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Chamber and committees

Audit Committee, 21 Nov 2006

Meeting date: Tuesday, November 21, 2006


Contents


“Performance management in the Scottish Qualifications Authority”

Item 3 is a report on the Scottish Qualifications Authority. I invite Barbara Hurst, on behalf of the Auditor General, to brief the committee on his report entitled "Performance management in the Scottish Qualifications Authority".

Barbara Hurst (Audit Scotland):

The report comments on the extent to which the SQA has recovered from the difficulties that it faced in 2000. The committee will remember that that was when problems in processing exam results led to incomplete and inaccurate results affecting around 17,000 candidates. We found that, not only has the SQA recovered from 2000, it has gone well beyond that and is demonstrating a clear commitment to continuous improvement. The confidence of key stakeholders in the SQA, such as schools and colleges, has been successfully restored as a result. The report covers two main areas: developments in the SQA since 2000, including expenditure trends; and the SQA's performance management framework and its use of performance information.

After 2000, the SQA developed a clearer understanding of the systems and processes underlying its core functions. As a result, its approach to managing the cycle of activities leading to the issuing of exam certificates has improved significantly. It has carried out reviews of its staffing, its portfolio of qualifications, and the performance of its business areas. The principles of good governance are clearly evident within the SQA, although it could do more to develop its management of risk.

That recovery has been led by the board and the executive team, who developed a hands-on approach to management following 2000, with detailed monitoring of and involvement in all stages of activity. That was understandable, given the circumstances. However, now that confidence in the core functions of the SQA has been restored, it is probably time for the board to step back a bit and take a more strategic role.

The SQA's expenditure has risen by 69 per cent over 6 years, from around £30 million in 1999-2000 to £52 million in 2005-06. Income that is generated by exam entry charges has increased by 50 per cent over that period, and Government funding has increased significantly, although it has fallen from a peak in 2003-04. That increase in expenditure reflects not just the costs of recovering from the problems of 2000 but other factors such as additional assessment costs arising from the more diverse range of qualifications that is now delivered by the SQA. The continuing modernisation of its processes could offer some opportunities for efficiency savings.

The second area that the report covers is performance management. The SQA has put in place a sound corporate planning process that has supported the development of clear objectives. Current performance indicators, however, give an incomplete picture of the SQA's performance, and more work is needed in that area. In recognition of that, the SQA is developing a balanced scorecard approach, which is due to be presented to its board later this month. Although over the past few years the organisation has made progress in costing its activities, there is still scope for further development to enable it to understand better its cost base; to benchmark its performance more effectively; and to have better information for the setting of charges for qualifications.

The organisation has already undertaken some limited benchmarking with the Qualifications and Curriculum Authority in England. As part of the review, we also carried out a high-level benchmarking exercise that compared the SQA with similar organisations elsewhere in the UK. It is fair to say that the exercise gave rise to some difficulties. However, the different bodies clearly have an appetite to share information and good practice.

In conclusion, the SQA has made significant progress since 2000. That said, some areas could be improved and our report is aimed at helping the SQA to identify them.

We are happy to take members' questions.

I am sorry; I have not been initiated into some of these terms. What is a balanced scorecard approach?

Barbara Hurst:

I apologise for using such jargon. A balanced scorecard approach attempts to get a rounded picture of performance not by focusing on only one set of indicators, such as cost, but by taking in a whole range of indicators that might also include service quality and customer satisfaction.

Again, I apologise.

That is okay. I did not mean to be critical.

Mr Andrew Welsh (Angus) (SNP):

The report says that there is a need for "strategic level thinking"—in other words, the SQA has not been able to see the wood for the trees. However, its management has needed to be hands on in order to solve specific problems. You seem to be saying that although the SQA is doing its overall business better, it is still not clear about its overall direction. Who should oversee the organisation's overall direction and how should that happen?

Barbara Hurst:

I hope that my team will bear me out on this, but I think that what has happened is understandable. The SQA faced significant problems in 2000 and, as the board wanted to get things right, it took a very hands-on approach. We now feel that the board should take a step back, take a more strategic view and try to formulate a vision for the organisation. That is not to say that it should take its eye off the ball with regard to the processes, but that is a job for managers rather than for the board.

Nicola Hudson (Audit Scotland):

It is worth stressing that, in the past few months, the board has issued papers in which it recognises that it needs to take a more strategic approach. We need to encourage it to have the confidence to move further in that direction, even though we appreciate that its response in 2000 was understandable and necessary.

The Convener:

Given that the SQA's chief executive has now moved on, is it fair to expect the board to step back? Instead, would we not expect it still to keep a close eye on how the organisation is managed until a new chief executive takes up the post and beds in?

Nicola Hudson:

The organisation is in a very much stronger position and is certainly not dependent on one individual. As all the systems are in place and operating effectively, we are not at all concerned about the change in chief executive.

Nick Hex (Audit Scotland):

I should also point out that an interim chief executive, who was part of the original management team, has been put in place.

That is reassuring.

Margaret Jamieson (Kilmarnock and Loudoun) (Lab):

I find it very encouraging that, for once, a board saw that it could play a role in turning round an organisation. Are you satisfied that, once the board cuts its ties with the day-to-day operation of the organisation, an abundance of senior managers will continue to guide it properly and link aspects such as performance management back to the board's key objectives?

Nicola Hudson:

The point that we were making is that the day-to-day running of the business is so much more secure than it was in 2000 that specific individuals are less critical to it. Part of the issue in 2000 was that the processes were very dependent on those individuals. Now the business is able to operate successfully without key individuals. Leadership is important, but the body of the organisation runs itself and processes are much more effective.

Barbara Hurst:

It is fair to say that 2000 was a traumatic experience, both for the students and for the organisation. I do not think that the SQA would willingly put itself back in that situation.

It is a new board, much reduced in size.

I heard one of you use the word "modernisation". My question is about forward thinking and change. How well equipped is the SQA to meet the needs of wider society and the economy by providing new subjects for examination, for example?

Barbara Hurst:

Nick Hex will deal with that question, as he knows more about the detail of the subjects on offer.

Nick Hex:

In the report, we point out that the increased expenditure relates partly to modernisation of the processes and partly to the fact that an expanded range of qualifications is on offer to schools and colleges in Scotland. We have reported that there is confidence among stakeholders and users of the qualifications that the SQA is providing a good service and is able to address their needs.

Nicola Hudson:

We have referred to the portfolio of qualifications. It is not always a question of adding qualifications—the SQA also examines whether all the existing qualifications need to be delivered. There are opportunities for savings, if qualifications are no longer considered necessary. The SQA is also looking at new ways of delivering services. Radical options that are being considered include online assessment.

We have no further questions on the SQA. Under item 8, the committee will decide how it intends to dispose of the issue. I thank the team from Audit Scotland for answering our questions.