Scrutiny Work Programme
North Lanarkshire Council · 8 September 2022
Back to Audit and Scrutiny Panel — 8 September 2022 and its agenda
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North Lanarkshire Council Report Audit and Scrutiny Panel Does this report require to be approved? ☒ Yes ☐ No Ref LJ/SL Date 08/09/22 Scrutiny work programme From Katrina Hassell, Head of Business and Digital E-mail HassellK@northlan.gov.uk Telephone 07903 096 121 1. Background 1.1 Members are aware that the Audit and Scrutiny Panel has two distinct functions - (1) audit and (2) scrutiny. These functions support the Panel in fulfilling its role as a “key component of the council’s corporate governance arrangements” and its purpose (as set out in the Scheme of Administration) to provide “independent assurance to the Executive Summary This report provides an update to the assessment and prioritisation process previously approved in 2018 to establish a work programme for the scrutiny function of the Audit and Scrutiny Panel. This process has been updated to ensure scrutiny activity is framed within the context of The Plan for North Lanarkshire. The process aims to assess the relative merits of the specific area of activity or issue being brought forward while ensuring items requiring scrutiny are prioritised using a standardised set of criteria, and there is ongoing objectivity and transparency. This process also ensures that the contents of the work programme are aligned with the long-term vision set out in The Plan for North Lanarkshire, as well as strategic management, service delivery, and corporate governance approaches across the council. Recommendations It is recommended that the Audit and Scrutiny Panel: (1) Approve the updated process, set out in this report and Appendix 1, in order to assess and prioritise future items requiring scrutiny and establish a work programme for the scrutiny function of the Audit and Scrutiny Panel, and (2) Continue to endorse the role of Panel members in identifying, assessing, and prioritising items for inclusion in the scrutiny work programme in line with the updated process. The Plan for North Lanarkshire Priority All priorities Ambition statement All ambition statements
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council and those charged with governance on the adequacy of the council’s risk management framework and internal control environment”. 1.2 More specifically, the Scheme of Administration outlines that the Audit and Scrutiny Panel is responsible for providing “independent review of the council's governance, risk management, performance, and control frameworks, and overseeing the financial reporting and annual governance processes.” 1.3 In relation to the scrutiny function, the Panel’s remit includes a requirement to: • Review and monitor the performance of the council in delivering upon its priorities, outcomes, programme of work, and targets in the council plan, and specifically performance in improving local public services and local outcomes and demonstrating Best Value. • Review performance to assess whether intended policy outcomes have been achieved. • Consider the council's performance and improvement arrangements to ensure that approaches continue to facilitate effective and efficient delivery of planned services and outcomes. 1.4 To support the scrutiny function of the Panel, Members approved a report in August 2018 which established an assessment and prioritisation process for the Audit and Scrutiny Panel to use to develop its scrutiny work programme. This approach was further supported by the Panel in November 2019 when the in-depth Elected Member review process was established. This process enabled in-depth reviews to be undertaken on specific areas of activity or issues that were identified by Panel members. 1.5 With The Plan for North Lanarkshire (approved in 2019) and now well embedded as the approved strategic direction not just for the council and partners, but for North Lanarkshire as a place, this provides a clear long-term vision, focus, and compelling narrative in terms of what the council is working towards and therefore a clear basis for scrutiny activity. 1.6 An updated position statement on each of the Strategic Frameworks which are key to supporting The Plan for North Lanarkshire and monitoring delivery of the Programme of Work - while ensuring each stage of delivery towards achieving the long-term vision is appropriately planned, guided, implemented, and governed - was provided to the Panel in September 2021. This also outlined the Panel’s strategic oversight and governance role therein. 1.7 Following the update to the Scheme of Administration and composition of council committees in June 2022 - which resulted in changes to the membership of the Audit and Scrutiny Panel - the assessment and prioritisation process for the Audit and Scrutiny Panel to use to develop its work programme for scrutiny has been reviewed and updated. This update aims to ensure scrutiny activity is framed within the context of The Plan for North Lanarkshire and is focused on improving local public services and improving local outcomes. 1.8 This report therefore sets out the updated assessment and prioritisation process for the Audit and Scrutiny Panel to use to determine its work programme for scrutiny. This standardisation will help to assess the relative merits of the specific areas of activity or issues being brought forward by Panel members, and make prioritising and choosing between possibly competing items requiring scrutiny easier, while ensuring ongoing objectivity and transparency and ongoing alignment with the long-term vision set out in
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The Plan for North Lanarkshire. 2. Scrutiny work programme Assessment and prioritisation process 2.1 The development of a work programme for the scrutiny function of the Audit and Scrutiny Panel is founded on items submitted for consideration being evidence based. This is essential in order to ensure a fully informed assessment and prioritisation process. 2.2 As such, a set of principles were agreed in 2018 which were to be used to assess and prioritise items to be included in the scrutiny work programme. To ensure scrutiny continues to support delivery of the priorities and programme of work in The Plan for North Lanarkshire, and focuses on improving local public services and local outcomes, these have been reviewed and the updated set of principles is listed below: 1. Is the issue an area of concern for a wide range of service users, communities, or stakeholders that has been identified by numerous sources and is supported by a substantial bank of evidence? 2. Is the issue strategically significant, i.e. would improvement in this area have a positive impact on the delivery of one or more of the five priorities in The Plan for North Lanarkshire. The five priorities aim to: • Improve economic opportunities and outcomes. • Support all children and young people to realise their full potential. • Improve the health and wellbeing of communities. • Enhance participation, capacity, and empowerment across communities • Improve North Lanarkshire’s resource base. 3. Can scrutiny add value? Is performance, service delivery, or quality likely to improve as a result of scrutiny? 4. Will scrutiny of the issue support improved delivery of the Programme of Work or improved delivery of any of the supporting strategies, policies, or plans in the Strategic Policy Framework? 5. Does the issue pose a risk to the council? 6. Has the issue already undergone scrutiny, or review activity, within a recent timeframe? 7. Will scrutiny be duplicating other review work already underway, or planned, across the council? If so, does the scrutiny process align to the scope of the other review work and will it be able to support the identification of mutually beneficial recommendations for improvements? 8. Is the proposed scrutiny activity timely and can the scrutiny activity be completed within a reasonable timeframe? 2.3 The assessment and prioritisation process - informed by the principles set out in paragraph 2.2 above - is set out in Appendix 1. This process should be applied by the Audit and Scrutiny Panel when assessing and prioritising each proposed area of activity or issue put forward for scrutiny from Panel Members. By following the simple process map Members will be able to identify whether each item put forward for scrutiny is a high, medium, or low priority and merits inclusion in the scrutiny work programme. Type of scrutiny review 2.4 To ensure the most effective approach to scrutiny, reviews could take one of three formats:
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• An in-depth review - which can be undertaken by all Panel Members or, if required, a smaller subgroup. This would require a clear scope to be developed along with a timetable for the work to be undertaken. The work of any subgroup would require a report, with recommendations, to be submitted back to the full Audit and Scrutiny Panel for consideration and approval. • A spotlight on - short, sharp focused scrutiny activity, which could form one agenda item for a Panel meeting. • A focus on - presentations to Panel Members to share information and raise awareness or increase knowledge of a particularly complex area of activity or issue. Evidence for scrutiny reviews 2.5 A wide range of information exists to complement the scrutiny process; this includes: • Performance indicators from the Strategic Performance Framework. • Information on the volume, nature, and outcome of complaints. • Benchmarking results and comparisons with other councils, where available and aligned to themes linked to the five priorities in The Plan for North Lanarkshire (as per the approach established by the Panel in September 2021). • Demographics and future projections, e.g. for population or households. • Policies in place, or under development in line with the Strategic Policy Framework review programme. • Improvements already identified and implemented arising from the Strategic Self- Evaluation Framework review programme. • Elements or mechanisms from the Strategic Governance Framework review programme. Next steps 2.6 Following approval of the updated process (set out in this report and Appendix 1) to identify, assess, and prioritise future items requiring scrutiny, a work programme will be established for the Audit and Scrutiny Panel. This will be submitted for Member’s consideration at the next Panel meeting and updated as the year progresses. 3. Measures of success 3.1 The use of the scrutiny function of the Audit and Scrutiny Panel to identify specific areas of activity requiring improvement, that are aligned to The Plan for North Lanarkshire, will have a positive impact on the council’s ability to deliver the long-term vision. 4. Supporting documentation 4.1 Appendix 1 - Scrutiny work programme - assessment and prioritisation process Katrina Hassell Head of Business and Digital
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5. Impacts ( http://connect/report-template-guidance ) 5.1 Public Sector Equality Duty and Fairer Scotland Duty Does the report contain information that has an impact as a result of the Public Sector Equality Duty and/or Fairer Scotland Duty? Yes ☐ No ☒ If Yes, please provide a brief summary of the impact? If Yes, has an assessment been carried out and published on the council’s website? https://www.northlanarkshire.gov.uk/your-community/equalities/equality-and-fairer- scotland-duty-impact-assessments Yes ☐ No ☐ 5.2 Financial impact Does the report contain any financial impacts? Yes ☐ No ☒ If Yes, have all relevant financial impacts have been discussed and agreed with Financial Solutions? Yes ☐ No ☐ If Yes, please provide a brief summary of the impact? 5.3 HR policy impact Does the report contain any HR policy or procedure impacts? Yes ☐ No ☒ If Yes, have all relevant HR impacts have been discussed and agreed with People and Organisational Development? Yes ☐ No ☐ If Yes, please provide a brief summary of the impact? 5.4 Legal impact Does the report contain any legal impacts (such as general legal matters, statutory considerations (including employment law considerations), or new legislation)? Yes ☒ No ☐ If Yes, have all relevant legal impacts have been discussed and agreed with Legal and Democratic Solutions? Yes ☒ No ☐ If Yes, please provide a brief summary of the impact? The Local Government in Scotland Act 2003 introduced the duty of Best Value; this requires that councils "make arrangements to secure continuous improvement in performance". Councils are also required to ensure appropriate performance and governance arrangements are in place which meet the CIPFA Delivering Good Governance in Local Government: Framework (2016). The Accounts' Commission Statutory Direction requires that all councils report information which sets out performance in improving public services and improving local outcomes. 5.5 Data protection impact Does the report / project / practice contain or involve the processing of personal data? Yes ☐ No ☒ If Yes, is the processing of this personal data likely to result in a high risk to the data subject? Yes ☐ No ☐ If Yes, has a Data Protection Impact Assessment (DPIA) been carried out and e- mailed to dataprotection@northlan.gov.uk
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Yes ☐ No ☐ 5.6 Technology / Digital impact Does the report contain information that has an impact on either technology, digital transformation, service redesign / business change processes, data management, or connectivity / broadband / Wi-Fi? Yes ☐ No ☒ If Yes, please provide a brief summary of the impact? Where the impact identifies a requirement for technology, has an assessment been carried out (or scheduled) by the Enterprise Architecture Governance Group (EAGG)? Yes ☐ No ☐ 5.7 Environmental / Carbon impact Does the report / project / practice contain information that has an impact on any environmental or carbon matters? Yes ☐ No ☒ If Yes, please provide a brief summary of the impact? 5.8 Communications impact Does the report contain any information that has an impact on the council’s communications activities? Yes ☐ No ☒ If Yes, please provide a brief summary of the impact? 5.9 Risk impact Is there a risk impact? Yes ☒ No ☐ If Yes, please provide a brief summary of the key risks and potential impacts, highlighting where the risk(s) are assessed and recorded (e.g. Corporate or Service or Project Risk Registers), and how they are managed? Scrutiny of the council's governance and performance contributes towards the mitigation of the risk on the Corporate Risk Register for Governance, Leadership, and Decision Making.
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Appendix 1 Scrutiny work programme Assessment and prioritisation process