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Framework Document 2021
1Contents
FOREWORD FROM THE MINISTER FOR CHILDREN AND YOUNG PEOPLE – MAREE TODD MSP ................................. 3
INTRODUCTION FROM DISCLOSURE SCOTLAND CHIEF EXECUTIVE – GERARD HART.................................................. 4
ABOUT DISCLOSURE SCOTLAND ........................................................................................................................................ 5
THE PURPOSE AND CORE FUNCTIONS OF THE AGENCY.................................................................................................. 6
VISION, MISSION AND VALUES .......................................................................................................................................... 8
WHAT WE DO AND HOW IT RELATES TO THE SCOTTISH GOVERNMENT PRIORITIES .................................................. 9
SERVICES DELIVERED......................................................................................................................................................... 10
ACCOUNTABILITY............................................................................................................................................................... 11
SCOTTISH MINISTERS .......................................................................................................................................................... 11
THE DIRECTOR OF CHILDREN AND FAMILIES ........................................................................................................................... 11
THE DIRECTOR OF CHILDREN AND FAMILIES IS APPOINTED BY THE DIRECTOR GENERAL EDUCATION, COMMUNITIES AND JUSTICE AND
HAS THE FOLLOWING RESPONSIBILITIES IN RELATION TO THE AGENCY :........................................................................................ 11
THE CHIEF EXECUTIVE ......................................................................................................................................................... 12
THE BOARD ....................................................................................................................................................................... 14
GOVERNANCE FORUMS ....................................................................................................................................................... 15
AUDIT AND RISK COMMITTEE............................................................................................................................................... 17
THE LEADERSHIP TEAM ....................................................................................................................................................... 18
ACCOUNTABLE O FFICER ARRANGEMENTS .............................................................................................................................. 19
PARLIAMENTARY COMMITTEE ATTENDANCE .......................................................................................................................... 19
ARRANGEMENTS FOR DEALING WITH PARLIAMENTARY CORRESPONDENCE ................................................................................. 20
COMPLAINTS AND THE O MBUDSMAN.................................................................................................................................... 20
COMPLAINTS ABOUT INFORMATION PROVIDED BY THE POLICE .................................................................................................. 20
RESOURCE PLANNING AND MANAGEMENT................................................................................................................... 21
FINANCIAL REGIME............................................................................................................................................................. 21
FRAUD AND B RIBERY ........................................................................................................................................................... 21
ARRANGEMENTS FOR AUDIT ................................................................................................................................................ 21
ARRANGEMENTS FOR PRODUCING A CCOUNTS ........................................................................................................................ 22
CONTINGENT LIABILITIES...................................................................................................................................................... 22
CORPORATE STRATEGY AND BUSINESS PLANS......................................................................................................................... 23
RISK MANAGEMENT ........................................................................................................................................................... 23
OUR PEOPLE....................................................................................................................................................................... 24
STATUS OF STAFF AND TERMS AND CONDITIONS ...................................................................................................................... 24
TRAINING AND DEVELOPMENT ............................................................................................................................................. 24
STAFF RELATIONS ............................................................................................................................................................... 24
EQUALITY AND DIVERSITY .................................................................................................................................................... 24
HEALTH AND SAFETY........................................................................................................................................................... 25
W ELFARE .......................................................................................................................................................................... 25
APPOINTMENT OF THE CHIEF EXECUTIVE ............................................................................................................................... 25
EXTERNAL RELATIONSHIPS............................................................................................................................................... 26
SCOTTISH GOVERNMENT SUPPORT SERVICES ............................................................................................................... 27
REVIEW OF THE FRAMEWORK DOCUMENT ................................................................................................................... 27
ANNEX A – ARRANGEMENT FOR APPOINTMENT OF NON-EXECUTIVE BOARD MEMBERS....................................... 28
ANNEX B – FINANCIAL DELEGATIONS.............................................................................................................................. 29
ANNEX C – GOVERNANCE FORUMS................................................................................................................................. 30
2Foreword from the Minister for Children and Young People –
Maree Todd MSP
I welcome this publication of Disclosure Scotland’s Framework Document. It details how
the Agency is accountable to Scottish Ministers in the delivery of the policy objectives to
help safeguard our children and other vulnerable people.
Disclosure Scotland is in the midst of a digital strategy and implementation of the
Disclosure (Scotland) Act 2020. It is vital that its goals during this time and the methods
of achieving them are clear.
This document outlines the relationships between the Scottish Ministers, the Disclosure
Scotland Chief Executive and the Director of Children and Families within the Scottish
Government.
I oversee the work of the Agency in improving the life chances of children and young
people in Scotland and keeping our most vulnerable people safe.
It takes all of us to build a safer and fairer Scotland. Disclosure Scotland’s primary
objective is to provide an accurate and responsive service which enhances public
safety through enabling safer recruitment decisions. The Agency’s management of the
Protecting of Vulnerable Groups (PVG) Scheme has ensured that unsuitable people are
prevented from working with our most vulnerable people.
Through its review of the PVG Scheme, its digital service and how it operates,
Disclosure Scotland is showing a commitment to ongoing improvement, and to a
continuing accurate and fair service which is also efficient and cost-effective.
I wish the Chief Executive and the people at Disclosure Scotland continued success in
these endeavours.
Maree Todd MSP
Minister for Children and Young People
3Introduction from Disclosure Scotland Chief Executive –
Gerard Hart
I am pleased to introduce Disclosure Scotland’s Framework Document.
As an Executive Agency of the Scottish Government, Disclosure Scotland has a
responsibility to deliver the policy objectives of Scottish Ministers to help safeguard our
children and other vulnerable people.
I am personally accountable to the Scottish Parliament for the efficient and effective
operation and financial management of the Agency. This document outlines the
relationships between the Scottish Ministers, me as Disclosure Scotland Chief Executive
and the Director for Children and Families within the Scottish Government.
This framework describes Disclosure Scotland’s vision and objectives, financial and
wider accountabilities, and its approach to people management and other
organisational matters. In short, it sets out the broad basis on which Disclosure
Scotland will operate, therefore it is a living document.
Having it as a living document means it can be updated as we develop as an Agency.
This is crucial as Disclosure Scotland faces an unprecedented level of change over the
coming years. Based on past experiences and ensuring that we improve upon the
governance already in place, our aim is to create an environment that allows for
innovation and ensures change can happen iteratively.
A Disclosure Scotland Change Strategy has been developed and implemented to
deliver our corporate goals in an agile way. This is underpinned by complementary and
robust governance structures to manage delivery of positive and measurable change
across the next three years.
We have an important role in protecting Scotland’s people. It is vitally important,
therefore, that we are always accountable.
Gerard Hart
Chief Executive
Disclosure Scotland
4About Disclosure Scotland
Disclosure Scotland is an Executive Agency. As such it operates impartially while
remaining directly accountable to the Scottish Ministers for its performance and use of
public funds. The Chief Executive is the Accountable Officer and is appointed to act on
behalf of Scottish Ministers.
This document sets out the broad framework within which Disclosure Scotland, as an
Executive Agency of Scottish Government (SG), operates. It does not convey any legal
powers or responsibilities. It seeks to set out:
the role, purpose and key functions of the Agency
the roles and responsibilities of the key people and groups involved
accountabilities: to the public through Scottish Ministers, the Scottish Parliament
and detailed financial accountability mechanisms
management arrangements: the Chief Executive’s delegated authority and
performance management arrangement
relationships with other bodies
how amendments to this Framework Document will be made and agreed
5The Purpose and Core Functions of the Agency
Disclosure Scotland is responsible for delivering the legislation on and helping shape
Scottish Government policy on disclosure of criminal history information to allow
employers to make better informed, safe and fair recruitment decisions. It also manages
the Protecting Vulnerable Groups (PVG) Scheme, including barring unsuitable people
from certain types of work. One of the Agency’s core functions is to support and
educate employers to better understand their legal obligations and know how to
interpret the disclosure information.
The Agency’s operational functions are largely defined by five pieces of legislation:
Part V of the Police Scotland Act 1997
Protection of Vulnerable Groups (Scotland) Act 2007
Management of Offenders (Scotland) Act 2019
Disclosure (Scotland) Act 2020
The Age of Criminal Responsibility (Scotland) Act 2020
Under Part V of the Police Scotland Act 1997, Disclosure Scotland processes
customers’ applications for disclosure certificates which enable safer recruitment
decisions to be made by employers. The type of disclosure required depends on the
type of work the customer is doing or the role they will carry out.
Disclosure Scotland issues:
basic certificates, which are available for any purpose and disclose unspent
convictions
standard certificates, which are for specific roles such as solicitors, accountants,
or providing a care service
enhanced certificates, which are used to check whether people are suitable for
specific roles such as adoption or applying for certain gaming or lottery licenses.
Standard and enhanced disclosures involve higher level checks.
Under the Protection of Vulnerable Groups (Scotland) Act 2007, Disclosure Scotland
operates the Protecting Vulnerable Groups (PVG) Scheme. This is a membership
scheme for people who work with children or vulnerable adults. Employers can check a
6member's record at any time to make sure they are still safe to work with these groups.
To keep these records accurate, we can access a range of police data, as well as data
from other sources. Maintenance of the PVG Scheme includes:
adding people doing work with vulnerable groups to the PVG Scheme
deciding whether a person should be added to or removed from a barred list
maintaining the barred lists for people prohibited from carrying out regulated
work with children or vulnerable adults.
On 30 November 2020, the Management of Offenders (Scotland) Act (MOA) and the
disclosure aspects of the Age of Criminal Responsibility (Scotland) Act (ACR) came into
force. These Acts include progressive and proportionate reforms, which balance the
rights of people to move on from past offences, while ensuring the rights of the public
are protected.
The Disclosure (Scotland) Act 2020 received Royal Assent on 14 July 2020. The
introduction of this legislation builds on the Age of Criminal Responsibility Act and
Management of Offenders Act by making vital reforms to state disclosure. This Act is
the legislative framework to modernise and improve the proportionality of the disclosure
system in Scotland. The number of disclosure levels will decrease and individuals will
have greater control over sharing their information, whilst ensuring Disclosure Scotland
can continue its vital safeguarding work.
More information on the work of Disclosure Scotland can be found on our website at
www.mygov.scot/organisations/disclosure-scotland
7Vision, Mission and Values
Vision
Protecting Scotland's people: shaping a safer environment to live and work.
Mission
Driving safeguarding outcomes by preventing and removing harmful people from
working and volunteering with vulnerable groups, and helping employers make better
informed decisions.
Values
We are an inclusive organisation, enriched by diversity, where individual needs are
supported and where people are treated with respect.
We are open and adaptable to new opportunities and encourage creativity to deliver
innovative solutions that make a difference.
We work collaboratively to achieve the best outcomes for the public.
We are professional in our handling of people and their personal data.
8What we do and how it relates to the Scottish Government
Priorities
Our activity supports the Scottish Government’s Purpose, which is ‘to focus on creating
a more successful country with opportunities for all of Scotland to flourish through
increased wellbeing and sustainable and inclusive economic growth’.
We link to the National Outcomes. In particular, our activity contributes to the following:
we respect, protect and fulfil human rights and live free from discrimination
we are open, connected and make a positive contribution internationally
we live in communities that are inclusive, empowered, resilient and safe
we grow up loved, safe and respected so that we can realise our full potential
we value, enjoy, protect enhance our environment
The diagram below illustrates how our performance framework aligns with the
Government’s purpose.
SG
Purpose
National
e
Outcom es
DS Core Functions
DS Corporate and Business Plans
DS Directorate Plans
Em ployee Objectives
9Services Delivered
Our aim is to help protect children and vulnerable people by providing a comprehensive
and responsive service to support organisations recruiting people into positions of trust.
To this end, we:
deliver a service for our customers and stakeholders by meeting our public
performance target and continuously improving the quality and efficiency of our
service
improve operations by focusing on our customers’ and stakeholders’ needs
improve the Agency by valuing the people who work for us
There are four strands to the service we provide: disclosure, protection and education.
we provide a comprehensive and responsive disclosure service that enhances
public safety by supporting employers to make safer recruitment decisions
we deliver protection services through the national barring service provided
under the PVG legislation
we educate and support employers to help them interpret the disclosure
information so they are able to make informed recruitment decisions which
ensure safety and equality
we are responsible for the development of Scottish Government policy in areas
pertinent to state disclosure and the national barring service, providing policy
advice to Scottish Ministers and support with progressing new and existing
legislation developments through the Scottish Parliament
10Accountability
Scottish Ministers
Scottish Ministers are responsible for determining the overall policy and resources
framework within which an Agency operates and, ultimately, are accountable to
Parliament for its functions and performance. Responsibilities of Scottish Ministers
include:
holding the Chief Executive to account for Agency performance
approving the Agency’s strategic objectives and related performance targets
approving corporate plans and the publication of business plans
setting the budget for the Agency
receiving the audited annual report and accounts from the Chief Executive
approving the Framework Document
The Chief Executive meets the Minister for Children and Young People at any time of
significant development or change for the Agency.
The Director of Children and Families
The Director of Children and Families is appointed by the Director General Education,
Communities and Justice and has the following responsibilities in relation to the
Agency:
supports Ministers in the discharge of their duties towards Disclosure Scotland
supports the relationship between the Chief Executive and Ministers
ensures that Disclosure Scotland’s objectives and performance contribute to and
are part of the Portfolio as a whole and are aligned to the Government’s Purpose
and National Outcomes set out in the National Performance Framework
ensures that there is a clear framework for strategic performance improvement
and management of Disclosure Scotland’s work, providing support and
constructive challenge to ensure that it is high performing and continuously
11improving and ensuring that operational accountability is being exercised
properly
monitors the financial performance, operational effectiveness and risk
management arrangements
approves any matters not covered by the delegated authority arrangements set
out in this Framework Document
ensures the Agency is taking steps to improve its operating efficiency, including
through participation in collaborative procurement and shared service
arrangements
promotes integration and organisational alignment between Disclosure Scotland
and the SG as appropriate
represents the interests of the Agency within the wider SG
conducts the performance appraisal of the Chief Executive
ensures that an appropriate Framework Document is in place and maintained
The Chief Executive
The Chief Executive of the Agency is accountable to the Scottish Ministers for the
delivery of its functions, its performance and for planning its future development. The
Chief Executive is responsible for:
being the Accountable Officer for the management of the Agency’s resources, as
appointed by the Principal Accountable Officer
being personally answerable for the efficient and effective operation and financial
management of Disclosure Scotland and for performance against key targets
contributing to the development of Government policy by providing Ministers and
others with strategic policy advice
ensuring the Agency works across Government in support of the Government’s
purpose and national outcomes set out in the National Performance Framework
12 ensuring that the Agency is a high performing and a continuously improving
organisation
ensuring that the Agency complies with all statutory duties and relevant Scottish
Government policies to which it is subject. This includes legislative compliance
including relevant public sector duties and adherence to all Scottish Government
equality and diversity policies
providing support to the Director, including assurance about the financial
performance, operational effectiveness, risk management arrangements and
business improvement activity
ensuring all relevant financial considerations and Scottish Government guidance,
including issues of propriety, regularity, efficiency and value for money, are taken
into account in delivering Disclosure Scotland’s business
management and development of staff within the Agency
ensuring best value in all aspects of the Agency’s operations, both frontline
delivery and corporate support functions, including the use of collaborative
procurement and shared service arrangements where participation offers value
for money to Disclosure Scotland or to the wider public purse
replying to correspondence from members of Scottish Parliament on operational
issues within the Agency’s responsibilities and otherwise supporting Ministers by
preparing Ministerial briefing and responses to Ministerial correspondence and
written or oral Parliamentary Questions
preparing and publishing annual reports, accounts, corporate and business
plans, subject to Ministerial approval
keeping the content of the Framework Document under review, discussing
changes with the Director for Children and Families
13The Board
The Chief Executive, as Accountable Officer, is personally accountable to Scottish
Ministers for the performance of the Agency and delivery of its functions. In doing so,
the Chief Executive is supported by an Advisory Board whose main role is to assist the
body to deliver its functions on behalf of Ministers through the provision of strategic
advice and support to the Chief Executive, and through constructive challenge.
The Board is chaired by the Chief Executive and comprises executive and independent
non-executive members. The non-executive members are recruited externally and
appointed by the Chief Executive. The recruitment process is detailed at Annex A. The
Board has no role in holding the Chief Executive to account for the Agency's
performance and cannot issue directions to them.
The Chief Executive may also establish any other corporate committees that may be
required to discharge the Agency’s responsibilities and functions.
The process of appointing non-executives should follow good practice. Whilst not
Ministerial appointments, the relevant Minister should be sighted on proposals.
The Disclosure Scotland Board supports and advises the Chief Executive on strategy
and governance by:
constructively challenging and contributing to the development of strategy and
the future direction of the Agency, proposing ambitious targets and innovative
approaches
overseeing the Agency’s systems of accountability and control, including
appropriate physical, personnel and cyber security controls designed to protect
Agency assets, staff, and the public during their interactions with the Agency
monitoring whether the internal groups and processes provide sufficient
assurance that performance is routinely and actively monitored within the Agency
ensuring that the voice and needs of users are embedded in the Agency’s
thinking and planning
Further information on the role of Advisory Boards can be found in the On Board
Guidance.
14Governance Forums
The Governance Forums were established in 2020 and form part of a strengthened
approach to governance within Disclosure Scotland, as an Agency characterised by
change.
Governance Advisory Panels
There are five advisory panels (Annex C) which support the Chief Executive and are
aligned to Disclosure Scotland’s five main strategic themes 1, as well as the Scottish
Governments National Outcomes.
Each panel is chaired by an independent non-executive board member, leading a panel
of external experts specifically recruited to add value in the thematic area the panel
covers. Executive Directors are not members but they may be asked to attend, as the
panel requires.
The panels provide an independent scrutiny and challenge function to assure the Chief
Executive about Agency performance and progress made across the five strategic
thematic areas. They comprise external experts who can scrutinise and explore
relevant topics in substantial depth. This will provide powerful assurance and ensure
that the non-executive directors develop a greater level of knowledge about the Agency
than would otherwise be possible, also strengthening the strategic advice they can offer
to the Chief Executive and Board.
The panels will work under the auspices and ultimately report to the Chief Executive.
The Chief Executive may direct focus in a particular topic or areas of concern. The
Chair of each governance group will meet with the Chief Executive no less frequently
than six-weekly, and more often as required.
The Chair, as a non-executive member of the Disclosure Scotland Board, is responsible
for:
facilitating group participation to drive progress of actions and key delivery goals
ensuring the group focus on strategic governance, scrutiny and assurance, to
support the Leadership Team sponsor to maintain focus on delivery to achieve
set strategic outcomes
providing an update to each Disclosure Scotland Board
1
1. Act and Social Mission 2. Digital Innovation 3. Business Improvement 4. Stakeholder Engagement 5.
Finance Strategy
15 having the independent authority to escalate any concerns regarding the
progress of this strategic change theme, associated risk or issue, to the
Accountable Officer (Chief Executive Officer) of Disclosure Scotland
The Executive Directors, whilst not a member of the panels, can attend:
to provide additional context and answer any questions members may have to
probe decisions, actions and outcomes
to be challenged by members regarding information provided, the quality and
documentation of decisions, progress against strategic goals and management
of risk
to liaise with other Change and Delivery Team leads and request their
contribution to the strategic assurance role of the panel as appropriate
The panels, whilst not statutory in nature, feed into the Disclosure Scotland governance
landscape as below:
Each panel provides advice, guidance and governance scrutiny to an operational
change team; the purpose of change teams is to put the capacity for change and
innovation at the centre of the organisation.
Change Teams
The Change Teams are each overseen by an ‘Executive Sponsor’ (a member of
Leadership Team) and is operationally led by a senior manager, a ‘Change Team
Delivery Lead’. Each team has a range of staff drawn from different relevant
specialisms to work together, collaboratively. This approach thereby discourages silo
working and ensures that tactical changes are delivered coherently. Each change team
is issued with strategic Challenge Statements and is tasked with turning these into
tactical solutions, consistent with the Corporate Strategy and Target Operating Model.
The Change Team Delivery Leads are responsible for:
16 leading the tactical delivery of solutions, innovations and improvements to
answer our strategic challenges
ensuring the right balance of expertise exists for tactical decision making and
implementation process
co-ordinating risk management associated with such, resource allocation and
benefit management and realisation ensuring all of these facets are documented,
reported and reviewed to feed into the governance and assurance process
The Executive Sponsor is responsible for:
providing strategic guidance to the Change Teams and issuing Challenge
Statements
monitoring their progress against strategic objectives and delivery of tactical
improvements
ensuring delivery activities are robust, considered and demonstrate measurable
progress towards the Leadership Team priorities as agreed by Board
ensuring the Change Team Delivery Leads have the requisite authority and skills
to empower tactical decision making and delivery as a collective
The Deputy Chief Executive has overall strategic responsibility for ensuring the smooth
operation of the governance panels and the change teams. The Deputy Chief Executive
will support the Panel Chairs, Executive Sponsors and Change Team Delivery Leads in
a cohesive way across the five change theme areas and is supported in this by the
Head of Governance and Change.
Audit and Risk Committee
Each Agency, as a self-accounting entity, has an Audit and Risk Committee (ARC)
chaired by a non-executive. Further guidance is available in the Audit and Assurance
Committee Handbook. The ARC supports the Accountable Officer in their
responsibilities for issues of risk, control and governance over the budget for Disclosure
Scotland. This includes reviewing the comprehensiveness of assurances in meeting the
Accountable Officer’s assurance needs and reviewing the reliability and integrity of
these assurances.
The ARC advises the Accountable Officer on:
strategic processes for risk, control and governance
the accounting policies, the accounts and the annual report of the Agency
17 whether the nature and scope of assurance provided meets the Accountable
Officer’s and Board’s assurance needs
ensuring that effective arrangements are in place to provide assurance that risk
is being monitored and managed across the Agency (including personnel,
physical and cyber risks, threats and hazards)
ensuring that robust performance and risk management arrangements and
reporting processes are in place that support the achievement of the Agency’s
aims and objectives and facilitate comprehensive reporting to the Board, SG and
wider public
the anti-fraud and bribery policies
the annual Internal Audit opinion and annual report
the performance of Internal Audit, including conformance with the applicable
standards, expected performance measures and the results of both internal and
external audit quality assessments
the management, planned activity and results of internal and external audits,
including external audit’s management letter/report
the accounting policies, the accounts, and the annual report of the Agency,
including the process for review of the accounts prior to submission for audit,
levels of error identified, and management’s letter of representation to the
external auditors
assurances relating to the corporate governance requirements for the Agency,
including - but not limited to - Certificates of Assurance and issues relating to the
Permanent Secretary’s signing of a governance statement
performance framework and value for money
The Leadership Team
The Agency’s Leadership Team comprises the Chief Executive, the Deputy Chief
Executive and the Executive Directors and is the senior strategic decision-making group
within Disclosure Scotland.
Its purpose is to:
18 focus on the future of the Agency
make decisions on strategic issues
set the tone of the Agency by providing management, leadership and direction
oversee future financial planning and strive to be self-funding
identify areas outwith Disclosure Scotland that may impact the Agency, through
horizon scanning
set strategy for management to implement
monitor and review formal lessons-learned exercises
set the agenda for the Board
commission and scope out time-limited project groups
provide peer support
Accountable Officer Arrangements
The Permanent Secretary of the SG is the Principal Accountable Officer for the SG
Scottish Administration and is responsible for designating, under section 15 of the
Public Finance and Accountability (Scotland) Act 2000, the Agency Chief Executive as
the Agency Accountable Officer. The Accountable Officer has personal responsibility to
Parliament for the propriety and regularity of public finances for the part of the Scottish
Administration for which they have stewardship.
The roles and responsibilities of Portfolio Accountable Officers and Agency Accountable
Officers are set out in the Memorandum to Accountable Officers for parts of the Scottish
Administration.
Parliamentary Committee Attendance
The Scottish Parliament has the power to request a particular individual to attend a
Parliamentary Committee. Scottish Ministers decide who should represent them at
Parliamentary Committee hearings. In practice, the Chief Executive will normally
represent Scottish Ministers on matters relating to their delegated responsibilities.
19The Chief Executive may also be required to appear before Committees of the Scottish
Parliament, including the Public Audit and Post-Legislative Scrutiny Committee, to
account for the discharge of their responsibilities under the terms of this Framework
Document. They are also responsible for putting into effect any relevant
recommendations of the Audit Committee or other Committees of the Scottish
Parliament which are accepted by Scottish Ministers.
Arrangements for dealing with Parliamentary Correspondence
The Minister will encourage Members of the Scottish Parliament to communicate
directly with the Agency Chief Executive on operational matters within his or her
authority.
The Chief Executive will provide Ministers with any necessary information and support
the answer of Parliamentary Questions or deal with any other Parliamentary business
for which the Agency is responsible.
Complaints and the Ombudsman
Disclosure Scotland sees complaints as a useful way of improving our services and the
Agency is committed to learning lessons from any which are received. The Chief
Executive is responsible for ensuring that effective procedures for handling complaints
are established, published and adhered to. The complaints procedure must be
compliant with the statement of principles published by the Scottish Public Services
Ombudsman (SPSO). Where complainants are unhappy with the outcome of their
complaint, they are informed of their right to raise it with the SPSO who will investigate.
The Chief Executive will ensure that any actions arising from these investigations are
appropriately and promptly addressed.
Complaints about information provided by the Police
Where complaints received by Disclosure Scotland relate to information provided by
Police Scotland or a UK police force, the issue will be referred to the relevant force for
their action. Complainants who remain unhappy with the outcome have a right to
pursue their complaints with the relevant Police Complaints Commissioner. Disclosure
Scotland will respond to any recommendations that arise from such an investigation in
so far as they relate to the provision of the Agency’s services.
20Resource Planning and Management
Financial Regime
The Chief Executive is responsible for ensuring that the Agency’s financial procedures
comply with guidance issued by the Finance Directorate and Scottish Procurement.
Disclosure Scotland will comply with the requirements of the Scottish Public Finance
Manual (SPFM) and other relevant guidance.
It is a requirement of the Agency that a robust system of financial and budgetary control
is in place which provides the Chief Executive and the Portfolio Accountable Officer with
sufficient information to assure them that expenditure is being handled in a proper and
prudent manner and it is achieving efficiency improvements and value for money from
its resources in the delivery of its functions.
The financial delegations for the Agency are set out in Annex B. These arrangements
are intended to provide the Chief Executive with maximum flexibility to make efficient
use of the resources available to the Agency, within the context of strategic and policy
objectives and corporate plans agreed by Scottish Ministers.
The Chief Executive is also responsible for ensuring financial procedures, as relevant to
Government, are followed.
Fraud and Bribery
The Agency has a zero tolerance approach to fraud - there is no acceptable level of
fraud and bribery. To support this approach, the Agency ensures that opportunities for
fraud and bribery are reduced to the lowest possible level of risk. To this end, the
Agency has established a Counter Fraud and Bribery Policy and a Fraud and Bribery
Response Plan in accordance with the guidance set out in the Scottish Public Finance
Manual (SPFM). This framework outlines the approach for the prevention, detection,
reporting and handling of fraud and bribery and is reviewed and tested annually. This
information is communicated as part of the induction process for new staff and a link to
the policy and response plan is included in the induction pack.
Arrangements for Audit
The Chief Executive is responsible for establishing internal audit mechanisms, in
accordance with the objectives and standards laid down in the Government Internal
Audit Manual and in a way which demonstrates best value for money. In this context
Scottish Government Internal Audit Directorate provides an audit service to Disclosure
Scotland governed by a Service Level Agreement (SLA). It is open to the Chief
Executive to review this arrangement but any resultant change to arrangements must
21be captured in the SLA and signed by the Chief Executive and the Director of Internal
Audit.
The Agency has established an Audit and Risk Committee whose membership and
remit is set out on pages 17-18 of this Framework Document.
The Portfolio Accountable Officer may have appropriate representatives (e.g. Internal
Audit) undertake any work required to provide independent assurance about the
Agency’s management and control, if he or she considers it necessary.
The Agency is subject to external audit by the Auditor General for Scotland (AGS) or by
auditors appointed by the AGS.
Arrangements for Producing Accounts
The Chief Executive is responsible for producing and publishing accounts for the
Agency and for laying them before the Parliament together with the Disclosure
Scotland’s annual report. The accounts must be produced in accordance with the
accounts direction from Scottish Ministers and the timetable for the production of the
Scottish Government’s consolidated accounts each year. The Public Finance and
Accountability (Scotland) Act 2000 stipulates that the Scottish Government’s
consolidated accounts will be laid before the Scottish Parliament and published after
they have been audited and certified by the Auditor General for Scotland.
The Chief Executive is responsible for maintaining a sound system of internal control
that supports the achievement of Disclosure Scotland's policies, aims and objectives
and for regularly reviewing the effectiveness of that system. Disclosure Scotland’s
directors utilise the internal control checklists annexed to the SPFM and provide these
along with certificates of assurance (qualified where appropriate) to the Chief Executive.
A governance statement is to be provided by the Accountable Officer as part of the
Agency’s Annual Report and Accounts.
Contingent Liabilities
Disclosure Scotland’s risks, including public and employer liability, are carried in line
with the Scottish Government's policy on insurance. The Chief Executive will keep the
SG Finance Business Partners informed of the level of any contingent liabilities
including, where possible, an assessment of their values. Where appropriate, he or she
will report contingent liabilities to the Scottish Parliament, seeking prior approval where
necessary in line with the SPFM.
22Corporate Strategy and Business Plans
The Chief Executive is responsible for preparing a corporate plan covering the medium
to long term strategic aims of the Agency and an annual business plan that takes
account of and reflects the Scottish Government Business Strategy. The corporate plan
and business plan should be prepared in consultation with the Directors and the
corporate plan should be approved by Scottish Ministers. The plans should be clear on
how the activities of the Agency are aligned to the Government’s Purpose and the
National Outcomes set out in National Performance Framework.
Risk Management
The Chief Executive, supported by the Audit and Risk Committee, is responsible for
implementing and monitoring risk management arrangements as outlined in the SPFM
as part of a robust corporate governance framework. The Agency has established a
Corporate Risk Review Group (CRRG) with representation from across the Agency.
The CRRG meets on a monthly basis (and on demand if an issue merits action
between scheduled meetings) to actively monitor and report risks - to monitor whether
or not the risk profile is changing, to gain assurance that risk management is effective
and to identify when further action is necessary and to escalate risks as appropriate to
SG’s portfolio.
23Our People
Status of staff and terms and conditions
Disclosure Scotland’s people share terms and conditions and HR policies with the
Scottish Government and fall within the Scottish Government Main bargaining unit,
complying with the Public Sector Pay Policy for Staff Pay Remits. Disclosure Scotland’s
people align with the Civil Service Code, which sets out the core values of the Civil
Service and the standards expected of civil servants.
Disclosure Scotland is responsible for the recruitment of its people, in consultation with
the Scottish Government’s People Directorate. All recruitment will adhere to the Civil
Service Management Code, the Scottish Government Main Resourcing Policy and
procedures and, for external recruitment, the Civil Service Commissioners’ Recruitment
Principles.
Training and Development
Disclosure Scotland aims to offer its people career development opportunities and is
committed to continuous learning. The Chief Executive is responsible for the
development of all Disclosure Scotland staff, drawing as necessary on Scottish
Government staff development resources and activity. All permanent staff are eligible
for promotion opportunities within the Scottish Government.
Staff Relations
Disclosure Scotland and the Council of Scottish Government Unions (CSGU) are
committed to conducting their employee relations in constructive partnership. Both fully
endorse and support the goals and principles set out within the Scottish Government
Management Main Bargaining Unit Partnership Agreement.
To support this agreement at a local level, a formal Disclosure Scotland Partnership
Board meets quarterly to consider common employee relations issues and strategic
issues facing the Agency. This is supplemented with a local Partnership Sub Group
who meet monthly.
Equality and Diversity
Disclosure Scotland is committed to delivering SG’s Equal Opportunities Policy to
eliminate discrimination and unfair treatment on the grounds of irrelevant differences
including sex, marital or civil partnership status, age, race, ethnic origin, sexual
orientation, disability, religion or belief, working pattern, employment status, gender
identity (transgender), caring responsibility or trade union membership. The Agency is
24an equal opportunities employer and aims to produce an organisational culture that is
welcoming and supportive of all of its people.
Disclosure Scotland also supports the SG’s commitment to increasing the diversity of
staff and developing them, ignoring irrelevant differences, valuing their different
perspectives and skills and making use of these in the workplace.
Health and Safety
The responsibility for Health and Safety management, including compliance with Health
and Safety legislation, guidance and/or best practice, lies with the Chief Executive. The
Agency has a Health and Safety Committee which meets quarterly and welcomes the
Council of Scottish Government Unions’ (CSGU) regular health and safety audits.
Welfare
The Agency has access to arrangements made by the SG for people welfare. The
welfare of people in terms of their physical working environment is the responsibility of
the Chief Executive.
Appointment of the Chief Executive
The Chief Executive is a Senior Civil Servant and is subject to the Civil Service Code.
The post of Chief Executive may be filled by a managed move within the Civil Service,
in the same way as any other senior management position within the Scottish
Government, or it may be filled by open competition overseen by the Civil Service
Commissioners. The arrangements for appointing a Chief Executive will be managed by
the Senior Staff Team within the Scottish Government’s People Directorate.
25External Relationships
Our Stakeholders
Disclosure Scotland ensures that external stakeholders are appropriately informed and,
as far as possible, involved in the design and delivery of services. This includes bodies
such as the police and regulatory bodies who are third party providers of information, as
well as those organisations who use the services of Disclosure Scotland. The Agency is
responsible for keeping them informed of any changes in service delivery and
responding to issues or concerns raised by stakeholders. Stakeholders and service
users are actively involved in Disclosure Scotland’s transformation programme, working
with the Agency to ensure that the new systems and processes are effective,
responsive and efficient.
Children and Young People’s Commissioner Scotland
The Commissioner is responsible for protecting the rights of all children and young
people in Scotland under the age of 18, and those under the age of 21 if they have
been in the care of, or looked after by, a local authority. As such, the Commissioner will
have a particular interest in how the Agency operates the Protection of Vulnerable
Groups Scheme. Disclosure Scotland will respond directly to any issues raised by the
Commissioner about the impact for children on the way the Agency’s services are
delivered.
Scottish Information Commissioner
The Scottish Information Commissioner promotes and enforces both the public’s right to
ask for information held by Scottish public authorities and good practice by authorities.
This work supports openness, transparency and accountability of public bodies. The
Scottish Information Commissioner investigates applications and issues legally
enforceable decisions, promotes good practice amongst public authorities and provides
the public with information on their rights about what they can ask for in terms of
information held by Scottish public authorities.
The Agency will:
have regard to decisions emerging from the Commissioner’s office
comply with the requirement of the Data Protection Act
operate the Commissioner’s single model Publication Scheme
respond to Freedom of Information requests within the statutory guidelines
26Scottish Government Support Services
The Agency is required to draw upon Support Services and advice from the SG in the
following areas:
procurement
legal advice
IT and digital services
finance
internal audit
HR
Where the service provider is able, the service standards and (where appropriate)
charging mechanisms and charging rates for each of these areas are to be jointly
agreed with the Agency and any changes are subject to an agreed notice period. The
Chief Executive will keep the provision of support services under review as part of
ensuring best value in all aspects of the Agency’s operations, including the use of
shared service arrangements where participation offers value for money for the Agency
or to the wider public purse. The Agency reports annually on the steps taken during
each financial year to improve efficiency, effectiveness and economy (including details
of shared services activity) under the terms of the Public Services Reform (Scotland)
Act 2010 and the associated guidance.
Review of the Framework Document
The Framework Document can be reviewed at any time and should be reviewed at key
trigger points, such as when there has been a change in Chief Executive or Minister. It
should be formally reviewed at least once every three years and published on the
Disclosure Scotland website.
27Annex A – Arrangement for Appointment of Non-Executive Board
Members
Disclosure Scotland appointments are made by the Chief Executive and are not
regulated by the Code of Practice for Ministerial Appointments to Public Bodies in
Scotland produced by the Office for the Commissioner for Ethical Standards for Public
Life in Scotland. That said, when we present suitable candidates to Ministers for their
information, we have followed a process which closely aligns with the code of practice.
We always advertise our vacancies on www.appointed-for-scotland.org and will
encourage our stakeholders to highlight the vacancies on their websites. Any budget for
external advertising services will be agreed in advance with the Cabinet Secretary for
Finance, Economy and Fair Work. Our application pack will include a person
specification and a role description.
The interview panel will be chaired by the Chief Executive and will be gender-balanced
Where there is a large response, a preliminary sift will identify candidates for interview.
The interview will be competency-based and seek to gather evidence of the essential
criteria set out in the person specification. The same panel will conduct the sift and
interview.
An assessment of each applicant will take place. The panel will score each applicant
according to a pre-determined scoring matrix. A brief description of skills will be
prepared for each candidate scored to be suitable for appointment. The Chief Executive
will make the final selection and the Minister for Children and Young People will be
sighted on the proposal.
Written feedback will be offered for candidates unsuccessful at sift and at interview.
Appointment will be subject to Fit and Proper Person tests and agreement to written
terms and conditions.
28Annex B – Financial Delegations
Within the agreed overall budgetary provision, and subject to the Scottish Public
Finance Manual and Scottish Procurement Policy Handbook, the Chief Executive of
Disclosure Scotland has delegated authority as set out below.
1. Commit expenditure Unlimited, apart from the specific categories listed below,
and authorise payments within the agreed budget limits.
2. Accept receipts Unlimited, but receipts in excess of those authorised in
the Budget Act must be surrendered to the Scottish
Consolidated Fund.
3. Incur contingent Subject to compliance with guidance on contingent
liabilities liabilities contained in the Scottish Public Finance
Manual.
4. Commission Unlimited up to £10,000. Consultancies between
Consultants £10,000 to £50,000 must be approved by the Chief
Executive. Consultancies above £50,000 must be
approved by the Cabinet Secretary for Education and
Skills, Cabinet Secretary for Finance and Constitution.
Submissions for approval must be endorsed by the Chief
Executive.
5. Authorise losses Unlimited apart from the categories listed below which
and special payments are subject to a limit of £3,000 per individual case:
losses arising from failure to make adequate
charges for services/use of property;
claims waived or abandoned;
special or ex-gratia payments; and
gifts or awards (subject to a limit of £1,000 per
case).
6. Capital expenditure Unlimited within the Agency’s agreed overall budget
including investment provision
projects
29Annex C – Governance forums
Change Delivery Advisory Panel
A key purpose of the Change Delivery Advisory Panel is to provide digital leadership
and delivery expertise to enable successful delivery of the Disclosure Scotland Digital
Strategy by:
providing advice to the Disclosure Scotland’s Chief Executive in support of the
identification of future priorities and actions to deliver the strategies priorities
inspiring digital delivery of new services, platforms and products in Disclosure
Scotland within agreed scope, budget and with value for money
helping to educate assurance bodies to ensure governance and assurance is
appropriate and proportionate for agile delivery
agree effective, collaborative working practices, for example contributing to and
agreeing the monthly report, planning regular meetings, co-ordinating visits to
Disclosure Scotland so as not to slow down delivery
In order to achieve this the panel will:
review, scrutinise and assure all activities in the context of these objectives as
the key independent governance forum for the Digital Challenge Change Team
provide critical challenge, support and assurance to ensure deliverables are
sustainable and scalable with correct resource and funding attached
ensure appropriate governance practices are in place, change is aligned with
Scotland’s Digital Strategy, and delivery meets the Digital First service standards
provide the Chief Executive with a monthly report on progress, incorporating
product quality, financial reporting and alignment to agreed scope
The Digital Challenge Change Team will:
ensure we meet our digital innovation goals, and that the activities to deliver
them and the expected benefits are clearly aligned to Disclosure Scotland
strategic objectives
report progress against each of the key themes to the panel
access panel insights and expertise to make sure delivery plans and activities
align to the implementation plan and Disclosure Scotland’s strategy
30Business Implementation Advisory Panel
The key purpose of the Business Implementation Advisory Panel (BIAP) is to ensure
business change and improvement goals, the activities to deliver them and their
expected benefits are clearly aligned to Disclosure Scotland’s strategic objectives to:
provide a quality and efficient safeguarding service that meets our customer
needs
do so in a way that demonstrates value for public money and contributes to
National Outcomes
support the Change theme sponsor executive take a holistic and strategic view
of operational change and the interdependencies that exist with other change
themes
In order to achieve this the panel will:
scrutinise and assure all business improvement activities in the context of these
objectives as the key governance forum for the Business Improvement Change
Team
inform our strategy to deliver our vision of providing efficient, streamlined
disclosure and safeguarding services, that meet the needs of our customers and
citizens
The Business Improvement Change Team will:
ensure we meet the business change and improvement goals, the activities to
deliver them and their expected benefits are clearly aligned to Disclosure
Scotland’s strategic objectives
report progress against each of the key themes to the panel
access panel insights and expertise to make sure delivery plans and activities
align to the implementation plan and Disclosure Scotland’s strategy
Strategic Finance Advisory Panel
The key purpose of the Strategic Finance Advisory Panel (SFAP) is to ensure the key
themes set out in our Strategic Finance Plan are addressed and realised to:
drive efficiency savings set out in the plan
secure appropriate levels of capital investment
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