expenditure, payroll deadlines and how to submit claims for reimbursement. It is compulsory to follow these guides and appendices and all claimants and approvers have a responsibility

to familiarise themselves with this guidance before submitting or approving expenses under the terms of this policy.

5. Information required when making claims


Guidance for employees and Council Members is on our intranet and Basecamp. A hard copy is available for sub-committee members, assessors and verifiers.

Whether making a claim via Pulse or by form, the following information is required.

The date and the type of expenditure incurred, for example business mileage,

lunch, rail travel, must be accurate and match receipts submitted to support

the claim. The purpose of the expenditure, for example taking a witness statement in

Kirkcaldy, attending a meeting about our Codes of Practice with Aberdeen City Council, attending Excel training session in Edinburgh.

The amount of the claim.

Whether or not a receipt is available and if not, with the exception of business mileage, a reason why it is not available.

For public transport claims

Start and destination points, for example for rail fares, departure, destination and return stations.

If the claim is for a lesser of amount on the receipt

For all mileage claims

Details of the initial starting point, places visited and return point must be

detailed enough to be clearly identifiable. More detail than Dundee to Glasgow and return is required, for example Compass House, Dundee to SECC, Glasgow

and return or DD1 4NY to G3 8YW and return. The claimant must state if there is a return journey, otherwise the approver will approve only a single journey.

The number of miles claimed.

The names of any passengers you are claiming passenger mileage for. If the claim is for a lesser amount.

For meal subsistence

The start and end times of your absence from Compass/Quadrant House. Where the maximum subsistence rate has been exceeded and the reason why.

See Appendix B for current rates.

6. Receipts

Claimants are responsible for making sure correct information is submitted and supported with receipts. Please see Appendix C.

Claimants must itemise receipts for all expenses, except mileage, and tick the receipt checkbox if using Pulse. If a receipt is unavailable the claimant must give a

reason in the description of the claim for the approver to make a decision. Approvers must reject claims without receipts or inadequate.

7. Compliance

Frequent claiming and approval of expenses not supported by receipts will attract compliance review attention.


We investigate discrepancies between claims and receipts, for example different dates, amounts or receipts marked as available but not submitted. When expenses

are paid and we find they should not have been, we will recover the money through your next pay. Any tampering with receipts, for example removing dates,

defacing or obscuring information or adding content will be considered fraudulent activity and dealt with under the appropriate SSSC policy, for example Fraud Response Plan or Disciplinary Procedure or relevant code of conduct. Fraudulent

activity may lead to a criminal investigation.

The receipt submission guidance is available on our intranet or from the Business Support Team.

8. Business travel

For travel claims, the base for all SSSC employees is Compass House, 11 Riverside

Drive, Dundee, DD1 4NY.

Home is base for lay assessors and verifiers, Council Members and sub–committee

members.

a. Travel between home and SSSC offices

With the exception of claimants whose base is their home, any claims from home to our offices in Dundee are not normally accepted.

In exceptional circumstances, when employees are called out to attend work at

our offices outside normal working hours they may be entitled to claim for the cost of transport between home and office. This is taxable income and tax is deducted before payment. Please contact the Human Resources Team before

claiming.

b. Travel between home and other locations

If authorised to make visits on legitimate SSSC business before going to our offices or going home, reimbursement of travel is based on the lesser amount

from one of the following.

The actual distance travelled.

The return distance between our offices and the business visit.

The lesser amount calculation also applies to all forms of transport, for example if

an employee lives in Montrose and travels by rail to a meeting in Edinburgh, they will only be entitled to claim the cost of (or have purchased for them) return rail tickets from Dundee to Edinburgh. The element of the journey starting at Montrose

and ending in Dundee is the employee’s normal commute and is therefore a private journey.

c. Travel to SSSC Offices after a business visit

The intention of the Business Travel and Subsistence Policy is to reimburse employees for business related expenditure that is additional to what the

employee would normally incur when carrying out their duties.


Where an employee travels to our offices after a business visit in the same way that they would normally travel to work, we regard this as home to office travel

and will not reimburse.

Appendix A gives other examples of the lesser amount calculation for business visits.

9. Travel using public transport

9.1 Rail and air travel

For employees and sub-committee members this must be booked in advance by emailing [email protected].

Council Members should claim reimbursement of expenditure incurred through

Pulse. Assessors and verifiers should contact the Learning and Development Team to

book public transport.

We will only reimburse claims for rail tickets from home to a business visit where

they meet the lesser amount rule. Expense claims for reimbursement of the cost of rail tickets should only be made when rail travel was required at short notice.

9.2 Public transport and taxis

All staff including Council Members, sub-committee members, assessors and

verifiers should use public transport such as buses, trams and metro services when possible. Taxis can be used if there is no public transport available for

example, late at night or when it is unreasonable or unsafe to be expected to use public transport or it is a more efficient method of travel due to a number of

individuals on authorised SSSC business travelling together.

10. Travel using own transport

Mileage allowances for using a private vehicle for travelling on SSSC business are

outlined in the schedule of rates at Appendix B. Claimants must meet the other conditions of this policy.

To claim mileage for passengers they must be employees of the SSSC and or Care Inspectorate, sub-committee or Council Members, lay assessors or verifiers or

board members of the Care Inspectorate. You must give the passenger’s names in the description of the claim and mileage should only be claimed for parts of the journey the passengers were present.

Claimants authorised to use their own vehicle for business purposes are entitled to

claim for car parking or bridge tolls reasonably incurred while on official business. These must be receipted where possible.

Before driving on SSSC business you must comply with the process for verification of driving licence and insurance documents. Original insurance documents must be

submitted to the Business Support Team confirming that you are insured to drive for business purposes.



11. Subsistence

Only necessarily incurred additional expenditure as a result of being away

from the normal place of work for over four hours over a typical mealtime period will be reimbursed. Subsistence allowances for breakfast, lunch and dinner should

only be claimed where they are not being provided at the destination. There is no automatic entitlement to claim subsistence simply because the claimant was absent from their normal base during a meal break. For example, while away from

their normal base over lunch time they should make arrangements to take lunch with them or purchase it in the usual way. In the case of the 10 hour combined

rate for lunch and dinner where either meal has been provided at the destination, this rate should be reduced accordingly (for example, if lunch has been provided then dinner can be claimed up to £16). Expenditure on alcohol will not be

reimbursed.

The schedule of rates in Appendix B shows maximum reimbursement amounts which are restricted to reasonable additional expense which would normally be incurred. The subsistence rates are not intended to cover the full cost of meals,

but to cover the additional expense incurred as a result of having to purchase them at greater expense due to being away from the normal base.

12. Incidental expenses and expenses incurred on behalf of others

Reimbursement may be claimed for reasonable expenses necessarily incurred during business travel, for example purchasing WIFI on the train to use for work

purposes, photocopying at a hotel, non-alcoholic drinks while travelling on a train for long journeys. It also covers the cost of teas/coffees during a meeting held out

with our offices, providing the expenditure is receipted. Incidental expenses do not include newspapers, magazines or snacks. All incidental expenses must be made clear on your claim form why they were necessary and they must be

receipted.

If you incur expenses on behalf of another individual authorised to carry out SSSC business, or a Care Inspectorate employee or board member then you must make this clear in the description of your claim including their name and what the

expenditure was for.

For employees and Council Members claiming through Pulse, go to other expenses: please specify and clearly describe the nature of the expenditure in the description field.

13. Overseas travel

All travel outside the UK must first be authorised by the SSSC’s Resources

Committee.

Travelling outside the UK may require additional considerations in relation to travel and subsistence as well as other Human Resources policies. It is essential that the Business Support Team is informed of any intention to travel overseas at the

earliest possible opportunity after approval by the Resources Committee.

All travel and accommodation must be booked through the Business Support Team who can research and prebook a number of transport and accommodation options.


We recognise that the cost of living in other parts of the world varies from that of the UK. MH Revenues and Customs (HMRC) provide benchmark scale rates for all major countries including separate rates for major cities. These are revised on a

regular basis and are available in the link provided in Appendix B. Where HMRC quote a benchmark figure for breakfast, lunch or dinner for the destination you are

travelling to, these rates will apply. Where there is no rate, or where the expenditure incurred is for another allowable expense, the UK rates will apply.

All employees travelling overseas must use travel insurance arranged by the SSSC. General guidance on overseas travel and overseas travel insurance is

available on the intranet within the Business Travel and Subsistence Policy section.

14. Undertaking personal travel when on SSSC business

When travelling on official business, employees may wish to extend their trip for

personal purposes. In these circumstances any personal expenditure cannot be claimed under this policy. Line manager approval must be given before a trip is extended for personal purposes.

15. Approver responsibilities

Approvers have significant responsibility when approving claims to make sure they

are genuine, legitimate and comply with this policy. They also have the responsibility to make sure descriptions are complete and that all expenditure is justifiable and in the interests of the SSSC, taking into account best use of time

against expenditure.

Claims should not be approved automatically and approvers should reject claims and send them back to claimants for amendment and resubmission where there is any uncertainty about what is being claimed or regarding the legitimacy of what is

being claimed.

In the case of employees, line managers should make sure that all claims are processed in line with payroll deadlines and where a manager is scheduled to be out of the office around approval deadlines they should nominate a colleague who

is the same level as them or above them in the organisational hierarchy as a substitute on Pulse to approve claims on their behalf. Full details of how to do this

are available on the intranet.

Further information about this policy and any assistance required in

implementing is available from the:

Corporate Governance and Hearings Department for sub-committee members

Learning and Development Team for assessors and verifiers

Human Resources and Business Support Teams for employees and Council Members.

Council

23 October 2018

Agenda item: 12

Report no: 40/2015

Title of report Quality Assurance of Approved Specialist Awards for

Social Services Workers


Action For decision


This report assures Council that the SSSC continues to meet its statutory duty in relation to the quality assurance of approved specialist social services

awards and that the awards continue to meet the Council’s Rules and Requirements under section 54

of the Regulation of Care (Scotland) Act 2001.


1. approve the recommendations to quality assure the approved specialist awards

2. note that all approved specialist programmes

continue to meet the SSSC rules and requirements for specialist training for social

services workers in Scotland based on s54 of the Regulation of Care (Scotland) Act 2001

3. agree to the report being published on the SSSC

website.

Link to Strategic Plan The information in this report links to Outcome 4 –

Qualifications for social services workers are fit for purpose.


Strategic Risk 5- the work of the SSSC does not increase the skills level and competence of the

workforce.

Author Anne Tavendale Learning and Development Manager-Professional

Learning Tel: 07876452810

Laura Lamb

Head of Learning and Development Tel: 01382 346185

2

Director Phillip Gillespie

Director of Development and Innovation Tel: 01382 316459

Documents attached None

3

1. INTRODUCTION

1.1 The Scottish Social Services Council Rules and Requirements for Specialist

Training for Social Services Workers 2005 were implemented as part of the Councils’ Continuing Professional Development Strategy for the social

services workforce in 2004.

1.2 Currently the SSSC quality assures the following Specialist Awards:

Mental Health Officer Award

Practice Learning Qualification (Social Services) Chief Social Work Officer Award

Residential Child Care Award Professional Development Award in Scrutiny and Improvement

1.3 This report will provide Council with details of our quality assurance

activity in relation to each of the Specialist Awards, and will inform Council of each approved programmes’ adherence to the SSSC Rules and

Requirements for Specialist Training for Social Services Workers in Scotland based on section 54 of the Regulation of Care (Scotland) Act 2001.

1.4 All specialist awards are monitored on an annual basis, through annual self-reporting by programmes to the SSSC. In addition Significant

Reviews of approved programmes are currently undertaken on a three yearly cycle in accordance with SSSC policy.

2. MENTAL HEALTH OFFICER AWARDS

2.1 This is a self-reporting year for all the MHO programmes with the next significant monitoring reviews scheduled to take place in 2019/20.

2.2 The SSSC is satisfied from our quality assurance activity in relation to all three Mental Health Officer programmes that they continue to meet the

SSSC Rules and Requirements for specialist training for social services workers in Scotland based on s54 of the Regulation of Care (Scotland) Act 2001.

2.3 Following the approval of the Mental Health (Care and Treatment) (Scotland) Act 2003 the SSSC introduced the Mental Health Officer Award

(MHOA) for Mental Health Officers (MHOs) to meet the statutory duties and requirements of local authorities. MHOs are Social Workers with a minimum of two years post qualifying experience who have gained the

MHOA. The MHOA award qualifies social workers to undertake the statutory role of a MHO.

2.4 The MHO award is set at the standard of Level 11 of the Scottish Credit and Qualifications Framework (SCQF). It is available to Social Workers who are currently employed by local authorities. The MHO Award is

designed to address ministerial directions which require that social workers, prior to their appointment as Mental Health Officers (MHOs)

undertake training approved by the SSSC. The courses are managed and

4

delivered through three partnerships between the academic institutions and local authorities. The MHO courses that are delivered in Scotland are:

Post Graduate Certificate Mental Health Officer Award- Robert Gordon University

Post Graduate Certificate in Advanced Social Work Studies (MHO Award) - University of Edinburgh

Post Graduate Certificate in Mental Health Social Work (MHO Award)

- University of Strathclyde.

2.5 In 2017/18 there were 53 admissions across the 3 programmes, with 60

completions in 2017 which is slightly above the average of 53 in recent years.

2.6 The Scottish Social Services Council (SSSC) published the 2017 Mental

Health Officers’ Report in August 2018. The statistics show the number of Mental Health Officers (MHOs) has increased by 3.2% to 745 in December

2017. Despite this, more local authorities reported a shortfall in MHO provision. Across the whole of Scotland the equivalent of 41 workers doing full time MHO work are needed to fill the gap. Almost 96% of MHOs

were based in their local Health and Social Care Partnership (HSCP) in December 2017, compared with 67% in 2016.

2.7 The SSSC MHO Report 2017 will inform current work underway on recommendations 6 and 7 from the National Health and Social Care

Workforce Plan. This will involve scenario planning and workforce modelling to support local partnerships with workforce planning.

2.8 The SSSC are also working with the three MHO programmes to develop a

national framework for continuous learning for MHO practice assessors, who assess trainee MHOs practice during the Award.

2.9 The SSSC continue to support the annual national MHO conference in partnership with Scottish Government, Scottish Association of Social Workers, Mental Welfare Commission, and Social Work Scotland which

provides valuable opportunity for MHOs to evidence their statutory on-going professional learning requirements for the role. This has focused on

developing learning and development resources to support MHO’s with new Mental Health legislation.

3. PRACTICE LEARNING QUALIFICATIONS (SOCIAL SERVICES)

3.1 The SSSC is satisfied from our quality assurance activity in relation to all three Practice Learning programmes that they continue to meet the SSSC

Rules and Requirements for specialist training for social services workers in Scotland based on s54 of the Regulation of Care (Scotland) Act 2001.

3.2 The Practice Learning Qualifications (Social Services) were developed in

2006 to replace the Practice Teaching Award. The Practice Learning Qualification (PLQ) and the Professional Development Award in Practice

5

Learning (Social Services) qualifications play a significant role for many social service workers as part of their continuing professional

development. Not only do these qualifications allow workers to gain recognition for their knowledge and skills, they are used to evidence post

registration training and learning.

3.3 There are currently three programmes being delivered:

The Tayforth, Graduate Certificate Practice Learning Qualification

(Social Services) at SCQF Level 10- and the Robert Gordon University (RGU)

Professional Development Award in Practice Learning (Social Services) at SCQF Level 10- Learning Network West

The Professional Development Award in Practice Learning (Social

Services) at SCQF Level 10

3.4 These three programmes were subject to SSSC significant reviews during

2017/18 and all had their approval renewed. In accordance with SSSC policy, 2018/19 is a self-reporting year for these programmes. The next significant review is scheduled to take place in the reporting year

2020/21.

3.5 The latest available data for course admissions is 2017/18; Tayforth 13,

RGU 21, Learning Network West 22. These are typical annual cohort numbers with successful completions of 90% of candidates being the

norm across all three programmes.

3.6 The SSSC will continue to work collaboratively with programmes, encouraging the sharing of resources between programmes to build

capacity for continued delivery. The emerging Social Work Education Partnerships will have a role in facilitating improved workforce planning for

practice learning.

4. CHIEF SOCIAL WORK OFFICER AWARD – POST GRADUATE DIPLOMA (SCQF 11)

4.1 From our quality assurance activity in respect of this programme, the SSSC is satisfied that the CSWO Award programme continues to meet the

SSSC Rules and Requirements for specialist training for social services workers in Scotland based on s54 of the Regulation of Care (Scotland) Act 2001.

4.2 The Chief Social Work Officer (CSWO) Award is a specialist award that was introduced in 2015. The award aims to reflect the standards of practice

expected of those carrying out the roles and responsibilities of Chief Social Work Officers (CSWOs). The CSWO award is accredited by Glasgow Caledonian University and has been jointly delivered by Glasgow

Caledonian University (GCU) and the University of Dundee since October 2015.

6

4.3 It is a work-based learning award at SCQF level 11. The award is designed for current CSWOs and those aspiring to the role of CSWO. It is

a flexible, individualised learning programme, and provides a vehicle for CSWOs to evidence that they are able to meet the standards expected of

CSWOs. The Scottish Government made available funding of 50% the cost for one place per local authority area.

4.4 The award was approved by the SSSC in April 2015 and the first cohort

delivered in September 2015. Three cohorts of the programme have been delivered. The SSSC was contracted by GCU to develop and support the

delivery of the award for the first three years of delivery of the programme. This contract has now ceased along with the Scottish Government funding support for local authority areas.

4.5 Annual monitoring has taken place for the first two years with a significant review due to be held in 2018/19.

4.6 Cohort 1 started in October 2015 with 14 candidates, Cohort 2 in April 2016 with 12 candidates and Cohort 3 in 2017 with 8 candidates. In total 34 candidates have embarked on the award, with 13 completions to date,

15 candidates are still progressing on the programme, and 6 candidates have withdrawn from the programme due to retirement or moving to a job

which was not a CSWO post. 18 of the 34 candidates have been aspiring CSWOs, with three of these withdrawing during the course and two

aspiring candidates have since moved into CSWO roles after successful completion of the award. To date, seven local authority areas have not put any candidates forward.

4.7 An interim evaluation was submitted to the SSSC in March 2018 with the full evaluation of the expected in October 2018. The interim evaluation

highlighted key barriers to potential candidates participation in the programme, highlighted the positive feedback from the candidates on the approach to learning and teaching and support provided but also

highlighted that adjustment to the course content was required.

4.8 The full evaluation will include a focus on the future viability of the award

given the limited pool of future candidates and requirements for a minimum cohort size.

5. RESIDENTIAL CHILDCARE AWARD

5.1 The Standard for Residential Childcare was developed in 2015 as the new benchmark standard to underpin qualifications for the residential child

care workforce. The Standard relates to undergraduate programmes in residential child care in Scotland and is set at level 9 in the Scottish Credit and Qualifications Framework (SCQF).

5.2 This qualification was due to become an SSSC registration requirement for managers, supervisors and new starts from October 2017. The Scottish

Government paused the introduction of the new qualification requirement date of October 2017 pending the findings of the Independent Care Review. Recommendations relating to workforce development from the

7

Independent Care Review will be taken into account when implementing the new qualifications and introducing new registration requirements.

5.3 As a result, the SSSC did not progress the approval of learning providers who wished to deliver the Residential Child Care (RCC) degree or

professional development award (PDA) in Residential Child Care. The SSSC agreed to honour the qualifications achieved by individuals for registration in programmes which we had already approved prior to the

decision to pause the introduction of the new standard. One programme was approved prior to this decision and that is the BA in Residential Child

Care- Robert Gordon University (RGU).

5.4 The RGU BA in Residential Child Care (SCQF 9) was approved by the SSSC in December 2016. 2017/18 was a self-reporting year for the

programme. The first significant review by the SSSC is scheduled to take place in 2020/21.

5.5 Completion figures for the programme show that in 2017 there were three graduates and in 2018 there were eight graduates. In June 2018 there were eight new admissions to the programme. Students have come from

three employers: Shetland Islands Council, Aberdeen City Council and Camphill Scotland.

5.6 Key themes of note are that this programme has particularly high retention and progression rates and has attracted a higher proportion of

male candidates than the other specialist awards. In 2017 three of the nine admissions were male, representing 30% of admissions, whilst numerically not high; this represents a greater proportion of male

candidates than other specialist awards. This may however be expected given the latest workforce data report shows that 31% per cent of the

workforce in residential child care services are male compared to 6% of the overall social services workforce.

5.7 This award has been seen as aspirational rather than mandatory pending

the outcome of the Independent Care Review. In August 2018 Robert Gordon University took the decision to defer the January 2019 intake in

response to reduced demand due to on-going consideration by the Scottish Government in relation to the well-being and life chances of children in care. The University anticipate the next intake for courses will

be in January 2020 and that existing cohorts will continue through to course completion.

5.8 The SSSC is satisfied that the BA in Residential Child Care at Robert Gordon University continues to meet the SSSC Rules and Requirements for specialist training for social services workers in Scotland based on s54

of the Regulation of Care (Scotland) Act 2001.

6. PROFESSIONAL DEVELOPMENT AWARD IN SCRUTINY AND

IMPROVEMENT PRACTICE (SOCIAL SEVICES) SCQF 10

6.1 This award replaces the previous Regulation of Care Award (ROCA). The Award was approved in January 2018. Authorised Officers of the Care

8

Inspectorate are required to be registered with the SSSC or have another professional registration. The Award was validated by the Scottish

Qualifications Authority, with delivery being through the Care Inspectorate SQA centre. The professional development award is set at Level 9 in the

Scottish Credit and Qualifications Framework (SCQF).

6.2 Authorised Officers of the Care Inspectorate include Practitioner Inspectors, Inspectors, Senior Inspectors, Team Managers, Strategic

Inspectors and relevant Professional Advisers.

6.3 At the time of approval there were 120 Authorised Officers required to

undertake the new award as part of their SSSC registration requirements. The Care Inspectorate delivery plan sets out how this will be achieved over the next 3-5 years. There are currently 20 Authorised Officers on the

first cohort.

6.4 n line with SSSC policy this is a self-reporting year for the programme and

a significant review is scheduled to take place in 2020/21.

6.5 The SSSC is satisfied that the Professional Development Award in Scrutiny and Improvement Practice (Social Services) programme continues to meet

the SSSC Rules and Requirements for specialist training for social services workers in Scotland based on s54 of the Regulation of Care (Scotland) Act

2001.


7.1 The quality assurance of degree and postgraduate programmes is a core activity of SSSC’s work. The review of social work education is resourced partly through core activity and partly through the Workforce

Development Grant. There are no new financial implications or human resource implications arising from this.


8.1 There is no impact on people with protected characteristics and a full Equality Impact Assessment is not required. The SSSC Rules and

Requirements for specialist training for social service workers (2005) require course providers to meet legal obligations including those in

relation to equal opportunities and human rights. The annual monitoring and quality assurance of the degree programmes provide assurance in this area.

8.2 We have not carried out an equality impact assessment as this work is not a new or changed policy, service or procedure.

9


9.1 The SSSC has a general duty to promote high standards in the education

and training of social services workers. The rules and requirements for specialist training for social service workers in Scotland 2005 allow for the

SSSC to carry out this duty.


10.1 Stakeholder engagement is undertaken through dedicated link advisers for

each specialist award, engagement with; providers, service users, carers and employer representatives during the significant reviews and regular

developmental sessions with providers and the wider sector.

10.2 Programmes routinely gather students’ views and feedback. Programmes incorporated the views of/participation from stakeholders, including

service users and carers within their Subject Health Reviews/Renewal of Approval processes. This information is required as part of the gathering

of evidence to inform the quality assurance process


11.1 Service users and carers are panel members for the quality assurance of

the social work learning programmes. As part of the quality assurance process learning providers are required to provide clear evidence to the

SSSC that service users’ and carers’ views have been incorporated into both the academic and practice learning aspects of programmes.

11.2 Service Users and Carers are an integral part of the SSSC review team during the significant review of each of the programmes and they are also represented within institution-led reviews which are used to inform the

annual monitoring information provided to the SSSC by each of the programmes.

12. CONCLUSION

12.1 All of the social service specialist programmes continue to meet the SSSC Rules for Social Work Training (2003) and comply with the Rules for

approval as set out in Section 54 of the Regulation of Care (Scotland) Act 2001.


13.1 None.

Council

23 October 2018

Agenda item: 13

Report no: 41/2018

Title of report Developing a new Continuous Learning Standard: Proposed Policy Position


Action For decision


This paper outlines principles for the development of the new Continuous Learning Standard. The new standard will be developed in partnership with the

sector. Adhering to the principles will help ensure that the final product meets the organisational and

regulatory needs of SSSC.

Recommendations Council is asked to:

1. approve the policy position, in particular points 2.6 (quality assurance) and 2.8 (reducing

amount of Post Registration Training and Learning information to be submitted to SSSC).


Priority 3: Social service qualifications and standards

meet the needs of learners and employers.

Outcome 2: Our standards lead to a safe and skilled social service workforce.


The information links to:

Risks 2 – The SSSC is not able to demonstrate to our

stakeholders (including Scottish Government) that its operational activity is fulfilling its strategic outcomes.

Risk 4 – The qualifications framework and workforce development products we produce do not meet the needs of employers and social service workers.

Author Caroline Sturgeon Learning and Development Adviser

Tel: 01382 316459

Director Phillip Gillespie Director of Development and Innovation Tel: 01382 316459

Tel:01382

2

Documents attached Appendix 1: Summary of SSSC evidence to June

2018

Appendix 2: Observations and figures from the current PRTL system

Appendix 3: Right Touch Regulation and the proposed standard

3

1. INTRODUCTION

Developing a new continuous learning standard

1.1 Work is progressing to develop a new continuous learning standard and to design a new approach to the recording, submitting and monitoring of post registration training and learning. Five pilot sites are currently

testing approaches to recording and employer verification of learning. Findings from these trials will inform the development of the new

standard. 1.2 This paper presents a policy position establishing clear principles for the

new continuous learning standard. This will enable us to move to the next stage of development in partnership with the sector in the confidence that

the final product will meet the needs of SSSC. 1.3 The principles in this paper are based on findings from:

consolidation of research into continuous professional development

previously commissioned by SSSC (including approaches taken by other regulators and feedback from engagement events) (Appendix

1) observations and figures from the current Post Registration Training

and Learning (PRTL) system (Appendix 2)

early stage pilot site feedback.

Please note that as the development progresses, the terminology may change (eg, a new title for PRTL)

2. POLICY POSITION FOR THE NEW CONTINUOUS LEARNING

STANDARD

2.1 The new standard and process should: Set clear, simple expectations

for the whole sector Our engagement work shows that many registrants find the current

system confusing and are not sure what is expected of them. There is a lot of guidance, exemplars and other paperwork, but this is not always helpful. The new standard must follow the principles of plain English. It

should be developed in partnership with the sector to ensure it is written in a way that individuals across the sector can relate.

2.2 Encourage a sense of direction in learning from registration

through to re-registration

This is in line with other regulators, who make clear the importance of continuous learning as a way of maintaining suitability to remain on the

register. For newly qualified social workers, it is essential that the new system complements the new assessed year in practice.

4

2.3 Retain existing guidelines for number of hours of learning and requirement for child and adult protection (for social workers /

newly qualified social workers) The standard needs to give employers a clear idea of expectations.

Reducing or removing the number of hours of learning required could have the unintended consequence of reducing the amount of time or investment organisations make in learning. Early work with the pilot sites

suggests that more work could be done to encourage employers and workers to identify and reflect on the informal learning that happens every

day in any care setting, rather than be reliant on formal training courses. 2.4 Identify clear roles and responsibilities for registrants, employers

and SSSC This will strengthen the connection between the standard and the

responsibilities for workers and employers in the Codes of Practice. 2.5 Be quality assured in a way that is meaningful and proportionate

This will involve enhancing the employers role in quality assurance (through providing verification of learning), and reducing the SSSC role in

direct assessment of PRTL submissions. This is in line with the guidelines for ‘Right Touch Regulation’ which encourage regulation that is as near to

the problem as possible (see Appendix 3). Different approaches to recording and verification are currently being tested in our five pilot sites. The SSSC role in sampling PRTL should change, so that the relationship is

primarily in sampling the verification of employers, rather than spot checking individuals. Currently, although we sample 2% of submissions,

we can only realistically assess the writing and reflection, not the actual practice that is being presented in a PRTL form. The employer is in a much better position to do this than the SSSC. This also fits with the approach

taken by SSSC in Fitness to Practise investigations, where the employer is asked about an individual’s practise. By retaining an element of flexibility

in the sampling arrangements, it would also be possible to be more responsive to potential risk, for example choosing to sample from employers or parts of the sector with higher rates of Fitness to Practise

cases.

2.6 Encourage employers to use their organisational systems and processes to support PRTL The current system does not require or encourage employers to link their

PRTL with their own organisational development systems (eg for supervision, appraisal, workforce planning) or with improvement

processes. This is a significant difference from the approach taken by other regulators, and has been highlighted as a barrier to engagement with PRTL by our five pilot sites. We can reduce duplication in the system

by making it easy for registrants and employers to use their own methods of recording the learning, rather than providing duplicate information on

an SSSC form. 2.7 Minimise the amount of information registrants are required to

submit to SSSC To support the new roles in quality assurance, and encourage recording of

learning in different ways, SSSC should require individuals to submit

5

verification forms (potentially with two or three key questions), rather than their whole PRTL record. (Currently large quantities of information

are submitted, but no usable data can be gathered). Different approaches to recording and reflecting on information are currently being tested by

our pilot sites. 2.8 Reinforce the responsibilities of individuals and employers to

adhere to both the Codes of Practice and the Health and Social Care Standards.

The new standard should be improvement focused, and encourage evidencing of how learning makes a real difference to people who are experiencing care.


3.1 The proposals would reduce SSSC registration and learning and

development staff time in the uploading and quality assuring of PRTL. This would be redirected into sampling/quality assuring of the new system, and

in providing direct capacity building support to employers.


4.1 An Equality Impact Assessment has not been carried out. An EIA will be carried out by 20 December 2018 as part of the development of the

policy. 4.2 The equalities implications of the policy are briefly outlined below:

no equalities implications have been identified to date, however an

EIA will be carried out once the draft standard is prepared for consultation to ensure that this remains the case.


5.1 None identified at this stage.


6.1 Five Pilot sites are currently testing approaches to recording and verifying

learning. Further engagement work is planned to support the development

of the standard, and to consult on the draft in early 2019.


7.1 The new standard will embed the Codes of Practice and the Health and Social Care Standards. It will require registrants to show how their

learning has made a difference to the people they support.

6

8. CONCLUSION

8.1 This paper sets out principles for the new continuous learning standard. Work to develop the standard will be undertaken in consultation and

partnership with the sector.


9.1 None.

Council

23 October 2018

Agenda item: 13

Report no: 41/2018

Appendix1

1

Continuous Professional Learning Standard: Summary of SSSC evidence to June 2018

Initial work to consider the development of a new Continuous Professional Learning Standard began in 2014. This

paper summarises the following key pieces of evidence / research that have been commissioned by SSSC and

outlines the learning from these:

1. Ongoing Professional Development Schemes and Processes Used by Regulatory Bodies (Bill

Thomson, February 2014, Research commissioned by SSSC)

2. The Review of Social Work Education: Phase 2 report (SSSC Report, 2017)

3. The Standard for Professional Learning (2nd draft, ) (Jackie Borge Consulting, 2016, Research

commissioned by SSSC)

4. Findings from a 6 month sampling of PRTL (Summary of evidence presented in EMT report on

PRTL sampling, 7th May 2018, including estimate resource usage)

5. Findings from PRTL engagement events (2017/18)

2

1. “Ongoing Professional Development Schemes and Processes Used by Regulatory Bodies” (Bill

Thomson, February 2014, Research commissioned by SSSC)

Example 1: Community Learning and Development Standards Council Scotland

Overview: > 50% of workforce is volunteers. Membership of CLDSC is free and voluntary. Practitioners work in

diverse roles and settings. 2 categories for registration ‘Registered Associate Member’ and ‘Registered Member’.

Registrants commit to set of principles: values underpinning CLD, Code of Ethics, Ongoing CPD, and practising using

CLD competencies.

CPD Approach: Members undertake minimum 35 hours CPD each year, pro rata for part time staff / volunteers.

Practitioners must undertake, reflect upon, record and evidence their commitment to CPD. Employers are expected

to have in place mechanisms for workforce development that will include opportunities for CPD, and the means to

record it. A standards mark (SCSM) is awarded (for 3 years) to organisations that meet defined standards in

providing CPD for their practitioners. Council also has a role in approving CLD Learning Programmes. CPD Strategy

sets out clear vision of what should be achieved. Significant amount of learning material available on website,

alongside online planning and e-portfolio tool.

Updates: Revised Professional Development Strategy published 2015. Focus on growing learning culture. Change

of terminology from CPD to professional learning. Strategy aims to ensure: every employer of CLD practitioners has

in place a comprehensive professional development strategy and an action plan for implementation; Every CLD

practitioner can articulate how professional development is embedded in their work. Vision is for a culture where

learning is celebrated, recognised and encouraged; refected on and shared. Challenge is relished and embraced;

critical reflection is embedded in practice.

What can we learn from this? Development of the CPD standards had significant emphasis on ownership from the

sector, viewing CPD as a positive, rather than a way of addressing deficits. Focus on learning culture, clear

responsibilities for both registrant and employers. No direct QA of individuals records.

http://cldstandardscouncil.org.uk/approval/standards-council-standards-mark/

http://cldstandardscouncil.org.uk/cpd/cpd-strategy/

3

Example 2: General Practice, through the Royal College of General Practitioners

Workforce of 4858 GPs (Dec 2013). Statutory requirement for all GPs to have annual appraisal (part of revalidation

from 2012), and be revalidated every 5 years. Core guidance in CPD is the GMC specification of Good Medical

Practice, setting out the principles and values on which good practice is founded and which places a duty on keeping

knowledge and skills up to date. Details of how CPD should be carried out, is remitted to the Royal Colleges and

Faculties that deal with specialisms within medicine. The Academy of Medical Royal Colleges has Ten Principles for

CPD on which these schemes should be based.

For GPs, CPD is linked in to the appraisal system. They require a minimum of 50 credits per year, covering a broad

range of general practice experience. Credits are self-assessed and verified at appraisal.

Advice from RCGP suggests GPs should have a personal development plan; a system for recording and reflecting

their learning; consider how their learning can be used to improve patient care; claim CPD credits at double the time

spent if a demonstrable change in care has resulted.

The Scottish GP appraisal scheme is managed at a national level by NES. GPs must seek multi-source colleague

feedback via a 360 feedback at least every 5 years. There is also a patient feedback tool www.caremeasure.org .

Institutions, companies and individuals care apply to have their CPD provision awarder the RCGP Accreditation

mark.

Updates n/a

What can we learn from this? The GP system highlights the importance of ensuring that education is not isolated

from your job but part of daily practice.

http://www.appraisal.nes.scot.nhs.uk/

http://www.caremeasure.org/

4

Example 3: Education Scotland / General Teaching Council Scotland

GTCS published 3 sets of revised standards in March 2013. Standards for Registration (links to induction year)/

Career long Professional Learning / Leadership & management.

GTCS established professional recognition awards in 2005 – uptake was minimal.

Professional Update process established in 2014 – teachers must engage in ongoing development, self evaluate

against the appropriate GTCS professional standard, discuss this engagement and the impact of this as part of the

PRD process. Maintain a professional learning record and portfolio of evidence. 5 yearly confirmation of this to GTCS.

Updates: GTCS has resources and suggestions for teachers to use to help them gather appropriate evidence of

professional learning. There is a useful diagram of the professional learning process. The following questions are

relevant to the process:

•What you do (your behaviours)

•Why you do it (your values, belief, assumptions, aspirations)

•How your feel (use your emotional intelligence)

•How you think

•How do I know this is important/ worthwhile?

•What difference is it making?

•How do I know?

What can we learn from this? CPD system closely linked in to appraisals / PRD / Professional Update process.

Registrants upload information via a template, focusing on specific areas.

5

2. The Review of Social Work Education: Phase 2 report (SSSC Report, 2017)

“Commitment to develop a new approach to professional learning through a learning strategy that addresses qualifying and

post-qualifying learning for the social care and social work workforce in Scotland. “ Key message is to ensure social service

workers experience a more integrated approach to professional learning, similar to other professions.

Vision is of an excellent and co-owned approach to professional learning between the learning providers and employers that

spans the social work career journey. Clear that the continued splitting of education and professional learning was at odds

with our need to realise an integrated approach and outcomes. Term ‘professional learning’ is being used to invoke a shift

beyond existing silos of ‘education’ and ‘practise’ / qualifying education and professional development, towards an

integrated and whole systems approach to professional learning that is co-owned and co-produced by relevant actors across

the social work sector.

Aim to move towards a culture, infrastructure and practice where professional learning is everyone’s business.

Priorities of the review are:

1. Realising a co-owned approach to professional learning

2. Updating the framework and standards for social work education

3. Developing a supported year and professional standards for newly qualified social workers

4. Improving selection standards and widening access.

5. Continuous professional learning

Findings from the review: a clear appetite for strengthening the place of learning in professional practice. However learning

was found to occupy a marginal place in the current culture, identify and resourcing of social workers.

What we can learn from the review?

Importance of co-owned approach to professional learning

New CPL standard must complement the development in social work education / assessed year in practice

6

3. The Standard for Professional Learning (2nd draft)

Work commissioned by SSSC, however the proposed standard was not approved. The paper provides definitions of

professional learning, and highlights potential responsibilities for employers and registrants.

The proposal suggests the standard should be in four parts:

Expectations of social service workers

Entitlements of social service workers

Roles and responsibilities

Links to role related standards, competences and indicators.

Proposal includes a new role for employers in verifying that an individual’s work meets the standard. Verification would

involve ensuring that:

The minimum quantity of professional learning has taken place

Professional learning has been appropriate to the individual worker’s role and development goals

The worker can reflect on their learning and provide examples of ways in which they have used their learning (or

plan to use it) in their work

Future goals are identified to future develop the worker professionally

The standard would like to a number of existing frameworks and competencies, including the Codes of Practice, The

Continuous Learning Framework, Leadership Capabilities Indicators, Common Core Skills, National Occupational Standards.

What can we learn from this?

Paper highlights the importance of clear roles for employer, registrant and regulator, and in linking to existing frameworks.

The proposed model is based on setting a minimum standard of achievement, and then monitoring compliance. However,

given current focus on improvement, there could be opportunities to develop the standard in a different way that would

encourage improvement and ownership from the sector.

7

4. Findings from 6 month sampling of PRTL [Summary of evidence presented in EMT report on PRTL

sampling, 7th May 2018]

Evidence from a 6 month sampling of PRTL from the workforce (excluding social workers) has highlighted the following

common themes:

• difficulty understanding the current requirements

• difficulty navigating the website

• registrants not clear what is expected

• not clear about ‘reflective learning’ therefore have difficulty ‘writing reflectively’

• required hours not met

• overly descriptive at the expense of reflection

• difficulty demonstrating how learning informs practice

• information poorly presented

• only having one method to evidence their learning

• causes anxiety to registrants

• registrants get frustrated when their PRTL is returned

• feeling demoralised by the process

This picture is reinforced by the percentage of submissions requiring to be returned to the registrant for further work. Of the

130 non-social work PRTLs sampled, over 32% (40) had to be returned.

Estimate resource use to support non-social work PRTL sampling

The current PRTL process involves significant staff resource in both registration and learning and development teams. The

weekly average time spent by Registration staff identifying non –social work PRTLs to sample ranges between 12-18 hours

per week. Learning and Development adviser time reading, quality assuring and communicating with registrants ranges

between 36 and 64 hours per week.

8

Resources breakdown for 2% PRTL sampling of non social work registrants (16/10/2017 –

04/04/2018)

Team Task Average hours per week

Registration Team Administering processes relating to PRTL 12-18

8 x Learning and Development

Advisers

Reading and processing PRTLs

(8x 2-4 hours)

16-32

Re-assessment and telephone calls

(8x 30-60 minutes)

4-8

1 x Learning and Development

Adviser (Quality Assurance)

Quality assurance 4-6

Total (Learning and Development Team) 24-46 hours

Total Registration and L&D 36-64

What can we learn from the PRTL Sampling?

The current system of quality assurance is resource intensive and provides SSSC with little or no collectable data of the

benefits and outcomes. SSSC is unable to demonstrate to our stakeholders (including Scottish Government) that this

operational activity is fulfilling its strategic outcomes. In planning the future system, we need to think about what data could

or should be helpfully gathered. Over 30% of (non social work) PRTL submissions are returned for further work. Of these,

many registrants have misunderstood what is expected of them, or what is required in terms of reflection. By making sure

9

the new system is easy to understand and of benefit to both individual, employer and SSSC, there is potential to increase

engagement and decrease the amount of SSSC resource required to support the system.

Findings from PRTL engagement events (2017/18)

Over 40 engagement events, workshops and presentations on PRTL took place in the six months to May 2018, reaching

around 750 registrants.

Themes were consistent with those highlighted in the 6 month PRTL sampling (above), with many participants unsure about

the PRTL requirements or what was expected of them.

What can we learn from this?

Current PRTL approach is viewed as a process to do to meet the regulators requirements. We have an opportunity to change

this approach, and to work with the sector to make PRTL much more useful and engaging.

Council

23 October 2018

Agenda item: 13

Report no: 41/2018

Appendix 2

Page 1 of 10

Observations and figures from the current PRTL system and potential areas for development

This table looks at the current process and our communication at each stage with registrants.

Current Process Questions for review Gaps / areas for development

1. Individual joins register and

gets info on PRTL

requirements /

hours/requirements for

adult/child protection

How is this presented?

When registered, the individual receives an automated email

(appendix 2a). The email includes a link to the digital welcome

pack.

How long is the guidance?

There is limited guidance in the first contact. When someone

logs into MySSSC as a registrant there are links to PRTL

(appendix 2b) which gives more detailed information about PRTL

http://www.sssc.uk.com/registration/registrant-

responsibilities/post-registration-training-and-learning

What’s clear?

What is referenced is clear (there is PRTL!)

What’s not clear?

The detail and purpose of PRTL is not clear

What message are we giving registrants about how PRTL

fits into their registration/career/learning journey?

There is nowhere in the digital welcome back where we explicitly

talk about PRTL in any detail (only one sentence about hours in

the email). There is information in the guidance but it doesn’t

make it clear that it relates to the codes

Video to explain PRTL in welcome

pack for future?

Links between qualifications and

PRTL

Links between PRTL and Codes

Links to learning materials to help

with PRTL

Journey of a registrant through

registration period, and how it all

links in – qualifications, codes,

PRTL etc.

http://www.sssc.uk.com/registration/registrant-responsibilities/post-registration-training-and-learning

http://www.sssc.uk.com/registration/registrant-responsibilities/post-registration-training-and-learning

Council

23 October 2018

Agenda item: 13

Report no: 41/2018

Appendix 2

Page 2 of 10

2. Registrant undertakes

training and learning

thoughout registration period

How do we make the link to Codes of Practice and

registrant and employer responsibility?

Codes video in digital welcome pack as well as links to the codes

On-going communication

throughout registration period to

keep PRTL in mind

Links to SSSC resources

registrants could use as PRTL

3. PRTL form on MySSSC can be

updated throughout

registration period

What’s asked for in the form?

A registrant can add entries in to record their PRTL if done

online. This can be done incrementally or all at once (Appendix

2b)

What can the registrant see?

A person can see what they have entered for that registration

period (Appendix 2b)

Be more diverse in how PRTL can

be recorded and adapt systems to

accommodate

Build in flexibility

4. SSSC sample registrants – all

NQSW, 2% of rest

Random sample

The system is capable of setting sampling on a random basis

however, due to the changes in PRTL in the last year, we have

been running a report and selecting these from a spread sheet at

random manually.

What’s monitored from this?

From a registration perspective - Processes are frequently

reviewed to ensure that we are identifying improvements in the

process and the quality of information we receive, but there is no

on-going monitoring of other trends.

Build in flexibility in the way we

sample

Build in how we monitor and target

the workforce (risk, sector,

organisation)

Council

23 October 2018

Agenda item: 13

Report no: 41/2018

Appendix 2

Page 3 of 10

5. Registrant submits form via

MySSSC, paper

i. NQSW –

signed/verified

ii. Paper copies scanned

by registration

Can we tell proportion of registrants who have uploaded

their record of achievement

We can see every entry a person submits on MySSSC but we do

not use this information if not sampled. The PRTL record collates

the data to show the total number of hours/days recorded for a

person.

Is any other information/data collected?

For NQSW’s, we have a managers signature on a paper

application.

Originals are sent in, scanned and uploaded.

The main information we have for each PRTL is:

If it is correct

If it is not correct, the reason for this

If it is achieved or not

Number of times it was assessed

Better define what we want to

collect and the purpose of

collecting the data

6. Assessment by registration

team

i. Check

hours/format/signature

ii. Pass to L&D via

sequence

How long does this take on average?

See appendix 2c

What % is returned after first reading

Around 28% - See appendix 2d

7. L&D admin allocate PRTL to

advisor

Average per week

12-18 hrs per week

Council

23 October 2018

Agenda item: 13

Report no: 41/2018

Appendix 2

Page 4 of 10

8.Second assessment by L&D

advisor [4 weeks for assessment,

2 for QA]

i. Assess whether

adequate

ii. If requirements are

met – send back to

Registration

iii. If not met – forward to

QA manager before

being sent to

registration

Average time

36-44 hrs

9.Registration sends

correspondence to registrant

about outcome of PRTL

How much of this is automatic/manual

This whole process is manual at the moment but has the

potential to be automated for achieved cases. A letter/email is

sent to the individual to confirm that their PRTL is achieved or

personalised to let them know what further work is necessary if

not met.

Create automation where possible

10.Registration is confirmed What info does registrant receive with this confirmation

When registered, the individual receives an automated email

(appendix 2e). The email includes a link to the digital welcome

pack (link in appendix 2e)

Council

23 October 2018

Agenda item: 13

Report no: 41/2018

Appendix 2

Page 5 of 10

Appendix 2a Email to registrant when registered

Dear Miss XXXX

Welcome to the SSSC Register.

You are now registered with us on the part of the SSSC Register for Support Workers in Care at Home Service. Your registration started on 21/07/2018 and will end on 20/07/2023 as detailed in the notice below.

What to do next

Now you can log in to MySSSC to:

get your unique registration number

view or download a copy of your registration certificate

keep your personal details up to date

pay your annual fee

keep a record of your post registration training and learning. You must complete 60 hours

tell us about any changes to your circumstances

We’ll send your personal registration card over the next few weeks, if you have not received this within the next six weeks, please contact our helpline.

You’ll now receive your monthly SSSC eNewsletter direct to your inbox with the latest news including registration and fitness to

practise information and events coming up across Scotland.

Find out more about keeping your registration up to date, top tips on fitness to practise and our free online products and services that will help you in your job and with your continuing learning in our digital welcome pack.

You should have everything you need in your MySSSC account and there is more information on our website if you have any

questions. Or you can get in touch with us on 0345 60 30 891 and at [email protected]

Cheryl Campbell Registration Manager On behalf of the Scottish Social Services Council

https://my.sssc.uk.com/SequencePortal/Login.aspx

http://welcome.sssc.uk.com/



Council

23 October 2018

Agenda item: 13

Report no: 41/2018

Appendix 2

Page 6 of 10

Appendix 2b Screenshots of MySSSC

Council

23 October 2018

Agenda item: 13

Report no: 41/2018

Appendix 2

Page 7 of 10

Council

23 October 2018

Agenda item: 13

Report no: 41/2018

Appendix 2

Page 8 of 10

Appendix 2c Registration timings for admin processes – assessing PRTL (2017 timings)

PRTL initial processing 00:10:26 PRTL Finfo 00:06:03

PRTL supplimentary Statement 00:03:52

PRTL achieved 00:03:18

PRTL not achieved 00:05:23

PRTL extension 00:12:48

Appendix 2d PRTL right on first assessment figures (01/04/2015-31/03/2018))

Register Part Returned to Registrant as

Incomplete

Sent to EWD for

Assessment

Grand

Total

Managers in Housing Support Services 2 3 5

Managers of a Care Home Service for Adults 3 3

Managers of a Day Care of Children Service 4 4

Managers of a Residential Child Care Service 1 4 5

Managers of an Adult Day Care Service 1 5 6

Managers of Care at Home Services 3 3

Practitioners in a Care Home Service for Adults 5 16 21

Practitioners in Day Care of Children Services 4 34 38

Residential Child Care Workers 3 6 9

Residential Child Care Workers with Supervisory

Responsibilities

3 3

SCSWIS Authorised Officer 23 182 205

Social Workers 432 989 1421

Supervisors in a Care Home Service for Adults 1 1

Supervisors of a Residential School Care Accommodation

Service

1 1

Support Workers in a Care Home Service for Adults 3 2 5

Support Workers in a Day Care of Children Service 1 1

Workers in a Residential School Care Accommodation Service 5 5

Grand Total 474 1262 1736

Council

23 October 2018

Agenda item: 13

Report no: 41/2018

Appendix 2

Page 9 of 10

Appendix 2e Email when registration is renewed

Dear Mrs XXXX

Thank you for applying to renew your registration.

You are now registered with us on the part of the SSSC Register for Residential Child Care Workers. Your registration started on 23/07/2018 and will end on 22/07/2023 as detailed in the notice below.

What to do next

Now you can log in to MySSSC to:

· find your unique registration number

· view or download a copy of your new registration certificate

· keep your personal details up to date

· pay your annual fee

· keep a record of your post registration training and learning

· tell us about any changes to your circumstances

You’ll continue to receive a monthly eNewsletter direct to your inbox with the latest news on registration, professional standards and events coming up across Scotland.

We’ll send your personal registration card over the next few weeks, if you have not received this within the next six weeks, please contact

our helpline.

Find out more about keeping your registration up to date, top tips on fitness to practise and our free online products and services that will help you in your job and with your continuing learning in our digital welcome pack.

You should have everything you need in your MySSSC account and there is more information on our website if you have any questions.

Or you can get in touch with us on 0345 60 30 891 and at [email protected]

https://my.sssc.uk.com/SequencePortal/Login.aspx

http://welcome.sssc.uk.com/


Council

23 October 2018

Agenda item: 13

Report no: 41/2018

Appendix 3

Right Touch Regulation and the new Continuous Learning Standard

The table below considers how the proposals for the new standard fit with the

aspirations of the Professional Standards Authority’s ‘Right Touch Regulation’.

https://www.professionalstandards.org.uk/what-we-do/improving-regulation/right-touch-regulation

Identify the problem

before the solution

SSSC has a responsibility to ensure that registrants maintain and develop their practice and remain fit to be on the

register. As a sector skills council, we work in partnership with employers in Scotland to develop the social service workforce

and invest in workforce planning. We must both:

Encourage employers to invest in, and support their workforce

Ensure that registrants update and maintain their practice and remain fit to be on the register.

Post Registration Training and Learning (PRTL) is one of the mechanisms used by SSSC to achieve this.

Quantify the

risks

If registrants do not continue to update their practice, they

may not be able to provide the best support for the people they work with. The SSSC must be sure that people remain suitable to be on

the register.

Get as close to the problem as

possible.

Registrants have a responsibility for their learning. Employers have a responsibility to support their employees.

The SSSC needs to be assured that this is happening.

Only use

regulation when

necessary

The proposals for the new standard suggest enhancing the

employers role in verifying learning records, and reducing the amount of information that SSSC requests. SSSC is putting

trust in employers and encouraging a partnership approach, rather than holding on to control of the PRTL process.

Keep it simple The proposal is to simply both the standard and the process. The standard will be in plain English, and will be developed in

partnership with the sector. The new process will be designed to reduce duplication between individual / employer records

of continuous learning, and to minimise the amount of information that individuals are required to submit to SSSC.

Check for

unintended consequences

It is possible that some registrants may not engage with the

new system. However this is also the case in the current system, where it is understood that many registrants only fill in their PRTL form when it is requested for sampling. Having a

clear standard that is developed in partnership with the sector



and supported by a simplified process for submitting

information, should encourage engagement with PRTL. Making the connection between learning and outcomes should ensure that it is meaningful to employers, individuals and the

SSSC.

Review and respond to

change

The workplan includes initial development of the standard with representatives from the sector, followed by consultation

and further engagement before finalising the standard. A policy development session with Council members is also proposed. When designing the new approach to verifying /

quality assuring learning records through employers, we will consider how the information from sampling can be used to

respond to change.

Council

23 October 2018

Agenda item: 14

Report no: 42/2018

Title of report Convener’s Report


Action For information


This report provides Council Members with an update on engagements carried out by the Convener on behalf of the Scottish Social Services Council (SSSC).

The report also provides a short summary of the discussion at the Policy Forums held on 17 July

2018.

Recommendations The Council is asked to note the information

contained in this report.

Link to Strategic Plan The information in this report links to Outcome 4 of

the Strategic Plan, that our stakeholders value our work.

Link to the Risk

Register

This report links to the Strategic Risk Register in that

it aims to contribute to open, transparent and informed governance arrangements.

Author Name: Professor James McGoldrick


1. INTRODUCTION

1.1 This report sets out the stakeholder engagement which has been carried

out by the Convener on the SSSC’s behalf and also summaries the discussion at the Policy Forum held on 17 July 2018.


20 June 2018 Ministerial Strategic Group

21 June 2018 SSSC/NES Partnership meeting

2 July 2018 Care Inspectorate CEO Recruitment – Stakeholder session

9 August 2018 Planning Meeting – Scottish Commission on Social Security

15 August 2018 CIPD HR Leadership Network event

16 August 2018 Care Inspectorate Board Development Event

23 August 2018 IFF Transformation Innovator Summer network

event

30 August 2018 Disability and Carers Expert Advisory Group

20 September

2018

Dementia Awards

26 September 2018

Ministerial Strategic Group

3 October 2018 Edinburgh Napier University Health & Social Care Leadership, Governance and Change

Advisory Group

3. Discussion at the Policy Forums held on 17 July 2018

3.1 The Policy Forum is a discussion meeting attended by Council members and officers. The format allows officers to bring items to the forum and

seek feedback from Council Members. The discussion at the forum is then used to further pieces of work or projects, before they are brought to full

Council for public debate and decision.

3.2 At the Policy Forum on 17 July 2018, the Chief Executive gave a presentation on events and decisions in relation to the Digital

Transformation Programme and leading up to the possibility of the SSSC establishing its own ICT service. This was an opportunity for officers and

the Digital Infrastructure Lead to answer some of the technical questions and seek clarity around the information needed in the Council Paper which went to Council on 7 August 2018.


4.1 There are no resource implications arising from this report.


5.1 There are no equalities implications arising from this report.


6.1 There are no legal implications arising from this report.


7.1 Internal stakeholders have contributed to this report and the report aims to include a regular update on the Convener’s engagement activities with

our external stakeholders.


8.1 There is no direct impact on people who use services or their carers.

9. CONCLUSION

9.1 This report summarises recent engagements undertaken by the

Convener on behalf of the SSSC.


10.1 None.

Council

23 October 2018

Agenda item: 15

Report no: 43/2018

Title of report Chief Executive’s Report




This report provides Council Members with an update on key developments since the last Council

meeting on 7 August 2018.

Recommendations The Council is asked to: 1. note the information contained in this report 2. offer comment on the content.

Link to Strategic

Plan


Outcome 4 - our stakeholders value our work.


This report links to the Strategic Risk Register in that it aims to contribute to open, transparent and

informed governance arrangements.

Author Lorraine Gray

Chief Executive Tel: 01382 207250

Documents

attached

Appendix 1: Registration Statistics

2

1. INTRODUCTION

1.1 This report sets out the highlights across the organisation since the last

Council Meeting in August.

1.2 I have included highlights from each function, as well as some examples

of things that are significant from my own perspective. I have also included examples of collaborative working both that have taken place and work planned for next quarter. Finally, I have highlighted some examples

of the values in practice.

2. DEPARTMENTAL HIGHLIGHTS Registration

2.1 We made a policy decision to require all of our registrants to be members

of the Protecting Vulnerable Groups (PVG) scheme. We identified that there were 10,000 registrants we did not hold PVG numbers for so we started the process of contacting each Registrant for this information in

July. Due to the numbers involved, we followed a phased programme and are almost reaching the end of programme. So far the response has been

excellent with 9,000 registrants providing a PVG number leaving only 1,000 to follow up.

2.2 In the weekly registration statistics, we previously reported there being a

shortfall of just under 500 support workers in school care accommodation

services who had not registered. Using the latest workforce data from 2017 published in August, we can see that almost 400 of these workers

are registered with another regulatory body and this was previously not recorded in the report. Taking this into account, the shortfall has reduced significantly, there appears to be around 100 workers who are not

registered with us or any other regulatory body. We will highlight this to the Care Inspectorate.

2.3 Due to the programme of work with digital transformation most of our

focus over the coming months will be implementation of the new systems.

We will be supporting staff to adjust to different technology whilst dealing with our business as usual. Over the next six weeks our priority will be

testing, training and communicating information about our new systems to staff and stakeholders in preparation for go-live.

Fitness to Practise

2.4 The Fitness to Practise Department have recently started surveying key participants in the fitness to practise process such as workers and applicants under investigation, employers and witnesses to gather

feedback on how we can improve the process for those involved.

2.5 There has been an increase in the number of fitness to practice cases opened as a result of information that we hold on workers not registered with the SSSC. This has increased from 3% in April 2017 to 8% in

3

September 2018. This shows that as people apply for the new register parts, we hold information that might be relevant to their suitability to

practise. It indicates that this is a useful source of intelligence and suggests that holding pre-registration information about workers has been

worthwhile. 2.6 One key development planned for the Fitness to Practise Department is

that case holders receive department wide mandatory training on interacting with victims of abuse. The work of the Scottish Child Abuse

Inquiry highlighted the necessity of this type of training for SSSC caseholders given that some of the behaviour we look at is similar to the subject matter that the Scottish Child Abuse Inquiry are looking at.

Hearings

2.7 Corporate Governance and Hearings has split from one previous team into

two, forming the Hearings Department and the Legal and Corporate

Governance Department. The Hearings Department has worked seamlessly during this period of change and welcomed and supported the

new Head of Hearings into her post.

2.8 We have enabled worker/witnesses in four hearings held in Dundee to participate via video link from external locations outwith Dundee.

2.9 Over the next quarter we will develop a system for quality assuring the decisions made by panel members in hearings. There is currently nothing

in place and this is therefore a priority. The intention is that this will include elements of internal and external quality assurance.

Communications

2.10 We held four digital transformation events for staff over two days at the Apex Hotel, in July and August with 235 staff attending. The events featured an update on the digital transformation project from Lorraine

Gray and Jeff Miller and a talk on cyber security from Adrian Smales, a leading expert from Napier University. Feedback after the events was

good with more than 70% of staff rating the speakers at 7-9 out of 10 and positive comments received about the style of the event and the half day format. In addition, we have appointed Maxine Dinnes to the Involving

People Lead role. Maxine took up post on 1 October 2018.

2.11 In August we sent out 9,500 copies of the “What to expect from your care worker” information leaflet to 950 GP practices across Scotland. This is a public information project to help reach people of all ages, both carers and

those using social services, to raise awareness of the role of the SSSC and the standards that people should expect from those working in care

services. 2.12 We are launching the redeveloped SSSC website, offering our registrants

and other users an improved online experience and easier access to information and support.

4

Performance and Improvement

2.13 As part of our Digital Transformation work, our Systems Development

team is migrating over 1 million records from SEQUENCE to Dynamics 365 across 47 unique entities. This equates to over 400GB of data currently held in SEQUENCE. That doesn’t even touch on the 1.4 million document

records that will accompany them in SharePoint online covering over 200k contact records and their related applications.

2.14 We are starting to consider how we better hold, use and store our data

and intelligence so that we are managing it as we would any other

organisational asset. The first step will be to consider what we have and where it is. This will later develop into work to develop a strategy and a

model over the next few years. Legal and Corporate Governance

2.15 Since June’s Council meeting, the Legal and Corporate Governance

Department was established. We have developed our Directorate Plan, established our remit and started raising the profile of the Department

internally to OMT and EMT colleagues as the key legal, governance and data protection advisers for the SSSC.

2.16 Since June we have received 121 separate Freedom of Information Requests since the last Council meeting in June. To put this into context,

the total number of requests received for financial year 2016/2017 and 2017/2018 were 71. All of the requests complied with were done within the statutory timescales. Of the total number of requests, 74 came from a

single source and we held these to be vexatious due to the number and nature of the requests. The individual did not exercise their right to a

review of the requests and, while we are still within the timescales for making a referral to the Information Commissioners Office (ICO), we do not anticipate that the individual will challenge this decision to the ICO.

2.17 A key piece of work that planned for the next quarter is to introduce a

data champion role within the wider organisation. This will be a key contact for the information governance team and act as a triage for basic data protection queries or issues that arise in each department. They will

assist the Information Governance Officer to develop bespoke data protection training for each department and will work with the Information

Governance Team to develop and carry out annual data protection audits. Development and Innovation

2.18 We awarded the contract for delivery of the new Graduate Apprenticeship

in Early Learning and Childcare to the University of the Highlands and Islands and the University of West of Scotland.

2.19 The digital team launched their new podcast series “LearnCast” which focuses on digital learning issues and will feature interviews with leading

figures in the field both in Scotland/ UK and overseas.

5

2.20 We published a Storytelling Booklet - “Building collaboration and

compassion for integrated working”. This comprises stories from the social service workforce about the positive impact of SSSC support and

resources. 2.21 We have selected three pilot sites across Scotland who are taking part in a

project supporting Newly Qualified Social Workers (NQSWs) through their first year in practice. This pilot project seeks to provide a different

approach to continuous professional development with a greater focus on the transition period from student to a more autonomous professional. NQSWs will be supported through line manager supervision, specific

learning inputs and direction aimed at supporting continuous development, research and evidence informed practice, to develop in

confidence and demonstrate competence through the NQSW standards. Unlike the current Post Registration Training and Learning (PRTL) requirements where the NQSW sends a written submission to the SSSC

for assessment, the NQSW’s line manager will be directly involved in the assessment process along with the SSSC and pilot site representatives in

carrying out the quality assurance of NQSW submissions. The pilot sites are Learning Network West, Angus and Aberdeenshire with on online

digital pilot being developed for rural areas 2.22 The digital learning team and the Self Directed Support, Integration,

Promoting Excellence Team produced an interactive resource for iOs and Android Tablets on Personal Outcomes for Palliative End Of Life Care

commissioned by Scot Gov. 2.23 We can report from the recent customer surveys that a large proportion of

respondents strongly agreed that we contribute to workers having the skills they need to do their jobs (41%, 5,574 respondents). When we

include those responses marked as ‘tend to agree’ the number of positive responses increases to 72% (9,816 respondents).

2.24 Most workers agreed that our resources have improved their work practice (81%, 8,693 respondents) and a high proportion of respondents either

would recommend our resources to others, or already had done so (96%, 5,162 respondents).

2.25 In the first four months the childcare careers website has had nearly 4000 visits.

2.26 Since April 2018 the team has supported the creation of 2,400 new Open

Badge accounts

2.27 In the next quarter we plan to develop an explainer video and interactive

learning focussed videos on Cyber Resilience commissioned by the Scottish Government Cyber Resilience Team.

6

Human Resources

2.28 HR were actively involved in implementing the new organisational structure including the recruitment and appointment of four new Heads of

service as well as facilitating and supporting the Chair with the recruitment and appointment of the Chief Executive (CE). The CE recruitment process involved a stakeholder panel whereby both internal

and external stakeholders had the opportunity to hear the CE present their vision for the SSSC and had the opportunity to ask questions which

were important from their perspective. 2.29 There have been 27 recruitment campaigns since April 2018 which include

four that are currently open. Of those campaigns, over 33% were filled by internal applicants which essentially means that we have promoted these

people. Promotion is an excellent way to boost employee motivation and morale which in turn results in higher productivity and prevents the SSSC from losing valuable employees and their knowledge.

2.30 The SSSC are due for our three yearly review for Investors in People. The

aim is to maintain the Silver accreditation and strive for Gold by 2021.

Finance 2.31 We have introduced an automated telephone collection payments system

which allows registrants to pay by telephone 24 hours a day, seven days a week.

2.32 We aim to pay invoices received by the SSSC within ten days. Since the

last Council meeting we have paid over 99% of invoices received within

this timescale.

2.33 We raised 38,239 accounts receivable invoices between June and August. We receipted 32,264 of these invoices and received 16,482 calls.

2.34 During the next quarter we will begin the work on outcomes based budgeting.

3. CROSS-SSSC/COLLABORATIVE WORK

3.1 Much of the cross SSSC/collaborative work relates to the implementation

of the Digital Transformation Project. I see this as a hugely encouraging sign of Departments within the SSSC who generally fulfil distinct functions coming together to deliver a hugely exciting but challenging project for us.

Some of the particular examples of this project involving significant collaboration includes:

3.1.1 All departments working together to create a resource plan for the Digital

Transformation go-live date. This plan ensures that we have identified

contingencies, training plans and key activities that we need to undertake prior to go-live. Each department has supported one another to ensure

that we are in the best possible position for go-live.

7

3.1.2 The Fitness to Practise department working in close collaboration with the

Hearings department in the direct development of the Case Management System, Mattersphere. This significant part of the Digital Transformation

Strategy has also needed collaboration with the Registration, Development and Innovation and the Communications departments to ensure that the system we receive meets all our business critical needs.

3.1.3 The Communications department working with colleagues from every

department to develop content for the redeveloped SSSC website, due to launch in November. They held workshops with department representatives to identify and produce the engaging and informative

content ensuring completion by the end of June.

3.1.4 The Legal and Corporate Governance department has provided legal assistance such as the negotiation and review of the Services Contract with NVT to the members of the Executive Management Team, our Lead

Technical Consultant and the Sequence Development team to ensure that we receive a system that meets the required specification for a cost that

the SSSC are comfortable with.

3.2 In addition to the collaboration arising as a result of the digital transformation project, there are several other examples of how the departments within the SSSC are working together to ensure we meet the

Operational and Strategic aims. These examples include:

3.2.1 Development and Innovation, Fitness to Practice and Communications working together to develop “Raising Concerns” practice guidance for workers and employers. This has also involved external engagement with

employer representatives and Unison.

3.2.2 Staff of the Performance and Improvement department met with colleagues in the Care Inspectorate to discuss how we can better share and improve the intelligence we hold. We have agreed a number of

actions together, including developing and pulling together the intelligence we hold on one topic to host an exploratory session together early in

2019. If this joint approach works, we will look at making it a regular collaboration.

3.2.3 Finance have worked with Registration to develop MySSSC to provide accurate registration fees due and fee paid information which will be

available on MySSSC within 24 business hours of a payment being made. 3.2.4 HR and Development and Innovation recently reported on the success of

working together on our Leadership and Management Competency Framework. Since then we have continued to work together to procure

and undertake a leadership development programme and evaluate and plan a way forward for embedding the framework in the SSSC providing leadership development for all staff.

3.2.5 The Legal and Corporate Governance department have provided legal

advice to Finance, Development and Innovation, Fitness to Practise,

8

Registration and Human Resources on a wide number of legal and information governance matters.

3.2.6 Members of the Information Governance team have met with the Data

Protection Officer for the Care Inspectorate to share ideas on how the respective organisations are continuing to deal with the ongoing challenges introduced by GDPR. In particular, they have shared templates

for the introduction of Data Protection Impact Assessments and the SSSC’s updated overarching data protection policy.

Work planned for next quarter

3.3 The Registration and Communication departments are carrying out a review of the registration cards. We started issuing registration cards to

our registrants back in March this year and we have received some positive feedback about the cards, particularly from organisations some of whom would like all of their staff to receive the cards now. We have

received four or five negative comments about the cards but this is a very minute proportion of the 146,000 cards we have issued. Since April we

have received 167 individual requests for cards from registrants who know about the cards but were not due to receive one. In addition, we are

planning to carry out a survey in October to assess how well received the cards have been and to see what difference they are making towards building our relationship with registrants.

3.4 The Fitness to Practise and Hearings departments plan to work together

closely as the development of the case management system enters the final testing phase. This is to ensure that cases proceed smoothly after the systems switch over. In addition, both departments are working together

to ensure that relevant contingency plans are in place in the event of system down time.

3.5 The Hearings department has arranged training for all 98 panel members

which is taking place over two days in October. The Communications

Team are going assist with this by giving a presentation on press interest in hearings, the way hearings are reported and the impact of social media.

The Development and Innovation Team are going to assist by facilitating discussion sessions between panel members each afternoon.

3.6 The Communications team are coordinating the communications for the digital transformation switchover for when we roll out the new website,

MySSSC, case management system and new IT kit and software. This involves collaboration with the digital transformation project leads, the digital team, the operational management team and staff involved to get

the key information out to staff at the right time so they’re ready for the move. This also includes reaching registrants, employers and other

stakeholders through various channels so that they are aware of and prepared for the changes that will affect them.

3.7 We are developing the new continuous learning standard which will replace PRTL requirements. Representatives from across the SSSC are

members of the project board.

9

3.8 We have ongoing joint working between the Registration, Communications

and Legal and Corporate Governance departments to revise and improve the guidance we provide to individuals applying to the SSSC to have their

non-UK qualifications assessed. The Digital Learning Team video intern is working on a range of projects across various departments in the organisation to raise the profile of the SSSC.

3.9 We are developing wilful neglect practice guidance for workers and

providers. This involves collaboration between the Development and Innovation, Fitness to Practise and Communications departments internally as well as with the Care Inspectorate.

3.10 The Development and Innovation department are working with Human

Resources to evaluate the SSSC Leadership and Management Framework for the Operational Management Team and EMT and propose next steps.

3.11 Performance and Improvement are continuing to deliver our European Foundation for Quality Management self-assessment programme. They

are working with the Shared Service Finance team at the moment and will launch the Learning and Development self-assessment next. Quality

Scotland attended the first session with Finance and gave really positive feedback about our approach. This is a learning process for everyone involved and Performance and Improvement are learning from our own

assessment by external assessors from Quality Scotland. We will use learning from that experience to refine the SSSC’s future self-

assessments. 3.12 Finance will work with all departments across the organisation to prepare

the 2019/20 draft budget and indicative budgets for 2020/21 and 20201/22.

3.13 The HR shared services team have put a proposal to the Resources

Committee and EMT on how we could adopt a joint approach to policy

development, where appropriate, with shared services developing joint policies for both the SSSC and Care Inspectorate. We will strive to review

work being done on existing policies and procedures to bring best practice and consistency across both the SSSC and Care Inspectorate while recognising that they are distinct organisations with differing needs.

Where necessary, HR will work with colleagues across both organisations to develop separate policies for each organisation.

3.14 The Legal and Corporate Governance department will be working with

colleagues over a number of areas to ensure that the organisation meets

the highest standards of governance. We will give advice on legal and governance related matters to Council and Committees. We will be

working closely with the Hearings department to introduce a Quality Assurance program for Panel Members.

10

4. SSSC VALUES IN ACTION

Integrity

4.1 The collaborative work between the departments mentioned above demonstrate that acting with integrity is at the heart of everything that we do at the SSSC. We simply could not carry out these tasks if we were not

demonstrating this value.

Creativity and learning 4.2 Development and Innovation and the Fitness to Practise departments held

a number of small sessions in August to inform staff about the resources available within the SSSC to develop both our knowledge and skills and

those of workers. Reference was made to tools such as the SSSC Learning Strategy, Continuous Learning Framework, Step into Leadership, SSSC Learning Zone, NOS Navigator and Open Badges to name only a few.

4.3 SSSC staff have co-created the theme and script of storytelling films

Listening and engaging

4.4 The Hearings department’s clerks have been very good at sharing

information and working to bring our two interns up to speed, offering

advice and guidance and making sure they always have time to help them in their new roles.

4.5 The Communications department have worked closely with colleagues and

external customers to hear and listen to their views about the website and

sought feedback from them at various stages to make sure the end product meets a range of needs.

Accountability

4.6 The Fitness to Practise department identified and reported to Audit Committee an emerging risk arising from the reduction in case closures.

We identified and reported to Audit Committee appropriate mitigating measures to ensure that the department was accountable and that Council Members were satisfied that we are appropriately managing this risk.

4.7 We have reviewed and submitted our annual accounts and audit reports to

Council demonstrating the whole organisation’s commitment to accountability. These featured some lessons learned following the recent decision to split from the ICT shared network.

Commitment

4.8 Members of staff within HR have been working long hours to ensure the

delivery of our new payroll system.

4.9 The Hearings department have started proactively asking workers that

cannot attend fitness to practise hearings if they would like to participate

11

via video conferencing. Previously, we only arranged this if we received a request from a worker or case presenter. This involves significant travel

times to often remote parts of the country by members of staff to ensure that we improve the access to justice for workers going through the

fitness to practise process. Pride in what we do

4.10 A small group of staff have been working on testing the functionality and

layout of D365 and MySSSC. The work they have been doing has been very challenging and they have overcome several obstacles which have prevented them from undertaking testing in a more streamlined and

effective way. They have shown commitment throughout the extended period of time they are doing this work. Most importantly, they are taking

pride in the work they are doing and want the system to be the best it can for our staff.

5. CHIEF EXECUTIVE’S HIGHLIGHTS

5.1 I am working closely with the Head of Legal and Corporate Governance to

review the Service Level Agreements with the Care Inspectorate. This is an interesting piece of work as it is clarifying to me the areas we need to

improve and making me think about our expectations as a customer.

5.2 I met with Patricia Higgins, the Interim Chief Executive of Northern Ireland Social Care Council in Edinburgh. She was keen to hear about my

experiences as Interim Chief Executive. However, it gave us the opportunity to share ideas and experiences on wide ranging topics.

Patrica and their Chair, Paul Martin, are meeting with me and Professor McGoldrick in December to share some of the discussions.

5.3 I attended my first Social Work Services Strategic Forum, which is chaired

by Maree Todd, Minister for Children and Early Years. I was particularly interested in the discussion around the seven recommendations in the

National Health and Social Care Workforce Plan Part 2. Recommendation 5 is promoting social care and social care settings more widely as a positive career choice. One area discussed was a forthcoming recruitment

campaign for social care. They had not identified a delivery partner. I am meeting with them shortly to discuss the SSSC as a possible delivery

partner.

5.4 I have had a number of positive meetings with the Chief Social Work Adviser to Scottish Government and staff from the Office of the Chief

Social Work Adviser. This has given me a better appreciation of the policy and work priorities expected from Scottish Government.

5.5 Phillip Gillespie and I met with the Jeane Freeman, the Cabinet Secretary, to discuss the Health and Care (Staffing) Bill. Phillip gave a really good overview of the points we wished to make, including how it aligns with the

Codes of Practice and issues surrounding workforce v workload. The following week Phillip gave evidence to the Parliamentary Committee. You

12

can view it as this link http://www.parliament.scot/parliamentarybusiness/CurrentCommittees/1

08724.aspx We gave evidence on 25 September.

5.6 Along with Phillip Gillespie and Laura Lamb, Head of Learning and

Development, I spent a productive afternoon with the Chief Social Work Adviser and her team discussing our workforce development priorities.


6.1 There are no resources implications arising from this report.


7.1 The outcome of this report will have no negative impact on people with

one or more protected characteristics and a full Equality Impact Assessment is not required.


8.1 There are no legal implications arising from this report.


9.1 Internal stakeholders have contributed to this report.


10.1 There is no direct impact on people who use services or their carers.

11. CONCLUSION

11.1 This report contains a broad range of information about the organisation

as a whole which may not be covered in other ways. However, it is a “highlights” report and is not intended to replace the reporting mechanisms in place for our Strategic and Operational Plans.

12. BACKGROUND PAPER

12.1 None.

http://www.parliament.scot/parliamentarybusiness/CurrentCommittees/108724.aspx

http://www.parliament.scot/parliamentarybusiness/CurrentCommittees/108724.aspx

Based on Figures as at 08-10-2018 Registration StatisticsCouncil

23 October 2018

Agenda item: 15

Report no: 43

Appendix 1

PART OF THE REGISTER (Number of

Active Care Inspectorate Services as

at 16 July 2018)

DATE REQUIRED

REGISTRATION

COMMENCED

SSSC

REGISTRANTS

TO DATE

SSSC

APPLICATIONS

IN PROGRESS

SSSC

TOTAL

REGISTRANTS

WITH A

QUALIFICATION

CONDITION

PERCENTAGE

WITH A

QUALIFICATION

CONDITION (%)

Students May-2004 1740 221 1961 0 0.00

Social Workers Sep-2005 10685 59 10744 0 0.00

Managers of Residential Child Care

Services (331 Services)Sep-2009 389 14 403 116 29.82

Residential Child Care Workers with

Supervisory responsibility (331

Services)

Sep-2009 820 31 851 257 31.34

All other Residential Child Care

Workers (331 Services)Sep-2009 6352 292 6644 2709 42.65

Managers of Adult Day Care Services

(463 Services)Nov-2009 390 10 400 107 27.44

Managers of Care home Services for

Adults (1110 Services)Nov-2009 669 33 702 246 36.77

SCSWIS Authorised Officers Mar-2010 274 6 280 95 34.67

Managers of Day Care of Children

Services (3625 Services)Nov-2010 2532 101 2633 1566 61.85

Practitioners in Day Care of Children

Services (3625 Services)Sep-2011 25352 776 26128 4388 17.31

Supervisors of Care Home Service

for Adults (1110 Services)Mar-2012 3748 190 3938 2056 54.86

Managers of a Residential School

Care Accommodation (28 Services)Nov-2012 10 0 10 2 20.00

Practitioners of Care Home Service

for Adults (1110 Services)Mar-2013 5710 175 5885 2184 38.25

Supervisors of a Residential School

Care Accommodation (28 Services)Apr-2013 23 0 23 4 17.39

Workers of a Residential School

Care Accommodation (28 Services)Nov-2013 308 12 320 105 34.09

Managers of a Housing Support

Service (1056 Services)Jan-2014 1449 59 1508 581 40.10

Managers of a Care at Home Service

(1005 Services)Jan-2014 1289 67 1356 584 45.31

Support workers of Day Care of

Children Services (3625 Services)Jun-2014 7039 386 7425 3998 56.80

Support Workers of Care Home

Service for Adults (1110 Services)Sep-2015 30809 1362 32171 20178 65.49

Supervisors of a Housing Support

Service (1056 Services)Jun-2017 3799 143 3942 2194 57.75

Supervisors of a Care at Home

Service (1005 Services)Jun-2017 3747 168 3915 2250 60.05

Workers in a Housing Support

Service (1056 Services)Sep-2020 15758 2843 18601 9118 57.86

Workers of a Care at Home Service

(1005 Services)Sep-2020 17591 3348 20939 10908 62.01

Total Figures (7618 Services) 140483 10296 150779 63646 45.31

117,631Number of unique individuals on register:

Council

23 October 2018

Agenda item: 16

Report no: 44/2018

Title of report GDPR Update

Report to Council


Public/Private Public

Summary/purpose of

report

To update Council on the steps taken by the SSSC to

comply with GDPR

Recommendations Council is asked to note the content of the report.

Links to Strategic Plans

Outcome 4 – Our stakeholders value our work

Priority 6 – High standards of Governance

Link to the Strategic Risk Register

Risk 6 – The SSSC experiences disruption or loss or reputation damage from a failure in its ICT systems,

physical security or information governance arrangements

Responsible Christopher Weir Head of Legal and Corporate Governance

Tel: 01382 346456

Documents attached Appendix 1 – GDPR 12 Steps Assessment

Appendix 2 - Updated Data Protection Policy

2

1. INTRODUCTION

1.1 This report is to update Council on the steps taken to ensure the SSSC is

compliant with the provisions set out in the General Data Protection Regulations (GDPR) and the Data Protection Act 2018 (DPA 2018). For the

purposes of this report the GDPR and the DPA 2018 will be collectively referred to as the data protection legislation.

1.2 GDPR came into force on 25 May 2018 and was an attempt to harmonise

data protection law throughout EU member states and to deal with changing needs and technologies which have emerged since the

introduction of Data Protection Directives in 1995. The introduction of the DPA 2018 transposed and supplemented the provisions of GDPR into UK law.

1.3 The SSSC has always strived to comply with the terms of the Data Protection Act 1998 however the introduction of GDPR, among other

things, lifted the cap on fines that the Information Commissioner’s Office (ICO) are entitled to impose for failure to comply with the provisions of GDPR and the DPA 2018. This can be as much as €20 million in the case

of the SSSC.

2. STEPS TAKEN

2.1 In preparation for the GDPR coming into force, the ICO issued a guidance document which sets out recommended 12 steps that organisations

should take to become GDPR compliant. We used that guidance and prepared our own document which is effectively our GDPR roadmap to compliance. We have attached a copy of the updated plan at Appendix 1

for Council Members’ consideration. We have used a RAG status to indicate where we have met our initial steps, where they have not been

met but a plan is in place and where there is no plan in place. We have set out what we have done and what outstanding or further improvements we intend to make. We will review this on a regular basis and the RAG status

may fluctuate as the organisation and the law relating to GDPR develops.

2.2 The below list sets out some of the steps that we have taken to ensure the

SSSC is compliant with the data protection legislation. It does not detail all of the steps taken but gives Council an idea of the most important measures taken to date.

2.2.1 We have appointed our Head of Legal and Corporate Governance as the Data Protection Officer (DPO) for the SSSC. He reports to senior

management and has the relevant skills and experience necessary to fulfil this function. He is provided with relevant resources necessary to carry out his statutory obligation, predominantly two permanent members of

staff within the Information Governance Team and 2 Solicitors who assist from time to time.

2.2.2 We continue to maintain our registration with the ICO and we have notified the ICO of our change in DPO.

3

2.2.3 Members of the Information Governance Team have received detailed training on data protection and regularly attend training provided by

external providers on the data protection legislation.

2.2.4 We have provided mandatory training on the introduction of the data

protection legislation generally to the organisation. This was through presentations given by the Information Governance Team and will be followed up with online training for all staff.

2.2.5 We have updated our Privacy Notice and published this on our website so that we are transparent to members of the public about why we are

gathering data and how it is processed.

2.2.6 We have updated the SSSC’s overarching data protection policy. A copy of this is attached at Appendix 2 for Council’s consideration. This will be

published on the SSSC’s website.

2.2.7 We have carried out a data mapping exercise so that we are clear on the

data that we hold and why we retain it. We keep this under review so that we are not holding data for longer than is necessary.

2.2.8 We have introduced Data Protection Impact Assessments to manage the

potential risks which may arise as a result in a change in how the SSSC processes data.

2.2.9 We have updated both internal and external documents so that they properly reference and are compliant with the terms of the data protection

legislation.

2.2.10 We have reviewed our data breach reporting policy and introduced a risk assessment form which needs to be completed within 72 hours of a data

breach being reported to us. The purpose of this is to ensure that, where necessary, we are reporting data breaches to the ICO in line with

statutory timescales.

3. PLANNED STEPS

3.1 Introduction of Data Champions throughout the SSSC. These will

constitute existing members of staff from each department who will receive detailed training. They will work with the Information Governance

Team to develop bespoke training relevant and meaningful to their department. They will act as a primary point of contact for straightforward data protection queries and seek assistance or escalate a data protection

matter to the Information Governance Team where necessary. They will work with the Information Governance Team to carry out annual data

protection audits so we can better evidence compliance with the data protection legislation.

3.2 Development and delivery of bespoke GDPR training to each department

in the SSSC as well as offered to Council members. We will also review and update the online data protection training.

4

3.3 Regular reviews of our Data Protection policies and procedures to ensure that they are relevant and flexible to meet any changes in the data

protection legislation or framework.

3.4 We plan to hold an improvement science session on the process that we

follow when we receive a subject access request with a view to streamlining the process.


4.1 An equality impact assessment is not required for the purposes of this report.


5.1 There are no additional resource implications arising as a result of this report.


6.1 There are no additional legal implications which are not covered by the

content of the report.


7.1 Stakeholder engagement is not necessary for the purposes of this report.


8.1 The content of this report is not likely to have an impact on service users

and carers.

Council

23 October 2018

Agenda item: 16

Report no: 44/2018

Appendix 1

1

GDPR 12 Steps Assessment

Red Not met and no plan to meet in place

Amber Plan to meet in place

Green Met

RAG Complete/progress Outstanding/Ongoing

Improvements

1 Awareness

Ensure decision makers and key

people are aware the law is

changing.

Council Members, EMT and OMT

aware.

Project group established with

representatives from all teams.

G Already in place at

time of last council

meeting

Training was done with

representatives from

departments to make

them aware that GDPR

was coming into force

Formalise Data Champion role –

work with Champions to raise

awareness across organisation

and train staff.

Plan to train Council members.

Plan to train Fitness to Practise

Panel members (March training

dates)

Regular GDPR training is

planned with staff both as an

online exercise annually and

bespoke training for the

departments.

2 Information you hold

Document the personal data you

hold and with whom you share it.

We already have a Records

Management Policy and an

Information Asset Register.

Each team has started a detailed

personal data mapping process.

A Mapping process

complete

SSSC Overarching

Data Protection Policy

updated.

Add new column for special

category data.

Await implementation of CMS

and then work with teams to

clean up existing data.

Council

23 October 2018

Agenda item: 16

Report no: 44/2018

Appendix 1

2

Reinstate annual audits once

Data Champions in place.

3 Communicating Privacy

Information

Review privacy notices and plan for

making changes prior to

implementation.

Plan in place to review privacy

notices once data is mapped and

lawful basis for processing

identified.

G Privacy Policy

published

Consider how Privacy Policy can

be improved and make

improvements in line with

website updates.

Consider if there are any

outstanding areas of the Privacy

Policy which may need to be

rectified, including:

Profiling

Finance Tonepay system

Recorded phone calls

HR section

Add children’s data.

4 Individuals’ Rights

Review procedures to ensure they

cover the rights individuals have

such as the rights to be informed,

have access, rectification, erasure,

to restrict processing, data

portability, to object and not to be

subject to automated decision-

making.

Review of procedures planned

once all data is mapped and lawful

basis for processing identified.

A Staff procedure for

right to erasure and

right to rectification

drafted.

Situations where we

rely on consent

complete – one

mailing list.

Staff procedure for rights to

erasure and rectification to be

published for all staff.

Non-staff - consider obligations

about informing people of their

right to erasure and rectification

and whether an update to the

website is required.

Council

23 October 2018

Agenda item: 16

Report no: 44/2018

Appendix 1

3

5 Subject Access Requests

Review procedures to meet new

timescales and provide more

detailed information

Plan in place to review process

and assess capacity to meet new

timescale.

G Currently meeting

timescales

Website, form and

template response

letter updated.

Undertake improvement science

project for internal SAR process

– scheduled date to undertake

project in November.

6 Lawful Basis for Processing

Data

Identify the lawful basis and

update your privacy notice to

explain it

Plan in place to identify lawful

basis once mapping of data is

complete. Will need to consider

length of time we retain the data

for and the need to ensure that

organisations we share the data

with are GDPR compliant.

A Lawful basis identified

and explained in policy

Procurement contacted

all organisations that

we have a contract

with, which involves

processing data on our

behalf, to confirm they

are compliant.

Retention schedule to be

published in policy. On hold

until review which is pending till

completion of child abuse

inquiry.

7 Consent

Review how you seek, record and

manage consent. Refresh existing

consents now if they don’t meet

the GDPR standard

Plan in place for reviewing

consents once all data is mapped.

G One mailing list

identified as requiring

consent.

Email sent to advise

individuals on mailing

list that unless signed

up again they would

be removed from list.

Communications will

manage consent.

Reviewing Registration

application form to consider how

consent is currently obtained.

Review:

Employment contracts

Finance

L&D event attendance

Lists

8 Children Plan in place to review the

applicability of these provisions to

A More info needed and form of

Council

23 October 2018

Agenda item: 16

Report no: 44/2018

Appendix 1

4

Ensure you have a system in place

to verify ages and obtain consent if

necessary.

the SSSC’s work. words

Consider whether we ever seek

consent in relation to bursary

applications.

9 Data Breaches

Ensure you have procedures in

place to detect, report and

investigate a personal data breach

Plan in place for reviewing and

refreshing procedures and

training.

G Complete. Guidance

for normal and severe

on intranet.

Developed traffic light

system for how we

categorise.

Risk Assessment form

to consider reporting

to the ICO complete.

Draft data breach reporting

procedure and guidance around

‘near misses’ and ‘data security

incidents’.

Create flowchart to determine

full route for dealing with

reported data breaches.

Create outcome letter for MOPs

who report breaches.

10 Data Protection by Design and

Data Protection Impact

Assessments

Start assessing the situations

where it will be necessary to

conduct a DPIA.

Applies at the deployment of new

technologies and therefore will

likely be relevant to the

implementation of new systems

such as case management.

Plan in place for creating

templates and training staff.

G Template created and

sat in on a few first

attempts to complete

by depts.

Guidance developed

for staff about when

they should be

carrying out a DPIA

and uploaded to

intranet.

Continue to monitor any

changes to processing of data to

decide when these should be

carried out.

Council

23 October 2018

Agenda item: 16

Report no: 44/2018

Appendix 1

5

11 Data Protection Officers

(DPO)

Designate someone to take

responsibility for data protection

compliance.

Head of Legal and Corporate

Governance.

G Already in place at

time of last council

meeting

12 International

Applies when an organisation

operates in more than one EU

member state.

N/A N/A N/A

Council

23 October 2018

Agenda item: 16

Report no: 44/2018

Appendix 2

Revised October 2018

1


DATA PROTECTION POLICY

1. Introduction

This is the Data Protection Policy adopted by the Scottish Social Services Council (the SSSC).

The SSSC is a Data Controller and a Public Authority for the purposes of data protection legislation.

This policy sets out how the SSSC intends to comply with data protection legislation and will handle personal data in a way which allows it to fulfil its

statutory functions, uphold the public confidence as an effective regulator and ensure that it is a fair and effective employer.

The SSSC must collect and use personal data about individuals to fulfil its statutory functions under the Regulation of Care (Scotland) Act 2001 and other related

functions. The SSSC collects and uses personal data about:

people who are applying to be registered or who are registered people who are working in social care but who are not registered people who use services

employers and universities of social service workers and those who support them

witnesses for Fitness to Practise people who have complained about someone who may be a social service

worker

prospective employees and Panel Member applicants current and former employees and current and former Panel Members

Council Members people or organisations that it procures goods and services from people or organisations that it contracts with

others with whom the SSSC might communicate.

The SSSC may be legally required to collect and use personal data to comply with the requirements of other public bodies, government departments or legislation.

2. Statement of Intent

The SSSC will process all formats of personal data in compliance with the principles

and safeguards set out in the data protection legislation. The data protection legislation comprises:

(a) The General Data Protection Regulation (GDPR) (b) The applied GDPR

1

(c) The Data Protection Act 2018 (the Act) (d) Regulations made under the Act and (e) Regulations made under section 2(2) of the European Communities Act

1972 which relate to the GDPR or the Law Enforcement Directive.

3. Aims This policy aims to:

state the SSSC’s commitment to compliance with data protection legislation and the principles of the data protection legislation

set out how the SSSC will comply with the data protection legislation through the use of technical and organisational measures and in particular

the principles of data protection by design and default

demonstrate that the SSSC has relevant data protection policies in place as required by the data protection legislation

provide a general appropriate policy document and an overarching appropriate policy document for processing of special categories of personal

data

state the responsibility of everyone working for the SSSC or on its behalf to comply with the principles of the data protection legislation

set out some of the circumstances in which the SSSC is exempt from certain general principles in exercising its statutory functions as a regulator.

4. Roles and Responsibilities

The Chief Executive and Council are ultimately responsible for the SSSC’s compliance with data protection legislation. The Executive Management Team is

responsible for approving this Policy.

The Data Protection Officer has the responsibilities set out in the data protection

legislation as well as maintaining this policy.

Managers in every department are responsible for implementing and ensuring compliance with data protection procedures. This includes the requirement to take

all reasonable steps to ensure compliance with third parties.

The SSSC will designate appropriate staff members as Data Champions in each

department. They will:

be trained in the relevant provisions of the data protection legislation

assist the development of bespoke data protection training for their

departments

provide general advice and assistance to the departments about their

obligations under the data protection legislation

2

seek advice from or escalate matters to the Information Governance Team

where necessary

Managers and/or Data Champions must always contact the Information Governance Team if:

they are unsure about what security or other measures they need to implement to protect personal data

they are unsure of what the lawful basis that they are relying on to process personal data is

they need to rely on consent for processing personal data

they need to prepare or update a privacy notice or other transparency information

they are unsure about the retention period

they are undertaking any activity that is likely to need a Data Protection

Impact Assessment

they plan to use personal data for a different purpose than that for which it was originally collected

they plan to carry out activities involving automated processing such as profiling or decision making

they are entering into a contract with a third party that involves the processing or sharing of personal data

There may be other situations relating to the processing or use of personal data

that are not on the above list. Members of staff should contact the Information Governance Team if they have any queries about the use or processing of personal

data.

5. Data Protection Principles

Article 5 of the GDPR sets out six key principles which lie at the heart of the

general data protection regime. The SSSC will comply with the principles in all of its processing of personal data. The principles are that data will be:

processed lawfully, fairly and in a transparent way in relation to individuals (‘lawfulness, fairness and transparency’)

collected for specified, explicit and legitimate purposes and not further processed in a way that is incompatible with those purposes (‘purpose

limitation’)

adequate, relevant and limited to what is necessary in relation to the

purposes for which they are processed (‘data minimisation’)

accurate and, where necessary, kept up to date (‘accuracy’)

3

kept in a form which permits identification of data subjects for no longer

than is necessary for the purposes for which the personal data are processed (‘storage limitation’)

processed securely, including using appropriate technical or organisational measures to protect against unauthorised or unlawful processing and

against accidental loss, destruction or damage, (‘integrity and confidentiality’).

Article 5(2) provides that the data controller is responsible for demonstrating, and should be able to demonstrate, compliance with the above Principles

(‘accountability’).

6. Processing and use of personal data The SSSC will maintain a general record of processing which sets out how it

processes data in accordance with data protection legislation.

The SSSC generally collects data about those individuals listed under section 1. Article 6(1) of the GDPR provides the lawful basis for the processing of personal

data. The SSSC usually relies on the following lawful basis for processing personal data:

the processing is necessary for the performance of a contract with the data

subject or when entering into a contract with the data subject

the processing is necessary for compliance with a legal obligation

the processing is necessary for the performance of a task carried out in the

public interest or in the exercise of official authority vested in the controller.

In some cases the SSSC will also rely on the consent of the data subject. This is

rare and tends to relate to communications with the data subject for marketing or information purposes.

If there are occasions that data is processed which do not fall within any of the above principles then the SSSC will record the legal basis for this.

7. Special Category Data

The SSSC processes certain special category personal data in connection with its functions as an employer and to fulfil its statutory functions as a regulator. For

example, it may process personal data that reveals the racial or ethnic origin of an individual, it may investigate allegations relating to the health of an individual or it may process data relating to criminal offences or convictions.

In most cases, the lawful bases for processing these types of special category data

are that:

it is necessary for the purposes of carrying out the obligations and specific rights of the SSSC as an employer

4

it is necessary for the SSSC to pursue or defend any legal claims or court

actions

it is necessary to fulfil the SSSC’s statutory functions and is in the

substantial public interest

it is necessary for archiving purposes in the public interest, scientific or historical research purposes or statistical purposes provided suitable safeguards are put in place to protect the fundamental rights and freedoms

of the data subject

it is necessary for the SSSC to promote or maintain the equality of opportunity or treatment between groups of people

it is necessary for the prevention or detection of an unlawful act, must be

carried out without the consent of the data subject to prevent prejudice to

those purposes and is necessary for reasons of substantial public interest

it is necessary to protect the public against dishonesty, malpractice, seriously improper conduct, unfitness or incompetence, mismanagement in the administration of a body, must be carried out without the consent of the

data subject and is necessary for reasons of substantial public interest

it is necessary for complying with or assisting others to comply with a regulatory requirement to establish whether someone has committed an unlawful act or been involved in dishonesty, malpractice or seriously

improper conduct, the SSSC cannot reasonably obtain consent and it is necessary for reasons of substantial public interest.

If there are occasions that data is processed which do not fall within any of the above then the SSSC will record the legal basis for this.

8. Implementation

This section aims to set out how the SSSC will process the data in accordance with the data protection principles.

Lawfulness, fairness and transparency

The SSSC will:

identify an appropriate lawful basis (or bases) for all processing of personal data, including if special category personal data or criminal offence data is

being processed

not do anything generally unlawful with personal data

consider how the processing of personal data may affect the people

concerned and be able to justify any adverse impact

only handle peoples data in ways they would reasonably expect, or be able to explain why any unexpected processing is justified

5

not deceive or mislead people when their personal data is collected

be open and honest, and comply with the transparency obligations of the

right to be informed.

As a regulator, the SSSC is exempt from certain obligations to provide fair

processing information and other data subject rights if the processing would prejudice the proper exercise of its functions. It may not make information available where it processes personal data to give legal advice, for the purpose of

legal proceedings and prospective legal proceedings or to share information with the police or other relevant bodies.

Purpose limitation

The SSSC will:

clearly identify its purpose or purposes for processing and document those purposes

include details of its purposes in its privacy information for individuals

regularly review its processing and, where necessary, update its documentation and privacy information for individuals

if it plans to use personal data for a new purpose, it will check that the new purpose is compatible with the original purpose, get consent or have

a clear lawful basis for the new purpose.

Data minimisation

The SSSC will:

only collect personal data it actually needs for its specified purposes

have sufficient personal data to properly fulfill those purposes

periodically review the data it holds and delete anything no longer needed

handle personal data through appropriate corporate systems only

monitor the use of data to ensure that staff and contractors only process

personal data to carry out their role.

Accuracy

The SSSC will:

ensure, insofar as possible, the accuracy of any personal data it creates

have appropriate processes in place to check, insofar as possible, the

accuracy of the data it holds and record the source of that data

have a process in place to identify when it needs to keep the data updated

to properly fulfill its purpose, and update it as necessary

6

if it needs to keep a record of a mistake, clearly identify it as a mistake

comply with the individual’s right to rectification and carefully consider any challenges to the accuracy of the personal data

as a matter of good practice, keep a note of any challenges to the

accuracy of the personal data.

In some circumstances the SSSC may need to hold factually inaccurate

information or an opinion that someone disagrees with as part of its statutory functions.

Storage limitation

The SSSC will:

know what personal data it holds and why it needs it

carefully consider and be able to justify how long it keeps personal data

have a policy with standard retention periods where possible, in line with

its statutory functions

regularly review its information and erase or anonymise personal data when it no longer needs it

have appropriate processes in place to comply with individuals’ requests for erasure under ‘the right to be forgotten’

clearly identify any personal data that it needs to keep for public interest archiving, scientific or historical research, or statistical purposes.

As a regulator, the SSSC may need to keep some personal data for long periods

of time. For example, it keeps records of fitness to practise case files for a significant period of time after the case has concluded. It does this in case it

needs to refer back to the earlier file because of a new issue raised about a worker or because it is challenged about its decision making. Details of the SSSC’s retention periods are set out in its retention policy.

Integrity and confidentiality (security)

The SSSC will:

have appropriate security measures in place to protect the personal data it holds

develop, implement and maintain appropriate data security systems to

protect personal data against accidental or unlawful destruction, loss, alteration, unauthorised disclosure of, or access to personal data

transmitted, stored or otherwise processed

regularly review, evaluate and test the effectiveness of its data security systems

7

Accountability

The SSSC will:

take responsibility for what it does with personal data and how it complies with the other principles

have appropriate measures and records in place to be able to demonstrate compliance, such as:

o adopting and implementing data protection policies (where appropriate)

o taking a ‘data protection by design and default’ approach - putting

appropriate data protection measures in place throughout the entire lifecycle of its processing operations

o putting written contracts in place with organisations that process personal data on its behalf

o maintaining documentation of its processing activities

o implementing appropriate security measures

o recording and, where necessary, reporting personal data breaches

o carrying out data protection impact assessments for uses of personal data that are likely to result in high risk to individuals’ interests

o appointing a data protection officer

o where possible, adhering to relevant codes of conduct and signing up to certification schemes

review and update its accountability measures at appropriate intervals.

9. Individual rights

The SSSC will ensure the rights of people about whom information is held can be fully exercised under the Act, subject to exemptions under the data protection legislation. These include the right to be informed, the right of access, the right to

rectification, the right to erasure, the right to restrict processing, the right to data portability, the right to object and rights in relation to automated decision making

and profiling.

Where an exemption exists, the SSSC will ensure that there is a clear lawful basis for applying it.

10. Personal Data breaches

The SSSC will ensure that all staff immediately report any loss or suspected loss of personal data to their manager, to their head of department and to the Head of Legal and Corporate Governance, who is also the Data Protection Officer. Failure to

report any such loss or suspected loss may constitute a disciplinary offence.

8

11. International transfers

The SSSC will ensure that it only transfers personal data outside of the EEA in compliance with the conditions for transfer set out in Chapter V of the GDPR.

12. Monitoring

The SSSC will ensure that:

there is an individual with specific responsibility for data protection in the organisation

all staff managing and handling personal information understand that

they are responsible for following good data protection practice

all staff managing and handling personal information are appropriately

trained to do so

all staff managing and handling personal information are appropriately supervised

individuals who wish to make enquiries about handling personal information know who to contact and that such queries are promptly,

fairly and courteously dealt with

methods of handling personal information are clearly described

an annual review and audit is made of the way personal data is managed

methods of handling personal data are regularly assessed and

evaluated

It regularly assesses and evaluates performance in handling personal

data. 13. Data Protection Impact Assessments

The SSSC will consider the need for and, if necessary, carry out Data Protection

Impact Assessments (DPIAs). The SSSC will consult the Data Protection Officer at all times when completing a DPIA and keep an appropriate record.

The SSSC will carry out a DPIA where:

it is undertaking a new processing activity which is likely to result in a high risk to the rights and freedoms of the data subject

it undertakes major system programmes, or a review of such programmes

which involve: o the use of new or changing technologies

o the systematic and extensive profiling or automated decision making to make significant decisions about people

o large scale processing of special category or other sensitive personal data

o the monitoring of a publicly accessible place on a large scale

9

o the use of profiling, automated decision making or special category

data to help make decisions on someone’s access to a service, opportunity or benefit

o profiling on a large scale.

The SSSC may carry out a DPIA from time to time even if it is not necessary to do

so. The SSSC will at all times be mindful of its obligations under the data protection legislation when deciding whether or not to carry out a DPIA.

If a DPIA is completed, the SSSC will store a record with the Data Protection Officer.

Automated processing and decision making

The SSSC generally will not engage in automated processing, profiling or automated decision making. Rule based logic supports some of its functions for the

benefit and convenience of its stakeholders.

If the SSSC does use automated decision making or profiling, it will tell the data subject the reasons for the decision making or profiling and any consequences of this. The SSSC will give the data subject the right to request human intervention

or to challenge the decision.

Data Processors The SSSC may instruct other organisations to process personal data on its behalf.

If it does, the SSSC will carry out due diligence to ensure that the data processor has appropriate technical and organisational measures in place that meets the

requirements of the data protection legislation. The Legal and Corporate Governance department may be asked to advise on contractual arrangements with data processors.

Data sharing

The SSSC will ensure that any sharing of data with third parties complies with its relevant data protection policies.

Complaints procedure

Anyone who feels that the SSSC has not followed this policy may make a complaint through the SSSC’s complaints procedure. The SSSC will report the

complaint to the Data Protection Officer who may advise on the response.

Council

23 October 2018

Agenda item: 17

Report no: 45/2018

Title of report Update on the delivery of recommendations six and seven from the National Health and Social Care

Workforce Plan Part two




This paper provides the Council with an update on Council Report no: 26/2018 which outlined our work to support the delivery of recommendations six and

seven of the National Health and Social Care Workforce Plan Part two


1. note the content of the report


Outcome 3 – Our resources support professional development of the social services workforce

Priority 4 – We work with the Scottish Government and other partners to deliver the actions in ‘Social

Services in Scotland: A shared vision and strategy for 2015-2020’


This work links to strategic risk number 3 - Ineffective working relationships with partner bodies impact significantly on our ability to deliver our

organisational objectives

Author Liza Noble

Learning and Development Adviser Tel: 01382 207383

Director Phillip Gillespie

Director of Development and Innovation Tel: 01382 207967


2

1. INTRODUCTION

1.1 This report provides a summary of the work undertaken so far to support the delivery of recommendations six and seven of the National Workforce

Health and Social Care Plan Part two. It also outlines the future actions which will be taken.

2. BACKGROUND

2.1 The purpose of the National Health and Social Care Workforce Plan (Plan) is to enable better local and national workforce planning to support

improvements in service delivery and redesign. Part two of the Plan focuses on improving workforce planning in social care and outlines

seven recommendations which will have a direct impact on the future work of the SSSC in its role as regulator of the social service workforce.

2.2 The SSSC with its responsibilities for developing the workforce has been

identified by The Office of the Chief Social Work Adviser (OSCWA) as the key organisation to take forward a range of actions to support

recommendations six (career pathways) and seven (education and training).

2.3 There are four key projects which will be delivered in 2018/19 to support

the initial stages of this work:

Careers website Understanding career pathways

Framework for practice in social work Framework for practice in social care

2.3.1 Recommendation 6 - Career Pathways To deliver recommendation 6 the SSSC have been asked to:

explore the main barriers to career pathways and consider what new

or enhanced routes and initiatives could be adopted to encourage

new entrants to the sector

develop an online careers website which shows the connections between different parts of the sector and routes for career

development to attract people to enter the sector and enable them to plot a sustainable career.

2.3.2 Recommendation 7 – Training and Education To support the delivery of recommendation 7 the SSSC are:

undertaking research into post-qualifying learning in social work to

help us build a better picture of current activity in the sector and to explore how we might meet future needs

3

carrying out research to identify the skills, qualifications and competences of current adult social care workforce and scope future

requirements. This will focus on the skills, competencies, qualities, behaviour and qualifications the workforce have and will need in the

future.

2.4 Job roles in the sector are increasingly more complex and require

enhanced skills and competencies. Frameworks for practice will aim to recognise this as well as guide career progression, facilitate job mobility

and support the training, qualifications and education to enable a confident and competent workforce. Both research projects will aid in our development of a clear and coherent framework for practice in social work

and social care.

3. UPDATE ON PROGRESS AND NEXT STEPS 3.1 During the first six months of 2018/19 the SSSC in collaboration with

stakeholders have been taking forward a number of activities to support the development of the health and social care workforce.

3.2 Career Pathways

3.2.1 Career Website

A project lead has been identified within the SSSC for this work and a working group has been established. Following initial scoping, key activity in this area has included:

initial evidence gathering with stakeholders to identify key high level

messages and qualification pathways procuring website developers.

Engagement with key stakeholders will continue across quarter three and further co-design activity is planned with key groups.

3.2.2 Understanding Career Pathways This project is focused on gathering and analysing existing secondary

evidence on entry routes and progression within the sector to identify where action is needed to support improved career pathways. The main

focus for work in this area has included:

identifying and gathering sources of evidence such as educational

routes into the sector and developing a communication and engagement plan.

The next stage of this work will be focused on analysing the evidence we have gathered and undertaking wider engagement and consultation with

the sector. In early 2019 we will use the findings from this work to develop a set of potential options which would aim to support improving access to the sector.

3.3 Training and Education

4

3.3.1 Framework for Practice in Social Work The SSSC has commissioned Craigforth to complete research into post-

qualifying social work training and learning. The first phase of this work has been to establish a baseline on current post-qualifying learning and its

place in assisting career progression in social work across Scotland. Alongside this work we have been undertaking a desk-based review of existing professional frameworks.

3.3.2 Interviews and focus groups have commenced to progress the research

and the aim is for findings to be available at the end of the year. To support this work we will also be undertaking some engagement with the sector to explore what the potential principles for a framework for practice

might be. The findings from this work and the research will be used to draft an approach to developing the framework.

3.3.3 Framework for Social Care The SSSC is undertaking research to identify and articulate the skills,

competencies and qualifications that the workforce have and will require in the future to deliver person centred and outcome focused care. A research

contract has been awarded to Blake Stevenson and will incorporate the learning from the development of integrated teams in the Care Village and

Neighbourhood Care within Clackmannanshire and Stirling Health and Social Care Partnership (HSCP) and Perth and Kinross HSCP. Research commenced in late September with final research findings to be published

in April 2019.

3.3.4 All of the of the projects noted will have links to the SSSC’s current work focused on redesigning a new approach to Post Registration Training and Learning (PRTL) and activity from the Review of Social Work Education.


4.1 Activity to support this work is being delivered within current budget allocations. The funding for the website development is £14,500.


5.1 A full equalities impact assessment process has been undertaken to

enhance and inform all the projects being delivered as part of this programme of work. It is recognised that there is the potential for both

positive and negative impact across all of the equalities strands. In the delivery of the projects identified actions will be taken to ensure that all relevant equalities duties will be met and that there is currently no

expected impact that requires remedial action.


6.1 There are no specific legal implications identified at this time however if during this work any qualification requirements were to be identified then

consideration of the regulatory requirements would be made.

5

6.2 Under the new data protection regulations a Privacy Impact Assessment has been carried out to ensure that there are no issues around

identification of individuals.


7.1 The SSSC has developed a full communication and engagement plan which outlines a programme of engagement activities with the sector to support the delivery of the projects outlined. Several working groups and

an overarching advisory stakeholder group have also been established to provide oversight on activities.


8.1 The work outlined in this report will ensure that the workforce has the necessary knowledge, skills and values for working with people who use

services. Ensuring that the workforce is skilled and flexible to meet current and future challenges will support improved outcomes for people

who use services and their carers.

9. CONCLUSION

9.1 This report updates Council on the programme of work being undertaken by SSSC during 2018/19 to deliver the recommendations 6 and 7 of the

National Health and Social Care Workforce Plan Part 2.

9.2 The completion of the projects will start to form the priorities and the next iteration of work to support recommendations 6 and 7 over the period 2019/20.


10.1 National Health and Social Care Workforce Plan Part Two – a framework for improving workforce planning for social care in Scotland. Scottish Government and COSLA, (2017)

http://www.gov.scot/Publications/2017/12/2984/0

10.2 Council Report no: 26/2018

http://www.gov.scot/Publications/2017/12/2984/0

Council

23 October 2018

Agenda item: 18

Report no: 46/2018

Title of report Update on the progress in implementing the recommendations from the Review of Social Work

Education (RSWE)



Summary/purpose of

report

This report updates Council on progress in

implementing the recommendations from the review of social work education.


1. note the progress from the five thematic areas of

the RSWE.

Link to Strategic Plan The information in this report links to Strategic

Outcome 4 - Qualifications are fit for purpose.

Link to the Risk

Register

Strategic Risk number 5: the work of the SSSC does

not increase the skill level and competence of the social service workforce.

Author Anne Tavendale

Learning and Development Manager - Professional Learning

Tel: 07876452810

Director Phillip Gillespie Director of Development and Innovation

Tel: 01382 207967

Documents attached Appendix 1: Social Work Education Partnership –

Governance, Remit and Membership

Appendix 2: Revised Standards in Social Work

Education

Appendix 3: Framework for Social Work Education:

revised ethical principles

Appendix 4: Draft standard for NQSWs

2

1. INTRODUCTION / BACKGROUND

Update on the progress in implementing the recommendations from the Review of Social Work Education (RSWE)

1.1 In 2015 Scottish Government published Social Services in Scotland: a shared vision and strategy 2015 – 2020. The strategy includes an action to support the implementation of any recommendations agreed following

the SSSC’s Review of Social Work Education.

1.2 The Review of Social Work Education (RSWE) has advanced in two phases.

Phase one established a broad stakeholder group which met monthly and reviewed a range of evidence. Phase one concluded that social work education in Scotland is ‘fit for purpose’ and that there is a continued

commitment to a generic social work degree, with undergraduate and postgraduate routes, albeit with clear areas for enhancement.

1.3 Phase two sought to develop the evidence base for strengthening professional learning and to engage a wider constituent group. Work was structured around three broad themes (integrated professional learning,

design and delivery of qualifying and post-qualifying programmes and resources and frameworks) and was advanced through the commission of

ten shared areas of inquiry, research and the development of draft standards.

1.4 In 2017 the Review of Social Work Education Phase 2 report set out five themes:

shared Professional Learning and Integrated Practice improving the

design and delivery of social work education

the review of the framework and standards in social work education

the development of standards for Newly Qualified Social Workers and a supported year for Newly Qualified Social Workers

the review of continuous professional learning

routes into social work education.

2. SHARED PROFESSIONAL LEARNING AND INTEGRATED PRACTICE

2.1 The RSWE concluded that existing models of social work education in

Scotland rely on partnerships between university providers and employer partners and that current partnerships rest largely on goodwill, have no

regulatory reach to employer partners and lack the infrastructure and professional leadership to consistently realise required outcomes.

2.2 The review recommended the development of a national infrastructure

that is capable of enabling and sustaining a shared approach to professional learning. A strategic approach to embedding professional

learning across the social work career journey was seen to promote and contribute to a more resilient workforce of the future. Evidence points to

3

the efficacy of formal partnership models in supporting the kind of cultural, professional and organisational change required to achieve

excellent professional learning outcomes.

2.3 The publication of the National Health and Social Care Workforce Plan part

2, with the attendant role for SSSC in taking forward the work on career pathways and the development of professional frameworks for practice, now underpins this area of work.

2.4 During 2018 the SSSC has been working alongside Scottish Government and the sector to develop a draft remit for the Social Work Education

Partnership (Appendix 1). The establishment of the Partnership is a commitment in the 2018-19 Programme for Government.

2.5 The Social Work Education Partnership will not have responsibility for

approval or assurance of social work qualifying programmes, but rather will aim to support and enable the delivery of consistent, high quality

social work education across Scotland. This could, for example, include considering the need for, coordinating and/or delivering national-level responses to requirements or recommendations made by the SSSC in the

delivery of their approval function.

2.6 The SSSC is represented on the National Partnership board. The Project

Delivery Manager and Project Officer roles will be hosted by COSLA, and the SSSC have contributed to the development of the roles.

3. REVIEW OF THE FRAMEWORK AND STANDARDS FOR SOCIAL WORK EDUCATION IN SCOTLAND

3.1 The existing Standards in Social Work Education (SiSWE) (Scottish

Executive, 2003) have now been revised to better reflect the current context of practice and a formal consultation with the sector informed the final revised standards (Appendix 2).

3.2 The SSSC is engaging with all current providers of social work programmes and can confirm to Council that all social work programmes

will have embedded the revised SiSWE into their programmes by 2020.

3.3 We have developed a website has been developed to host the revised SISWE. The main users of the website will be social work students and

practice educators. The website includes associated guidance and practice examples have been developed which will bring the SiSWE to life for

students and maintain a strong focus on linking the standards with actual practice. The website is anticipated to go live in autumn 2018.

3.4 The broader principles underpinning the Framework for Social Work

Education in Scotland (Scottish Executive, 2003) have also been revised in order to strengthen a shared approach to professional learning. A revised

set of ethical principles which underpin the Framework for Social Work education have been developed collaboratively (Appendix 3), and the emerging Social Work Education Partnership will inform the final

Framework development, particularly in relation to practice learning.

4

4. THE DEVELOPMENT OF STANDARDS FOR NEWLY QUALIFIED SOCIAL WORKERS (NQSW) AND A SUPPORTED FIRST YEAR IN

PRACTICE FOR NEWLY QUALIFIED SOCIAL WORKERS

4.1 The RSWE developed a draft standard for NQSWs has been further

developed in partnership with the sector and is currently being piloted as part of the NQSW pilots. (Appendix 4)

4.2 The SSSC has selected three pilot sites across Scotland which will take

part in this innovative project supporting NQSWs through their first year in practice. In recognition of the limitations of the existing Post Registration

Training and Learning for NQSWs, this pilot project seeks to provide a different approach with a greater focus on the transition period from student to a more autonomous professional.

4.3 NQSWs are supported through line manager supervision, specific learning inputs and direction aimed at supporting continuous development,

research and evidence informed practice, to develop in confidence and demonstrate competence through the NQSW standards.

4.4 NQSWs involved in this pilot undergo the same level of learning and

training stipulated for the NQSW Post Registration Training & Learning (PRTL) - 144 hours within 12 months which must include 30 hours of

training and learning connected to working with others to protect children and vulnerable adults at risk of harm or abuse. Unlike the current PRTL

requirements where the NQSW sends a written submission to the SSSC for assessment; and the NQSW’s line manager directly involved in the assessment process along with the SSSC and pilot site representatives in

carrying out the quality assurance of NQSW submissions.

4.5 Each test site has a dedicated co-ordinator and SSSC Adviser who is

committed to supporting the implementation of the approach and the stakeholders who are involved in the delivery.

4.6 As part of the learning from the pilot, the SSSC has commissioned an

external evaluation. The evaluation report at the end of the pilot year will make recommendations for a future national approach for NQSWs.

4.7 This work supports recommendation 7 of the National Workforce and the development of professional frameworks for practice. The NQSW supported year will form the first part of the professional learning pathway

for qualifying social workers.

5. CONTINUOUS PROFESSIONAL LEARNING

5.1 The SSSC is reviewing the existing PRTL requirements for social workers, as part of work to develop a new Standard for Continuous Professional Learning. The Continuous Learning Framework and sector leadership

capabilities are integral to this shift in approach and a separate Council report sets out the progress of this area of work.

5

6. ROUTES INTO SOCIAL WORK EDUCATION – IMPROVING SELECTION AND WIDENING ACCESS

6.1 The SSSC has worked in partnership with the further education sector and Higher Education Institutes (HEIs) seeking to minimise the barriers for

social care students accessing social work education. Scotland’s College Development Network raised the potential barrier that the current numeracy selection requirements were having and this has been a key

focus for SSSC activity.

6.2 Currently, each of the HEIs interpret the numeracy requirements in a

range of ways, and our work has sought to reach a consensus approach which robustly supports relevant application of numeracy to actual practice, whilst removing the potential barrier of setting a requirement of

a National 5 Maths level qualification. Following a national meeting with HEIs later this month, we aim to revise this part of the Framework for

Standards in Social Work Education.

6.3 The RSWE recommended that further discussion with the sector is required on the subject of graduate level apprenticeships and any new

initiatives would need to be tested and evaluated. Work is underway to enhance our existing graduate apprenticeship work and engage with the

sector to explore the potential of a future graduate apprenticeship for social work.


7.1 The RSWE is funded partly through core activity and partly through the workforce development grant. There are no new financial implications or

human resources arising from this report.


8.1 There is no impact on people with protected characteristics and a full Equality Impact Assessment is not required. The SSSC rules and requirements for specialist training for social service workers (2005)

require course providers to meet legal obligations including those in relation to equal opportunities and human rights. The annual monitoring

and quality assurance of the degree programmes provide assurance in this area.


9.1 The SSSC has a general duty to promote high standards in the education and training of social services workers. The rules and requirements for

specialist training for social service workers in Scotland 2005 allow for the SSSC to carry out this duty.


10.1 A broad stakeholder group has guided the Review of Social Work Education so far and this will continue with a new representative group

6

that will act as a steering group for the next phase of the work. The group will have representatives from:

Universities COSLA

Social Work Scotland Scottish Association of Social Workers

10.2 The SSSC has engaged with the sector consistently in taking forward all

areas of this work. There has been regular and on-going consultation and dialogue with HEI’s and further education providers as well as social work

students, registrants and employer representatives. The detail of stakeholder engagement is included within the relevant updates. The new standards and pilots for new ways of working have been developed in

collaboration with partners.


11.1 A service user representative was a member of the Review of Social Work Education steering group and contributed to the development of the report and recommendations.

11.2 Service user representation will continue in the next phase of the work. The principles for involving service users and carers in social work

education remain strongly embedded in the revised Standards in Social Work Education and the revised supporting Framework for Social Work

Education.

12. CONCLUSION

12.1 Council are asked to note the progress made across all areas of

recommendation from the RSWE. This work strongly supports the SSSC in taking forward key recommendations from the National Health and

Social Care Workforce plan.

12.2 Council are asked to note that work is underway to develop a future position on the required registration of social work academic staff.


13.1 None.

Council

23 October 2018

Agenda item: 18

Report: 46/2018

Appendix 1

1

Social Work Education Partnership – Governance, Remit and Membership 1. Context The Review of Social Work Education, initiated by the Scottish Social Services Council with agreement from Scottish Government, published a number of recommendations in the Statement on Progress 2015-2016. One of the key recommendations was to establish a partnership approach to encourage and enable the full engagement of employers, educators and other key stakeholders to ensure continued improvement in quality and consistency of social work qualifying programmes. The Review Group recommended the development of a formal partnership at national level, with formal regional partnerships to support and enable a shared approach to professional learning and to ensure shared ownership, understanding and accountability across key partners.

The Scottish Government wishes to support the establishment of a Social Work Education Partnership to facilitate delivery of this recommendation. This document sets out proposed governance arrangements, membership and remit for the Partnership at national level. Additional regional infrastructure is envisaged and an early task for the national group will be to establish an appropriate regional approach.

2. Governance and Reporting.

Scottish Government, through the Office of the Chief Social Work Adviser, will provide funding to support a National Strategic Partnership Group of key stakeholders. Funding will be provided for management by COSLA and is anticipated to include support for a part-time Chairperson and two full-time staff, who will deliver specific components of the agreed work plan; work with member organisations to enable delivery of agreed actions and provide secretariat support for the Partnership.

The Chair of the National Strategic Partnership Group will be responsible for, and report to the Office of the Chief Social Work Adviser, on the delivery of objectives agreed in an annual Business Plan.

The National Strategic Partnership Group will provide management and financial reports to COSLA and the Office of the Chief Social Work Adviser.

Governance arrangements for regional partnerships will be developed by the National Strategic Partnership Group, but indicatively, they are expected to report to the National Strategic Partnership Group on the delivery of agreed objectives.

The Scottish Social Services Council has responsibility under the Regulation of Care (Scotland) Act 2001 for the approval of social work qualifying programmes. The Social Work Education Partnership will not have responsibility for approval or assurance of social work qualifying programmes, but rather will aim to support and enable the delivery of consistent, high quality social work education across Scotland. This could, for example, including considering the need for, coordinating and/or delivering national-level responses to requirements or recommendations made by the SSSC in the delivery of their approval function.

http://www.sssc.uk.com/about-the-sssc/multimedia-library/publications/70-education-and-training/2016-rswe-phase2-report

2

The formal structure proposed for the Social Work Education Partnership is an unincorporated association of education institutions, employing organisations and relevant regulatory bodies. Legally an unincorporated association has no rights and is not separate from its members. Individual members are responsible for the acts and omissions of the association.

Individual Scottish HEIs who provide social work qualifying programmes are

anticipated to be directly engaged in the Partnership at regional level, and to work together with other HEIs and providers of practice learning opportunities to deliver agreed objectives.

Individual providers of practice learning opportunities (PLOs), or groups of PLO providers who agree to work together, are anticipated to be directly engaged in the Partnership at regional level and to work together with other providers and HEIs to deliver agreed objectives.

It is anticipated that once the regional structures are established, regional representatives, who may be from HEIs, from PLO providers or persons employed to support the regional arrangements, will be members of the National Strategic Partnership Group.

Regulatory bodies with an essential role in the quality assurance of social work education programmes or delivery of practice learning will be directly engaged in the Partnership at National level.

Other key stakeholders, including professional associations will be engaged as appropriate through sub-committees, at regional level, or via advisory groups or other suitable fora.

3. Remit Once established, the National Strategic Partnership Group will be tasked with the development and agreement of more detailed Terms of Reference and a Business Plan to cover an initial agreed period of work. The underpinning remit of the Social Work Education Partnership will be to:

Ensure consistency in the development and delivery of agreed aspects of Social

Work qualifying programmes in line with the Framework and Standards in Social Work Education (SiSWE) with the aim of driving further improvements in the quality of Social Work education across Scotland.

Develop and agree proposals for national and regional approaches to practice learning and other aspects of qualifying programmes, for delivery by HEI providers of social work qualifying programmes and providers of practice learning opportunities.

Implement agreed national and regional approaches to practice learning and other aspects of qualifying programmes and monitor and review the impacts of their delivery.

Provide national resources for advice and guidance on the delivery of agreed aspects of qualifying programmes for the use of HEIs offering qualifying programmes and

3

employers offering practice learning opportunities, with the aim of sharing good practice and facilitating consistent delivery of high quality education across Scotland.

Work with the SSSC to monitor supply and demand of qualified social workers and contribute to effective workforce planning for social workers at national level.

adoption of any changes to social work qualifying programmes that will support these developments.

The initial focus of the National Strategic Partnership Group is expected to be:

Development of a regional infrastructure to support engagement by HEI providers of social work qualifying programmes and providers of practice learning opportunities.

Development, agreement and implementation of national and/or regional approaches to ensuring the consistent delivery of sufficient high quality practice learning opportunities for all social work students. This could, for example, include:

Approaches to support provision of sufficient statutory practice learning opportunities within local authorities,

Consideration of how the role of the Care Inspectorate might contribute to these approaches.

Building capacity with new or existing partners for wider provision of practice learning opportunities.

Development and delivery of a communication plan for the work of the Partnership. 4. Membership of National Strategic Partnership Group Chair:

[DN: Process for Chair’s appointment to be agreed between Scottish Government and COSLA].

Part-time, potentially remunerated up to 3 days per month. Members:

COSLA

Chief Social Work Officer representative

Scottish Government – Office of the Chief Social Work Adviser

Chair of the Heads of Social Work from the HEIs.

Representative from voluntary sector employers of social workers/providers of practice learning opportunities

Representative from statutory sector employers of social workers/providers of practice learning opportunities


Representative of service users and carers

Regional representatives (Learning Network West and others, once additional regional arrangements are established)

Changes in membership may be required as the work of the Partnership evolves. It is anticipated that the Partnership will wish to establish sub-committees to take forward specific

4

areas of work and obtain input from specific groups and organisations. Additional key stakeholders who could be engaged via sub-committees, regional groups, advisory groups or other fora include:

Scottish Association of Practice Teachers

Scottish Association of Social Workers

Social Work Scotland

Care Inspectorate

Individual HEIs and employers/providers of PLOs

Learning and Development Leads from Local Authorities

HEI Practice Learning Leads Support:

The National Strategic Partnership Group will be supported by a Programme Office consisting of: A Partnership Delivery Manager, who will: o play a lead role in establishing the Partnership and ensuring its success. o use their professional expertise to support the National Strategic Partnership Group

and any committees it decides to establish. o establish effective working relationships with Partnership members from a range of key

stakeholder organisations, enabling and facilitating their contributions to the work of the Partnership.

o manage the Programme Office, including the Partnership budget, and lead on the delivery of specific actions agreed by the Partnership with support from a Project Officer.

o play a key role in ensuring the decisions, approaches and actions developed and agreed by the group are taken forward by member organisations, and in monitoring their delivery and impact.

A Project Officer, who will: o provide administrative support to the National Strategic Partnership Group and the

Partnership Delivery Manager o support the Manager in taking forward specific actions as agreed by the group, in

ensuring decisions and approaches developed and agreed by the group for member organisations are taken forward, and in monitoring their delivery and impact.

o will maintain financial and management records, o take a key role in delivering the communication plan agreed by the National Strategic

Partnership Group, providing secretariat support, and communicating with Partners.

FINAL DRAFT FOR INFORMATION 30 JULY 2018

Scottish Social Services Council (SSSC) 1

Standards in Social Work Education in Scotland

Standard 1: Prepare for practice and work in partnership with individuals, children, parents, families and

extended families, carers, groups and communities, professionals and organisations.

1.1 Prepare for social work contact and involvement, including in the context of inter-professional and integrated services.

Knowledge Transferable skills Competence demonstrated

The social contexts in which people live

including: the impact of social injustice; unsuitable housing; lack of education; unemployment; poverty;

homelessness; migration; asylum and ethnic segregation.

The effect these contexts have on the demand for social work services.

Social disadvantage which may lead to

marginalisation, isolation, exploitation, victimisation, exclusion and crime.

The impact of difference which may result in inequality, including: age;

gender; ethnicity; sexual orientation; disability.

The impact of mental or physical ill health, disability, domestic abuse, and

substance and alcohol misuse.

Legal, policy and organisational bases

for intervention, and the significance of

Make active and effective contact with

individuals and organisations by means appropriate to the circumstances and aims, including: in person; by phone;

via an appropriately secure digital medium; in writing.

Gather information from a wide range of sources and in a variety of ways for

a range of purposes. These methods should include: electronic searches,

reviews of relevant written materials, face-to-face discussion, digital means, telephone contact with individuals and

groups, and reference to literature and research.

Take account of different views when gathering information and assess the

reliability and relevance of the information.

Make effective use of appropriate technology to access, and to facilitate

access, to services.

Review agency notes and other

literature that is relevant to the situation.

Contact and work effectively with relevant professionals and others, to

get additional information that can influence initial contact and involvement.

Engage and relate to people who

receive services and others in a manner which reflects the principles of social justice and an understanding of

the context in which people live.

Engage and relate effectively with people receiving services, their carers and others, with appropriate use of

self.

Practice ethically and with professional integrity.

Evaluate all information to identify the





relationships with statutory and other

services. Understanding of own role and task

and the importance of inter-personal factors and inter-professional working

in delivering effective social work services.

best form of initial involvement.

Develop and record an initial action plan alongside people who receive

services and other key people.



1.2 Work effectively in partnership with people receiving services, carers and communities so they can gain control over

their lives, make informed decisions and achieve positive outcomes.


The nature of social work services in a diverse society (with particular

reference to concepts such as social need, informed choice, personalised services, prejudice, inter-personal,

institutional and structural discrimination, empowerment and anti-

discriminatory practices). The lived experience of people

receiving services and their experience of receiving services.

Analyse and take account of specific factors that are relevant to social work

practice such as: risk; resilience; rights; cultural, racial and ethnic identity; language difference; legal

obligations and statutory responsibilities to protect vulnerable

individuals. Explain and negotiate the purpose of

contacts and the boundaries of their involvement.

Listen actively to others, respond appropriately to their experiences and

accurately understand their viewpoint.

Demonstrate empathy and compassion as appropriate to the situation.

Support people who receive services to express their expectations, strengths

and limitations, and to understand and fully realise their rights, entitlements and responsibilities. Clarify and explain the social work

organisation’s duties, services and responsibilities.

Identify, gather, analyse and understand relevant information

including personal strengths and community asset.

Identify, analyse and manage the risks involved in the situation.

Support people to access choice and, where appropriate, take control over

their support arrangements through a process of co-production.



1.3 Assess needs and options, in partnership, to plan a course of action.


The range of expressed, and/or identified need(s) of people (including children) who receive services and

their carers, and the social context in which need arises.

Inequality and oppression arising from individual, inter-personal, societal,

cultural, organisational, ideological and political processes.

Understanding the impact and inter- relationship of disadvantage and social

divisions arising from factors such as: social class; gender; disability; culture;

race; migration; asylum status. Frameworks, models, and methods of

assessment in different practice contexts, taking into account the

strengths and assets of people and communities.

Assess situations, taking account of a number of factors including the views of those involved, the context in which

people live, theoretical concepts, research evidence, legislation and

organisational policies and procedures. Work in partnership with people to

identify how their lives could be improved, and identify actions to

achieve positive outcomes. Analyse the information gathered,

taking account of different perspectives and evidence.

Respond flexibly to new/ additional information and adapt assessment

outcomes and plans appropriately.

Listen actively to people (including children) who receive services and their carers, respecting their

experience and taking full account of their views.

Engage effectively with people who receive services, and their carers, to

facilitate and enable them to access choice, make decisions, and take

control over their support arrangements through a process of co-production.

Competently assess and evaluate

needs, assets, strengths, risks and options, taking account of legal and other duties and service standards

requirements.

Demonstrate professional confidence in supporting and enabling a negotiated course of action for people who receive

services and their carers.

Demonstrate effective, integrated practice with other professionals, to support people to make choices and

achieve positive outcomes.



Effectively challenge oppressive processes which disadvantage people.



Standard 2. Plan, undertake, review and evaluate social work practice with individuals, children, parents,

families and extended families, carers, groups, communities and other professionals.

2.1 Identify and develop opportunities for prevention and early intervention.


The benefits of providing resources early in the

emergence of problems, to prevent escalation of problems.

The longer term benefits of addressing factors that lead to

the development of problems, rather than waiting for the

problem to develop.

Engage with people and community resources to identify creative options.

Plan a sequence of actions to achieve specific aims.

Review and evaluate effectiveness of preventative actions.

Work in a structured, collaborative way with

people and community resources to deal with problems, resolve conflicts,

and avoid crises.

Collaboratively plan, and implement approaches and

actions, to support people and improve situations and outcomes.

Collaboratively review and

evaluate the outcomes with people and community resources.



2.2 Identify and respond to crisis situations.


Factors influencing the

selection and testing of relevant information,

especially if it is collected within tight timescales.

The nature of professional judgement and of risk

assessment. The nature of crisis and how it

is different from related ideas such as emergency.

Critically consider options, even under pressure, seeking

organisational support if necessary.

Plan a sequence of actions to achieve specific aims. Manage the process of change and identify opportunities

for growth within crisis and change.

Identify priorities and meet agreed deadlines. Review and evaluate interventions and plans as

appropriate.

Critically assess the urgency

of requests and requirements for action.

Identify, collaborate, and agree with others the need

for statutory and procedural intervention.

Plan implement and record action taken to meet

immediate needs and requirements.

Review the outcomes with people receiving services,

their carers and key people.

Exercise professional judgement based on a critical analysis of all

aspects of the situation.



2.3 Work in an ethnically and culturally sensitive manner with people receiving services, carers and communities, to

achieve change, promote dignity, realise potential and improve life opportunities.


The importance of emotional intelligence, use of self, managing relationships and

professional boundaries effectively within social work practice.

Sociological, psychological and physiological theories of individual and social development,

identity and functioning from infancy to old age and death.

The nature, characteristics and effects of developmental delay, disruption and trauma,

and the nature of resilience across the lifespan.

Research based concepts and critical explanations from social work theory and

other disciplines that contribute to the knowledge base of social work, including their reliability and how they contribute to an

evidence base.

Theoretical ideas and evidence from international research on designing and putting into practice effective social work

services for a wide range of people.

Develop relationships with people that show respect for diversity, equality,

dignity, confidentiality and privacy. Use knowledge of a range of

interventions and evaluation processes to build and maintain purposeful

partnerships with people and organisations, in community-based and professional contexts, including group

care.

Implement plans through a variety of processes including contracting, drawing on community assets and working in

partnership with others, to co-produce services designed to meet individual

circumstances, needs and strengths. Bring work to an effective conclusion

taking account of the implications for everyone involved.

Use effective inter-personal communication and

engagement skills with people, appropriate to age, ability and disability,

language and culture.

Maintain purposeful, professional relationships for as long as is necessary.

Apply and justify social work

methods to achieve change, maintain stability, promote independence and improve

life opportunities.

Regularly monitor, record and review.

Reduce contact and withdraw appropriately from

relationships.



2.4 Co-produce, implement and evaluate plans with people receiving services, carers and others.


Approaches and methods of

intervention in a range of organisational and community

based settings including group care.

The nature and characteristics of effective practice skills, in

working in partnership with a range of people receiving services, and in a variety of

settings including group care.

Factors guiding the choice of evaluation of interventions in different circumstances.

Practice ethically and in partnership with those who

receive services and others to make decisions, set goals and develop specific plans to achieve these.

Take account of relevant factors including: own level of competence; codes of practice; agency guidance and

legislative requirements.

Consult actively with, and where appropriate use the knowledge and skills of, other people who have relevant experience, information or expertise, including

people receiving services and their carers.

Creatively and innovatively develop and deliver person-centred services to achieve outcomes.

Collaborate, negotiate and

appropriately influence the services and resources that

will be included in plans. Identify and record

responsibilities and actions to be taken, developing and

recording plans based on these.

Carry out own responsibilities and monitor,

coordinate and support the actions of others involved in putting plans into practice.

Regularly review the

effectiveness of plans with the people involved.

Renegotiate and revise plans to meet changing

needs and circumstances.



2.5 Develop collaborative and effective networks to meet assessed needs and planned outcomes.


The current range and appropriateness of statutory,

third sector and private agencies providing community-based, day care, residential and

other services and the organisational systems within

these. The significance of inter

relationships with other services, especially education,

housing, mental and physical health, community justice, income maintenance and other

services provided by partner organisations.

Develop effective helping relationships and

partnerships with key people that strengthen communities, to bring about change and achieve

planned outcomes. Consult actively with others who have relevant

experience, information or expertise, including people who receive services and their carers.

Negotiate goals and plans with others, analysing and dealing creatively with human, organisational and

structural barriers to change.

Demonstrate leadership in challenging others when necessary, in ways that are most likely to produce positive outcomes.

Work collaboratively with

people to identify, explore and evaluate support

networks that can be accessed and developed.

Work in partnership with people who receive services,

their carers and other key people to maintain community supports,

networks and resources and build community capacity.

Contribute effectively to the development, maintenance

and evaluation of integrated support networks and

services. In partnership with others,

manage complex aspects of dependency and, where

appropriate, access and enable direct care and personal support in

everyday living situations.



2.6 Work with groups to achieve effective outcomes.


The relevance of sociological,

psychological and criminological perspectives to understanding

societal and structural influences on human behaviour at individual, group and

community levels.

Understand the cultural context of the locality in which practice takes place.

Social science theories

explaining group and organisational behaviour.

Understand group processes and dynamics.

Involve people who receive services, and where

appropriate their carers, in ways that increase their resources, capacity and power to influence factors

affecting their lives and promote social inclusion. Identify and use opportunities for purposeful and

supportive communication with people who receive services in their everyday living situation, including

children and adults with additional support needs. Develop relationships with and access community

networks and assets.

Help groups to achieve

planned outcomes for their members, and to evaluate

the value and appropriateness of their work.

Identify opportunities to

support existing groups and to help new groups to develop.

Use group processes and

dynamics to improve participation of group members and to promote

wellbeing, choice, potential, dignity and independence.

Engage in and disengage from groups appropriately.



2.7 Respond appropriately to behaviour which presents a risk to people who receive services, carers, communities and

the wider public.


The complex relationships between justice, care and

control in social welfare and community justice, and the practical and ethical effects of

these.

Social workers’ roles as statutory agents with duties and responsibilities to protect

the public and uphold the law.

Models, methods, and processes of risk assessment and risk management.

Knowledge of relevant literature

including research.

Help people to gain, regain or maintain, control of their own affairs while taking account of the safety,

wellbeing, protection and rights of self and others. Identify protective factors and promote resilience to

enhance wellbeing and reduce risks.

Use holistic assessment, including observation, to guide interpretation of behaviour and to assess risk.

Plan for and manage situations in which there is a significant element of risk.

Exercise appropriate professional judgement.

Work in partnership with people, their carers and

communities to identify and evaluate situations and circumstances that may

increase risks.

Take prompt action to deal with behaviour or situations that present a risk to people

and reduce or contain the level of risk.

Plan, manage and record intervention designed to

manage and change the identified risk behaviour.



Standard 3. Assess and manage risk to individuals, children, parents, families and extended families, carers,

groups, communities, self and colleagues.

3.1 Assess and manage risks to people who receive services, carers, and communities.


The concept of rights, responsibility, freedom,

authority and power associated with the practice of social workers as moral and statutory

agents.

Social workers’ roles as statutory agents with duties

and responsibilities to protect people across the lifespan, the public and uphold the law.

Up to date legislation defining

the rights of people, especially measures designed to address all forms of inequality and

discrimination.

The nature of risks, harm and positive risk-taking associated with intervention in the lives of

vulnerable or dangerous or socially excluded individuals

and groups.

Analyse the nature of risks and potential for both harm and benefits associated with the circumstances and of

planned intervention. Undertake practice in a way that tries to protect the

safety of everyone involved, while promoting the wellbeing and positive risk-taking of people who

receive services.

Agree plans where there is risk of harm or abuse at all stages of the lifespan.

In collaboration with others, investigate, identify, assess

and record the nature of risk, its seriousness and the harm that it may cause.

Balance the rights and

responsibilities of people to take positive risks with the

potential harm from associated risks to them and the wider public.

Exercise professional

judgement and evidence informed risk-taking in managing risk to people and

the wider public over time.

Effectively manage the inherent ethical dilemmas in care and control.



3.2 Assess and manage risk to self and colleagues.


The complex relationship between justice, care and

control in social welfare and community justice.

The nature of risks, harm and positive risk-taking associated

with intervention in the lives of vulnerable, or dangerous, or socially excluded individuals

and groups.

Practise in ways that maximise safety and effectiveness especially in situations of uncertainty or if there is

incomplete information. Review actions in the light of expected and unintended

consequences.

Take steps to ensure own personal safety and that of colleagues in situations where there is risk from harm.

Assess, analyse and record potential risk to self and

colleagues. Work effectively within the

risk assessment and management procedures of

own and other relevant organisations and professions.

Plan, monitor, review and

record outcomes and actions taken, to minimise risk, stress and harm.



3.3 Support the wellbeing, safety and protection of vulnerable children and adults


Factors contributing to vulnerability across the

lifespan, including societal factors and social injustice.

The prime importance of the rights, wellbeing and support of

children and adults in the context of safeguarding.

Understanding of the impact of

trauma and loss on human development across the lifespan.

Indicators of potential harm

and abuse. Knowledge of legislation, policy,

guidance and agency processes related to supporting and

protecting children and adults. Knowledge of social workers’

responsibilities for the wellbeing, support, and

protection of vulnerable children and adults, regardless of own practice setting and

context.

Communicate effectively with vulnerable children and adults using language and methods that is understood.

Enabling children and adults to express their emotions including fears, anxieties and concerns.

Actively support vulnerable people to express their views in informal and/or formal decision making forums

Analyse the nature and level of risk.

Demonstrate ethical decision making taking account of

complexity and competing perspectives. Presenting evidence-informed assessment and

recommendations to decision making forums.

Recognising and assessing the possible unintended consequences of decisions and actions.

Identify people who are vulnerable and take appropriate action to

protect/safeguard them.

Effectively respond to indicators of harm and abuse within boundaries of

own role.

Take responsibility for actively sharing information

and concerns with other professionals.

Work with others to assess and manage risk of harm

and abuse, and support the development of care planning to promote

wellbeing and protection.

Work collaboratively with other professionals to develop, review and

evaluate plans to ensure the wellbeing, support and

protection of children and adults.

Use supervision to reflect on



The importance of recording and chronologies to the recognition of the patterns of

harm of abuse.

Key messages from significant case reviews/audits and links to practice.

own practice, including

potential value conflicts. Practice ethically using

evidence informed methods.

Effectively challenge decisions, actions or behaviours which are not in

the best interests of people receiving services or which

lead to or increase harm or risk.



Standard 4. Demonstrate professional confidence and competence in social work practice.

4.1 Through critical analysis and reflection, evaluate and use up-to-date knowledge and national and international research.


The characteristics of effective

social work practice in a range of community based and organisational settings.

Factors influencing changes in

practice within statutory, voluntary and private sector services.

Relevant research and

evaluation methodologies. The importance of knowledge

and evidence within the assessment and decision

making process.

Undertake critical enquiry and review relevant

literature, drawing evidenced conclusions from the data.

Assess the relative strength, applicability and implications of contrasting theories and explanations

including: practice wisdom; research; policies; procedures; methods of intervention.

Critically and reflexively apply a wide range of knowledge to own practice.

Monitor situations, review processes and record and evaluate outcomes.

Review and regularly update

knowledge of relevant legislation, policy guidelines, service standards and

procedural frameworks.

Locate, understand, and critically evaluate research findings and literature that

are relevant to social work practice.

Use professional and organisational supervision

and support to research, critically analyse and review

the evidence base for effective practice.

Critically implement evidence-informed social

work approaches and methods to develop and improve own practice.



4.2 Work ethically within agreed standards of social work practice using personal and professional knowledge and skills.


Social work principles, values

and national and international codes of practice.

The importance of the processes of critical reflection

and evaluation to maximise personal learning.

Legislative and legal frameworks, service standards,

practice guidelines and codes of practice.

The nature of legal authority, the application of legislation in

practice, statutory responsibility and conflicts between law,

policy and practice.

Recognise and manage the complex tensions in intra-

personal and inter-personal relationships and processes.

Analyse and assess the impact of inequality, discrimination and social exclusion in work with people

in a wide range of contexts and problem situations.

Ensure that social work principles, codes of practice and values are applied when working with others.

Work in an open and transparent way and be able to assert and justify own actions within accepted ethical

and professional standards.

Act in a professional

manner, with appropriate use of self, in management

of relationships. Work at all times within the

professional codes of practice, ethical principles

and service standards that underpin excellence in social work practice.

Exercise, justify and record

own professional judgements.

Use appropriate professional authority in justifying and

defending professional decisions and upholding social work practice values.

Critically reflect on own

practice and performance and modify these as a result.



4.3 Understand and manage complex ethical issues, dilemmas and conflicts.


Principles of ethics and morality

relevant to understanding and attempting to resolve value dilemmas and conflicts, in both

inter-personal and inter-professional contexts.

Knowledge of equalities and anti-discriminatory policy and

legislation and the impact of disadvantage and

discrimination. Factors influencing the

effectiveness of conflict resolution in different settings.

Analyse the impact of injustice, social inequality and

oppression. Demonstrate leadership in challenging individual,

institutional and structural discrimination in constructive ways.

Analyse and manage ethical dilemmas and conflicts to produce clear, accountable outcomes.

Identify, understand and

critically evaluate ethical issues, dilemmas and conflicts.

Devise effective strategies

to manage ethical issues using knowledge, policy, and research.

Act professionally even in

uncertain and ambiguous circumstances.



4.4 Promote best social work practice, adapting positively to change.


The content of different codes defining ethical practice and the

regulation of professional conduct.

The effective management of potential conflicts created by

codes and values held by different professional groups.

Comparative perspectives of social work including European

and international contexts. The nature, processes and

responses to change, its significance for those involved,

and the characteristics of effective change management.

Reflect critically on own conduct and practice and consider the need to modify own judgement and

actions where new evidence is presented. Analyse and respond positively and flexibly to changes

in the need and demand for services or changes in context and organisation of services.

Demonstrate leadership by challenging unacceptable practices in a responsible manner, including

whistleblowing and knowledge of whistleblowing policies.

Share and promote good practice within the team, service or organisation and in collaborative practice

with colleagues and other professionals.

Contribute to policy and practice review and

development. Use supervision, together

with other organisational and professional systems, to

influence courses of action where practice falls below the standards required.

Demonstrate the

contribution of social work with colleagues in related professions, to develop and

further integrate services.



Standard 5. Manage and be accountable, with supervision and support, for own social work practice within the

organisation.

5.1 Manage own role as a professional social worker in an ethical and accountable way.


The relationship between agency policies, legal

requirements, ethical principles and professional boundaries, in shaping the nature of services.

Knowledge and understanding

of emotional intelligence.

The effect that work situations may have on personal physical and emotional wellbeing and

practice.

The nature, characteristics and boundaries of professional activity and judgement.

The characteristics of effective

time management, workload management and project planning.

Use of digital technology in

social work practice.

Increase learning and understanding with an appropriate degree of independence.

Identify, and keep under review, personal and professional boundaries in all situations.

Plan, with support, how to prioritise work in order to

use time effectively.

Implement strategies to develop personal and professional resilience in order to manage uncertainty, change and stress.

Manage inter-personal and intra-personal conflict

constructively using social work knowledge and skills. Use professional supervision and support to improve

practice and to develop personal and professional resilience.

Demonstrate professionalism,

professional integrity, self-leadership and emotional intelligence in the

management of self and relationships.

Manage time and prioritise

workload within organisational policies and changing demands.

Carry out duties accountably

using professional judgement and evidence-informed social work

practice.

Monitor and evaluate, through critical reflection, the appropriateness and

effectiveness of intervention.



5.2 Take responsibility for own continuing professional learning and development.


The importance of critical

reflection and self-monitoring in defining new personal learning

plans. The use of conventional and

digital resources in accessing learning.

Reflect on and change own professional behaviour in

the light of growing experience and professional confidence.

Take responsibility for continuing development of knowledge and skills through research mindedness and

continuous enquiry.

Demonstrate leadership in making a positive contribution to the continuing education of colleagues.

Using supervision,

consultancy and professional support, take

action to identify and meet continuing professional development needs.

Contribute appropriately to

the learning of others.



5.3 Contribute to the management of resources and services.


The contribution of different

approaches to improving management, leadership and

quality enhancement social services within public, independent and third sectors.

Communication and information

technology, especially information systems and their applications to service delivery.

Basic statistical, resource

management, and budgetary procedures and techniques.

Safe and effective use of information and

communication systems and technology for a variety of purposes including: professional communication; data

storage and retrieval; information searching; resource management.

Calculate, analyse figures and interpret data in both statistical and financial contexts.

Maintain accurate and up-to-date administrative databases or records.

Contribute to monitoring the

outcomes quality and cost effectiveness of services in

meeting need. Contribute to the processes

involved in purchasing and commissioning services and

setting and maintaining service standards.

Contribute to procedures for managing and sharing

information.



5.4 Manage, present and share records and reports.


The statutory basis of reports

and the requirement to share these with relevant parties.

Legal requirements relating to data protection and the rights

of citizens to have access to information held about them.

The value of accurate administrative databases for

service development and research.

Values and principles of ethical recording.

The use of digital literacy and information technology in preparing reports and sharing and storing official

information. Synthesise and analyse information and lines of

enquiry and sustain detailed reasoning at length and over time.

Present conclusions in a form that is appropriate to the audience for which these have been prepared.

Produce accurate and clear written reports in styles

that are adapted to the audience, purpose and context of the communication.

Maintain accurate, complete, accessible and

up-to-date records and reports.

Provide clear evidence and rationale for judgements

and decisions. Implement legal and policy

frameworks for access to records and reports and

protection of data. Share records with people

receiving services and other key people within legal and

ethical guidelines and requirements.



5.5 Prepare for, and take part in, decision making forums.


The nature and characteristics of decision making in a variety of settings and in complex

situations.

Issues and trends in modern public and social policy and their relationship to

contemporary practice and service delivery.

Factors that inhibit effective participation in decision making

in different settings.

The complexity and tension in exercising professional judgement within the context of

organisational processes, policies and structures.

Communicate clearly, accurately and understandably in a range of formal and informal situations.

Prepare effectively for meetings and lead them in a productive and inclusive way.

Follow and develop lines of argument.

Respect and evaluate the viewpoints and evidence presented by others.

Work in partnership with people receiving services, carers and communities to

enable their appropriate involvement in decision

making forums. Work collaboratively with

people receiving services, carers and other key people

to access the best forms of representation.

Present evidence to decision making forums and help

people to understand the procedures involved and the possible and actual

outcomes.

Prepare accurate, articulate, and evidence-supported reports and documents for

decision making forums such as courts, hearings,

tribunals, adjudications and case conferences.



5.6 Work effectively with professionals within integrated, multi-disciplinary and other service settings.


Relationships between agency

policies, legal and regulatory requirements and professional

boundaries, in shaping the nature of services provided in inter-disciplinary contexts.

Opportunities and challenges

associated with working across professional boundaries and with different disciplines.

Factors and processes

facilitating effective service integration, inter-agency collaboration and partnership.

Develop, maintain and review effective collaborative

relationships within and across agency boundaries.

Understand and take account of the roles, responsibilities, constraints and views of others, who are involved in collaborative practice.

Analyse and work with the factors that inhibit

integrated working across disciplines and professional and agency boundaries, drawing on the conciliation skills of the social worker.

Contribute knowledge of best practice to the continuing

development of the profession and wider social services.

Practise effectively, while

upholding the role and function of social work,

within a framework of complex accountability to people who receive services,

agencies, the public and others.

Effectively carry out responsibilities for the

wellbeing, support and protection of vulnerable

children and adults, regardless of practice setting.

Clearly identify the goals

and working procedures involved in collaborative practice.

Work effectively with others

to demonstrate the contribution of social work in delivering integrated and

multi-disciplinary services.

Apply social work knowledge and skills to deal constructively with



disagreements and conflict

within work relationships. Evaluate the effectiveness

of inter-professional practice.



Standard 6. Work in partnership with individuals, children, parents, families and extended families, carers,

groups and communities to address and manage their needs, views and circumstances.

6.1 Work in partnership with people receiving services, carers and communities to achieve greater independence and direct or maintain their own support, demonstrating social work values and ethical practice.


The different needs faced by

people who receive services. The complex relationships

between justice, care and control in social welfare, and

community justice, and the practical and ethical

implications of these. Social work roles as statutory

agent, particularly in upholding the law in respect of

discrimination. The impact and inter

relationship of disadvantage and social divisions arising from

factors such as: social class; gender; disability; culture; race; migration; asylum status.

Act effectively with others to promote citizen leadership

and social justice, by identifying and responding to prejudice, institutional discrimination and structural inequality.

Identify and manage own and others’ prejudices and

value conflicts to respond appropriately to a range of complex situations.

Support and advocate for people receiving services, carers and communities to participate in decision

making processes and manage their own support.

Assess level of support

required to enable people receiving services, carers and communities to

navigate systems and achieve self-defined

outcomes.

Promote citizen leadership so that people receiving services, carers or

communities access independent advice, support

and their choice of representation.

Work in partnership with people receiving services to

manage their affairs including managing finances and directing their own

support.

SiSWE ETHICAL PRINCIPLES FINAL COPY FOR INFORMATION 30 JULY 2018

Scottish Social Services Council 2018.07.18

PRINCIPLE FOR STUDENT SOCIAL WORKERS THIS MEANS

Social justice and equality

Embracing values such as the equal worth of all citizens and their right to meet their basic needs and have equal access to wealth, health, wellbeing, justice and opportunity. This

involves commitment to the principles of social justice and taking responsibility for promoting it and challenging injustice.

Respecting diversity

Recognising and respecting diversity and challenging negative discrimination on the basis of: age; gender or sex;

gender identity; sexual orientation; religion; spiritual beliefs; culture; ethnicity; socio-economic status; ability; racial or

other physical characteristics. This also involves treating the individual as a whole person within family, cultural,

community, societal and political contexts.

Human rights and

dignity

Respecting the inherent worth and dignity of all people and

their rights, including as defined within the legislation. This also involves conveying empathy and compassion for people.

Self-determination Facilitating peoples’ right to self-determination and

respecting peoples’ rights to make their own choices and informed decisions, irrespective of their values and life choices, providing this does not threaten the rights and

safety of others.

Partnership, participation and

co-production

Promoting the full involvement and participation of people receiving services, as far as they are able, in ways that

address what matters to them and enables them to be empowered, unless it compromises the safety and wellbeing of self or others. This also involves identifying, developing

and valuing the strengths and resources of people and communities.

Honesty and

integrity

Appropriate use of self, maintaining personal and

professional boundaries, honesty, responsible confidentiality management and not abusing the trust of people receiving

services. This also means taking responsibility for making ethical and evidence-informed decisions and being accountable for actions.



Council

23 October 2018

Agenda item: 18

Report no: 46/2018

Appendix 4

NQSW Standards

Standard 1 NQSW - 1

Developing confidence and competence in the process of assessment using critical thinking skills and analysis

to inform professional judgement and decision making

Standard 2 NQSW - 2

Collaborating effectively with service users and others to plan, implement and evaluate interventions.

Standard 3 NQSW - 3

Positively promoting the wellbeing, support and protection of children and adults at risk of harm.

Standard 4 NQSW - 4

Developing competence and confidence in the

professional social work role and in managing complexity in professional decision making; drawing

on research, evidence and best practice.

Standard 5 NQSW - 5

Demonstrating the habits of a practitioner-researcher through routine continuous learning and enquiry with which to encourage and support the learning of self

and others.

Standard 6 NQSW - 6

Demonstrate an understanding of and commitment to the wellbeing of self and others.

1

Council

23 October 2018

Agenda item: 19

Report no: 47/2018

Title of report Update on Digital Transformation Programme



Summary/purpose of

report

An update on the progress of the Digital

Transformation Programme.

Recommendations Council members are asked to:

1. note the contents of the report and our progress in relation to the Digital Transformation

Programme

Link to Strategic Plan Strategic priority 1: Build our relationship with

registrants and employers Strategic priority 5: A customer focus Strategic priority 6: High standards of governance

Link to the Strategic

Risk Register

Risk 5 - The SSSC does not have sustainable

resources to support the delivery of Strategic Plan objectives (i.e. the strategic planning growth

assumptions are not financially sustainable). Risk 6 - The SSSC experiences disruption or loss or

reputation damage from a failure in its IT systems, physical security or information governance

arrangements.

Author Lorraine Gray

Chief Executive Tel: 01382 207250

Documents attached Appendix A: Digital Transformation Benefits Realisation Plan 2018

2

1. INTRODUCTION

1.1 Our Strategic Plan 2017 to 2020 sets out two strategic outcomes that

require improved digital support and preparedness: to better meet the needs of registrants and to embed a customer focus in everything we do.

2. SSSC DIGITAL STRATEGY

2.1 In June 2017, the SSSC published its first Digital Strategy, to support the delivery of our Strategic Plan priority to embed a customer focus

throughout the organisation. The strategy is dependent on having the right technical environment to support our ambition and the way we want

to work. We have aligned our strategy to that of the Scottish Government. Our Digital Strategy states that we want to:

develop the capability to capture, analyse and store data and

information in a single system invest in a sustainable learning programme so that our staff have the

right digital skills to develop and deliver digital services develop and provide services and products in ways that make sense

for the people that use them before our own internal ways of doing

things identify and invest in the right technology to support the way we

want to work.

3. DIGITAL TRANSFORMATION PROGRAMME

3.1 We set up a programme board to oversee the required re-let and upgrade of Sequence in 2016.

3.2 The following year, we awarded the contract for the re-let to NVT and the

decision was made to re-implement rather than upgrade it due to significant technical issues with the then current supplier. NVT

subcontracted Incremental Group to provide expertise and delivery coordination. We also made a decision to purchase an off-the-shelf case management system and integrate the work with the reimplementation of

Sequence rather than build from start. Because our current equipment would not run the re-implemented and new system efficiently, we needed

to upgrade our hardware and software. We also needed to further develop our website to provide a better customer experience.

3.3 To proceed with the delivery of these projects, we required a critical

agreement with the Care Inspectorate’s ICT Shared Service regarding the infrastructure. To connect with the chosen case management system, we

needed to set up a two-way trust between the shared active directory and our delivery partner, NVT. Due to differing organisational aims and risk appetites, we did not reach an agreement. To resolve the issue and

progress this critical work, in March 2018 Council agreed to proceed with the separation of the SSSC network and infrastructure from the IT

environment we share with the Care Inspectorate.

3.4 We appointed a temporary lead officer in October 2017 to provide us with this knowledge and advice required to manage the re-let of Sequence. The

3

programme of work emerging through the Digital Transformation projects also required full-time support. That officer’s role concluded in March 2017

and we appointed a new Infrastructure Delivery Lead on a temporary contract to manage delivery of the infrastructure requirements in April.

3.5 The Digital Transformation Programme Board is now overseeing the governance and delivery of five projects:

re-letting the Sequence system

implementing a case management system upgrading MySSSC/website

Microsoft office 365 deployment and hardware replacement programme

setting up a new network and associated infrastructure.

3.6 Governance, oversight, and expertise have been provided by the Scottish Government Digital Transformation Team, Scottish Government

Procurement, our appointed Digital Transformation and Infrastructure Delivery Leads and two technical IT contractors (NVT and Incremental Group), Strategic Leadership Shared Service with the Care Inspectorate,

and SSSC Council and Committee Members. The Office of the Chief Information Officer also carried out a review of our arrangements.

3.7 On 7 August 2018, Council members agreed to the SSSC setting up its own ICT support.

4. UPDATE ON THE SEPARATE PROJECTS

4.1 Re-letting the Sequence System

4.1.1 Development

The replacement for the SEQUENCE system encompasses operational

work of the registration, learning and development, communication, performance and improvement and finance departments and the external facing MySSSC online services.

Each department specified their requirements which were split into

user stories. The majority of development and feedback sessions took place over the first half of this year, moving into acceptance testing phases from July. As expected a number of bugs and areas

of missing functionality was reported during early testing. Bugs were prioritised and are being managed to resolution. We have adopted a

number of different ways of working together with the developers to achieve the best way to manage this process.

Our current position is that we have a small number of bugs left to resolve before we go live.

4

4.1.2 Migration

A large part of this project is the migration of data from SEQUENCE

to the new Dynamics 365 system and case management system. We are migrating over 1 million records from SEQUENCE to Dynamics 365. In addition there are 1.4million document records to

migrate too.

At the recommendation of the supplier we invested in a piece of software, Scribe, which is assisting the data migration process and can track and report in any failures in the data load.

When confirmed that all data has been mapped and loaded without

errors, we will clear down the site and reload all data to the live site, we will then start a differential feed which means that each

day we update the new Dynamics 365 system with any changes made that day in SEQUENCE. It means the bulk of the migration is completed before go live, reducing the risk of data migration

failures over the cutover weekend which would prevent a go live decision and also reduces the data load time over that weekend and

therefore the time the systems are unavailable for staff and customers.

Most of the data has been mapped and loaded to the new system. We are currently mapping the remaining data fields and

correcting any errors identified by the scribe tool during the data load.

4.1.3 Business readiness

To prepare for the system changes a large amount of work is happening in each of the departments to get ready for such a large amount of change. This includes changing letter and email

templates, re-writing reports needed to manage the work of the teams, ensuring the content of MySSSC is clear to understand, staff

have had appropriate training and familiarisation, and guidance or work instructions are prepared.

4.2 Implementing a case management system (CMS)

4.2.1 The CMS solution has been designed, built and put through two rounds of testing. We have successfully tested the migration of data and the

integration with D365. The system is entering a third round of testing now that the SSSC’s network is in place. Staff have had familiarisation sessions on the system and have given positive feedback on the

functionality of the system. It is currently forecasted that we will deliver the system on or under budget.

5

4.3 Upgrading MySSSC/website

4.3.1 The new website look and feel and its structure are complete. Content and

pages are complete and we are finalising and testing the last stages of technical development.

4.3.2 We are in the final stages of working with colleagues across the organisation to test and refine the new website content and held a joint website/MySSSC workshop with external stakeholders on 14 September

where both products were well received with helpful feedback for further development and functionality.

4.4 Microsoft office 365 deployment and hardware replacement programme and setting up new network and associated infrastructure.

4.4.1 The new Local Area Network (LAN) and Wide Area Network have been implemented by SWAN. We have placed all orders for laptops, Surface

Pros, arms, monitors, keyboards and mice and we continue to take delivery of our new hardware. Where possible, we are deploying this hardware to the workstations, which is delivering early value.

4.4.2 We have procured the Office 365 Licences and we hope to have these available in the next two to three weeks, with a view to staff taking

ownership of their new equipment well ahead of the switchover weekend.

4.4.3 The program team are working with our third party partner teams to

ensure that we have completed all testing and any remediation steps are undertaken to allow for a smooth transition.

4.4.4 User acceptance testing (UAT) for the Case Management Solution (CMS) is

underway on our new network with our new hardware, which is a major milestone.

4.4.5 We have agreed a Go-No Go meeting for 26 October and we remain confident that this will be a positive, Go position. From that point to when we go live, the team will continue ensure that our new network is resilient

and ready for the switchover. The original date was 1 October with a go live date on 5 November. However, there were issues with the data

transfer and although not high risk there was a risk hence the delay.

4.4.6 One particularly challenging area has been the maintaining continuity of our telephone systems (hosted by the Care Inspectorate). A technical

solution has been found and we are procuring the services required to complete that work.

4.5 Benefits realisation

4.5.1 Attached at Appendix A is the Digital Transformation Benefits Realisation Plan. This sets out how we will measure the improvements and

efficiencies in relation to the Digital Transformation Programme.

6


5.1 The Budget Monitoring report (agenda item 7 of this Council meeting)

shows savings of £142k are required to ensure a general reserve balance of 2% is achieved at 31 March 2019. Our Financial Strategy has the aim

of maintaining the General Reserve at 2.0% to 2.5% of gross expenditure. As noted, in the budget monitoring report our digital transformation programme is the main reason for the overspend currently projected.

However, it is the view of the EMT that we can make the necessary savings in the remainder of the financial year to achieve a general reserve

balance position within the target range.


6.1 An Equality Impact Assessment has not been carried out. We have carried

out impact assessments for individual projects within the Digital Transformation Programme.


7.1 There are no legal implications in relation to this report.


8.1 The work of the Digital Transformation Programme is informed by stakeholder feedback and aims to address many of the frustrations

reported both externally and internally. This is a significant part of our customer care work.


9.1 This work has not directly involved people who use services and carers.


10.1 None.

Appendix

App

Council

23 October 2018

Agenda item: 19

Report no: 47/2018

Appendix A

Digital Transformation

Benefits Realisation Plan October 2018

Digital Transformation Benefits Realisation Plan

Contents

Introduction .............................................................................................................................................. 1

Monitoring and Reporting ........................................................................................................................... 2

Re-letting the Sequence System .................................................................................................................. 3

Implementing a Case Management System ................................................................................................... 5

Upgrading My SSSC and Website ................................................................................................................. 8

MS Office 365 deployment and hardware replacement / new network and associated infrastructure ................... 10


1

Introduction

The SSSC’s Strategic Plan 2017 to 2020 sets two strategic outcomes that require improved digital support and

preparedness: to better meet the needs of registrants and to embed a customer focus in everything we do. The Digital Strategy agreed in 2017 recognised that our outcomes depend on how we deliver our work. Building on

work early in 2017 to review and identify our digital technology requirements, the strategy sets an ambition to build customer interface based on a more digitally enabled platform.

This benefits realisation plan establishes a record of how we will measure and report achievement of the overall

aims of the Strategic Plan and Digital Strategy through delivery of the Digital Transformation Programme. The long term aim for our Digital Transformation programme is that we will provide the information and tools to develop

and improve the social service workforce in Scotland. In the medium term, the programme seeks to meet the following two outcomes in the Strategic Plan:

Strategic Outcome 1: the right people are on the Register

Strategic Outcome 4: our stakeholders value our work

The Digital Transformation Programme Board is now overseeing the governance and delivery of five projects to

contribute to these outcomes:

re-letting the Sequence system implementing a case management system

upgrading MySSSC and the website Microsoft office 365 deployment and hardware replacement programme

setting up a new network and associated infrastructure.


2

Monitoring and Reporting

The Digital Transformation programme has a number of objectives that will deliver benefits in the short and long

term. We will need to do additional work to realise some benefits and carry out monitoring to understand if we have achieved the benefits envisaged. This plan sets out how we will to this:

an overview of the objectives and the anticipated benefits as set out in the table on the next pages

a spreadsheet to track progress for each (not included, will be used internally by Performance and Improvement)

a template for benefit owners to plan and measure each benefit (to be developed by Performance and Improvement with Project Leads).

The benefit owners will complete a template to record baseline figures, collection and calculation methodology and

reporting frequency. The Performance and Improvement department will coordinate reporting to the Programme Board, Operational and Executive Management Teams and Council.


3

Re-letting the Sequence System

Theme Objective

(desired benefit)

Indicator Direct or

proxy measure

Notes Baseline Source

Efficiency (reduction in

resources)

Reduce the cost of key

processes

Value for money, cost indicators per

transaction

Direct Unknown whether Finance

has cost data per transaction

TBC Finance

Reduce time processing

applications and renewals

Time spent in pending queue reduced (less

time spent contact applicants for further

information)

Direct Registration weekly QA

meeting stats

TBC Registration

Number of renewals

processed per hour

Direct Registration

weekly QA meeting stats

TBC Registration

Number of applications processed per hour


meeting stats

TBC Registration

Average number of

calendar days from receipt of application to

start of processing

Proxy MOPR indicator August

2018 = 45 days

Registration

Average number of

calendar days to process an application

Proxy MOPR indicator August

2018 = 17 days

Registration

Reduce call handling time

Average time per caller Direct Registration weekly QA

meeting stats

TBC Registration


4

Theme Objective

(desired benefit)

Indicator Direct or

proxy measure


Effectiveness (improved

customer focus, productivity and

service quality)

Increase accuracy of

data input

Average number of exception reports


meeting stats

TBC Registration

Increased

productivity

Percentage of

employees reporting impact of downtime

Proxy Results from

employee survey

Self-perception response

TBC Performance

and improvement

Increase internal user

satisfaction

Percentage of Registration staff

reporting confidence with new system capability categories

Proxy Results from employee

survey Self-perception response

None Performance and

improvement

Percentage of

Registration staff reporting negatively to the equipment they use

is adequate for them to do their job

Proxy Data requested

from HR Not a valid

sample

HWL

survey 2017 34.4% (62

out of 180)

HR


5

Implementing a Case Management System

Theme Objectives

(desired benefit)

Indicator Direct or

proxy measure



resources used)

Reduce the time to carry

out key processes

Sample current time for process mapped

tasks and compare percentage reduction

Proxy Sample only TBC Fitness to practice

Hearings

Length of time to close a case

Direct MOPR August 2018 = 8 months

Fitness to practice

Ratio of cases closed to cases opened

Direct FTP operational monitoring

August 2018 = 273:208

(1.3)

Fitness to practice

Average cases closed per case holder a month

Direct FTP operational monitoring

TBC Fitness to practice

Number of mouse

clicks to carry out tasks

Direct Sample period

only

TBC Fitness to

practice

Number of letters being dictated

Direct Sample period only


Number of hard copy files being opened.



Amount of staff time spent filing



Volume of scanning Direct Sample period

only

TBC Fitness to

practice


6

Theme Objectives

(desired benefit)

Indicator Direct or

proxy measure


Number of emails being uploaded and

scanned



Numbers of bundles of

evidence being manually created


only

TBC Fitness to

practice

Volume of outgoing mail



Amount of paper used Direct Sample period

only

TBC Business

Improvement

Volume of prints made Direct Sample period

only

TBC Business

Improvement

Number of tasks sent

from case holders to assistants


only

TBC Fitness to

practice

Time to review files Direct Sample period only


Effectiveness

(improved customer focus, productivity and

service quality)

Increase

quality assurance levels

Reduction in

processing errors identified

Direct Check with FtP if

they monitor quality assurance

TBC Fitness to

practice

Reduce time to schedule

hearings

Average days from hearing request to first

scheduled date

Direct MOPR August 2018 = 68 days


7

Theme Objectives

(desired benefit)

Indicator Direct or

proxy measure


Increase internal user

satisfaction

Percentage of employees reporting

increased satisfaction with categories of

service (Fitness to Practice and Hearings only)

Proxy 73% of employees have

responded to internal survey

Not valid sample

TBC Performance and

improvement

Percentage of staff reporting negatively

that the equipment they use is adequate

for them to do their job (Fitness to Practice and Hearings only)

Proxy Not valid sample size

HWL survey 2017

34.4% (62

out of 180) responded negatively

HR

Increase

external user satisfaction

Number of calls and

email queries from workers requesting a progress update

Direct Sample TBC Fitness to

practice

Number of complaints

received about case times

Direct Will require

complaints handling categorisation

check

TBC Performance

and improvement


8

Upgrading My SSSC and Website

Theme Objective

(desired benefit)

Indicator Direct or

proxy measure



resources)

Increase automation of

processes

Number of processes

available to access online

Direct This may not be achievable as part

of the first phase of work? Would need

internal measures if SSSC continues to further phases of

DT.

TBC Registration

Increase ability of customers to self-serve

Percentage change of details completed

through My SSSC

Direct Included in MOPR August 2018 = 57%

Registration

Effectiveness

(improved customer focus,

productivity and service quality)

Increase

engagement by more

personalisation of content on My

SSSC

Percentage

increased engagement with

our SSSC e-newsletter

Proxy Included in MOPR August

2018 = 50%

Communications

Percentage increase in

access to our online resources measured

through downloads

Direct TBC Communications Learning and

development


9

Theme Objective

(desired benefit)

Indicator Direct or

proxy measure


Increase customer satisfaction with

website and MySSSC by

category

Percentage of customers

reporting increased

satisfaction with categories of service

Direct Registrant survey going live 8

October

TBC Performance and improvement

Streamlined website Reduce

time to navigate through a more

streamlined website

Number of clicks per user on

website

Proxy Uncertain whether this level of user

data exists

TBC Communications


10

MS Office 365 deployment and hardware

replacement / new network and associated

infrastructure

Theme Objectives (desired benefit)

Indicator Direct or proxy?



resources)

Improve efficiency of

processes by reducing the

time to carry out routine

tasks

Sample current time for process mapped

tasks and compare percentage reduction

Proxy Sample only TBC Registration Business

improvement

Value for money, cost indicators per

transaction

Proxy Unknown whether Finance has cost data

per transaction

TBC Finance

Increase system availability

Number of occurrences of downtime over course of previous 12

months

Direct Dependent on CI to access data

TBC Digital team / ICT

Mean time to recover Direct Dependent on CI to access data

TBC Digital team / ICT

Reduce hardware replacement

costs

Cost of hardware replacement costs during financial year

Direct Dependent on Finance to calculate financial year figures 2016-17,

2017-18 and 2018-19 (and future)

TBC Finance


11

Theme Objectives

(desired benefit)

Indicator Direct

or proxy?


Effectiveness (improved

customer focus, productivity and

service quality)

Reduce requests for

helpdesk support

Number of tickets raised per employee

during financial year

Direct Will require access to CI data and HR to

provide employee numbers

TBC Shared Services ICT

and HR

Improve employee

perception of user satisfaction

with IT availability

Percentage of employees reporting

impact of downtime

Proxy Self-perception response

TBC Performance and

improvement

Percentage of

employees reporting increased satisfaction

with categories of service

Direct 73% of employees

have responded to internal survey

TBC Performance

and improvement

Percentage of staff reporting negatively to

the equipment they use is adequate for them to do their job

Proxy Data requested from HR

Not a valid sample

Survey to be repeated for IiP in November

HWL survey

2017 34.4% (62 out of

180)

HR

Increase ability to work flexibly

Number of video conferencing calls

Direct CI will have this information?

TBC ICT

Travel to meetings cost reduction year on year

Proxy TBC Business improvement

Number of downloads

of videoconferencing applications

Proxy CI will have this

information?

TBC ICT

Number of home work applications

Proxy TBC HR

Scottish Social Services Council Compass House

11 Riverside Drive Dundee

DD1 4NY Tel: 0345 60 30 891

Email: [email protected] Web: www.sssc.uk.com

If you would like this document in another format, please contact

the SSSC on 0345 60 30 891

© Scottish Social Services Council 2018

Council

23 October 2018

Agenda item: 20

Report no: 48/2018

Title of report Resources Committee Annual Report to Council

2017/18



Summary/purpose of

report

This report represents a summary of the work of the

Resources Committee in 2017/18.


1. note the content of the report and the work of the Resources Committee.


Outcome 4: Our stakeholders value our work , and

Strategic priority 6: High standards of governance.

Link to the Risk

Register

This report links to:

Risk 2, that the SSSC is not able to demonstrate to our stakeholders (including Scottish Government) that its operational activity is fulfilling its strategic

outcomes, and

Risk 5, the SSSC does not have sustainable

resources to support the delivery of Strategic Plan objectives.

Author Audrey Cowie Resources Committee Chair


2

1. INTRODUCTION

1.1 The Resources Committee Annual Report to Council summarises the

work of the Resources Committee over the financial year 2017/18. 1.2 Membership of the Committee:

Audrey Cowie (Chair)

Paul Dumbleton Forbes Mitchell Harry Stevenson

1.3 The Committee met four times throughout the year. The remit includes

a number of financial responsibilities such as recommending the annual budget to the Council, monitoring the financial performance against the budget, approving contracts above an agreed threshold, approval of

grants and loans. It also has responsibility for Human Resources functions such as approving changes to the staffing establishment, early

retirement, termination of employment and redundancies and approval of HR policies.

1.4 On a number of occasions it was necessary to deal with urgent matters of business outwith the committee cycle and decisions were taken by the

Convener in consultation with the Chair and Chief Executive. These matters were reported to the next meeting of the Committee.

2. BUSINESS

2.1 Annual budget 2.1.1 In November 2017 the Committee considered the draft budget for

2018/19 and in February 2018 the Committee considered and recommended the 2017/18 budget for approval by Council.

2.1.2 The Committee also approved the indicative budgets for 2018/19 and

2019/20 to be submitted to the Sponsor for forward planning purposes.

2.1.3 The Committee also considered expected grants to be awarded to the

SSSC and authorised officers to sign the grant agreements once finalised.

2.2 Draft Financial Strategy

2.2.1 The Committee considered the draft financial strategy to 2024 and offered comment.

2.3 Budget monitoring

2.3.1 The Committee considered the organisation’s financial performance against budget at every meeting (except June, when as is normal

practise, a verbal update on the annual accounts progress was noted).

3

2.4 Income Collection Performance and Debt Management Policy Review

2.4.1 The Committee noted the SSSC’s collection performance and considered

and approved revisals to the policies. 2.5 Fees for Legally Qualified Chairs

2.5.1 The Committee gave approval to the proposed fees for legally qualified

chairs. 2.6 Procurement and contracting arrangements

2.6.1 The Committee noted the procurement update and performance report in September and noted that the SSSC had achieved a green status in all

areas checked under the Scottish Governments new ‘Healthcheck’.

2.7 ICT investment and support

2.7.1 The Committee agreed the proposals to invest in ICT services and

hardware and commented on matters such as timetabling, support for staff on implementation and on-going support costs. The Committee authorised spend on contracts for this purpose. The Committee also

considered the digital transformation project. It considered the existing ICT infrastructure limitations and the changes to the SSSC’s needs that

the transformation will bring. It noted the possible reduction in the need for existing ICT services that the move to cloud based productivity may bring. The Committee approved principles that set out the future

direction of travel, namely, that once the digitalisation work is complete a new model of ICT support will be needed and that the working model is

that the ICT shared service will reduce the extent of the services they provide to the SSSC.

2.7.2 The Committee noted that there were no tenders for the relet to host the SSSC website and that the existing contract was extended.

2.8 Risk management

2.8.1 There is a standing item on each agenda which prompts members to record any items of risk which are discussed at the meeting. These are minuted and reported to the Audit Committee. Some of the risks

considered related to financial sustainability, cyber security, budget for Sequence and ICT investment and support.

2.9 HR management and employee development

2.9.1 The Committee considers the organisational structure and oversees the human resources management and employee development for the

organisation. During this reporting period this has included the transition to a shared service and the associated impact on programmed work. The Committee considered and approved a new recruitment strategy for

registration assistants. The Committee also authorised the redesignation of the HR assistant role to that of Trainee HR Adviser.

4

2.10 HR policies

2.10.1 Due to restructuring of the service and its becoming a shared service with the Care Inspectorate the review of the policies timetable has been

rescheduled. Changes to the salary protection policy were approved in principle but the policy has not yet been finalised due to on-going discussions with the partnership forum.

2.11 HR analytics

2.11.1 The Committee has considered data gathered by the HR department in

relation to sickness absences in the SSSC and made comparisons with

figures available from other public sector bodies. The ingathering of these statistics over a period of time will lead to a better overview of

absence trends, allowing appropriate support systems for management of absences to be put in place.

2.12 Research and development

2.12.1 No particular issues were raised. 2.13 Special Appeals Committee and Employment Appeals Sub-

committee

2.13.1 Members of the Committee can be appointed to the Special Appeals Committee – there was no requirement to do so this year.

2.13.2 The Employment Appeals Sub-committee is made up from members of the Council with at least one being a member of the Resources

Committee. It met on two occasions to consider a case. Members made a change to the terms of reference of the Employment Appeals Sub-committee. Members also discussed the policies and procedure and

agreed that these should be revised to take account of lessons learned.

2.14 Travel outwith the UK 2.14.1 The Committee was requested to and approved the following requests for

travel outwith the UK.

Head of Learning and Development

European Social Network Forum

Brussels

Learning and Development

Manager

Conference Lisbon

Learning and

Development Manager

Conference Malta

Head of Fitness to Practise

Meeting Dublin

5

2.14.2 One of these was agreed outwith the committee cycle by the Convener in consultation with the Chair due to the timing of the event and booking

requirements.

2.15 Governance 2.15.1 The Committee reviewed the financial regulations at its December 2017

meeting, recommending them for adoption by the Council.

2.15.2 The Committee approved the annual best value report at its June meeting.

2.15.3 The Committee carried out its Annual Effectiveness Review, including scrutiny of the ‘Self-assessment outputs’ document and agreed a series

of actions including a change to its terms of reference. 2.16 Premises and Equipment

2.16.1 No matter arising.

2.17 Grants made by SSSC

2.17.1 The Committee gave retrospective approval to two grants to Scottish

Care and the Coalition of Care provider Scotland, the Convenor and Chair

of the Resources Committee having given prior approval. No offers of grants to the SSSC were considered.

2.18 Voluntary Sector Development Fund (VSDF)

2.18.1 The Committee considered a report regarding the transfer of the VSDF from the Scottish Government to the SSSC and recommended this

transfer to Council. 2.19 Business Continuity Planning and Disaster Recovery management

2.19.1 The Committee noted the SSSC’s approach to cyber resilience at its

meeting September and that the SSSC will be required to comply with an action plan to be issued by the Scottish Government.

2.20 Carbon Accounting and Environmental issues

2.20.1 The Committee noted the SSSC’s sustainability performance and the proposals for updating the baseline figures used.


3.1 The work of the Committee is supported by the Head of Shared Services

(on behalf of the Director of Corporate Services), the Head of Finance,

the Head of HR and the Team Leader (Corporate Governance). The Chief Executive attends all Committee meetings and other officers attend from

time to time as appropriate to the business of the Committee.

6


4.1 This is a report for information and there are no legal implications.


5.1 This is an annual update report for Council, no external stakeholder engagement has been necessary for its preparation. However, the

Committee acknowledges and appreciates the involvement and contribution to its work from internal stakeholders.


6.1 The Resources Committee is an important element of the SSSC’s

governance arrangements and system of internal control. It has a key

role in reviewing the organisations financial control and considering the resources aspects of the corporate plan and in making recommendations

to the Council. This ensures that the SSSC is open and transparent in its effective and efficient use of resources, enabling it to deliver its

outcomes and objectives.

7. CONCLUSION

7 .1 The Committee is asked to approve the content of this report and for the report to be submitted to the Council for attention.

Council

23 October 2018

Agenda item: 21

Report no: 49/2018

Title of report Strategic Performance Report October 2018




This report presents the progress we have made to

deliver our strategic outcomes and priorities set out in the Strategic Plan 2017-2020 and Annual

Strategic Delivery Plan for 2018-19.

Recommendations

We ask Council Members to:

1. note the contents of the report for information.

Link to Strategic Plan

Strategic priority 5: a customer focus throughout

the organisation.

Link to the

Strategic Risk

Register

Strategic Risk 2: the SSSC is not able to demonstrate to our stakeholders (including SG)

that its operational activity is fulfilling its strategic

outcomes.

Author

Liz MacKinnon Head of Performance and Improvement

Tel: 01382 207139

Documents attached

Appendix 1: Strategic Performance Report October 2018

2

1. INTRODUCTION

1.1 We published our three-year Strategic Plan in April 2017. This plan documents our work in support of the Scottish Government’s

National Outcomes.

1.2 We publish a strategic performance report every six months and

attach this as an appendix. It presents our progress and performance towards delivering our strategic outcomes and

priorities in the first half of 2018-19.

2. PURPOSE

2.1 This report is part of our performance management framework and complements the Monthly Operational Performance Report that goes

to the Operational and Executive Management Teams and the Performance Report of the Annual Report and Accounts. The Annual

Report and Accounts presents performance during the previous financial year (2017-18). Audit Committee signed off that report in

September.

2.2 The report provides a collective picture of progress and performance by bringing together customer research results, strategic measure

performance, and progress updates on our projects.

2.3 We will present the next Strategic Performance Report to Council in

March 2019.

3. STRATEGIC PLAN OUTCOMES

3.1 We identified four strategic outcomes we aim to achieve by 2020. Each of the strategic outcomes has associated priorities. To

demonstrate our progress towards the outcomes and priorities, we monitor and report on a mix of strategic measures, updates on

related projects, operational performance indicators, and stakeholder feedback.

Strategic outcomes Priorities

1. The right people are on

the Register

1. Build our relationship with

registrants and employers 2. Our fitness to practise process is

proportionate and accessible 2. Our standards lead to a

safe and skilled social service workforce

3. Social service qualifications meet

the needs of learners and employers

3


3. Our resources support

the professional development of the social

service workforce

4. We work with Scottish Government

and other partners to achieve the actions in Social Services in Scotland:

a shared vision and strategy 2015 – 2020

4. Our stakeholders value our work

5. A customer focus throughout the organisation

6. High standards of governance

4. CUSTOMER SURVEY

4.1 We sent a survey to all those on the Register to gather evidence

and information to demonstrate our work towards achieving our outcomes and priorities. We now have a set of baseline figures

which we can use for reporting progress against our strategic measures.

5. SUMMARY OF PERFORMANCE TOWARDS THE STRATEGIC

OUTCOMES

5.1 Performance across all four strategic outcomes is positive against

our strategic measures. We are also pleased with both the response rate and the level of positivity in the customer surveys.

5.2 Progress towards delivering our projects is mixed as we have focused resources on Digital Transformation. We continue to deliver

projects while making substantial progress towards our digital work. The list below presents areas where we can demonstrate sustained

progress:

reducing the average time that it takes to close a fitness to

practise case to within nine months increasing direct engagement with the sector

improving information about how workers and employers should make a fitness to practise referral

creating short films and social media messages to bring the

Codes of Practice to life working with services to use our products to support them to test

new ways of delivering care launching a career pathways website to support people into and

through the sector introducing of registration cards

ensuring compliance with new data protection legislation.

4

5.3 There are some areas where we need to make more sustained

progress in the remainder of 2018-19 and 2019-20:

increasing both attendance and representation at hearings

improving how we demonstrate the impact of our learning resources

systematically involving carers and people who use social services in the planning and delivery of our work

development of our customer service improvement plan.

5.4 The next six months will see the delivery of the key projects related

or dependent on our Digital Transformation programme, which we anticipate will deliver benefits across the range of our work.

5.5 Half-way through 2018-19 we are on track (green) for 8 of the 21 projects listed in our Annual Strategic Delivery Plan. Eleven projects

(amber) have seen delays, for the most part due to dependency on delivering our Digital Transformation programme or refocusing

resources to deliver of that work. We have rated two projects as red

as they have been put on hold until work to deliver the current Digital Transformation programme is complete.

Number of projects by RAG (October 2018)

8

projects

Milestones have been met and we currently anticipate

no delays to planned delivery deadlines.

11 projects

We still expect to deliver the work as planned by the end of 2018-19 (or in some cases 2019-20), but some milestones have been delayed and/or there is a risk to

delivering future milestones due to dependencies on other work.

2 projects

At this time, work has not started and has been put on hold due to refocused priorities.

5.6 Our business planning for the rest of 2018-19 and 2019-20 will

address those areas where will need to make progress.


6.1 There are no direct resource implications of this report. The progress and performance presented reflects the on-going delivery

of our Strategic Plan 2017 to 2020, which is aligned to our budget processes.


7.1 We have not carried out an EQIA on this piece of work as it is not a change in policy, procedure or service.

5


8.1 There are no specific legal implications relating to the contents of this report. We have a statutory obligation to publish a Strategic

Plan and Annual Strategic Delivery Plan (operational plan) and this report supports the delivery of actions in those documents.


9.1 We will continue to consult and engage with internal stakeholders,

including council members, management and officers, in the development of the performance management framework and

related reports. The regular customer survey cited in the report will be included in stakeholder engagement reporting arrangements.

Our Involving People is now in place and will be able to contribute to this process.


10.1 Improving the efficiency and robustness of the performance

information used by the SSSC to manage and improve its decision

making and processes will improve our transparency and accountability to all stakeholders, including users and carers.

11. CONCLUSION

11.1 The Strategic Performance Report presents a collective picture of

our progress to date delivering our strategic outcomes and priorities in the first half of 2018-19.

11.2 We will continue to develop and monitor the effectiveness of our performance management and reporting arrangements.


12.1 None applicable.

Council

23 October 2018

Agenda item: 21

Report no: 49/2018

Appendix 1

Strategic performance report

October 2018

Our values

Integrity Commitment

Accountability Pride in what we do

Listening and engaging Creativity and learning

2

Contents

1. Introduction ..................................................................................... 3

2. Customer survey evidence ................................................................. 4

Strategic outcome 1 ................................................................................ 5

3. Performance towards our measures ..................................................... 5

4. Project delivery updates ..................................................................... 6

Strategic outcome 2 ................................................................................ 9

5. Performance towards our measures ..................................................... 9

6. Project delivery updates .................................................................... 10

Strategic outcome 3 ............................................................................... 11

7. Performance towards our measures .................................................... 11


Strategic outcome 4 ............................................................................... 15

9. Performance towards our measures .................................................... 15


11. Conclusion ...................................................................................... 19

12. Progress assessment as of October 2018 ............................................ 20

3

1. Introduction

1.1 We published our three-year Strategic Plan in April 2017, which

documents our work in support of the Scottish Government’s National Outcomes and our strategic outcomes and priorities.

1.2 We identified four strategic outcomes we aim to achieve by 2020. Each of the strategic outcomes has associated priorities. To demonstrate our strategic progress towards the outcomes and priorities, we monitor and

report on a mix of strategic measures and updates on related projects.


1. The right people are on the

Register

1. Build our relationship with registrants

and employers 2. Our fitness to practise process is

proportionate and accessible 2. Our standards lead to a safe and skilled social service

workforce

3. Social service qualifications meet the needs of learners and employers

3. Our resources support the

professional development of the social service workforce

4. We work with Scottish Government

and other partners to achieve the actions in Social Services in Scotland: a shared vision and strategy 2015 – 2020


5. A customer focus throughout the organisation

6. High standards of governance

1.3 We set out the projects we plan to deliver under these outcomes in the

Annual Strategic Delivery Plan (ASDP). The current ASDP sets out new projects for 2018-19 and continuing projects from 2017-18. The next

ASDP will be developed for February 2019.

1.4 This is the second Strategic Performance Report, which complements other reports such as the Monthly Operational Performance Report

(available on Basecamp for Council Members) and the Performance Report sections of the Annual Report and Accounts. This report provides an

update of progress in the first part of 2018-19. We will report again in March 2019.

1.5 The following sections of the paper present our progress delivering our

strategic outcomes and priorities. For each of the four strategic outcomes we present:

a table and chart presenting current performance against the supporting strategic measures

updates on our progress delivering the projects under each priority.

1.6 We present a summary table of progress towards all four strategic outcomes in the conclusion section.

4

2. Customer survey evidence

2.1 To gather evidence and information to demonstrate our work towards

achieving our priorities, we sent out three customer surveys between December 2017 and July 2018, targeting different sections of the

Register. This means we now have a full set of baseline figures.

2.2 Key results from these surveys are included as evidence throughout this report. The schedule of surveys carried out so far is:

in December 2017, we surveyed practitioners in day care of children services and practitioners in care home services for adults

we asked all support workers the same set of questions in March 2018 we asked the remainder of the Register a slightly amended question

set in July 2018, following Social Research Association guidance on

question formatting and response options.

2.3 We sent surveys to 111,776 registrants and received 13,903 responses

(12% of those asked).

2.4 This sample size demonstrates a 95% confidence level with a margin of error of plus or minus 1%. This means that we have 95% confidence that

if every registrant had answered the survey, the responses they would give would be within plus or minus 1% of those we received from our

sample. For example, if 50% of registrants who responded to our survey said they were very satisfied with our customer service, then we can

reasonably expect that 49% to 51% of all registrants would be very satisfied.

2.5 We will repeat the survey at regular intervals so that we are continually

building on this data set.

2.6 This is the first stage of our developing business intelligence approach. We

will conduct further analysis on the results over the next few months to interrogate some of the findings by categories of registrant and other variables.

2.7 We are now monitoring survey research across the organisation in order to better understand what insight and intelligence we hold and require.

This will support the development of a research strategy aligned to our operational and strategic planning. We will align and update this strategy with our strategic and operational planning cycles. It will cover all

stakeholders, including those who are harder to reach, those who are not registered with us, and those who are registered but do not respond to

surveys.

5

Strategic outcome 1: The right people are on the

Register

3. Performance towards our measures

3.1 To deliver our first strategic outcome we set strategic priorities and

measures. The table below presents a summary of current performance against these measures.

Strategic priority

Strategic measures

Current performance

Build our relationship with

registrants and employers.

Registrants believe that registration

with the SSSC provides positive

benefits to them.

Responses to the customer survey suggest that 77%

(10,434 of 13,567) of registrants agree that

registration with the SSSC provides positive benefits to them:

strongly agree 51% (6,925 of 13,567)

tend to agree 26% (3,509 of 13,567).

Our fitness to practise process

is proportionate and accessible

Cases referred to the SSSC Fitness to

Practise meet the thresholds

We consistently receive a high proportion of cases that meet

the thresholds. On average, 84% meet the thresholds. This ranges from around 80% to

90% from month to month.

We see an increase in the number of people attending

and represented at Fitness to Practise

Hearings

Worker attendance at hearings has increased from an average of 33% over the last three

years to an average of 41% in this reporting period.

Attendance by workers’ representatives remains lower, around 15% of hearings.

We see a decrease

in the average time it takes to conclude fitness to practise

investigations

On average, we close a fitness

to practise case within nine months of receipt, down from 12 months in 2016-17.

3.2 Our customer survey work gives us a baseline of satisfaction and opinion from registrants. We measure whether workers feel that registration is beneficial. The largest proportion of respondents strongly agreed that

registration is beneficial (51%, 6,925 of 13,567). Only 4% (608 of 13,567) of respondents strongly disagreed with this statement.

6

4. Project delivery updates

4.1 The following paragraphs present narrative updates on the progress delivering the projects we said we would deliver in 2018-19 under

strategic outcome one.

Provide improved user experience and functionality through the new website and MySSSC portal.

4.2 We have made good progress developing the new website and MySSSC portal, which will deliver improved layout and functionality. For example,

an improved registration and qualifications tool will help workers to make an application and swifter navigation across the site. Internal workshops ensured that the knowledge of frontline staff was used to inform this

work.

4.3 We will survey those on the Register before launch and after to gauge

opinion of the site and MySSSC portal as part of our benefits realisation plan for the Digital Transformation programme.

Increase our direct engagement with the sector

4.4 Registration staff participated in 56 external events over this reporting period; this is 22 more than the same time last year. These events

included conferences, meetings with employers and workers in their services, and meetings with representative groups such as Scottish Care

and CCPS. Several events focused on the new register parts—either providing information to workers or discussing with employers and their managers how they can best support their staff. We use regular meetings

with representative groups to exchange information and ad hoc meetings to address particular issues as they arise.

4.5 We monitored our communications about the opening of the new Register parts (for support workers in care at home and housing support services)

51% (6,925)

26% (3,509)

12% (1,622)

6% (766)

4% (608)

1% (137)

Strongly agree

Tend to agree

Neither

agree/disagree

Tend to disagree

Strongly disagree

Don't know

Registration with the SSSC is beneficial to me

7

and received positive feedback. For example, feedback from key stakeholders including Coalition of Care Providers in Scotland (CCPS) and

the Society of Personnel and Development Scotland (a group of local council HR and learning and development representatives) about how

useful this activity was. Although we cannot directly attribute our communication to the improvement, we received a higher than predicted number of applications.

Increase representation at hearings and increase attendance at hearings

4.6 We previously carried out work to raise awareness of our fitness to practise process with organisations that could provide support and representation to workers. We have not seen an increase in workers being

represented by those groups. We will consider this approach as part of our plan to achieve better rates of representation over the next 18 months.

4.7 We are also working to increase worker attendance at hearings. The Hearings department is changing its process to now explore the possibility of workers attending the hearing by video link as a matter of routine in all

cases. The department will be able to explore improving remote access to hearings following delivery of the initial phase of the Digital

Transformation programme.

4.8 The new case management system (CMS) is due to go live later this year.

This will allow workers who are subject to fitness to practise proceedings to access updates and documents. Increasing engagement through video link and offering alternative means of sharing information is part of

creating an environment that is more likely to encourage workers to attend hearings.

4.9 Fitness to Practise and Hearings have been working together to consider how we can increase worker attendance at hearings. This project is considering alternative models such as routinely holding hearings

throughout Scotland and/or providing financial assistance to enable workers to attend hearings in Dundee. During this reporting period, we

held hearings in Berwick-upon-Tweed and Fort William, in line with our longstanding practice to accommodate particular circumstances.

4.10 This is an important strategic priority and we are considering how to plan

and deliver this work over the course of the next 18 months. We continue to monitor attendance as part of our monthly performance management

reports to OMT and EMT, and we know that attendance at hearings fluctuates from month to month reflecting the individual circumstances of each case.

Improve the information we provide to employers and registered workers, so they have a better understanding of when and how to

make a referral

4.11 We surveyed employers in November 2017 to gauge their understanding of our thresholds. This resulted in an action plan targeted at the

employers across each of the different Register parts.

8

4.12 We developed guidance (Raising Concerns) aimed at employers and employees, to raise awareness of our expectations of them in raising

issues relating to fitness to practise (see paragraph 8.11).

4.13 We have a programme of engagement as part of our work to improve

employers’ understanding of when to make a referral and thus increase the percentage of referrals that meet our thresholds. Over the last few months we have worked with a number of employers, including Hansel

and Care Watch.

New materials provide improved advice and guidance to support

people through the Fitness to Practice process

4.14 We have not created any new materials in this reporting period, but we continue to gather feedback on our existing materials to inform

improvements.

4.15 In October 2018, we are surveying all workers who have cases closed to

identify further areas for improvement. We will issue a feedback form with the notice of decision and outcome letter that asks workers how they felt about the process, where we could make improvements in the information

we provide, and about the way we conducted the investigation.

4.16 We have reduced the length of time it takes to close a fitness to practice

case from 12 months to nine, and envisage further reduction when our case management system goes live. However, at this time, the number of

cases being opened currently exceeds the number being closed. We have raised this as a risk at Audit Committee and will continue to monitor the data through our operational reporting.

9

Strategic outcome 2: Our standards lead to a safe and skilled

social service workforce


5.1 To deliver strategic outcome two we set strategic priorities and measures. The table below is a summary of current performance against these

measures.

Strategic priority Strategic measures Current performance

Social service qualifications and

standards meet the needs of learners

and employers


contributes to social service workers having

the skills needed for their jobs

72% (9,816 of 13,553) of respondents agreed

that the SSSC contributes to them

having the skills they need to do their jobs:

strongly agree 41% (5,574 of 13,553)

tend to agree 31%

(4,242 of 13,553).

5.2 Our customer survey indicates that a large proportion of respondents

strongly agreed that we contribute to workers having the skills they need to do their jobs (41%, 5,574 of 13,553 respondents). When we include

those who said they tend to agree, this increases the positive response to 72% (9,816 of 13,553 respondents).

5.3 We intend to analyse in more detail the comments of those who felt that we do not contribute to their having the skills that they need. As reported

previously, the comments suggest that some workers have a limited understanding of our role. Further analysis of this will contribute to our

work to develop and promote the right tools that bring the Codes to life and develop our customer relationship in general.

41% (5,574)

31% (4,242)

12% (1,608)

8% (1,026)

6% (866)

2% (237)

Strongly agree

Tend to agree

Neither agree/disagree

Tend to disagree

Strongly disagree

Don't know

The SSSC contributes to social service workers having the

skills they need to do their jobs

10


6.1 The following paragraphs present narrative updates on the progress

delivering the projects we said we would deliver under strategic outcome two. These projects are set out in the Annual Strategic Delivery Plan

2018-19.

Registrants and employers increasingly use and understand the revised Codes of Practice

6.2 We circulated key messages on the Codes of Practice to staff in June 2018. This helps staff to deliver a consistent and confident message when

speaking to stakeholders about the Codes.

6.3 We distributed guidance about what someone could expect from his or her care worker to GP surgeries in late August 2018. This is a refreshed

version of a booklet we sent to surgeries three years ago. We use GP surgeries to reach a wide range of members of the public, since this is one

of the few venues we know most people will attend. We have considered other venues, including libraries, but due to budget and staffing resources this is not currently possible.

6.4 In September, staff from Learning and Development and Communications visited service users to film them in their settings, to produce a series of

short clips and social media messages linked to the Codes. We publicised this work in October. The clips are aimed at workers, employers and

members of the public with the purpose of raising awareness of the Codes of Practice.

11

Strategic outcome 3: Our resources support the professional development of the social service workforce


7.1 To deliver our third strategic outcome we set strategic priorities and

measures. The table below presents a summary of current performance against these measures.

Strategic priority Strategic measures

Current performance

We work with Scottish Government and other

partners to achieve the outcomes in ‘Social

Services in Scotland: a shared vision and strategy 2015-2020’

Social service workers report

that our learning resources have

improved their practice

81% (8,693 of 10,725) of the registrants who use

our resources and responded to this question

said that our learning resources have improved their practice.

7.2 Most registrants (81%; 8,693 out of 10,725) who responded to our survey and who have used our resources agreed that these resources have

improved their work practice. We know that support workers and practitioners were more likely to provide a positive response to this

question than managers.

7.3 We then asked respondents if they would recommend the resources. 96%

(5,162 of 5,353) of registrants who have used our resources also said that they would recommend the resources to others or already had.

7.4 The survey gives an encouraging view of the use of our resources. We will

consider how to improve and validate this evidence base through further analysis and as part of our work to develop a research strategy. We will

also carry out further analysis on the negative responses to see if there are any particular groups with whom we can improve our engagement.

81%

(8,693)

19%

(2,032)

Yes

No

Have our learning resources improved your

practice?

12


8.1 The following paragraphs present narrative updates on the progress delivering the projects we said we would deliver under strategic outcome

three. These projects are set out in the Annual Strategic Delivery Plan 2018-19.

Develop workforce requirements that reflect developing legislative

standards in collaboration with other stakeholders

8.2 We continue to work with stakeholders to develop how we reflect the

learning requirements of the workforce as a result of developing legislation in the learning resources we produce.

8.3 We produced and published an outcomes support planning resource and

accompanying personal outcomes booklet. These resources are aimed at helping workers to meet the requirements of carers’ legislation through

increasing understanding of the personal outcomes approach and how to use it in their work.

8.4 We published material to support the workforce to use the Promoting

Excellence and Palliative and End of Life Care (PEOLC) frameworks to help meet registration and PRTL requirements. They include examples of using

the frameworks to illustrate their value and signpost to associated resources.

8.5 A number of organisations, such as Cornerstone, are testing new ways of delivering care. We delivered action learning sets with the test sites to support their employees to gain new skills, while working with the

development of self-organising teams. We will start to work with further test sites, for example the Stirling Care Village, in the near future.

74% (3,980)

22% (1,182)

4% (191)

Yes

I already have

No

Would you recommend these resources to others?

13

8.6 We received positive feedback from participants and Cornerstone and we identified that participants had:

improved understanding of the wider organisation shared challenges faced by different professionals

improved problem solving and collaborative working skills.

8.7 We established two pilot dementia learning hubs in collaboration with NHS Education for Scotland (NES) and Tayside, West Dunbartonshire, and

Inverclyde Health and Social Care Partnerships. These sites started testing our dementia ambassador resource in September 2018.

Lead the delivery of recommendations 6 and 7 in the national workforce plan for social services

8.8 Recommendation six of the National Workforce Plan (part 2) is to develop

proposals for enhanced careers within social care, improve entry routes into the sector, and explore how career pathways between health and

social care can be developed. Recommendation seven is to develop training and education proposals that will better enable a flexible, confident and competent workforce with relevant and appropriate

qualifications, and develop a professional framework for practice in social care and social work.

8.9 We awarded the contract for research into skills, behaviours, conditions and qualifications for integrated working in health and social care. This

work is in collaboration with NES, Skills Development Scotland and two Health and Social Care Partnerships.

8.10 We launched a career pathways website to show people how to build a

career in social care, specifically in early learning and childcare. We published the specification for the wider social services pathways resource

which will be completed by the end of 2018-19.

8.11 We undertook a desk-based review of existing social work frameworks (UK wide and international) to build understanding of critical factors and

underpinning principles.

Using our business intelligence such as MySSSC, we will develop

and publish practice guidance

8.12 We have some examples of intelligence-based product development, for example the Raising Concerns guidance that was based on referrals data

from Fitness to Practice. We recognise that this work requires a more considered focus. Development and Innovation is now working with

colleagues in Fitness to Practice and Strategy and Performance to consider a more systematic approach to how we develop our learning resources and practice guidance based on the business intelligence we generate and

hold.

8.13 Two members of the Development and Innovation directorate are

undertaking the Scottish Improvement Leadership programme delivered by NES. This will be completed by April 2019. The programme teaches

14

participants Improvement Science. These skills will support an increased focus on evidence-based practice and our work with the Care Inspectorate

to address concerns raised from strategic inspection by directly supporting local authorities to use improvement methodology.

Undertake research to evaluate the impact of registration on social services, focusing on the adult care workforce

8.14 We completed the first cycle of our customer surveys. The results from

these are a useful starting point for evaluating the impact of registration but further analysis of the information is required and a more

comprehensive and systematic way of planning our research with stakeholders. We will complete further analysis of the customer surveys by December 2018 as part of our work to develop a research strategy in

2019.

15

Strategic outcome 4: Our stakeholders value our work


9.1 To deliver our fourth strategic outcome we set strategic priorities and measures. The table below presents a summary of current performance against these measures.

Strategic priority

Strategic measures Current performance

A customer

focus throughout the organisation

Our customers are

satisfied with the service they receive from the SSSC

Our recent surveys indicate

high levels of satisfaction, which are broken down into responses in the chart below.

We consistently respond to

customer complaints well within the timescales set out by the Scottish Public

Services Ombudsman.

We also consistently respond to Freedom of Information requests within the statutory

timescales.

High standards of governance

Audits provide evidence of good corporate governance

and effective use of our resources

Audit Committee received two internal audit reports in this period: financial systems and

the Digital Strategy.

9.2 When asked about the standard of customer service they receive, 50% (3,932 of 7,873) registrants said they were very satisfied. This increases

to 73% positive (5,727 of 7,873) when we include those who are somewhat satisfied. Only 3% (210 of 7,873) stated they were very

unsatisfied.

50% (3,932)

23% (1,795)

18% (1,390)

4% (296)

3% (210)

3% (250)

Very satisifed

Somewhat satisfied

Neither…

Somewhat unsatisfied

Very unsatisfied

Don’t know

How satisfied are you with the standard of customer

service you receive from us?

16


10.1 The following paragraphs present narrative updates on the progress

delivering the projects we said we would deliver in 2018-19 under strategic outcome four.

Systematically involve carers and people who use social services in the planning and delivery of our work

10.2 We advertised for an Involving People Lead but the successful applicant

declined our offer of employment. We have reallocated a current member of staff with extensive experience in this field to the post, effective from

October 2018. As a result, this project has been delayed for six months.

Make the hearings process more efficient and effective

10.3 We held hearings away from Dundee to enable key stakeholders to

attend. We also used alternative venues in Dundee when our in-house accommodation was at capacity. We have used phone conferencing to

manage unforeseen travel difficulties.

10.4 Video link was used in seven cases to allow workers and witnesses to attend hearings remotely. Clerks piloted and now use new template

notices of decision. They partially complete these during temporary order hearings to assist the chair to write up the decision and thus improve

efficiency.

10.5 Further improvements to make the hearings process more efficient would

be to move to paperless hearings (and paperless council meetings), which we will consider when we have deliver the first phase of Digital Transformation.

Ensure that the SSSC Register remains fit for purpose

10.6 EMT approved a report in April 2018 to consider a suitable approach to

future-proofing the Register. A subsequent EMT meeting decided to put the stakeholder engagement aspect of this work on hold until Digital Transformation has progressed further. We are in discussions with

Scottish Government about the requirement for legislative change to support changes to the Register.

Introduce cards for people registered so there is an increased perception of professionalism

10.7 We have designed and launched registration cards containing key facts

about a worker’s registration. We sent out over 43,000 cards to new and renewing registrants since March 2018. We will review the project to

assess its effectiveness in quarter three of 2018-19.

17

Transform the way the SSSC works digitally by upgrading our Customer Relationship Management system

10.8 Working with Incremental, our system provider, we adopted an Agile approach to shift and then re-platform the existing CRM system

(Sequence). This approach enabled staff to be involved with the designers in an iterative design process allowing greater and more flexible input. Staff have been testing the new system and we propose to go live by the

end of 2018.

Provide the tools our employees require to work in a flexible, agile

and mobile manner that meets business and customer needs, including moving to Office 365 and reviewing equipment

10.9 We procured a new local and wide area network (SWAN) and will

implement Office 365 as our cloud-based solution for our work, with NVT providing a private cloud service that will host the case management

system. New monitors and flexible arms, wireless keyboards and mice are being delivered and installed. We have received the new laptops, which are now with NVT to be fitted with the correct software.

Develop and implement a customer service quality improvement programme for the SSSC

10.10 Delivery of this project has been delayed due to changes in staff and resource demands. We will develop a programme proposal by the end of

2018-19 for approval. We will aim to implement the approach during 2019-20.

Introduce and roll out the use of performance management

software that enables better performance reporting, analysis and accountability

10.11 We continue to develop and implement new approaches to performance management and planning. This year we introduced new standardised directorate plans, which will improve how we align our business as usual

with strategic delivery work. The work of the new Performance and Improvement department supports this focus. We are currently recruiting

to three posts within the department and will be able to provide increased support once staff are in position.

10.12 We have investigated software, including Power BI and Tableau, to

improve how we report on our operational and strategic performance and to improve the validity and reliability of the data we use. Power BI is

integrated throughout the Office 365 environment so may bring additional advantages. We will progress this work after the implementation of Office 365 and D365.

10.13 We are mapping the wide range of intelligence held across the organisation. This will show the type of intelligence we have, who holds it,

and where it is stored. As a result of this work we are considering a model to make better use of intelligence to inform our decision making at

18

operational and strategic level. This work will inform our choice of performance management software.

Ensure that the SSSC is fully compliant with new data protection legislation

10.14 We have updated the Data Protection Policy in line with our obligations under data protection legislation that was updated by the General Data Protection Regulations (GDPR). New additions to the policy include:

making clear our lawful basis for processing data particular reference to special category data

setting out roles and responsibilities of individuals introducing the formal concept of data champions signposting people to the complaint process should they have concerns

about the terms of the policy establishing the arrangements for carrying out Data Protection Impact

Assessments.

10.15 We will introduce data champions, trained to a higher standard in data protection, to provide frontline advice and guidance to departments for

straightforward data queries. They will assist in the development and delivery of bespoke data protection training and be responsible for

overseeing the annual data audits. Some departments have already started this process and all departments will have a data champion in

place by the end of the financial year.

10.16 We updated and published our Privacy Notice. This makes people aware of why we collect and process personal data, and provides information on

their rights of access, rectification and erasure.

10.17 We developed a risk assessment and data protection impact assessment

process. The risk form identifies data breaches that we must notify to the Information Commissioner’s Office within 72 hours. The data protection impact assessment has already been used for major projects including

digital transformation. Guidance is available for staff on the intranet.

10.18 We updated the annual online data protection training to take GDPR into

account and will deliver bespoke training for each department to complement this.

10.19 We identified one of our mailing lists that now requires consent to enable

us to process data. We removed those who did not provide consent and we will continue to monitor it to ensure all recipients have consented.

10.20 We delayed the review of our retention and records management policies. The retention policy is delayed due to the on-going Scottish Child Abuse Enquiry and the records management review will be revisited following the

introduction of D365 and CMS.

19

Introduce and use new case management system and software to better administer and document FTP cases

10.21 We are delivering the final stages of testing the case management system supplied by Thomson Reuters and we are training staff to use the system.

Staff in the Fitness to Practise and Hearings departments have been testing and working on improvements, to ensure it meets their needs. The system will be ready to go live along with the D365 system in December

2018.

11. Conclusion

11.1 The last six months have seen some progress towards key priorities in our Annual Strategic Delivery Plan, particularly in engagement work and the work to deliver Digital Transformation projects. We have also now

surveyed all registrants and can evidence a baseline of the views about how we deliver our work. This will enable us to measure the impact of

future changes. We continue to deliver the majority of projects as expected, however some project delivery has been delayed or put on hold to focus our resources on delivering Digital Transformation.

11.2 The table on the final pages of this report presents a high-level assessment (red, amber or green based on the key provided below) of

whether or not we are able to demonstrate progress to date against milestones set at the beginning of the year.

11.3 Half-way through 2018-19 we are on track (green) for 8 of the 21 projects listed in our Annual Strategic Delivery Plan. Eleven projects (amber) have seen delays, for the most part due to dependency on delivering our Digital

Transformation programme or refocusing resources to deliver of that work. We have rated two projects as red as they have been put on hold

until work to deliver the current Digital Transformation programme is complete.

11.4 Our business planning for 2019-20 will address those areas where will

need to make progress. These include future proofing the register; our systematic use of business intelligence and considering performance

management software; and improving attendance and representation at hearings.

20

12. Progress assessment as of October 2018

Key

Milestones have been met and we currently anticipate no delays to

planned delivery deadlines. We still expect to deliver the work as planned by the end of 2018-19 (or

in some cases 2019-20), but some milestones have been delayed and/or there is a risk to delivering future milestones due to

dependencies on other work.

At this time, work has not started and has been put on hold due to refocused priorities.

Council

23 October 2018

Agenda item: 21

Report no: 49/2018

Appendix 1

Strategic outcome Projects 2018-19 Assessment of progress Page

ref.

1. The right people are

on the register

Provide improved user experience and

functionality through the new website and MySSSC portal.

Launch is dependent on the go-live

of D365.

Page 6

Increase our direct engagement with the sector.

We delivered 56 events compared to 22 at the same time last year.

Page 6

Increase representation at hearings

With a new Head of Hearings now in

post, we will develop a coordinated programme of work based on research undertaken.

Page 7

Increase attendance at hearings.

Improve the information we provide to employers and registered workers, so they

have a better understanding of when and how to make a referral.

Produced a research-based action plan and Raising Concerns guidance.

Pages 8 and

13

New materials provide improved advice and guidance to support people through

the Fitness to Practice process.

Feedback has informed improvement to existing material.

Page 8

2. Our standards lead

to a safe and skilled social service

workforce.

Registrants and employers increasingly

use and understand the revised Codes of Practice.

Communication campaign carried

out in June to August 2018.

Page

10

3. Our resources

support the professional

development of the social service workforce.

Develop workforce requirements that

reflect developing legislative standards in collaboration with other stakeholders.

Published outcomes support and

planning resource. Established local learning hubs.

Page

12

Lead the delivery of recommendations 6 and 7 in the national workforce plan for

social services.

Research awarded. Careers pathway website launched.

Page 13

22


ref. Using our business intelligence such as

MySSSC transactions, we will develop and publish practice guidance.

Two officers are undertaking the

Scottish Improvement Leadership Programme. We are developing a more systematic approach to using

intelligence.

Page

13

Undertake research to evaluate the impact of registration on social services, focusing on the adult care workforce.

First cycle of customer surveys was carried out. Findings will be considered as part of developing a

research strategy for the organisation.

Page 14


Systematically involve carers and people who use social services in the planning

and delivery of our work.

Delayed due to recruitment. Involving People Lead post is now

filled.

Page 16

Make the hearings process more efficient

and effective.

Paperless hearings are dependent on

the successful delivery of the new Case Management System.

Page

16

Ensure that the SSSC Register remains fit for purpose.

The stakeholder engagement aspect of the work to ensure that the SSSC

Register is future proof is on hold while we focus resources on Digital

Transformation.

Page 16

Introduce cards for people registered so

there is an increased perception of professionalism.

43K cards sent to new and renewing

registrants since March 2018.

Page

17

Transform the way the SSSC works digitally by upgrading our Customer

Relationship Management System.

Launch is dependent on the go-live of D365 in December 2018 (see

below).

Page 17

23


ref.

Provide the tools our employees require to

work in a flexible, agile and mobile manner that meetings business and

customer needs, including moving to Office 365 and reviewing equipment.

Go-live is forecast for December

2018.

Page

17

Develop and implement a customer service quality improvement programme

for the SSSC.

Delayed due to staffing changes, now scheduled for second half of

2018-19.

Page 17

Introduce and roll out the use of

performance management software that enables better performance reporting,

analysis and accountability.

This project has been put on hold

while we focus on Digital Transformation and mapping our

current business intelligence.

Page

17

Ensure that the SSSC is fully compliant

with the new GDPR legislation.

Updated policy and privacy notice. Page

18

Introduce and use new case management system and software to better administer and document FTP cases.

Go-live is forecast for December 2018.

Page 18

Council

23 October 2018

Agenda item: 22.1

Page 1 of 6


Confirmed minutes of the Audit Committee

held on 29 August 2018 at 1.30 pm in Compass House, Dundee

Present: Forbes Mitchell, Chair, Council Member Linda Lennie, Council Member

In Attendance: Professor James McGoldrick, Council Member

Audrey Cowie, Council Member Lorraine Gray, Chief Executive Nicky Anderson, Head of Finance

Kenny Dick, Head of Shared Services Chris Weir, Head of Corporate Governance and Legal

Audrey Wallace, minute taker 1 Welcome ACTIONS

1.1 The Chair welcomed everyone to the meeting confirming that all

Council Members had been invited to attend this meeting in order to offer comment on the draft Annual Report and Accounts.


2.1 Apologies for absence were received from Committee Members Dame Anne Begg, Professor Joyce Lishman and Andrew Rome. It was noted that Council Members Paul Dumbleton, Paul Edie, and

Harry Stevenson were also unable to attend and had given apologies.


3.1 There was no declaration of interest.

4 Quorum

4.1

4.2

The Chair confirmed that the meeting was inquorate and having

received apologies from the other members, the meeting of the Audit Committee was cancelled.

Those present agreed to discuss and offer comment on the Annual

Report and Accounts in order to allow the draft to be amended and submitted to the next meeting of the Audit Committee in September for consideration.

5 Date of next meeting

5.1 Wednesday 26 September 2018 at 1.30 pm

Council

23 October 2018

Agenda item: 22.1

Page 2 of 6

Committee started: 1.30 pm

Committee finished: 1.40pm

Signed _________________________ Date__________________________ Forbes Mitchell

Chair of the Audit Committee

Council

23 October 2018

Agenda item: 22.1

Page 3 of 6


Note of discussion on content of Annual Report and Accounts 2017/18 held on 29 August 2018 at 1.30 pm

in Compass House, Dundee

Present: Forbes Mitchell, Chair, Council Member

Linda Lennie, Council Member

In Attendance: Professor James McGoldrick, Council Member Audrey Cowie, Council Member

Lorraine Gray, Chief Executive Nicky Anderson, Head of Finance

Kenny Dick, Head of Shared Services Chris Weir, Head of Corporate Governance and Legal Audrey Wallace, minute taker

1 Audit Committee Annual Report to the Council 2017/18 -

covering report

1.1 Comment was made on whether reports to committees should be classed as public or confidential. Chris Weir offered legal advice,

referring to Standing Order 12.2.

1.2 The timetable for consideration of the annual accounts was noted.

2 Audit Committee Annual Report to Council 2017/18

2.1 Comments on the Audit Committee Annual Report to

Council

2.1.1

The following discussion took place and comments were offered on

the Audit Committee’s Annual Report 1. enhance the paragraph on the remit of the Audit Committee

to include reference to the Scottish Government’s Audit and Assurance Committee Handbook, published earlier in the year

2. consideration was given to the wording to describe the quality

of the internal audit and it was considered that the wording

was appropriate

3. priorities for the coming year were discussed including taking the ethos of Corporate Governance to the Council, by way of development sessions, including not only governance but also

EFQM and self-evaluation

4. Linda Lennie requested that her attendance as an observer at a meeting of the Audit Committee be noted. It was agreed to

review and amend the attendance record

Council

23 October 2018

Agenda item: 22.1

Page 4 of 6

5. review of risk is to include reference to the changes that were

made to the Risk Policy

6. it was noted that the Audit Committee Effectiveness Review next year will be based on the Scottish Government’s updated

Audit and Assurance Committee Handbook

7. there was some discussion on the procurement process for

internal auditors and the proposed process for extension of contract and future procurement of the service.

These comments were noted and the draft report would be amended accordingly.

2.2 Draft Annual Report and Accounts 1 April 2017 to 31 March

2018

2.2.1 The Members and officers present discussed the annual report and

accounts and the following issues were raised and discussed (P = page number)

P4 – clarification was made that the audit plan, and therefore the

work of the audit committee, relates to the Strategic Risk

Register which links to the strategic plan P5 – change sentence to ‘We introduced the fee increase with

little disruption to our systems. We received very few complaints about the increase following introduction.’

- The wording of the point regarding the registration card to

be reworded to clarify in what way this supports our strategic outcomes

P8 – expand the last paragraph to include employees and associates

P9 – concern had been expressed that the professionalism of

Social Workers appears to be blurring as the register has opened up to all workers in the social services sector,

however it was noted that professional recognition is important for all employees

P10 – change ‘solely’ to ‘mainly’

P12 – the results of this year’s customer survey were broken down into employer and employee categories but reported as a

whole number in this report P13 – do the arrows within the table 2, on strategic outcome

measures, assist in interpreting the information P15 – in table 3, last point on project 2c, is it possible to give a

breakdown of the which part of the register is most

represented at hearings P16 – discussion on what having a confident workforce means and

it was suggested that having a confident workforce relates to confidence given by knowledge, training and development

- in second last paragraph, add wording that the SSSC ‘takes steps’ to make sure that registrants know and understand

Council

23 October 2018

Agenda item: 22.1

Page 5 of 6

the codes of practice - in the last paragraph, add text before the figure of 78% eg

‘Of those surveyed, 78%...’ P19 – in table 7, correct the reference to NES

P22 – be consistent in referring to the phrase ‘the SSSC way’ P27 – in table 11, the term ‘unique individuals’ indicates workers

who are registered on more than one part of the register P30 – in the second paragraph, consider enhancing the reference

to whistleblowing; it shows that workers are professional

and caring P31 – commented on and noted that this is first evidence that the

concept of Dementia Ambassadors work, in that care homes with ambassadors achieve higher grading in inspections. Consider including something in the opening statement

P36 – in 2.5, could we include any resources relating to Self Directed Support?

P37- under environmental impact, can we add a reason as to why the work didn’t progress, bearing in mind we are working towards a paperless office

P38, 48 and 55 – check consistency of EMT membership P43 - under organisational structure, some changes to be made to

the wording of the membership – ie, delete professional bodies and include regulation

P45 – separate Policy Forum from the list of committees which

report to Council P47 – attendance records to be reviewed and re checked

P51 – clarification was made on the complaints process P57 – under the table of Council Members further information

should be provided on Paul Edie’s appointment terms

P61 – clarification was given on the difference between agency workers and consultants. And a note to be included to be

say that temporary and part-time workers salaries are grossed up to a full year

P68 – clarification was given on the breakdown of exit costs

included in the table P69 – it was noted that the percentage of time spent on facility

time was shown in time brackets which were legally stipulated.

2.2.2 The comments and suggested changes were noted and would be incorporated in the next draft which would be submitted to the

next meeting of the Audit Committee.

3 External audit progress on the audit of financial statements 3.1 Kenny Dick confirmed that the SSSC would receive an unqualified

opinion from the auditors, they had no significant recommendations but there was a comment on the length of the

report.

Council

23 October 2018

Agenda item: 22.1

Page 6 of 6

Discussion started: 1.40 pm

Discussion finished: 3.00pm

Council

23 October 2018

Agenda item: 22.2

1


Unconfirmed minutes of the Audit Committee

held on 26 September 2018 at 1.30 pm in Room 5, Compass House, Dundee

Present: Andrew Rome, Council Member (Vice chair) Professor Alan Baird, Council Member

Audrey Cowie, Council Member Linda Lennie, Council Member

In Attendance: Lorraine Gray, Chief Executive Officer

Kenny Dick, Interim Director of Corporate Services Nicky Anderson, Head of Finance

Martin Campbell, Head of Fitness to Practise Chris Weir, Head of Legal and Corporate Governance Gary Devlin, Scott Moncrieff

Joanne Brown, Grant Thornton Angelo Gustinelli, Grant Thornton

Audrey Wallace, minute taker

Observing: Theresa Allison, Council Member Keith Redpath, Council Member

1 Welcome ACTIONS

1.1

1.2

In the absence of Forbes Mitchell, the Chair, who had submitted apologies, the Vice chair Andrew Rome chaired the meeting and

welcomed everyone including the three recently-appointed Council members.

The members wished Forbes a speedy recovery.

1.3

1.4

Chris Weir advised members on the interim makeup of the committee membership, explaining that he had been made aware that the meeting was likely to be inquorate and acted in

terms of Standing Order 19.1, disposal of urgent business. The Convener and Chief Executive had met and decided to appoint

interim members to the committee in order to allow business to be taken forward and necessary decisions made.

It was noted that a report on the permanent membership of committees would be put before Council in October.

Head of

LCG


2.1 Apologies for absence were received from Dame Anne Begg,

Council Member, Forbes Mitchell, Council Member and Chair

and Maree Allison, Director of Regulation.

Council

23 October 2018

Agenda item: 22.2

2


3.1 Keith Redpath declared an interest as a member of the board of

the Care Inspectorate. It was noted that he was attending this meeting as an observer.

4 Minutes of previous meetings

4.1 Minutes of meeting of 30 May 2018

4.1.1 The minutes of the meeting held on 30 May 2018 were approved as a correct record subject to

reference to Andy Rome to be consistent throughout the minute as ‘Vice-chair.’

item 14.2 be clarified by changing the wording to ‘that a future policy forum meeting could focus on policy changes and policy developments in respect of public service reform,

integration of health and social care, integration of children’s services, self-directed support and community

empowerment’.

Cttee sppt

4.2

4.2.1 4.2.1.1

4.2.2

4.2.2.1

Matters arising

General Data Protection Regulations (GDPR) Chris Weir advised that a report on the Council’s position with

regard to GDPR would be presented to the October meeting of the Council and that GDPR would remain on the risk register

until the report was considered. Internal Audit Reports

Gary Devlin confirmed that the reports presented by internal

audit would revert back to the style which had been previously used and with which members were more familiar.

Head of

LCG

Internal

Auditors

4.3 Minutes of meeting of 29 August 2018

4.3.1 The minutes of the meeting held on 29 August 2018 were approved as a correct record subject to the date of the next meeting being corrected to read 26 September 2018.

Cttee Sppt

4.4 Note of discussion of meeting of 29 August 2018

4.4.1

4.4.2

The note of the meeting held on 29 August 2018 was approved as a correct record.

Audrey Cowie commented that a number of the changes

suggested at the meeting had not been made to the version of Annual Accounts now issued to members and Andy Rome confirmed that these would be discussed during item 8 below.

Council

23 October 2018

Agenda item: 22.2

3

4.5 Matters arising

4.5.1

4.5.1.1

Categorisation of reports as public or confidential

Gary Devlin advised that new guidance on governance and

transparency had been issued by Audit Scotland. Chris Weir confirmed that a report on the categorisation of reports to Council and Committee would be submitted to Council in

January. It was noted that the majority of reports are currently categorised as public documents however Committee meetings

are held in private.

Head of

LCG

6 Audit Committee action record

6.1 The Committee noted the Audit Committee action record.

7

7.1

Internal Audit reports

2018/19 Internal Audit Plan progress report

7.1.1

7.1.2

Gary Devlin presented report 12/2018 which provided a summary of progress against the internal audit plan for 2018/19. He confirmed that the plan was on track to be

delivered on time.

He advised on changes to the team including that Grace Scanlon was the new account manager for the SSSC. After noting that Mrs Scanlon’s husband is a social worker it was

agreed to put safeguards in place to ensure there would be no conflict of interest as noted below.

7.1.3 The Committee:

1. noted the progress against the 2018/19 internal audit plan

2. noted the change to the internal audit team

3. agreed that where an audit of fitness to practise was being

carried out, this would be supervised by Gary Devlin rather than Grace Scanlon

4. agreed that if Mrs Scanlon’s husband is referred to fitness

to practise then the auditors must inform the Audit Committee to ensure that any risk is managed.

Internal

auditors

Internal

auditors

7.2 Audit Committee Handbook – summary of 2018 changes

7.2.1 Gary Devlin presented report 13/2018 which was a summary of the changes made to the Scottish Government’s Audit Committee handbook. It was noted that this was now named

the Audit and Assurances Committee Handbook and was issued in April this year.

Council

23 October 2018

Agenda item: 22.2

4

7.2.2 Kenny Dick confirmed that he planned to bring a report to the

Committee meeting in December 2018 on action required following the changes and it was noted that a similar piece of

work was being brought to the Audit Committee of the Care Inspectorate within a similar timescale.

7.2.3 There was some discussion around timeframe for making any

changes and becoming compliant and GD suggested that it

would be appropriate to make these within a year of the issue of the document.

7.2.4 The Committee

1. agreed that a development date in late November would be arranged for members of the Audit Committee with all

Council members and EMT invited to attend

Head of LCG

2. agreed that a paper be submitted to the Committee in

December 2018 and to Council in January 2019.

Interim

Director of CS

7.3 Internal Audit Report 2018/19 – Follow-up review

7.3.1 Gary Devlin presented report 19/2018 which provided a summary of progress made towards implementing actions in

response to audit recommendations that were due for action by 31 August 2018.

7.3.2

7.3.3

7.3.4

It was noted that good progress had been made on a number of actions however four of the five open actions on Workforce

Planning were still incomplete and extensions had been requested.

The Committee discussed their concerns at the extensions requested, noting that there had been a number of staff

changes as a result of the organisational restructure and the introduction of the new HR/payroll system had impacted on availability to carry out the necessary work.

Lorraine Gray answered questions on the proposals to meet the

revised deadlines, if agreed.

7.3.5 The Committee: 1. considered and approved the report including the time

extensions requested.

8 Annual Report and Accounts 8.1 Annual Report and Accounts 1 April 2017 – 31 March

2018

Council

23 October 2018

Agenda item: 22.2

5

8.1.1

8.1.2

8.1.3

8.1.4

8.1.5

The Committee considered report 14/2018, the revised draft

Annual Report and Accounts 2017/2018.

Audrey Cowie advised that she noted a number of proposed amendments suggested at the discussion on 29 August 2018

had not been made to this version. Lorraine Gray explained that all suggestions had been

considered and a number of changes made.

The Committee discussed the ownership of the Chief Executive’s statement, the responsibilities of the Chief Executive as Accountable Officer and the importance of open

communication.

Thereafter it was agreed that the following changes would be made and an updated version presented to Council in October for approval

Liz Mackinnon would change the reporting of percentages in the document to show the percentage as a percentage of

the number of people surveyed the reference to NES would be corrected on page 19 the attendance record at page 48 would be amended to

show a further meeting attended by Linda Lennie.

Head of P &

I

8.2

Combined ISA260 report to those charged with governance and annual report on the audit

8.2.1 Joanne Brown and Angelo Gustinelli presented report 15/2018 which provided a summary of the external auditor’s findings

from their work with the SSSC in the financial year ended 31 March 2018.

8.2.2

8.2.3

8.2.4

8.2.5

The adjustments to two matters, relating to the digital transformation strategy and also to pensions were noted.

JB also confirmed that some information on the digital strategy was still to be finalised and that would be added to the

document.

JB further confirmed that the SSSC had been awarded an unmodified opinion.

The Committee commented that the report reflected very well on the organisation and noted the report.

8.3 Audit Committee Annual Report to the Council

8.3.1 The Committee considered the Audit Committee Annual Report

to Council for 2017/18.

8.3.2 The Committee

Council

23 October 2018

Agenda item: 22.2

6

1. commented favourably on the report

2. approved the report for submission to Council in October.

Chair of

Audit Cttee

9 Strategic Risk Register monitoring 9.1

9.2

Kenny Dick verbally reported on the operational arrangements

in place in regard to monitoring the risk register. These arrangements included risks being monitored by EMT with any

issues being brought to the attention of the Committee. It was noted that one of these issues would be the emerging

fitness to practise risk, which was the subject of the following item.

10 Emerging fitness to practise risk

10.1 Martin Campbell presented report 17/2018 which provided members with information about the emerging risk in the

fitness to practise department in relation to the numbers of cases being opened exceeding the numbers being closed.

10.2 The Committee heard the mitigating circumstances for the current imbalance including the current use of staff resource on

work associated with the digital transformation strategy.

10.3

10.4

The Committee also heard assurances from EMT members that

the risk was being closely monitored and managed.

The Committee

1. noted the emerging risk

2. requested an update report to the next meeting of the

Committee in December.

D of

Regulation 11 ICT Shared Service cessation – lessons learned

11.1

11.2

Kenny Dick presented report 18/2018 which outlined the

learning points from the independent review commissioned to establish lessons learned from the SSSC’s recent split from the

ICT shared service with the Care Inspectorate. Members noted that the lessons learned would be incorporated

into the development of the Service Level Agreements with the Care Inspectorate.

13 Horizon scanning

13.1

The following reports were mentioned and noted that these would be placed on basecamp when available

Council

23 October 2018

Agenda item: 22.2

7

13.2

Audit Scotland – Governance and Transparency Brexit and the public sector

NHS – overview report.

Gary Devlin also reminded members that Scott Moncrieff was running a development session to which all Audit Committee

members were invited. 14 Calendar of business

14.1 The calendar of business was noted.

15 Extracts on risk from committee minutes 15.1 The risks flagged up at Committee and Council meetings were

noted. The new risk raised at this meeting was the possibility of a consultation on review of fees being fairly imminent.

16 AOCB 16.1 Cross-reporting between Audit and Resources

Committees

16.2 Chris Weir suggested and it was agreed to put in place a cross-reporting mechanism between Resources Committee and Audit Committee whereby any risks identified at Resources

Committee would be flagged up to the Audit Committee.

Ctte Sppt

17 Confidential items 17.1 Confidential items were discussed and minuted separately.


18.1 The next meeting will be held on 5 December 2018 at 1.30 pm.

Committee started: 1.30 pm Committee finished: 3.10pm

Signed _________________________ Date__________________________ Andy Rome Vice-chair of the Audit Committee

Council

23 October 2018

Agenda item 22.3

1


Unconfirmed minutes of the Resources Committee

held on 26 September 2018 at 10.30 am

Room 5, Compass House, Dundee

Present: Audrey Cowie, Council Member (Chair) Theresa Allison, Council Member Keith Redpath, Council Member

In Attendance: Lorraine Gray, Chief Executive

Kenny Dick, Interim Director of Corporate Services Nicky Anderson, Head of Finance

Liz MacKinnon, Head of Strategy and Performance

Chris Weir, Head of Legal and Corporate Governance Marnie Westwood, Interim Head of Human Resources

Gillian Berry, Senior Accountant (CI) (item 8) Audrey Wallace (minute taker)

Observers: Professor Alan Baird, Council Member

1 Welcome ACTIONS 1.1 Audrey Cowie welcomed everyone to the meeting including three

new Council members. AC also congratulated the staff members present who had recently been awarded promoted posts, including

Lorraine Gray, Kenny Dick, Liz Mackinnon, Chris Weir and Marnie Westwood.

1.2 Chris Weir explained the reasons behind the change to the committee membership. He had been made aware that the

meeting was likely to be inquorate and therefore in terms of standing order 19.1, disposal of urgent business, the Convener and Chief Executive had met and decided to appoint interim members

to the Committee in order to allow the meeting to take place and decisions to be made.

Head of LCG


2.1 Apologies for absence were received from Paul Dumbleton and Forbes Mitchell, Council Members and Maree Allison, Director of

Regulation.


3.1

Keith Redpath declared that he is a member of the board of the

Care Inspectorate.

Council

23 October 2018

Agenda item 22.3

2

4 Minutes of previous meeting – 30 May 2018

4.1 The minutes of the meeting held on 30 May 2018 were approved

as a correct record subject to the following change 15.1 – include the words ‘since the review’.

Ctte Sppt

5 Matters arising

5.1 5.1.1

Role of the Resources Committee around budget monitoring With reference to the role that the Resources Committee plays in

budget monitoring, Kenny Dick advised that the process was that the Executive Management Team (EMT) reviewed the “projections

at significant risk to change” section of the budget monitoring report. Following this review if there are particular risks or concerns to the financial position the EMT would flag these up to

the Resources Committee for consideration and possible action; but in the main, the Committee would only be asked to note and be

aware of these issues.

5.2 5.2.1

Request for authorisation to travel outwith the UK Lorraine Gray confirmed, apart from visits to Ireland as part of the

five countries forum, that there were likely to be none or very few requests for travel outside the UK.

5.3

5.3.1

Review of the Performance Development Review System

Audrey Cowie requested that links to the staff objectives be placed within the information under the Development Discussion area of

the intranet.

Interim Director of

CS

5.4

5.4.1

5.4.2

5.4.3

Draft revised Financial Strategy

A paper showing a chart of the breakdown of the 2018/19 budget

as it relates to the percentage spent on regulation was circulated. It was noted that this would be posted on basecamp for all Council members.

Kenny Dick confirmed that work was ongoing on processes to

breakdown and show the costing of the SSSC’s processes to its stakeholders.

It was noted that the Audit Committee and Resources Committee should make sure that matters relevant to both committees are

cross-reported to each committee.

Ctte Sppt

Interim

Director of CS

Ctte Sppt

5.5

5.5.1

Follow up from the annual committee effectiveness review

It was noted that when a risk is identified involving SSSC resources

then the Committee should be given details of the risk.

Interim

Director of CS

Council

23 October 2018

Agenda item 22.3

3

5.6

5.6.1

AOCB

It was noted that Chris Weir was arranging training for Council

members on General Data Protection Regulation (GDPR) and notification of this would be sent out.

Head of

LCG

5.7 Salary Protection Policy - update

5.7.1 Marnie Westwood confirmed that there had been a meeting of the Partnership Forum to discuss the salary protection policy where the difference in viewpoints between the union and the pensions

section became apparent. A further meeting would be held with all parties in attendance in order to work out the best way forward.

Interim D of CS

5.8 Involving People Lead - update

5.8.1

5.8.2

5.8.3

5.8.4

Lorraine Gray provided an update that following the unsuccessful advertisement of the post, a member of staff from the learning and

development team had been seconded for one year to carry out work.

Because of the short timescale available, the person in post would be tasked with creating a plan to be taken forward in order for the

SSSC to have more useful contact with users of services and carers. This should include ways in which staff would spend more

time with these stakeholders to gain first-hand knowledge of their living experience.

There was discussion on the possibilities for this post and the future of the SSSC’s communication with people who use services

and carers. The Committee also discussed what support should be put in place to take the plan forward, such as a programme board or working group.

The Committee agreed

1. that a report be presented to the Council meeting in October.

Head of P & I

5.9 Financial Strategy - update

5.9.1

5.9.2

5.9.3

Kenny Dick suggested a change to the timing of reporting on the Financial Strategy. The Strategy covers seven years and is reviewed annually (usually in June of each year).

The Financial Strategy is based on the budget report each year

which contains the current year budget and indicative budget for the following two years. It is proposed that the Financial Strategy is revised and updated in quarter four i.e. at the same time as the

draft budget is submitted for agreement.

The Strategy is currently based on a growing register. However, after 2020, when the final part of the register opens, the Council

Council

23 October 2018

Agenda item 22.3

4

5.9.4

5.9.5

will be in a more stable position with the register fully operational.

The Financial Strategy needs to incorporate a move from a focus on dealing with the resources required to deal with a growing

register to a focus on process efficiency and directing resources to where the greatest added value to the achievement of our strategic outcomes can be delivered.

During discussion it was noted that the savings from the revised

hearings process may be reinvested into taking forward the Access to Justice initiative. It was also noted that at a meeting with the Sponsor, raising fees was discussed. It was decided this needed to

be discussed at the upcoming Sponsor Accountability meeting

The Committee 1. agreed the proposed change to the timing of the Financial

Strategy.

CEO

6 Resources Committee action record

6.1

6.2

The action record was revised and a copy of the revised version will to be posted on basecamp.

It was noted that a report on Learning and Development Manager, Keith Quinn’s, participation in the Federation of Social Work

Conference, Dublin, (4-7 July 2018) would be presented to the meeting of the Committee in December.

Ctte Sppt

D of D & I

7 Budget monitoring report as at 31 August 2018

7.1 Nicky Anderson presented report 20/2018 which provided the Committee with the budget monitoring position on the core operating budget and specific grant funding for the year to 31

March 2019.

7.2

7.3

The main areas highlighted were: savings made in staff costs savings made since moving to a fitness to practise model of

regulation savings made in the print and design budget

there is an unplanned projected overspend of £319k, based on the digital transformation strategy and the management of the funding for this

savings of £142k are needed in order to keep the general reserve at 2%.

Nicky confirmed that the position at this time of the financial year was not a significant cause for concern.

7.4

Keith Redpath asked for some background on the business case

and budgeting information on the Digital Transformation Strategy and after giving a brief history of the events leading to the full

Head of

LCG

Council

23 October 2018

Agenda item 22.3

5

strategy, it was noted that a number of reports would be made

available to the new Council members to make them aware of the history.

7.6 The Committee

1. considered the core operating budget monitoring statement for the year to 31 March 2019 (at appendix A to the report)

2. considered the specific grant funding budget monitoring

statement for the year to 31 March 2019 (at appendix B to the

report)

3. considered the summary of ICT digital transformation requirements for 2018/19 and ICT recurring costs for 2019/20 (at appendix C to the report)

4. noted the areas of specific attention in section 7 of the report

5. noted the general reserve position detailed in the report.

8 Procurement update and performance report 2017/18

8.1

8.2

8.3

Gillian Berry presented report 21/2018 which advised the Committee of procurement developments and performance for the

SSSC in 2017/18. She advised that this would be the second year that the report would be published.

It was noted that the SSSC’s compliance rate was very high at 99%, considerably higher than peer bodies.

Gillian further asked the Committee to note that although opportunities to show areas of sustainability were minimal, the

SSSC has sought to ensure that contractors’ employees are paid the living wage.

8.4 The Committee

1. commented upon and noted the annual procurement report 2017/18

2. agreed that the annual procurement report for the year ending

31 March 2018 is published on the external website. Interim

Director of

CS

9 Revised Corporate Health and Safety Policy 9.1

9.2

Kenny Dick presented report 22/2018 along with the proposed

corporate health and safety policy which was the result of a review of the health and safety provision carried out in 2017.

Liz MacKinnon outlined the staff consultation measures which had

Council

23 October 2018

Agenda item 22.3

6

9.3

taken place including an organisation-wide health and safety

working group and also consultation with the partnership forum.

A number of areas and questions were raised in discussion inclusion of health and safety as a standing item for the

Resources Committee

are there robust health, safety and wellbeing management systems in place

can the framework for measuring performance be included as an appendix to the policy

how do we carry out risk assessments referred to in paragraph

2.2 of the policy can a reference to a policy on referrals to occupational health

be included Liz Mackinnon, Head of Strategy and Performance to update

the Committee in due course on the action plan.

Ctte sppt

ID of CS

ID of CS

ID of CS

ID of CS

H of S&P

9.4 The Committee

1. approved the policy

2. requested further information on the points noted above.

10 People Management Policy development

10.1 Marnie Westwood presented report 23/2018 which provided the Committee with a proposal on how the development of policies within the shared service of Human Resources and Health and

Safety will progress.

10.2 She advised that the plan was not to duplicate work unnecessarily, but where appropriate take cognisance of the differences between the organisations.

10.3 The Committee

1. agreed to adopt a joint approach to policy development, where appropriate, with shared services developing joint policies for

SSSC and CI

2. noted the work being undertaken on existing policies and procedures to bring best practice and consistency across both the SSSC and the CI

3. noted that where relevant and if a difference in policy is

required, there may continue to be separate policies for each organisation

4. agreed that a revised policy review plan would be submitted to Committee in December 2018.

H of HR

Council

23 October 2018

Agenda item 22.3

7

11 Environmental impact report

11.1 Kenny Dick presented report 24/2018 to which was attached the

Environmental Impact Statement and which gave the committee an opportunity to comment upon the annual environmental impact report within the SSSC’s Annual Report and Accounts.

11.2 The Committee

1. recommended to the Council that the 2017/18 Environmental Impact Report should be approved as part of the Annual

Report and Accounts approval process

2. agreed that the first draft of the Environmental Impact Report be considered when the draft Annual Report and Accounts is considered in June of future years

Interim Director of CS/Cttee

Sppt

3. noted a revised carbon management plan is intended to be submitted for the Committee’s consideration in 2018/19

4. noted that the SSSC’s statutory climate change return will be

submitted to Keep Scotland Beautiful by the November 2018

deadline.

ID of CS

12 Update from Audit Committee 12.1 Audrey Cowie advised that the Audit Committee will consider the

external review report on Shared Services and specifically the governance arrangements and lessons learned relating to digital

transformation.

13 Recruitment to the digital support team

13.1

13.2

Kenny Dick presented report 25/2018 which updated members on

the staffing establishment for the digital team since the last meeting of the committee in May.

The Committee noted the progress with the creation, advertising and filling of the posts.

13.3 The Committee

1. noted the new posts created by the agreed accelerated approval process since the last meeting of the Committee on

30 May 2018: a. IT/digital Manager graded at D6 (£35,733-£39, 069)

b. 2nd level Technical analyst graded at D7 (£31,083 -

£34,344).

Council

23 October 2018

Agenda item 22.3

8

14 Schedule of committee business

14.1 It was noted that the schedule of business would be updated in

accordance with discussions today.

Ctte sppt

15 Risk identification

15.1 The two risks identified at the meeting were that the Sponsor had requested budget savings and the interest in reviewing registration fees.

16 Confidential items

16.1 The confidential items were discussed and minuted separately.

17 Date of next meeting

17.1 The next meeting of the Committee is scheduled to be held on Wednesday 5 December 2018.

Committee started: 10.30am

Committee finished: 12.10 pm

Signed …………………………………………………………..

Audrey Cowie Chair of the Resources Committee

Date ……………………………………………………………………


Agenda item: 22.4

1


Unconfirmed minutes of the Fitness to Practise Committee held onThursday 27 September 2018, at Discovery Point, Dundee.

Present: Audrey Cowie, Council MemberAndy Rome, Council MemberWilliam AtkinsonAnna BowmanMartyn CampbellKeith CarruthersDouglas CochraneMargaret CouttsDavid CuthillLawrie DavidsonLol GoddardJoan GowansDeirdre HendersonRuth KellyCharles LivingstonePaula LoweSean McGleenanIan McDonoughAlasdair MacMillanJanice PalmerAnne PetrieCathy MonteithGraham MonteithGail RobertsonGraham RossBryan SmithEileen StewartDavid TierneyIsobel TownsendIan TurnerAlaina Walker

In attendance: Hannah Coleman, Head of HearingsDavid Kydd, Team Leader, HearingsAudrey Wallace, Team Leader Corporate GovernanceEilean Blair, Business Support Assistant

1. Welcome

1.1 Audrey Cowie welcomed everyone present to this, the first meeting of theFitness to Practise Committee. Hannah Coleman advised members on thechanges to the organisational structure as well as the changes to thehearings processes which have taken place since the last triennial meetingin 2015.


Agenda item: 22.4

2


2.1 Apologies for absence were intimated on behalf of 63 committee memberswho were unable to attend.

3. Declaration of interests

3.1 Declarations of interest were made as registrants by all social serviceworkers in attendance.

4. Fitness to practise - outcomes and disposals – report no 01/2015

4.1 Hannah Coleman presented report 01/15 on the outcomes and disposalsof the fitness to practise panel meetings held between April 2016 to March2017 and April 2017 to March 2018. Particularly noted was the increase inthe percentage of temporary orders granted and the number of temporaryorders granted on review.

4.2 During discussion on hearings, outcomes and statistics the followingpoints and questions were raised:

are there statistics on how many hearings were cancelled whereworkers had voluntarily removed themselves from the register

are there statistics on disposals where workers were present andwhere workers were not present or represented

can SSSC take any steps to facilitate more workers beingrepresented at hearings

is there anything about the process that has an impact on thesanction depending on whether there is representation or not

do employers have a duty to ensure workers are aware of theirresponsibility and the consequences of unacceptable actions, whetherin work or outside work

does the SSSC have a policy on the use of video conferencing forworkers and/or registrants to enable them to attend hearings

does the SSSC hold information on barriers to people attendinghearings

should the registration and renewal process be more robust inensuring that workers are aware of the responsibility they have inworking in the sector?

4.3 Hannah Coleman responded to the issues raised mentioning the followingpoints:

Hannah referred to the Rules in relation to video conferencing andnoted that there was provision for evidence to be given by thismethod. The hearings team is now offering video conferencing toworkers on a more consistent basis to enable them to attendhearings and it is likely that panel members will see in increase inhearings employing the use of this as a result. As well as looking atoptions to let workers know of support available to them in attending


Agenda item: 22.4

3

hearings work is on-going in order to encourage more workers toattend hearings

Hannah will discuss raising awareness of codes of practice andimparting to workers that they must embrace and adhere to these aswell as how to ensure that employers also raise awareness with theirworkers and with colleagues as appropriate

regarding workers attendance and engagement with the hearingsprocess, Hannah advised that any engagement with the SSSC wasnoted and viewed as positive and not necessarily only the attendanceat a hearing, but also engagement with any part of the process.

4.4 The Committee resolved:

i. to note the outcomes and disposalsii. to note the work on-going in the SSSC with regard to Access to

Justice and gathering of information to assist in making hearingsmore accessible to workers

iii. to note that information on outcomes and disposals is provided to theCouncil.

5. Training programme for members of the fitness to practise panels

5.1 Hannah Coleman presented report 02/2018 which set out the trainingprovided to panel members and sub-committee members over theprevious three years and also the proposals for the coming three years.The content of some sessions is still to be decided and Hannah asked thatany suggestions for specific training should be directed to her to consider.

5.2 The Committee considered and noted the proposed training programme.

Signed:

Fitness to Practise Committee

Date:…………………………………………………………

4

Fitness to Practise Committee27 September 2018

Agenda item: 04Report no: 01/2018

Title of report Fitness to Practise Panel outcomes and disposals



Summary/purpose ofreport

To inform the Fitness to Practise Committee of theoutcomes and disposals of the Fitness to PractisePanel meetings held between April 2015 and April2018.

Recommendations The Committee is asked to:

1. note the outcomes and disposals of the Fitnessto Practise Panel meetings held between April2015 and April 2018

2. note that this information on outcomes anddisposals will be presented at the next meetingof the Council.


Outcome 1: The right people are on the Register.

Link to the RiskRegister


Risk 1: That failures in our regime of registration orfitness to practise leads to public protection failure.

Risk 2: The SSSC is not able to demonstrate to ourstakeholders (including SG) that its operationalactivity is fulfilling its strategic outcomes.

Author Hannah Coleman

Head of Hearings

Tel: 01382 207155

Documents attached Appendix 1: Graphs showing outcomes

2

1. INTRODUCTION

1.1 The Fitness to Practise Panels act in terms of the Scottish Social ServicesCouncil (Fitness to Practise) Rules 2016 as amended by the Scottish SocialServices Council (Fitness to Practise) (Amendment Rules) 2017. TheSSSC (Fitness to Practice) Rules 2016 came into force on 1 November2016, and were amended by the Amendment Rules on 1 December 2017.Fitness to Practise Panels are convened to deal with business which hasbeen referred, by way of requests for hearings from the Fitness to Practisedepartment (FtP), to consider whether a worker’s fitness to practise isimpaired.

1.2 Temporary Order hearings make determinations about the application oftemporary orders on a worker’s registration.

1.3 Impairment Hearings consider whether a sanction needs to be imposedupon the worker’s registration.

1.4 Application Hearings consider whether or not to grant a worker’sapplication for registration.

1.5 In terms of the Council’s governance processes, this report is presented tothis committee to consider and is thereafter reported to Council.

2. CASES DEALT WITH BY FITNESS TO PRACTISE PANELS

2.1 The following paragraphs set out the outcomes decided by Fitness toPractise Panels since the last meeting of the Conduct Committee on 2September 2015.

2.2 Attached at Appendix 1 are graphs which also show the below outcomes.

2.1 April 2016 – March 2017:

2.1.1 Impairment Hearings

3 cases were transferred to Impairment Hearings and concluded, with thefollowing outcomes:

2 workers were removed from the Register 1 worker was found not to be impaired.

2.1.2 Application Hearings

No hearings were referred to Application Hearings.

2.1.3 Initial Temporary Order hearings

34 cases were referred to Temporary Order Hearings and the followingdecisions made:

3

2 TCOs were made 21 TSOs were imposed 11 TSOs were refused.

2.1.4 Temporary Order hearings – reviews

33 cases were referred to Temporary Order Hearings for review and thefollowing decisions were made:

32 TSOs were imposed 1 TCO was imposed.

2.1.5 In respect of final outcomes for cases closed in which a TO had previouslybeen granted, out of the 170 cases closed in this year, 69% received asanction with 48% being removed from the register*.

2.1.6 Appeals

5 decisions made by panels at hearings were appealed to the SheriffCourt. 3 were dismissed, 1 was upheld and 1 remains outstanding.

2.2 April 2017 – March 2018

2.2.1 Impairment Hearings

70 cases were referred to Impairment Hearings and concluded, and thefollowing outcomes imposed:

45 workers were removed 1 worker was suspended and had conditions imposed 1 worker was issued with a warning and had conditions imposed 6 workers were issued with warnings 17 workers were found not to be impaired.

2.2.2 Application Hearings

14 cases were referred to Application Hearings and the following decisionsmade:

6 workers had their applications for registration refused 4 workers were registered with conditions 4 workers were registered.

2.2.3 Initial Temporary Order hearings88 cases were referred to Temporary Order Hearings and the followingdecisions made:

64 TSOs were imposed 1 TCO was imposed 23 TSOs were refused.

4

2.2.4 Temporary Order hearings – reviews

73 cases were referred to Temporary Order Review Hearings and thefollowing decisions made:

69 TSOs were imposed 2 TCOs were imposed In 2 cases further orders were refused.


2.2.6 Appeals

4 decisions made by panels at hearings were appealed to the SheriffCourt. 2 were dismissed, 1 was upheld and 1 remains outstanding.


3.1 None.


4.1 The outcome of this report will have no negative impact on people withone or more protected characteristics and a full Equality ImpactAssessment is not required.


5.1 Impairment Hearings, Application Hearings and Temporary Order Hearingsoperate in accordance with the Scottish Social Services Council (Fitness toPractise) Rules 2016 as amended by the Scottish Social Services Council(Fitness to Practise) (Amendment Rules) 2017.


6.1 No stakeholder engagement was required as this is a statistical report.


7.1 Registration and regulation of the social service workforce contributes tothe protection of service users and carers.

5

8. CONCLUSION

8.1 Fitness to Practise Committee members are asked to note the outcomesand disposals of the Impairment Hearings, Application Hearings andTemporary Order Hearings and further note that this will be reported tothe next meeting of the Council.


9.1 None.

* These figures include all cases closed within the financial year, both those dealt with under the Conduct Rulesand those dealt with under the Fitness to Practise Rules.

6



Appendix 1

7

33%

67%

Impairment Hearings - FY 2016/2017

No Impairment

Removal

6%

62%

32%

Temporary Orders - 2016/2017

TCO Imposed

TSO Imposed

TSO Refused



Appendix 1

8

3%

91%

3% 3%

Temporary Order Reviews - 2016/2017

Further TCO Imposed

Further TSO Imposed

TSO Continued

TSO Imposed

24%

64%

2% 9%

1%

Impairment Hearings - 2017/2018

No Impairment

Removal

Suspension & Conditions

Warning

Warning & Conditions



Appendix 1

9

28%

29%

43%

Application Hearings - 2017/2018

Register

Register with Conditions

Registration Refused

1%

73%

26%

Temporary Orders - 2017/2018

TCO Imposed

TSO Imposed

TSO Refused



Appendix 1

10

2%2%

93%

1%1% 1%

Temporary Order Reviews - 2017/2018

Further TCO Imposed

Further TCO Refused

Further TSO Imposed

Further TSO Refused

TCO Imposed

TSO Imposed

17%

79%

4%

Outcomes of Impairment Hearings for which TemporaryOrder had been granted previously 2016-2017

No Impairment

Removal

Warning



Appendix 1

11

14%

86%

Outcomes of Impairment Hearings for which TemporaryOrder had been granted previously 2017-2018

No Impairment

Removal

1



Title of report Training Programme for Members of the Registrationand Conduct Committees




The purpose of this report is to review the trainingand development programme for members and toadvice the Registration, Conduct and Fitness toPractise Committees of training proposals for the2018-2021 reporting period. These proposals willalso be reported to the Council at its next meeting.


1. consider the training and developmentprogramme.



Outcome 4: Our stakeholders value our work.






Head of Hearings

Tel: 01382 207155

Documents attached Appendix 1: Table of training 2015 - 18

Appendix 2: Table of training 2018 - 21

2

1. INTRODUCTION

1.1 The Registration and Conduct Committees are required in terms of theCouncil’s governance to consider the training requirements of members ofthe respective Committee. This report outlines proposals for members’continued development and training, as well as giving a summary ontraining undertaken in the period since the Committee last met.

2. TRAINING UNDERTAKEN: MAY 2015 – OCTOBER 2018

2.1 Appended is a table of the training which has taken place since the lastmeeting of the Committees in September 2015 (Appendix 1).

2.2 A number of training topics were covered during the 3-year period andCouncil is keen to provide refreshers as necessary, as well as introducingadditional development where this has been requested or identified.

3. PROPOSED TRAINING 2018 – 2021

3.1 The development of members and their training requirements areregularly reviewed, and feedback from Panel Members is welcomed in thisregard. Training requirements over the past 3 year period have largelybeen taken up with the move to the Fitness to Practise Model, and theintroduction of Legally Qualified Chairs. With both of these changes nowbeing embedded, the next three years will now be able to focus onongoing development of panel members.

3.2 It is noted that at the last Triennial Meeting, it was intended for a half-daysession to be held following the Committee meeting. Instead of this, afacilitated session has been arranged as part of the training to take placein October 2018. Sub-committees members have fed back that theywould like to have more opportunity to have discussions with their peers,and we will build in an annual facilitated session to the training offeredfrom 2018 onwards.

3.3 Induction and Judicial Skills training will be held as necessary for newCommittee members.

Suggested topics, dates and methods of delivery

3.4 The training programme is informed by logs and feedback (formal andinformal) from Sub-committee members. All suggestions are consideredand assessed in terms of resources, availability and suitability. Recentsuggestions include:

attending hearings from the perspectives of witnesses and workers

training on press and communications – how SSSC hearings arereported by the media

social media training

3

managing aggression/violence within hearings

data protection training

conditions – information regarding the types of conditions that maybe appropriate and the circumstances in which conditions may beappropriate

time during training to share experiences with fellow Sub-committeemembers, and to learn from others.

3.5 Provisional training dates have been identified for the next 3 years(Appendix 2). Due to the size of the committees and to ensure continuityin the hearing process, we will run each training session twice onconsecutive days. We will try to ensure an equal split of due regardmembers, lay members, and legally qualified chairs over both days. Aschedule of the provisional dates is attached at Appendix 2. Theprogramme for each date will be confirmed closer to the dates.

3.6 While decisions and arrangements are still to be made on the content anddetail of the programme, we plan to use webinars and on-line trainingtools where appropriate.


4.1 The cost of training will be kept within the approved budget.


5.1 I confirm that this policy will have no negative impact on people with oneor more characteristics and a full Equality Impact Assessment is notrequired.


6.1 It is important that Sub-committee members understand their roles andresponsibilities in order to ensure that a fair hearing is given to applicantsand workers.


7.1 This report addresses a governance issue and no stakeholder engagementother than seeking input from the Committee members themselves wassought.

4



9. CONCLUSION

9.1 The Committee is asked to consider the training proposals with theunderstanding that further detail will be issued as and when it becomesavailable and firm arrangements are put in place. The developmentplanned will seek to ensure the continuing development of the requiredskills for lay members, due regard member and legally qualified chairs.


10.1 None.


Agenda item: 06Report 02/2018

Appendix 1

5

Panel Member Training 2015 – 2018

Date Training

2 September 2015 Press and Communications

Equalities

Information Governance: Data

Protection

12 and 13 April 2016 Judicial Skills and Induction

Training

Handbook and Codes of Conduct

for Panel Members

Hearings and Rulers Overview

Practical Features of a Good

Hearing

Legal Adviser’s Role

15-17 and 22-24 August 2016 Move to Fitness to Practise

Model

21 and 22 November 2017 Panel Member Induction Training

Judicial Skills

Induction to SSSC

Expenses and Data Protection

Training

Code of Conduct and Members

Handbook

5 and 6 December 2017 Legally Qualified Chairs

Induction Training

Legal Training provided by

Kingsley Napley

Unconscious Bias provided by

Emma Bell

16 March 2018 Legally Qualified Chairs Meeting

21 March 2018 Panel Member Induction Training

– Mop up (See training held on

21 and 22 November 2017)

7 and 8 June 2018 Overview of Fitness to Practice

Stats

Victim Support Scotland - Myth

Busting, sexual abuse within

relationships, facts and figures,

6

common misconceptions

Unconscious Bias

25 September 2018 Legally Qualified Chairs Meeting

27 September 2018 Triennial Meeting


Agenda item: 06Report 02/2018

Appendix 2

7

Appendix 2

Panel Members Training 2018 – 2021

Date Training

25 and 26 October 2018 Attending a hearing from the

perspective of witnesses and

workers

Session on press interest in

SSSC hearings and the reporting

of these; social media

Facilitated discussion session

between panel members

14 and 15 March 2019 Training on dealing with

aggression/violence within

hearings

Other sessions to be confirmed

26 and 27 September 2019 Facilitated discussion session


October 2018 Legally Qualified Chairs’ Meeting

– agenda to be confirmed

19 and 20 March 2020 to be confirmed

24 and 25 September 2020 Facilitated discussion session


October 2020 Legally Qualified Chairs’ Meeting

- agenda to be confirmed

18 and 19 March 2021 to be confirmed


Agenda item: 22.5

1


Unconfirmed minutes of the Registration Committee held on Thursday27 September 2018, at Discovery Point, Dundee.

Present: Audrey Cowie, Council MemberAndy Rome, Council MemberAnna BowmanKeith CarruthersMargaret CouttsDavid CuthillLol GoddardJoan GowansRuth KellySean McGleenanIan McDonoughAlasdair MacMillanJanice PalmerCathy MonteithGraham MonteithGraham RossBryan SmithEileen StewartDavid TierneyIsobel TownsendIan Turner

In attendance: Charles Livingstone, fitness to practise committee memberPaula Lowe, fitness to practise committee memberHannah Coleman, Head of HearingsDavid Kydd, Team Leader, HearingsAudrey Wallace, Team Leader, Corporate GovernanceEilean Blair, Business Support Assistant

1. Welcome

1.1 Audrey Cowie welcomed everyone present to the meeting of theRegistration Committee. Hannah Coleman had, earlier in the day, duringthe meeting of the Fitness to Practise Committee meeting, advisedmembers on the changes to the organisational structure as well as thechanges to the hearings processes which have taken place since the lastmeeting in 2015.




Agenda item: 22.5

2



4. Registration Committee - outcomes and disposals – report no01/2015

4.1 Hannah Coleman presented report 01/15 on the outcomes and disposalsof the registration sub-committee meetings held between April 2016 toMarch 2017 and April 2017 to March 2018.

4.2 General discussion on hearings took place and some of the issues raisedmirrored the discussion at the meeting of the fitness to practisecommittee earlier in the day. The main points raised were:

are there statistics on how many hearings were cancelled; socialservice workers were concerned that they had asked for time offwork, making things difficult for their managers

was consideration being given to reviewing the fees and if so mightthis include fees for cancellations

are there statistics on disposals where workers were present andwhere workers were not present or represented at a hearing

can the SSSC do more to facilitate workers being represented;although it was noted that more workers in Registration cases tendedto attend

members are feeling that sitting on fewer hearings might impact onthe cohesiveness of the panels and also on their expertise in dealingwith cases.

4.3 Hannah Coleman responded to the issues raised particularly mentioningthe following points:

there has been some work carried out on fees benchmarking,however this was only a starting point and she will carry out the fullreview of fees to members

there have been fewer hearings than anticipated recently however,another part of the register will be opening and more hearings areexpected

there was no plan to recruit more members in the forthcoming year Hannah will liaise with colleagues from other departments in

considering how to continue raising awareness of codes of practiceand impart to workers how important it is to embrace and adhere tothese as well as how to ensure employers raise awareness with theirworkers

regarding workers’ attendance and engagement with the hearingsprocess, she advised that any engagement with the SSSC was notedand viewed as positive, not necessarily only the attendance at ahearing but also engagement with the process

communication between officers and members was important andthis would partially be addressed with the introduction of regular


Agenda item: 22.5

3

newsletters which could also contain information on changes topredicted numbers of hearings etc. if these are known.

4.4 Hannah confirmed that there would be no further registration sub-committee hearings as there were no registration cases outstanding.


1. to note the outcomes and disposals2. to note the work on-going in the SSSC with regard to reviewing fees

as well as ensuring more regular communication3. to note that information on outcomes and disposals is provided to the

Council.

5. Training programme for members of the fitness to practise panels

5.1 Hannah Coleman presented report 02/2018 which had been presented tothe Fitness to Practise Committee earlier in the day which set out thetraining provided to panel members and sub-committee members over theprevious three years and also the proposals for the coming three years.Much of the future content is still to be decided and Hannah asked thatany suggestions for specific training could be directed to her to consider.

5.2 Members commented on the proposed training, raising the following:

the hearings appeared to have a more legalistic dimension andwondered whether this was a result of the introduction of LegallyQualified Chairs and whether the training programme needed toreflect this

is there a process for quality assurance of decision making or reviewof panel members’ performance

should continued membership of the committee be contingent uponattending training sessions.

5.3 Hannah responded by confirming that she would consider whether thereshould be a condition regarding attending training sessions.


Signed……………………………………………………..Registration Committee

Date………………………………………………………….

Registration Committee27 September 2018


Title of report Registration Sub-committee outcomes and disposals




To inform the Registration Committee of theoutcomes and disposals of the Registration Sub-committee meetings held between April 2015 andApril 2018.


1. note the outcomes and disposals of theRegistration Sub-committee meetings heldbetween April 2015 and April 2018







Risk 2: The SSSC is not able to demonstrate to ourstakeholders (including Scottish Government) that itsoperational activity is fulfilling its strategic outcomes.


Head of Hearings

Tel: 01382 207155


2

1. INTRODUCTION

1.1 The Registration Committee acts in terms of the SSSC (Registration) Rulesand Registration Sub-committees (RSC) are convened to deal withbusiness which had been referred, by way of requests for hearings fromthe Fitness to Practise department (FtP).

1.2 The RSC determines whether a worker should have their application forregistration granted or refused.


2. CASES DEALT WITH BY REGISTRATION SUB-COMMITTEES

2.1 The following paragraphs set out the outcomes decided by Sub-committees of the Registration Committee since the last meeting of theRegistration Committee on 2 September 2015.


2.3 April 2015 – March 2016:

39 cases were transferred to RSCs and concluded, with the followingoutcomes:

25 workers were registered 5 workers were registered with conditions 9 workers had their applications for registration refused.

2.3.1 April 2016 – March 2017:

38 cases were transferred to RSCs and concluded, with the followingoutcomes:

20 workers were registered 13 workers were registered with conditions 5 workers had their applications for registration refused.

2.3.2 April 2017 – March 2018:

1 case was transferred to RSC and concluded, with the following outcome:

1 worker had their application for registration refused.


3.1 None.

3




5.1 RSCs for this period initially operated in accordance with the SSSC(Registration) Rules 2014. These were revoked by the SSSC(Registration) Rules 2016 which came into force on 7 March 2016, whichin turn were revoked by the SSSC (Registration) (No. 2) Rules which cameinto force on 1 November 2016. These were revoked by the Registration(Amendment) Rules 2017 which came into force on 1 September 2017.These were revoked by the Registration (Amendment No.2) Rules 2017which came into force on 2 October 2017 and remain in force.





8. CONCLUSION

8.1 Registration Committee members are asked to note the outcomes anddisposals of the RSCs and further note that this will be reported to thenext meeting of the Council.


9.1 None.

Registration Committee27 September 2018


Appendix 1

64%13%

23%

RSCs - 2015/2016

Register



53%

34%

13%

RSCs - 2016/2017

Register



5

100%

RSCs - 2017/2018



Agenda item: 22.6

1


Unconfirmed minutes of the Conduct Committee held on Thursday 27September 2018, at Discovery Point, Dundee.

Present: Audrey Cowie, Council MemberAndy Rome, Council MemberAnna BowmanKeith CarruthersMargaret CouttsDavid CuthillLol GoddardJoan GowansRuth KellySean McGleenanIan McDonoughAlasdair MacMillanJanice PalmerCathy MonteithGraham MonteithGraham RossBryan SmithEileen StewartDavid TierneyIsobel TownsendIan Turner

In Attendance: Charles Livingstone, fitness to practise memberPaula Lowe, fitness to practise memberHannah Coleman, Head of HearingsDavid Kydd, Team Leader, HearingsAudrey Wallace, Team Leader Corporate GovernanceEilean Blair, Business Support Assistant

1. Welcome

1.1 Audrey Cowie welcomed everyone present to the meeting of the ConductCommittee. Hannah Coleman had, earlier in the day, during the meetingof the Fitness to Practise Committee, advised members on the changes tothe organisational structure as well as the changes to the hearingsprocesses which have taken place since the last meeting in 2015.




Agenda item: 22.6

2



4. Conduct Committee - outcomes and disposals – report no 01/2015

4.1 Hannah Coleman presented report 01/15 on the outcomes and disposalsof the conduct sub-committee and preliminary proceedings sub-committeemeetings held between April 2016 to March 2017 and April 2017 to March2018.

4.2 The content of the report generated discussion on a number of issuessurrounding the hearings process and some of the issues mirrored thediscussion at the meetings of the fitness to practise and registrationcommittees held earlier in the day. The main points raised were:

does the SSSC hold statistics on how many hearings were set thencancelled, some of the concern being that members had asked fortime off work, making things difficult for their managers

was a review of fees paid still under consideration and if so, mightthis include fees for cancellations

are there any statistics on any impact on sanction given whereworkers were present and where workers were not present orrepresented at the hearings

what, if anything, can the SSSC do to facilitate more workers havingaccess to representation at hearings

does the SSSC hold information on barriers to people attendinghearings

should the registration and renewal process be more robust inensuring that workers are aware of the responsibilities they have inaccordance with the codes of practice

some members commented that they appeared to be sitting on fewerhearings and felt that this might impact on the cohesiveness of thepanels and also on their expertise in dealing with cases.

4.3 Hannah Coleman responded to the issues raised mentioning the followingpoints:

with regard to the fees review, which had also been mentioned at themeeting in 2015, Hannah confirmed that has been some work carriedout on benchmarking, however this was only a starting point and shewill carry out the review

in recent months there have been fewer hearings than anticipatedhowever another part of the register will be opening and this mayresult in more hearings

there was no plan to recruit more members in the forthcoming year Hannah will discuss with colleagues what steps can be taken to raise

awareness of codes of practice to registrants and emphasise to themhow important it is to embrace and adhere to these; this should also


Agenda item: 22.6

3

include ways to ensure employers also raise awareness with theirworkers

Hannah confirmed that any engagement between the worker and theSSSC during the investigation and hearings process was noted andviewed as positive, not necessarily only the attendance at a hearing,but also engagement with the process

communication between officers and members was important andthis would partially be addressed with the introduction of regularnewsletters which could also contain information on changes topredicted numbers of hearings etc.

4.4 Hannah confirmed that there would be no further conduct sub-committeehearings as any cases currently under appeal, if referred back, would beconsidered under the fitness to practise Rules.


1. to note the outcomes and disposals2. to note the work on-going in the SSSC with regard to reviewing fees

as well as working on raising awareness of the Codes of Practice andensuring more regular communication with members

3. to note that information on outcomes and disposals is provided to theCouncil.

5. Training Programme for members of the Conduct sub-committees

5.1 Hannah Coleman presented report 02/2018 which had been presented tothe Fitness to Practise and Registration Committees earlier in the daywhich set out the training provided to panel members and sub-committeemembers over the previous three years and also the proposals for thecoming three years.

5.2 Some of the content of future training is still to be decided and Hannahasked that any suggestions for specific training should be directed to herto consider.

5.3 Members commented raising the following matters, mirroring the mattersraised at the Fitness to Practise Committee and Registration Committeeearlier in the day:

the hearings appeared to have a more legalistic dimension andwondered whether this was a result of the introduction of legallyqualified chairs and whether the training programme needed toreflect this.

is there a process for quality assurance of decision making or reviewof panel members’ performance

should continued membership of the committee be contingent uponattending training sessions.


Agenda item: 22.6

4

5.4 Hannah responded by confirming that:

she was looking into appraisal and quality assurance as part of alarger piece of work

she would also look at whether there should be a condition oncommittee membership regarding attending training sessions.


6. Thanks

6.1 Hannah thanked members for their attendance, for the work they haddone throughout the last three years and acknowledged that theircommitment was appreciated by the SSSC and by the hearings team.

Signed……………………………………………………..Conduct Committee

Date………………………………………………………….

Conduct Committee27 September 2018


Title of report Conduct and Preliminary Proceedings Sub-committeeoutcomes and disposals




To inform the Conduct Committee of the outcomesand disposals of the Conduct Sub-committee andPreliminary Proceedings Sub-committee meetingsheld between April 2015 and April 2018.


1. note the outcomes and disposals of the ConductSub-committees and Preliminary ProceedingsSub-committees meetings held between April2015 and April 2018









Head of Hearings

Tel: 01382 207155


2

1. INTRODUCTION

1.1 The Conduct Committee acts in terms of the SSSC (Conduct) Rules.Conduct Sub-committees (CSC) and Preliminary Proceedings Sub-committees (PPSC) were convened to deal with business which had beenreferred, by way of requests for hearings, from the Fitness to Practisedepartment (FtP).

The PPSC makes determinations about the application of interimorders.

The CSC considers whether Registrants have committed misconduct,and if so, the appropriate sanction.


2. CASES DEALT WITH BY CONDUCT SUB-COMMITTEES ANDPRELIMINARY PROCEEDINGS SUB-COMMITTEES

2.1 The following paragraphs set out the outcomes decided by Sub-committees of the Conduct Committee since the last meeting of theConduct Committee on 2 September 2015. The SSSC (Fitness to Practise)Rules 2016 came into force on 1 November 2016 and introducedImpairment Hearings and Temporary Order Hearings in place of CSCs andPPSCs. Any case which had already been referred to a CSC or PPSC priorto this date continued under the Conduct Rules. Outcomes and disposalsof Impairment Hearings and Temporary Order Hearings are not governedby this Committee and accordingly are not included in this report.


2.3 April 2015 – March 2016:

2.3.1 Conduct Sub-committees

78 cases were transferred to CSCs and concluded, and the followingoutcomes imposed:

37 workers were removed

1 worker was suspended and had conditions imposed

1 worker was suspended

5 workers were given a warning and had conditions imposed

19 workers were given a warning

6 workers were found to have committed misconduct but no sanctionwas imposed

9 workers were found not to have committed misconduct.

3

2.3.2 Preliminary Proceedings Sub-committees

163 cases were referred to PPSCs and the following decisionsmade:

101 workers had ISOs imposed

13 workers had ICOs imposed

1 worker had an Interim Suspension Order (ISO) and an InterimConditions Order (ICO) imposed together

1 hearing was cancelled (it came to light during the hearing that theworker was not eligible for SSSC registration)

47 workers had no order imposed.

2.3.3 Preliminary Proceedings Sub-committees – reviews

118 ISOs or ICOs were reviewed and the following decisions made:

102 ISOs were imposed

3 ICOs were imposed

8 ISOs were revoked

5 ISOs were refused.

2.3.4 Restoration Hearings

2 restorations took place with the following outcomes:

2 restorations to the Register were granted.

2.3.5 In respect of final outcomes for cases closed in which a TO hadpreviously been granted, out of the 111 cases closed in this year,81% received a sanction with 59% being removed from theregister*.

2.4 April 2016 – March 2017

2.4.1 Conduct Sub-Committees



4 workers were suspended

4 workers were given a warning and had conditions imposed

4

21 workers were given a warning

3 workers were found to have committed misconduct but no sanctionwas imposed

16 workers were found not to have committed misconduct.

2.4.2 Preliminary Proceedings Sub-committees

119 cases were referred to PPSCs and the following decisions made:

70 workers had ISOs imposed

11 workers had ICOs imposed

38 workers had no order imposed.

2.4.3 Preliminary Proceedings Sub-committees – reviews

77 ISOs or ICOs were reviewed and the following decisions made:

75 ISOs were imposed

1 ICO was imposed

7 ISOs were revoked.

2.4.4 Restoration Hearings

No restoration hearings were requested.


2.5 April 2017 – March 2018

2.5.1 Conduct Sub-Committees



1 worker was given a warning.

2.5.2 No cases were referred to PPSC.

2.5.3 No Restoration Hearings were requested.


5


3.1 None.




5.1 CSCs and PPSCs operated in accordance with the SSSC (Conduct) Rules2013.





8. CONCLUSION

8.1 Conduct Committee members are asked to note the outcomes anddisposals of the CSCs and PPSCs and further note that this will bereported to the next meeting of the Council.


9.1 None.

* These figures include all cases closed within the financial year, both those dealt with under the Conduct Rulesand those dealt with under the Fitness to Practise Rules.

6

7

Conduct Committee27 September 2018


Appendix 1

8%

12%

48%

1%

1%

24%

6%

CSCs - 2015/2016

Misconduct: No Sanction

No Misconduct

Removal

Suspension

Suspension & Conditions

Warning


0% 1%

8%

62%

29%

PPSCs - 2015/2016

No order granted

ICO & ISO Imposed

ICO Imposed

ISO Imposed

ISO Refused

8

2%

83%

4%

2%2%

7%

PPSC Reviews - 2015/2016

Further ICO Imposed

Further ISO Imposed

Further ISO Refused

ISO Continued

ISO Imposed

ISO Revoked

2

0 00

0.5

1

1.5

2

2.5

FY 2015/2016 FY 2016/2017 FY 2017/2018

Restorations

Number

9

3%

16%

52%

4%

21%

4%

CSCs - 2016/2017

Misconduct: No Sanction

No Misconduct

Removal

Suspension

Warning


1%

9%

59%

31%

PPSCs - 2016/2017

ICO & ISO Refused

ICO Imposed

ISO Imposed

ISO Refused

10

67%

33%

CSCs - FY 2017/2018

Removal

Warning