Annual Performance Review (APR)

Risk: The voluntary Census Test in April 2006 fails to get the response we need to make decisions for the 2011 Census.

Action taken: We have consulted widely on the questions to be asked in the Census Test. We have put in place procedures to employ, train, manage and pay motivated and competent field staff to ensure we get maximum coverage in enumeration. We have planned local advertising to ensure that the Test is well publicised in the chosen areas.

Risk: The systems required to capture the information from the Census Test forms are not ready on time or the information is not captured accurately.

Action taken: We have contracted out the capture of data from the Census Test forms to a supplier experienced in these services. We have tested these services extensively and have ensured compatibility between the printing of the forms and the automatic data capture systems used by the supplier.

Risk: Contractors, services and systems are not ready for the 2009 Census Rehearsal.

Action taken: The 2011 Census is in an early stage of development. There are no immediate risks, but the mitigation action has been to start our planning for the Census earlier than previously in the 10 year cycle. We are working closely with the other two UK Census Offices to ensure that a quality Census is undertaken while ensuring value for money.

Risk: Our statistics are not produced on time, are inaccurate or do not meet customer needs.

Action taken: We consult widely with the users of our statistics and seek to follow best practice from throughout the UK and the world. We follow the National Statistics Code of Practice and ensure that our statistics are seen to be independently produced.

Objective: The Census Test is a major milestone in the development of a Census and is used to test many things including questionnaire contents and enumeration methods. Development activities for the 2006 Census Test have been divided into phases for effective control of this large programme of work. Prepare for a Census Test in April 2006 by meeting all Phase 1 milestones, including geography specification of requirements, installation and testing of the in-house payroll systems and preparation of procedures, instructions and training material for field staff, by end August 2005. Successful completion of Phase 1 will mean that all systems and services are ready for when the field staff are in place.

Outcome: Achieved (late)

The Phase 1 work was largely achieved within the timescale, field staff instructions could not be finalised by the end of August due to outstanding policy issues. Instructions were completed in the second part of the year.

Objective: The Census Test is a major milestone in the development of a Census and is used to test many things including questionnaire contents and enumeration methods. Development activities for the 2006 Census Test have been divided into phases for effective control of this large programme of work. Prepare for the Census Test by ensuring field staff can meet Phase 2 milestones, including recruiting and training field staff, publicity and public assistance initiatives, managing the field enumeration through FMIS and field communication systems, managing contracts with suppliers, by end March 2006. Successful completion of Phase 2 will mean that the Test is ready to commence in April 2006.

Outcome: Achieved

By end-March 2006, we were ready to run the Test. Actual field operations will, however, carry on through April, May and June of 2006.

Objective: The correct choice of questions is perhaps the key element of the Census. Conduct a second formal round of question consultation with users on the 2011 Census. Conduct small scale testing on questions for the 2006 Census Test, consulting users and Ministers before signing-off the final set of questions by 25 November 2005. Questions suited to a Census Test will be identified and will inform the evaluation of the Test results.

Outcome: Achieved

Ministers agreed the 2006 Test form in December 2005. Small scale question testing exercises proved to be successful.

Objective: The Census is a major project, involving the procurement of many external services. Consider the extent of joint procurement with ONS and provide evidence to support a final decision by June 2005. We will then know the extent to which we have to work jointly with the other two UK Census Offices.

Outcome: Achieved (late)

An options study found that we should work closely with ONS and NISRA on the major 2011 Census contracts. The decision was taken in November 2005. Requirements for the 2011 Census were taken forward in the joint specification of requirement document published in March 2006.

 Outcome: Achieved

A Programme Support Office has been established and has managed the 2006 Census Test. A review will take place and will consider what is needed for the more demanding 2011 Census developments.

Objective: The 2006 Census Test must be underpinned by appropriate information systems:-

• complete first phase of Field Management Information Systems reports for start of field recruitment August 2005;
• award a suitable contract for forms and data processing by end September 2005;
• develop associated lower level documents eg business and technical requirements for key systems by end October 2005;
• develop detailed work-package plans by end October 2005;
• agree service specification with contractor for data processing by January 2006;
• provide geographic information for 2006 Test exercise by January 2006; and
• deliver all required systems (Geography and IS) as agreed with customer by end March 2006.

This will ensure that all key systems are in place for the 2006 Census Test in April 2006.

Outcome: Achieved (some late)

All targets for this objective have been completed. The 2006 Test data processing operational system is scheduled to be delivered in 2006/2007

Objective: The Census is a major programme, involving the procurement of many external services. Investigate ONS work packages from an IT and Geography perspective to help inform the Census Programme Board on the recommended approach to working with ONS contracts in these areas, by the end of 2005. This will ensure that GROS’s interests are properly considered and will enable us to work effectively with ONS.

Outcome: Achieved

This work was carried out and GROS and the other two UK Census Offices have an agreed strategy for contracting services for the 2011 Census.

Objective: The non-census statistical work of the Division needs information and geography support:-

• provide a geography service that meets the agreed quality standards and each branch’s agreed requirements and timescales;
• provide an on- going IT service to branches that meets their agreed requirements and timescales; and
• provide guidance and support to ensure that the division meets its agreed data security requirements.

This will ensure that other statistical business objectives will continue to be met while the major task of the 2011 Census becomes the focus of the Branch.

Outcome: Mostly Achieved

Comprehensive IT support and Geography services have been provided this year. Difficulties in recruiting IT staff have resulted in some work being postponed (eg the rewrite of the Vital Events system).

Number of visits by different customers

Number of files downloaded (includes statistics pages, maps, CSV files, etc)

Apply postcode updates to the GSI database

1,827 updates

Must be updated by the end of each quarter throughout the year

Objective: Under the National Statistics Code of Practice, year ahead pre-announcement of release dates has been introduced as an aid to statistical integrity. To produce agreed statistical outputs, on pre-announced dates, adhering to the National Statistics Code of Practice, including the following key outputs:-

• remaining 2001 Census outputs and evaluation reports;
• Registrar General's Annual Review of Demographic Trends (July 2005);
• a publication on Settlements 2001-2003; and
• occasional papers on Gaelic and other topics.

Confirming and meeting the pre-announced dates further enhances integrity as well as user perception of GROS. Customers can expect the statistics they need at the time stated.

Outcome: Mostly Achieved

Our main statistical outputs (including the Registrar General's Annual Review of Demographic Trends and the Gaelic paper) were produced by the pre-announced dates. Other planned outputs were postponed until the next year.

Objective: GROS has revamped its main website and is considering options for the future of the SCROL website. Review and where necessary revise dissemination practices, in particular the statistical content of GROS sites. This will provide an easier-to-use statistical service consistent with other GROS services.

Outcome: Not Achieved

Due to other demands on resources this work was not started until the end of the year. A first draft of timetable and specification was drawn up and circulated for comment 23rd March 2006.

Meet customer requests for information

1,673 requests

Within 5 working days
(simple request for information already collated)

Meet customer requests for information

7 requests

Within 10 working days
(relatively complex request where information is not already collated)

Meet customer requests for information

23 requests

Within the timeframe agreed with the customer at the outset (complex requests requiring bespoke analysis of the source data)

Objective: To produce and/or publish, following the National Statistics Code of Practice, the following regular outputs:-

• mid-year estimates (national and sub-national) by April 2005;
• marital status estimates for Scotland 2004 by July 2005;
• life Expectancy (national) by September 2005;
• revised marital status estimates 1986-2000 by September 2005;
• national population projections by October 2005; and
• sub-national population projections by December 2005.

Confirming and meeting the pre-announced dates further enhances integrity as well as user perception of GROS. Customers can expect the statistics they need at the time stated.

Outcome: Mostly Achieved

With one exception, all the major planned publications were produced and quality assured to time this year. Revisions to marital status were not produced due to other priorities.

Objective:

For some time there has been a demand from customers for population estimates to be produced for areas smaller than local authority/health authority. Produce small area population estimates (SAPE) for “datazones” (a small geographic area based on postcodes with 750 to 800 people, on average), consistent with the mid-year population estimates for council areas for the years 2001-2004, along with supporting documentation and methodology. This will provide customers with information that enables them to plan better for services and facilities in specific areas, resulting in more effective channelling of resources.

Outcome: Achieved

A new product of SAPE 2001-2004 for "datazones" was produced as planned. It has been welcomed by our customers and there have been no major criticisms. The next stage of quality assuring the SAPE against administrative data sources will inform the methodology for 2005 SAPE and will provide useful context for customers.

Objective: It is essential that the statistics we produce meet customer’s expectations and use the most readily available information. To further develop the current range of products on demographic statistics to include:-

• key facts on Scottish demographic trends;
• time series of key statistics;
• NHSCR migration data (R1 and R2 tables);
• information paper on migration component of the mid year estimates; and
• review projections process.

Customers can expect the statistics they need at the time stated.

Outcome: Mostly Achieved

An interim review of the population projections system was successfully implemented resulting in less time spent preparing output. A number of new sets of tables have been produced by the demography team for dissemination, which will be loaded on the web following the ongoing review.

Objective: GROS can add value to statistics by helping users interpret the data and providing additional analysis. Provide appropriate advice and analysis to support users, through user groups (eg Population and Migration Scotstat subgroup, and the Scottish Executive cross-office demography group), publication in journals and presentations. The profile of GROS will be raised, more use will be made of our statistics and customers will obtain the support they need to make the best use of the statistics we produce.

Outcome: Achieved

The demography team have had a busy year supporting our key customers in the Scottish Executive and providing presentations and briefings to a wide range of bodies. A member of the demography team provided a presentation to the British Society for Population Studies in Leicester.

Objective: GROS has a good reputation for producing statistical extracts and analyses of registration data in a timely and accurate manner. To ensure that information on all vital events registered in 2005 is received and processed in line with stated performance targets and publication deadlines. Also, to meet various ad-hoc requests for information. Thereby meeting the needs of the data users.

Outcome: Achieved

Detailed measures of workload are shown at the end of this section. All ad-hoc requests for information were satisfied within the agreed timescales.

Objective: The NHSCR is being considered as the spine for the local authority Citizen’s Account (CA). Fully meet all requirements arising in respect of the NHSCR in a CA pilot, so as to allow proof of concept to be tested. The result will be a pilot that proves the feasibility of a CA and helps determine the approach to be taken.

Outcome: Achieved

The "Proof of Concept" system was delivered ahead of schedule and further development work has formed the basis for next year’s objectives.

Objective: A major Review of the work of NHSCR was carried out during 2003-04. To implement the recommendations from the study and ensure that appropriate arrangements are put in place for the future governance of the NHSCR. As well as maintaining, or enhancing, the quality of our service to NHS Scotland, this will allow consideration to be made of widening the use of this valuable resource.

Outcome: Mostly Achieved

A review group was established and decisions taken at the first meeting are being acted on.

Objective: Ministers have decided that NHSCR will be relocated to Dumfries. To manage the relocation of NHSCR to Dumfries, and, in particular, to recruit and train new staff. The main aims are to ensure the continuity of the service provided to NHS Scotland and to handle all staffing issues that arise as sensitively as possible.

Outcome: Achieved

The hand over of all our work was carried out on time. In addition to our normal work, there were an additional 800,000 cases to be handled for the CA programme.

Objective: GROS is contracted to Scottish Executive Health Department to maintain the NHSCR on behalf of NHS Scotland. Additionally, a flagging service is provided to specific medical researchers. To process against the Scottish healthcare index database all health service and medical research updates in line with stated performance targets, thereby meeting the needs of customers.

Outcome: Achieved

All Health Board update targets were exceeded as were the medical research targets (achieved during a period of upheaval due to relocation).

Number of cases edited and coded (for Calendar Year 2005)

152,271

To process, code and disseminate all vital events within three weeks of receipt. This target has to be met at least 95% of the time

Number of requests for ad-hoc information

115 requests which created income in excess of £30,000 (plus VAT)

To answer non-complex requests for information within 10 working days

Number of Scottish Parliamentary Questions answered

50 Parliamentary Questions

To respond to Parliamentary Questions within the timescale required

Number of database changes

868,825 changes

Processing database changes within 5 weeks of change being notified to NHSCR Branch

Number of new survey patients flagged

132,628 patients

Flagging new survey patients within 3 weeks of request by medical researchers

Number of medical researchers notified

17,432 notifications

Notifying medical researchers within 6 weeks of certain events (non-death) being notified to NHSCR Branch

Number of medical researchers notified of registered deaths

10,061 notifications

Notifying medical researchers within 9 weeks of a death being registered with local registrar.

Objectives: It is important to explore possible alternative sources to supplement or replace the Census in future years. Conduct initial examinations of following alternative sources and produce initial report:-

• ScotXed school pupil data (June 2005);
• Electoral Register (September 2005); and
• Develop work on further sources.

We will have further developed our long-term strategy for alternatives to a traditional Census.

Outcome: Mostly Achieved

Good progress was made, notably analysis of school age children data, CHI and Census linkage results and DVLA car registration data. We ensured new regulations allowed us access to electoral roll data and began building time series data on benefit recipients to help assure population estimates and develop new methodologies.

Objective: Matching between data sources can greatly increase the power of analyses and the value obtained from those data. Manage GROS work on data matching projects in compliance with current legislation and National Statistics Protocols and ensure lessons are learned. In particular:-

• Complete the development of the Scottish Longitudinal Survey database in conjunction with SLS team;
• Promote and develop the use of the data; and
• Arrange introductory seminar on SLS for Scottish Executive staff in the 1st Quarter 2006.

A successful SLS will demonstrate the potential of data matching for demographic statistics and will provide a valuable data source in its own right.

Outcome: Mostly Achieved

Completed an ethnicity and health study and published report. Work on the SLS database development continued, although slower than predicted, and an introductory seminar for SE analysts was held in March 2006.

Objectives: We wish to produce household statistics that make use of new sources of data and link more closely with our population statistics. Develop and agree a methodology for producing household estimates and projections at local authority level, and small area household estimates, which are consistent, timely and better meet our customers’ needs, publishing the estimates in August 2005 and the projections in April 2006. This will improve the quality and consistency of our products.

Outcome: Achieved

• Household estimates methodology was reviewed, and new household estimates for 2004 and 2005 have been published as planned. These figures are more timely and accurate than those published in the past. Following consultation with councils and software suppliers, we have produced a detailed data specification for developing small area household estimates from Council Tax systems – this work is now being taken forward by the software suppliers.
• Household projections for Scotland will be published in May 2006. Over the next two years, we will carry out a full review of the household projections methodology and software. This will build on work carried out over the past year, including a one-day projections seminar held in November 2005.
• Small area dwelling counts were published in April 2005. Work has since been carried out to compare these figures to other sources, and investigate the potential to publish new information on dwelling type and number of rooms. We have also worked with the Assessors to improve the quality of the postcode information on the Assessors’ Portal.
• Data on communal establishments have been obtained from a number of sources, and detailed investigations of the data, overlaps and gaps have been carried out. The main gap is for students living in halls of residence, so this will be investigated further over the next year, and a new data collection may be considered.

Objective: Improved addressing information will have benefits for many GROS interests in household statistics, geography and the Census. Represent GROS interests in addressing initiatives, including the Definitive National Address (DNA) Project and Assessors’ Portal. GROS will be well placed to make maximum use of any accurate and comprehensive source of addresses and will be able to influence the development of such a resource.

Outcomes: Achieved

Over the year, we have followed progress on DNA and the Assessors’ Portal, representing GROS interest as appropriate. In particular, our analyses of the data from the Assessors’ Portal has enabled the Assessors to improve the quality of data held on the Portal.

 Action taken: Rigorous project management is in place and the programme of work is the subject of a Gateway Review process (passed Gateway Review Stage 4 in September 2005). We have also put in place a plan that minimises disruption during accommodation works. We are ensuring that the current services provided by the three partners can be delivered right up to the switch over to the new service and that we can switch back if required.

Risk: No Parliamentary slot in 2005 for legislation to reform Civil Registration in Scotland.

Action taken: Consultation was completed on the draft Bill on schedule. We have agreed legislative timetable with Ministers. If the Bill does not gain a slot registration services will continue as at present and initiatives will be put on hold.

Risk: There is a technical failure which prevents us from delivering the FER and DIGROS services to local registration offices (eg GSX failure, OS problem, web server hardware failure).

Action taken: We have introduced a number of measures (eg duplicate servers) that will reduce the chances of failure. Registrars can carry out registration on paper during any downtime and have Adobe templates which can be used on computers. The latest version of FER was launched in November 2005 (including civil partnerships) and is achieving over 99% availability at server end.

Objective: GROS recognised that a range of ideas to improve the delivery of the registration service to the people of Scotland could be taken forward by amending registration legislation. To introduce into the Scottish Parliament the Registration (Scotland) Bill, including provision for E-Registration. Implementation of the Bill’s provisions will result in a modern, efficient and more user friendly registration service.

Outcome: Achieved (to date)

Stage 1 of Registration Bill due to be completed on 4 May 2006 and to have cleared the Scottish Parliament by summer recess.

Objective: An annual examination of the statutory registers of births, deaths, marriages and still births, kept by local authorities, is undertaken by three District Examiners from GROS. To improve standards in the Registration Service by District Examiners measuring the accuracy and probity of the statutory registers and by reporting on these to the Registrar General and senior managers of the 32 local authority registration services in Scotland. Preparatory work will be carried out during the period to move to a more contemporaneous examination process. This will result in a more efficient and effective registration service, and cement the close working partnership between GROS and the 32 local authorities.

Outcome: Mostly Achieved

Annual Performance Indicators were published on schedule. Preparations were started for Contemporaneous Examination is dependent on the training of the Assistant Examiners, which has yet to start.

Objective: GROS recognised that a range of ideas to improve the delivery of the registration service to the people of Scotland could be taken forward by amending registration legislation. To implement the Registration Services (Scotland) Bill following enactment in 2006, including provision for E-Registration (by January 2008), resulting in a modern, efficient and more user friendly registration service.

Outcome: Achieved (to date)

Stage 1 of Registration Bill due to be completed on 4 May 2006 and to have been approved by the Scottish Parliament by summer recess.

Objective: It is Government policy to give same sex couples the same rights as mixed sex couples. To implement the provisions of Civil Partnership Act by December 2005. This will make available the rights and benefits of a civil partnership registration system for same sex couples.

Outcome: Achieved

A statutory instrument with civil partnership prescribed forms was laid on 26 September 2005. This was followed by a statutory instrument prescribing fees which was laid on 10 November 2005. The Registrars’ Handbook entry was issued to all registrars on 7 November 2005 and the Civil Partnership Act came into force on 5 December 2005.

Notify customers over decision taken regarding marriage dispensation

166 requests

Notify customer of decision within 1 working day - target 95%.

Notify customer over decision taken over a range of casework correspondence

Total 14,215 enquiries

Notify customer of decision/action within 10 working days - target 95%.

Adoption

1,711 enquiries

As above

Change of Name

3,581 enquiries

As above

Correction of Error

1,036 enquiries

As above

Marriage (other than dispensations)

2,989 enquiries

As above

Civil Partnership

37 enquiries

As above

Re-registration

3,170 enquiries

As above

General

1,691 enquiries

As above

To provide information about people eligible for Royal Telegrams (centenarians etc)

1,175 requests

Notify Palace 3 weeks prior to event (subject to being notified within this timescale) - target 100%. Notify Lord Lieutenants and informant within 2 working days on receipt of Palace confirmation - target 100%

To examine all Registration Offices in Scotland

314 Offices in 32 Local Authorities (LAs)

95% or greater accuracy of registration in Offices registering over 100 events

Objective: GROS has advertised that its Family History website will be enhanced by addition of the remaining historical censuses. To supply index data and images to Scotland On Line (the relevant service provider) for the 1841, 1851 and 1861 Censuses and to provide these for the search rooms at New Register House. This work will enable these sources to be available for the new Scottish Family History Service (SFHS).

Outcome: Partly Achieved

The Census material was presented on line at www.scotlandspeople.gov.uk later than planned. This will also be achieved locally in New Register House by the end of May 2006.

Objective: GROS has developed a new registration system, the Forward Electronic Register (FER) to provide local registration offices with a modern package for recording vital events. To maintain and further develop the FER system, in particular developing a system for processing the preliminaries to, and registration of civil partnerships. This will enable registration office systems to be ready for the introduction of civil partnerships on 5 December 2005.

Outcome: Mostly Achieved

The prime target of issuing a version of FER to handle civil partnerships was achieved. However, other tasks slipped. In particular, efforts concentrating on GSX connection re-accreditation and a security review were delayed through a lack of appropriate IT resources.

Outcome: Mostly Achieved

The RCE index, Minor Records and Divorces were made available. Work to enable the provision of early census material in NRH was delayed due to other priority work.

Objective: GROS currently provides public access to digitised records in Edinburgh at New Register House, and on the internet. These services are to be incorporated into the new Scottish Family History Service in conjunction with digital images of records from the Court of the Lord Lyon and The National Archives of Scotland. But as yet there is no local access to these resources. To establish a robust technical solution for providing public access to digitised images at local registration offices. This will enable local search centres at registration offices to offer a service of comparable standard to that available in Edinburgh or on the internet.

Outcome: Not Achieved

Work postponed due to higher priority work. A review of security pointed up potential risks that needed to be addressed. This objective will receive greater focus next year.

Objective: GROS has used an IBM AS400 based system to provide indexes for the registers for many years. But the departmental standard for databases is to use Ingres and the IBM AS400 needs upgrading. To transfer the existing index databases from an AS400 to Ingres, creating all necessary amendment and update programs to allow the indexes to be maintained on an Ingres database. This will help standardise GROS databases and ensure that the service uses supported hardware and software.

Outcome: Not Achieved

1901 census data was copied to a development Ingres system as a pilot, but all other work was postponed due to higher priority tasks. This objective will be taken forward in 2006-07.

Objective: GROS provides access to view digitised records for both its staff in Edinburgh at New Register House, and for local registrars throughout Scotland. To develop a technical solution to allow extracts from the registers to be printed directly from the DIGROS images both in New Register House and at local registration offices. This will facilitate the production of extracts making good use of the investment in digitising the records.

Outcome: Partly Achieved

The system was developed for use in New Register House. Other priorities prevented release in local registration offices. This will be achieved in 2006-07.

Forecast

Actual

Forecast

Actual

Objective: The DIGROS programme to create digital images of register pages has given us the opportunity to revise our workflows which were based on the movement of physical registers. To implement the workflow system in Records Enterprise for extract ordering and routine enquiries. This will enable faster and more efficient processing of extract business.

Outcome: Not Achieved

Development of a solution was postponed until the restructuring of Extract Services and Public Counter business has taken place - which was in turn delayed because of SFHS delays.

Objective: Records Enterprise has a wide customer base in New Register House and through media such as the telephone. Working from points identified in customer surveys, and using the efficiency gains made through workflow, implement expanded and improved services to telephone extract customers. This will make our telephone ordering service more convenient for customers, offer a wider range of searching than at present, and offer real-time searching.

Outcome: Not Achieved

Development of a solution was postponed until the restructuring of Extract Services and Public Counter business has taken place - which was in turn delayed because of SFHS delays.

Objective: There is increasing demand from online customers for the ability to access material on the ScotlandsPeople website more recent than the present cut-off dates allow. To add index data for statutory records up to the present to the ScotlandsPeople site, with an extract order facility. This will provide additional convenience to customers.

Outcome: Not Achieved

Due to other priority work the feasibility of this was not seriously addressed until late in the year. Scotland On-Line (the www.scotlandspeople.gov.uk service provider) will consider this in 2006-07.

Forecast

Actual

Forecast

Actual

Forecast

Actual

Forecast

Actual

Forecast

Actual

Search places occupied

Number of search places occupied over the complete year

20,655 places

To have over 100 search places filled daily

Total places available over year

24,950 places

Throughput

Measure

To provide customers with extracts and unofficial copies ordered over the Public Counter

10,248 extracts

issue extracts within 5 working days

To provide customers with extracts ordered through mail, fax and telephone

24,829 extracts

issue extracts within 10 working days

Throughput

Measure

To provide customers with extracts ordered through the ScotlandsPeople website

38,882 extracts

issue extracts within 15 working days

Objective: GROS, in conjunction with NAS and the Lord Lyon, is developing a new Scottish Family History Service (SFHS). This will create a "genealogy campus" using General Register House and New Register House and will provide a more logical searching service for the public. To pilot a single, fully integrated system for accessing GROS, NAS and CLL digitised resources within the campus. This will achieve integrated access to the partners’ digitised resources, thus providing a joined-up service to our customers.

Outcome: Partly Achieved

The development of the service was mostly on schedule until the main building contractor went into receivership in April 2006. A new contractor will need to be appointed and plans recast.

 Outcome: Partly Achieved

The development of the service was mostly on schedule until the main building contractor went into receivership in April 2006. A new contractor will need to be appointed and plans recast.

Risk: The information we hold is put at risk due to a breach in IT or physical security.

Action taken: We arranged for the SE Security Services to look after our buildings. We joined the SE SCOTS IT service to give our IT systems added protection and we started a programme of work that will lead to full BS 7799 accreditation for our key public-facing systems.

Risk: Higher than expected income from our ScotlandsPeople service and delays in some projects have caused higher than expected budget underspends for the last few years. The extent of the underspend has not been obvious until very close to the end of the financial year. There is a risk that we will underspend again in 2005-06.

Action taken: We introduced new and very strict budget management procedures at the Autumn Budget Revision stage and continued these throughout the year. At the end of the financial year, our underspend was £370,000 (4.2% of a budget of £8.9 million).

Risk: We do not have enough staff to properly cope with the increase in UK and Scottish Government initiatives, thus failing to gain the benefits envisaged. We do not have enough IT staff with the appropriate skills to meet demands for systems development and support, resulting in delays in systems implementation and the introduction of unreliable systems. Key projects fail to deliver on time or within budget.

Action taken: We joined the SE SCOTS service to release IT staff to focus on supporting our key business systems and developing additional public-facing services. We also established an IT management team (the IS Executive Board) and an approach that clearly defines priorities and focuses effort on the areas most critical to the business. We have developed a workforce plan and a new resourcing policy which enables us to identify vacancies well in advance and fill posts slightly quicker than before.

 Outcome: Achieved (late)

The key elements of GROSPlan were in place by the due date enabling staff to set their individual objectives for the year. The less critical parts of GROSPlan were put in place by 30 April 2006.

Objective: SE Finance prepare the accounts for GROS and require to do so before the external auditor's final visit (in July 2005). Furthermore, we need to provide information on the Department’s performance and how this relates to the financial information in the accounts. To reconcile all financial records and provide SE Finance with complete and appropriate information to enable them to prepare the GROS 2004-05 Annual Accounts by the 30 June 2005. In parallel, to produce and publish on our website our Annual Performance Review. The result will be a fully audited and unqualified set of accounts with an associated review of performance.

Outcome: Partly Achieved

The 2004-05 Annual Accounts were completed on schedule and received an "unqualified" audit opinion from our external auditors. The Accounts were laid before Scottish Parliament in early December 2005 along with those from the SE.

Due to time constraints and other priorities, the Annual Performance Review was taken forward as a slightly extended version of the previous year’s "Summary of Achievements" and was therefore incorporated in the Accounts. This fell someway short of the document that was planned.

Objective: The core business of GROS is collecting, holding and disseminating information. It is essential that we have processes in place to manage the information that we hold and guarantee its security. We have been maintaining an appropriate level of IT security using tactical measures and have obtained independent assessments where the risk of breach could be high (eg for SCROL, FER and DIGROS). We are preparing to join the SE SCOTS community and that will radically change the way we ensure the security of our IT systems. The IS security policy for GROS and the supporting procedures need to be reviewed in the light of this and need to take account of advances in technology and new standards (eg BS 7799). Furthermore, we need to formalise Information Management within the Department and recognise it as a key driver to efficient operations. To carry out a full review of IS security within GROS with a view to producing a new IS Security Policy document. Furthermore, to develop a strategy for information management within the Department. The result will be better management of the information we hold and an updated security policy that is in line with current best practice, and as a consequence will ensure more secure systems.

Outcome: Achieved

We recruited an Information Manager (incorporating IS security duties) in August 2005. After a period of training the Manager produced a BS 7799 Implementation Plan which was agreed by the Project Board in January 2006. Our internal auditors endorsed the plan in February 2006. The project covers step by step accreditation for each of our key outward-facing services and will run until the end of 2007.

Objective: In recent years GROS has introduced a number of measures that are in accord with the SE Best Value initiative, but we have not done this as part of a managed programme. Our external auditors have recognised this and have asked us to introduce a Best Value (or equivalent) programme in GROS. Meanwhile the Minister for Finance has introduced the "Efficient Government" initiative that seeks to make savings in back office processes so that funds can be released for front line services. We have been doing this in a number of areas (including shared services with NAS and the SE) but there are others that should be considered. To introduce a Best Value (or equivalent) programme in GROS, taking account of the "Efficient Government" initiative by 30 September 2005. The result will be a set of properly managed and documented for cost-effective operation of GROS.

Outcome: Mostly Achieved

Based on the findings of a Best Value review carried out by our external auditors, we addressed two areas that required priority attention. We refreshed our acquisitioning and purchasing procedures and included guidance (supported with training) on options appraisal. We also set up a team (in conjunction with the National Archives of Scotland) to draw up a sustainable development policy.

Objective: The budget for the Department is now heavily dependent on income from services provided, in particular receipts from our on-line and in-person genealogical services. The implementation of the Scottish Family History Research Service will introduce a further level of change that will require alterations to Memoranda of Trading Accounts. Furthermore, as we build up to the 2011 Census, the budget required by the Department rises considerably to a peak in 2011. Finally, we continue to have a larger than planned underspend and struggle to meet deadlines at the end of the financial year. To review the financial structure of the Department (and recast related MTAs) and inspect the processes we employ to finalise our accounts each year by 31 December 2005. The result will be financial strategy that reflects better the emerging income and expenditure profile.

Outcome: Achieved

In the autumn of 2005 we reviewed how we prepared the 2004-05 Accounts and prepared a schedule of tasks that would enable us to produce the Accounts much quicker the following year. Our goal was to undertake almost all tasks (eg reconciliations) on a monthly basis so that end of year tasks were minimal. Also, we produced revised MTAs and in 2006-07 we will replace the MTA for Records Enterprise with a new one for the Scottish Family History Service.

Objective: For the last five years GROS has consistently underspent. There have always been justifiable reasons for the underspend, but audit reports have been critical of the fact that the level of underspend is not accurately estimated by the time of the Spring Budget Revision. To review the budgeting processes of the Department. The result will be a better managed underspend (or an early alerted potential overspend).

Outcome: Achieved

In the summer of 2005 we reviewed how budgeting was carried out in the Department. A design was presented to DSPG and the Audit Committee and was put into practice for the Autumn Budget Revision. At the Spring Budget Revision we applied the same approach and found our Autumn Budget Revision figures to still be valid. At the end of the financial year, our underspend was £370,000 (4.2% of a budget of £8.9 million). Internal audit carried out a review of our revised budgeting arrangements and picked up three relatively minor points.

Arrange DSPG meeting

n/a

Arrange Audit Committee meeting

n/a

Produce minutes of meetings

Minutes must be ready within 5 working days of the meeting

Return reports to the SE (this included monthly monitoring reports, Annual Budget Submission and Autumn and Spring Budget Revisions)

Reports must be with the SE by the requested date

Produce monthly budget monitoring reports for Budget Managers

Reports to be produced by the 8th working day of each month from July through to April (ie June to March reports)

Record, report and review physical and IT security incidents

Act immediately on notification of an incident

No incidents were notified

n/a

Respond to non-routine FOI request

Request must be dealt with within 20 working days

Respond to review of FOI decision

Request must be dealt with within 20 working days

Objective: Central Services Division is responsible for the Department's procurement arrangements. A number of improvements were initiated throughout 2004-05 in response to audit recommendations and there is a need to complete the task. To prepare a new GROS Procurement Guide, updating procurement practice within GROS to ensure compliance with changing procurement procedures and legislation, incorporating legislative changes, contract management, e-procurement and best practice. The implementation of the guide will be supported by a suitable education programme. To do this by 31 October 2005. This will ensure value for money on all purchases made by GROS; our contracts are maintained to an appropriate standard; and that the Department complies with relevant legislation.

Outcome: Achieved (late)

Due to other pressing work the new Procurement Guide was not available until March 2006. A series of training seminars were held to coincide with the launch of the Guide (these were mandatory for all staff with requisitioning authority).

Objective: Central Services Division is responsible for the Department's accommodation. An accommodation strategy was prepared in 2003 and many of the key activities were implemented in 2004-05. To update the 2003 accommodation strategy and continue to implement the programme of works. To complete the works procurement for the Scottish Family History Service by April 2005 and ensure that the major refurbishment associated with the SFHS is undertaken on schedule. This will ensure that our buildings are maintained to an appropriate standard; that they are easily accessible to disabled staff and customers; and that the Department complies with relevant legislation.

Outcome: Achieved

The main building work at Ladywell House was completed in August 2005. The final installation of a disabled ramp and electronic sliding doors at the rear of reception in March 2006 made GROS fully compliant with the latest fire regulations and Disability Discrimination Act requirements. The design and build contract for the construction of the SFHC was awarded in May 2005 to Peter Walker Group.

Objective: Central Services Division is responsible for the security and cleaning of our buildings at New Register House, Ladywell House and Station Road. It has been decided that security services should be handled by SE Security Branch from 1 April 2005 and that cleaning services should be handled in-house. To review the new security arrangements by 30 June 2005 and to implement in-house cleaning services by 31 August 2005, in conjunction with NAS. This will ensure that our buildings are kept clean and secure in a cost-effective manner.

Outcome: Achieved (late)

The review of the security services provided by the SE concluded that the arrangement had been successful and that we should engage SE Security Branch to manage all our physical security issues (eg adopt a common security pass system with SE). The in-house cleaning service commenced on 1 October 2005. There were initial staffing difficulties connected with TUPE on the part of the contractor, which lead to a shortage of cleaning staff initially. Savings have been achieved and the consensus is that the standard of cleaning has improved.

Initiate purchasing process

2,277 requests

Acknowledge request and schedule procurement, within 2 working days

Procure where cost is less than £1,000

Complete purchase within a week

Procure where cost is less than £15,000

Complete purchase within 2 weeks

Procure where cost is less than £35,000

Complete purchase within 4 weeks

Procure where cost is less than £70,000

Complete purchase within 6 weeks

Procure where goods or service are above OJEU limit

Complete purchase within 5 months, if possible, but within timeframe agreed by requisitioner

Below OJEU limit

Above OJEU limit

Pay invoices

1,885 invoices

Pay invoice within 30 days of receipt

Objective: It is essential that GROS has staff that have the skills and knowledge to support the Department’s business, including future demands. To arrange appropriate and cost-effective training and development for staff based mainly on Personal Learning Plans and the IT equivalent; to review the Training and Development Strategy and prepare an annual plan based on staff’s stated learning needs (by 30 June 2005); and to review all training and development activity undertaken by staff in the previous year and produce a report, which measures the effectiveness of what has been provided and the value for money achieved.

Outcome: Mostly Achieved

Almost all training requests were met and the training budget was increased in-year to meet demand for IT training. The Development Centre played a major role in training staff to use the SE SCOTS service. Confusion surrounding changes to the SE’s Performance Management System meant that very few Personal Learning Plans were submitted by staff. It was therefore decided not to produce an annual learning plan for 2005-06.

Objective: GROS provides a variety of services to organisations and to members of the public. It is essential that the quality of the services we provide are of the standard that our customers expect. In advance of applying for Chartermark for our outwardly-facing services, it has been agreed that CSD should pilot Chartermark for the services it provides to the rest of GROS. To obtain Chartermark for appropriate aspects of CSD services by 31 December 2005. This will inform a subsequent project that will focus on a prime external service (eg the Scottish Family History Research Service).

Outcome: Not Achieved

Other priorities and a lack of resource to dedicate to this work meant that this initiative was not started. It has been decided to postpone any activity on this until the Scottish Family History Centre is operational.

Arrange training event for individual

257 events

375 training days

Find suitable event and arrange for dates/times specified by attendees

Arrange seminar and "awayday"

39 seminars

Achieve attendance level that makes seminar worthwhile

Arrange ECDL course for individual

26 courses

Individual completes the course of study

Outcome: Achieved (late)

GROS switched to the SCOTS service in August 2005. There were a number of significant problems following the move, but none that affected our main services (including our public-facing ones). A programme of work was established to fix or find workarounds for all the significant problems. By the end of 2005 and 06 all but a few minor issues had been resolved. However, there was still some dissatisfaction with the new approach, so we conducted a staff survey to identify weaknesses. Using the results of the survey, we developed an Action Plan which we are currently following.

Objective: GROS has decided to work in partnership with NAS and rationalise our telephone operations, both internally and customer-facing. To design and implement an integrated telecoms infrastructure for GROS and NAS by 30 November 2005. This will enable economies of scale in capital costs and savings in support and ongoing costs. It will also provide a seamless "one stop shop" for customers, particularly those accessing the Scottish Family History Service.

Outcome: Not Achieved

Due to resources being redirected to the SCOTS project, work did not start on this until 2006. An outline specification was created and it was agreed that consultants should be engaged to undertake the analysis and design work. The new target for implementation is the end of 2006.

Objective: The Department has a separate customer management system for each business area using different software packages. Put in place production workflow solutions for Statistics Division (by 31 August 2005) and then do the same for Registration Division (by 30 November 2005). The results will be a homogeneous approach to managing customer requests and lower systems maintenance costs.

Outcome: Not Achieved

The Objective package was chosen as the software tool to develop the workflow solutions. Serious flaws were found with the package for the way we wished to use it (through a browser interface). It took from the summer of 2005 until December 2005 for the supplier to deliver what they thought was a working version of the software. During that time development effort was mostly suspended. Following further trials it was decided that the Objective product was still not robust enough for the development of workflow. Following the move to SCOTS we decided that the priority should change from developing workflow to the possible implementation of an office-wide electronic records and document management system.

Objective: The Branch is responsible for managing the public web site at www.gro-scotland.gov.uk and must publish statistics and other information on the dates they are announced at the beginning of the year. We must also ensure that our web site has the most up to date news about the business of the Department. To meet internet publication dates for (around 12) pre-announced reports, and to ensure that any news releases, etc are published on the day agreed. Our web site has become our prime channel for releasing statistics and other items of general and public interest. We must ensure that it is easy to use, current and comprehensive.

Outcome: Achieved

We implemented a new content management system which enables content creators within the Department to quickly produce content that can then be transferred to the "live" site with the minimum of editing. The content management system helps to enforce standards and streamlines the whole publication process. We now have 13 staff preparing and editing content for the site. All information was published by the agreed dates.

Objective: The Branch is responsible for the Department’s intranet. This is currently delivered through a Lotus Notes interface. It needs revised to reorganise and rationalise the content; take account of improvements to our internet sites; adopt modern business efficiencies; and fit in with our web publishing strategy. To redesign our intranet home page (by 31 May 2005) to enable quick access to shared information, and then implement a new intranet structure and content (by 31 March 2006). The result will be a more effective and efficient intranet that meets users’ expectations.

Outcome: Partly Achieved

A new home page was launched in September 2006 but the Intranet was not restructured. It was decided that the feasibility of an ERDM system should be addressed first due to its overlaps with current Intranet content.

Web pages read

Over 4 Million

Site should be available 24 hours a day, 7 days a week

(8760 hours possible)