Strategic Governance Framework - Annual Review and Refresh
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 KH/SL Date 08/09/22 Strategic Governance Framework - annual review and refresh From Katrina Hassell, Head of Business and Digital E-mail HassellK@northlan.gov.uk Telephone 07903 096 121 Executive Summary Good governance enables the council to effectively pursue the ambition set out in The Plan for North Lanarkshire within appropriate controls and the management of risk. It is also central to ensuring effective scrutiny and delivery of statutory Best Value obligations. This means ensuring resources are directed in line with agreed policies, priorities, and project management procedures, and there is sound and inclusive decision making and clear accountability for the use of those resources in achieving improved outcomes for service users and communities. Reflecting the principles in the national Delivering Good Governance in Local Government: Framework, the council’s local code of governance is set out in the Strategic Governance Framework which was initially approved in February 2020 and subsequently refreshed and approved by the Audit and Scrutiny Panel in September 2021. The Delivering Good Governance in Local Government: Framework requires that each year councils test their arrangements against the good governance principles set out therein by carrying out a review of existing arrangements, ensuring their local code is up to date, and reporting on compliance. In this respect the Strategic Governance Framework (and more specifically the list of supporting elements and mechanisms in Appendix B) has been reviewed and updated and is presented herewith for Audit and Scrutiny Panel approval in line with the Panel’s role - as set out in the Scheme of Administration - to “provide independent assurance to the council and those charged with governance on the adequacy of the council's risk management framework and internal control environment”. The annual review process, and refreshed Strategic Governance Framework, is also a key piece of evidence used to inform the development of the Annual Governance Statement for 2021/22. Recommendations It is recommended that the Audit and Scrutiny Panel: (1) Acknowledge the annual review which has been undertaken to refresh the Strategic Governance Framework and ensure each of the elements and mechanisms listed therein (as noted in Appendix B) are up to date, and on a review programme to be updated at an appropriate interval and reported to the relevant committee, (2) Continue to carry out their role in respect of the Strategic Governance Framework in
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1. Background 1.1 The council is required to demonstrate its commitment to the good governance principles set out in the national Delivering Good Governance in Local Government: Framework (2016) and accompanying Guidance Notes for Scottish Local Authorities (2016) published by Chartered Institute of Public Finance and Accountancy (CIPFA) in association with Society of Local Authority Chief Executives (SOLACE). 1.2 To ensure compliance with these principles, the council is required to determine its own governance structure (local code) underpinned by the Delivering Good Governance in Local Government: Framework. The council’s local code of governance in this respect is set out in the Strategic Governance Framework in Appendix 1. 1.3 The Strategic Governance Framework brings the principles of good governance together with legislative requirements and management processes by which the council is directed and controlled and through which it is accountable to, engages with, and leads the local community. This aims to ensure the council is able to effectively pursue the long-term ambition set out in The Plan for North Lanarkshire, while ensuring this is underpinned with control and the management of risk, and: • Resources are directed in accordance with agreed policies and according to priorities and in line with corporate programme and project management procedures. • There is sound and inclusive decision making. • There is clear accountability for the use of those resources in achieving defined outcomes for service users and local communities. 1.4 All councils are required to test their governance arrangements (local code) against the 7 principles, 21 sub principles, and 91 behaviours and actions that demonstrate good governance in practice which are contained within the Delivering Good Governance in Local Government: Framework, by: • Reviewing existing governance arrangements. • Developing and maintaining an up to date local code of governance that takes into account the environment within which it operates and includes arrangements for ensuring ongoing effectiveness. • Reporting publicly on compliance with the local code on an annual basis, including how the governance arrangements have been monitored for effectiveness in the year and identifying planned changes. 1.5 An annual review process is in place to fulfil the requirements set out in paragraph 1.4 above. This is depicted in Figure 2 in the Strategic Governance Framework which is attached as Appendix 1. The accompanying Annual Governance Statement report to the Audit and Scrutiny Panel contributes to fulfilling these requirements in that it reports terms of providing independent assurance to the council and those charged with governance on the adequacy of the council’s risk management framework and internal control environment, and (3) Approve the refreshed Strategic Governance Framework. The Plan for North Lanarkshire Priority All priorities Ambition statement All ambition statements
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on the annual process to review existing governance arrangements to ensure ongoing effectiveness. 1.6 In practice, governance comprises the combination of structures, strategies, policies, plans, frameworks, systems, processes, rules, codes, procedures, cultures, and values that are used to direct, control, and manage a local authority’s operations and activities. These define roles and responsibilities and accountabilities and establish mechanisms to enable a local authority to pursue its vision effectively and ensure that the vision is underpinned with control and the management of risk. The list of items referred to in this paragraph are hereinafter referred to as elements and mechanisms. 1.7 The Strategic Governance Framework outlines the list of elements and mechanisms that demonstrate the council’s compliance with the 7 principles, 21 sub principles, and 91 behaviours and actions contained within the national Framework. It should be noted that the list of elements and mechanisms (in Appendix B) does not introduce new items of governance to the council, rather its purpose is to collate all existing items into the one local code for annual review, assessment, assurance, and reporting purposes. 1.8 An Internal Audit on Corporate Governance in March 2022 cited the assessment process now in place through the Strategic Governance Framework and its accompanying review programme as good practice. It was also cited that there are now “formal and robust arrangements” in place to ensure that such reviews are undertaken on an annual basis. 1.9 Chief Officers and Elected Members are responsible for implementing the council’s governance arrangements and ensuring the local code is assessed on an annual basis to ensure ongoing effectiveness and compliance. The Corporate Management Team also have a role to play in terms of identifying any improvement actions and/or future planned developments in relation to key governance arrangements and continuous improvement activity and this annual evaluation role was carried out at their meeting on 21st June 2022. 1.10 With the annual review process now concluded for 2021/22, the updated Strategic Governance Framework is now presented to the Audit and Scrutiny Panel for approval in line with the Panel’s role to provide independent assurance to the council and those charged with governance on the adequacy of the council’s risk management framework and internal control environment. Strategic Governance Framework 2.1 The refreshed Strategic Governance Framework attached at Appendix 1 sets out the council’s commitment to ensuring that its business is conducted in accordance with the law and proper standards, and that public money is safeguarded, properly accounted for, and used economically, efficiently, and effectively. 2.2 This commitment, allied to the principles of good governance set out in the Delivering Good Governance in Local Government: Framework, takes into account the environment within which the council operates and, as such, sets out the council’s local code of governance within the local context and long-term vision of The Plan for North Lanarkshire. 2.3 This commitment also supports the council in meeting its statutory Best Value obligations as effective governance and accountability arrangements, with openness and transparency in decision-making, schemes of delegation, and effective reporting of performance are essential for taking informed decisions and ensuring effective
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scrutiny of performance and stewardship of resources. 2.4 The Strategic Governance Framework in Appendix 1 comprises two further appendices: • Appendix A: This lists the 7 principles and 21 sub principles from the national Delivering Good Governance in Local Government: Framework supported by 91 behaviours and actions that demonstrate good governance in practice. • Appendix B: Each of the specific elements and mechanisms which form the council’s local code of governance have been aligned to the 7 principles (and 21 sub principles) within the national Framework. The list of elements and mechanisms set out within Appendix B provide a tangible evidence base which enables the council to demonstrate good governance in practice. 2.5 These elements and mechanisms span the complete range of council activities and include arrangements for corporate governance, risk management, and internal financial controls. Each has been assigned a timeframe to support the review programme and ensure they remain timely and effective in supporting delivery of the Programme of Work and The Plan for North Lanarkshire. 2.6 The information within Appendix B also contains an assessment of each of the elements and mechanisms. Based on this assessment each element and mechanism has been assigned a RAG status. This assessment process was first introduced at the end of 2020/21 as a method by which to identify and prioritise items requiring to be reviewed and updated further. 2.7 Taking into consideration the impact of the coronavirus pandemic, the use of this assessment process (and corresponding RAG status) aims to ensure all elements and mechanisms are as up to date as they require to be. Definitions supporting the RAG status are noted in the table below: Red The element or mechanism was last updated prior to January 2020 and there is an annual requirement to do so or there has been a change in legislation which necessitates a review and update, but no commitment has been identified to ensure this is updated. Amber Although the element or mechanism has been updated, it has not been reviewed or updated within the COVID recovery environment to reflect any changes required in service delivery or to ensure continued compliance with good governance. There is, however, a commitment by a member of the Corporate Management Team to do so during 2022/23. Green The element or mechanism was updated after January 2020, or there is no requirement for a further update at this time, or work to review and refresh this item is already recorded on the Programme of Work for 2022/23, or Corporate Management Team have already identified that the item requires to be reviewed and updated during 2022/23. Next steps 2.8 The Strategic Governance Framework is not a static document, the Strategy and Performance function within Business and Digital will continue to keep the list of elements and mechanisms under review to ensure: (a) Updates are submitted to the Corporate Management Team and relevant Committee (as appropriate) in line with the review programme. (b) Any other policy developments or legislative changes are considered for inclusion
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in the council’s local code of governance, as appropriate. 2.9 A checklist for Heads of Service to use when reviewing and updating each of the elements and mechanisms contained within the Strategic Governance Framework review programme was introduced in June 2021. This has been implemented during 2021/22 with no adverse feedback received. As such, all reports to the Corporate Management Team and Committee which provide an update on work to review and refresh an element or mechanism in Appendix B will continue to require to contain the following: • An assessment of the effectiveness of the particular element or mechanism. • A summary outlining the changes / improvements made to the element or mechanism since the last update. • The role of the element or mechanism in supporting the successful delivery of The Plan for North Lanarkshire. 3. Measures of success 3.1 Good governance enables the council to effectively pursue the ambition set out in The Plan for North Lanarkshire within appropriate controls and the management of risk. It is also central to ensuring effective scrutiny and delivery of statutory Best Value obligations. A measure of success will be in ensuring the elements and mechanisms on the review programme remain up to date and are effective in supporting delivery of the Programme of Work and The Plan for North Lanarkshire. 4. Supporting documentation 4.1 Appendix 1 - Strategic Governance Framework • Appendix A: 7 principles, 21 sub principles, and 91 behaviours and actions that demonstrate good governance in practice in line with the national Delivering Good Governance in Local Government: Framework • Appendix B: North Lanarkshire Council local code of governance review programme Katrina Hassell Head of Business and Digital 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?
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The Delivering Good Governance in Local Government: Framework (2016) positions the attainment of sustainable economic, societal, and environmental outcomes as a key focus of governance processes and structures. As such this is reflected in the Strategic Governance Framework. 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? Development and publication of the Strategic Governance Framework supports the council’s compliance with the CIPFA Statement on the Role of the Chief Financial Officer in Local Government 2016 in terms of financial controls. 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? 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 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 ☒
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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? The Delivering Good Governance in Local Government: Framework (2016) positions the attainment of sustainable economic, societal, and environmental outcomes as a key focus of governance processes and structures. As such this is reflected in the Strategic Governance Framework. 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? Work to review and refresh the Strategic Governance Framework - and ensure the council continues to support the Best Value duty and comply with the principles set out within the Delivering Good Governance in Local Government: Framework (2016) - contributes towards the mitigation of the risk on the Corporate Risk Register for Governance, Leadership, and Decision Making.
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Strategic Governance Framework Appendix 1
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2 Document control Title Strategic Governance Framework Owner Katrina Hassell, Head of Business and Digital Contact HassellK@northlan.gov.uk Governance group Audit and Scrutiny Panel Author Susan Lawrie, Strategy and Performance Manager Contact LawrieS@northlan.gov.uk Revision history Number Originator Date review commenced Revision description / record of change 1.0 Linda Johnston, Business Strategy Manager 2020 Original framework created 2.0 Linda Johnston, Business Strategy Manager June 2021 Annual review 3.0 Linda Johnston, Business Strategy Manager June 2022 Annual review Document approvals Number Governance group Date approval granted Date approval to be requested (if document still draft) 1.0 Audit and Scrutiny Panel 2020 2.0 Audit and Scrutiny Panel September 2021 3.0 Audit and Scrutiny Panel September 2022 Consultation record (for most recent update) Status of document consulted upon Strategic Governance Framework Stakeholders consulted / date Corporate Management Team (21/06/22) Strategic alignment Next review date Review date June 2023 The Plan for North Lanarkshire and all 5 priorities and 25 ambition statements therein, the Programme of Work, Strategic Policy Framework, Strategic Performance Framework, Strategic Self-Evaluation Framework, Project Management Framework, and Framework for Demonstrating Improved Outcomes for Communities.
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3 Table of contents Page number Introduction ……………………………………………………………………………………….. 4 Good governance in the public sector ………………………………………………………... 5 Good governance in local government ………………………………………………………. 6 Local code of governance ………………………………………………………………………. 7 - 12 - Requirements …………………………………………………………………………………. 7 - Local context ………………………………………………………………………………….. 7 - Local code of governance ………………………………………………...…………………. 7-9 - Annual review and assessment ……………………………………………………………... 10 - Continuous improvement …………………………………………………………………….. 11 - Roles and responsibilities ……………………………………………………………………. 11-12 Appendix A: 7 principles and 21 sub principles from the national Framework …………….. 13 - 17 Appendix B: North Lanarkshire Council local code of governance review programme …... 18 - 38
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4 Introduction The Plan for North Lanarkshire sets the long-term strategic direction for the council, partners, and other stakeholders and, most importantly, for each unique local community and the people who Live, Learn, Work, Invest, and Visit within North Lanarkshire. It’s a Plan with a shared ambition of inclusive growth and prosperity and a fairer distribution of wealth across all local communities. As the delivery vehicle for the shared ambition, the Programme of Work - now in its fourth iteration (with plans approved to the end of 2022/23) - enables a recurring and dynamic approach to realising the shared ambition. It enables delivery of the long-term vision to be informed by an annual strategic planning process that is influenced by national policy changes and new developments which impact on the achievement of the vision and which require to be reflected in the development of future strategies, policies, plans, and programmes of work. Key to assessing the success of The Plan for North Lanarkshire and monitoring delivery of the Programme of Work (while ensuring each stage of delivery towards achieving the overall ambitions is appropriately planned, guided, implemented, and governed) are six inter-related corporate frameworks: • Strategic Governance Framework • Strategic Policy Framework • Strategic Performance Framework • Strategic Self-Evaluation Framework • Project Management Framework • Framework for Demonstrating Improved Outcomes for Communities To ensure these frameworks remain aligned to The Plan for North Lanarkshire and Programme of Work, all are on a regular review and refresh programme. This also helps the council to ensure it is proactive in responding to social, economic, and environmental trends and changes in legislation and governance, as well as the broad range of national policy changes and new developments. The council’s Strategic Governance Framework is set out within this document. To comply with good governance principles, the council must ensure that its business is conducted in accordance with the law and proper standards, and that public money is safeguarded, properly accounted for, and used economically, efficiently, and effectively. Good governance is also central to meeting statutory Best Value obligations as effective governance and accountability arrangements - with openness and transparency in decision-making, schemes of delegation, and effective reporting of performance - are essential for taking informed decisions and ensuring effective scrutiny of performance and stewardship of resources. To ensure its good governance arrangements are sound and the highest standards are met, the council is required to set out its commitment to the national principles of good governance by determining its own governance structure (local code) underpinned by these principles. The council’s local code in this respect is set out on pages 7 to 12. This brings the principles of good governance together with legislative requirements and management processes by which the council is directed and controlled and through which it is accountable to, engages with, and leads the local community. This aims to ensure the council is able to effectively pursue the long-term ambition set out in The Plan for North Lanarkshire, while ensuring this is underpinned with control and the management of risk, and: • Resources are directed in accordance with agreed policies and according to priorities, and in line with corporate programme and project management procedures. • There is sound and inclusive decision making. • There is clear accountability for the use of those resources in achieving defined outcomes for service users and local communities. Chief Officers and Elected Members are responsible for implementing the council’s governance arrangements and ensuring the local code is assessed on an annual basis to ensure ongoing effectiveness and compliance. In this respect the council’s annual review process is depicted on page 10 and the review programme is set out in Appendix B (page 18).
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5 Good governance in the public sector The principles of good governance in the public sector are defined by the International Framework: Good Governance in the Public Sector which was jointly developed by the Chartered Institute of Public Finance and Accountancy (CIPFA) and the International Federation of Accountants (IFAC). The International Framework offers the definition that: • “Governance comprises the arrangements put in place to ensure that the intended outcomes for stakeholders are defined and achieved.” The fundamental function of good governance is to ensure that governing bodies (and individuals working for public sector entities) achieve their intended outcomes while acting in the public interest at all times. Acting in the public interest implies primary consideration of the benefits for society, which should result in positive outcomes for service users and other stakeholders, and requires: A. Behaving with integrity, demonstrating strong commitment to ethical values, and respecting the rule of law. B. Ensuring openness and comprehensive stakeholder engagement. In addition to the overarching requirements for acting in the public interest (as noted in principles A. and B. above), achieving good governance also requires effective arrangements for: C. Defining outcomes in terms of sustainable economic, social, and environmental benefits. D. Determining the interventions necessary to optimise the achievement of the intended outcomes. E. Developing the entity’s capacity, including the capability of its leadership and the individuals within it. F. Managing risks and performance through robust internal control and strong public financial management. G. Implementing good principles in transparency, reporting, and audit, to deliver effective accountability. Figure 1 illustrates the 7 principles of good governance (A. to G. listed above) and outlines how they relate to each other. Principles A. and B. underpin implementation of principles C. to G. Figure 1 also illustrates that good governance is dynamic and that a public body should be committed to improving governance on a continuing basis through a process of review and evaluation. The aim of the International Framework is to encourage better service delivery and improved accountability by establishing a benchmark for aspects of good governance in the public sector. Figure 1
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6 Good governance in local government The principles in the International Framework have been interpreted for the local government environment. This is set out in the Delivering Good Governance in Local Government: Framework (2016) and accompanying Guidance Notes for Scottish Local Authorities (2016) published by CIPFA in association with the Society of Local Authority Chief Executives (SOLACE). The Delivering Good Governance in Local Government: Framework details the 7 principles within the International Framework along with a set of 21 supporting sub-principles. The 7 principles and 21 supporting sub-principles are specified in Appendix A on page 13. In practice, governance comprises the combination of structures, strategies, policies, plans, frameworks, systems, processes, rules, codes, procedures, cultures, and values that are used to direct, control, and manage a local authority’s operations and activities. This includes political, economic, social, environmental, legal, and administrative structures and processes, and other arrangements, as encapsulated in the principles defined in the Framework. These define roles and responsibilities and accountabilities and establish mechanisms to enable a local authority to pursue its vision effectively and ensure that the vision is underpinned with control and the management of risk. The list of items referred to in this paragraph are hereinafter referred to as elements and mechanisms. Through these elements and mechanisms the overall aim is to ensure: • Resources are directed in accordance with agreed policy and according to priorities, and in line with corporate project management procedures. • There is sound and inclusive decision making. • There is clear accountability for the use of those resources in achieving defined outcomes for service users and local communities. The essence underpinning the Delivering Good Governance in Local Government: Framework is that local government develops and shapes its own approach to governance, taking account of the environment within which it operates. Within this context, it is therefore up to each local authority to: • Set out its commitment to the principles of good governance outlined in the Delivering Good Governance in Local Government: Framework. • Determine its own governance arrangements, or local code, underpinned by these principles. • Ensure that the local code operates effectively in practice. A crucial aspect in delivering good governance is the way that it is applied. The ethos of good governance cannot be achieved by structures, rules, and procedures alone. Effectively, good governance needs to be embedded within an organisation and its culture and the need for, and value of, good governance must be explicit. Reflecting the principles in the Delivering Good Governance in Local Government: Framework, the local code set out in this Strategic Governance Framework demonstrates North Lanarkshire Council’s commitment to good governance and outlines the arrangements in place in line with the 7 principles and 21 supporting sub principles.
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7 Local code of governance Requirements By defining the 7 principles and 21 supporting sub principles, the Delivering Good Governance in Local Government: Framework provides a structure to help the council set out its arrangements in relation to good governance. All councils are required to test their governance arrangements against these principles by: • Reviewing existing governance arrangements. • Developing and maintaining an up to date local code of governance that takes into account the environment within which it operates and includes arrangements for ensuring ongoing effectiveness. • Reporting publicly on compliance with the local code on an annual basis, including how the governance arrangements have been monitored for effectiveness in the year and identifying planned changes. Local context The council has a long-term vision for North Lanarkshire to be the place to live, learn, work, invest, and visit. Set out in The Plan for North Lanarkshire, the vision has been shaped by the area’s demographic, social, and economic profile. While trends show a positive picture in terms of economic growth, inward investment, employment, and educational attainment, there are still unacceptably high levels of deprivation and child poverty and clear areas of inequity and inequality remaining. This means that not all North Lanarkshire’s people share equally in the improving picture, and there is an element of social exclusion across some towns and communities. Aiming to achieve inclusive growth and prosperity for all, The Plan for North Lanarkshire sets out the ambition to deliver sustainable economic growth which leads to inward investment, generates jobs and training opportunities, and enhances transport infrastructure to ensure access to homes, employment, education, and leisure for all. Supported by a world class future proof digital infrastructure, this will enable universal connectivity and an economy that expands opportunities for individuals and businesses and ensures more affordable access for all. As the delivery vehicle for the shared ambition, the Programme of Work - now in its fourth iteration (with plans approved to the end of 2022/23) - enables a recurring and dynamic approach to realising the shared ambition. It enables delivery of the long-term vision to be informed by an annual strategic planning process that is influenced by national policy changes and new developments which impact on the achievement of the vision and which require to be reflected in the development of future strategies, policies, plans, and programmes of work. Essential to building the foundations in order to realise the ambition, The Plan for North Lanarkshire is founded on a place based approach. As such the Programme of Work includes a focus on town centre and community regeneration, the creation of integrated town and community hubs, enhancement of the schools’ new build programme, and development of parks master planning as well as the associated active travel plans. These plans have taken on an even more important meaning and urgency considering the effects of the coronavirus pandemic and the health and economic impacts across local communities. Local code of governance The Programme of Work process (established in 2019) provides a clear roadmap for work across council services and with partners. Directing policies and plans to support delivery of The Plan for North Lanarkshire, the Programme of Work is therefore instrumental in bringing together the elements that support strategic planning, local development, enterprise activities, and community investment in a cohesive manner.
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8 The fourth annual iteration of the Programme of Work (for 2022/23) was approved in March 2022. This reflects the changes required to deliver on the long- term ambition and the broad range of innovative and transformative programmes of work and projects required in order to maintain services for residents in local communities which are efficient and effective, while targeting resources towards those individuals in the most vulnerable situations and ensuring value for money. The council’s local code of governance outlines the elements and mechanisms in place to ensure appropriate oversight and governance of the Programme of Work and enable the council to monitor the delivery of its ambitions, while ensuring arrangements for corporate governance, risk management, and internal financial controls are sound. The council’s local code of governance is therefore based on the following: • Identifying and setting out the council’s long-term strategic ambition and priorities in The Plan for North Lanarkshire and ensuring the vision for inclusive growth and prosperity for all is embedded throughout all other policy statements agreed by the council as well as all strategic management, service delivery, and corporate governance approaches. • Establishing the six inter-related corporate frameworks (Policy, Governance, Performance, Self-Evaluation, Project Management, and the Framework for Demonstrating Improved Outcomes for Communities) and ensuring these frameworks remain aligned to The Plan for North Lanarkshire and Programme of Work through a regular review and refresh programme. • Standing Orders that allow the council to delegate decision making to committees, sub-committees, or officers and sets out the rules which apply to the running and operation of council and committee meetings. • A Scheme of Administration which clearly sets out functions, terms of reference, and powers of the council and its committees and sub- committees and which is aligned to the organisational structure to facilitate decision making in line with the council’s strategy. • A Scheme of Delegation to Officers which sets out the functions delegated to the Chief Officers of the council. • Financial Regulations and a Scheme of Financial Delegation which, as an integral part of the council’s framework of internal financial controls, are designed to ensure effective stewardship of North Lanarkshire Council funds. Compliance with these regulations ensures that public money is safeguarded and properly accounted for, and all financial transactions are undertaken in a manner which demonstrates openness, transparency, and integrity. The Financial Regulations form a key part of the overarching Financial Strategy and the corporate governance arrangements of the council. • The Financial Strategy which - as the overarching framework that establishes the financial strategies and policies to ensure effective financial governance, planning, and management - also sets out the responsibility for safeguarding public funds within the council and the role of the Section 95 Officer. The strategies and policies covered by the Financial Strategy include the Capital Strategy, Treasury Management Strategy, Revenue Budget Strategy, and the Medium-Term Financial Plan. • A Risk Management Strategy with arrangements that reflect the council’s strategic ambition at a corporate, service, and project level. A key part of the system of internal control, the council’s risk management arrangements are designed to identify, assess, prioritise, and mitigate risks which impact on achievement of the council’s priorities. These arrangements are designed to enable the council to perform well, to manage risk effectively, and to minimise any potential impacts on service delivery and the achievement of planned outcomes. • Codes of Conduct for Elected Members, Chief Officers, and Employees which provide frameworks within which individuals are expected to undertake their duties in a manner which meets the required standards for good governance. This includes ensuring declarations of interests and declarations for conflicts of interest and gifts and hospitality are appropriately (and regularly) made and published. • Ensuring legislative obligations are fulfilled through the statutory officer roles, i.e. the posts of head of paid service, monitoring officer, chief financial officer (section 95 officer), and the chief social work officer. • An Anti-Fraud Policy and Fraud Response Plan which sets out the council’s expectations (which extends to all individuals and organisations
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9 with whom it deals) in terms of acting honestly and with integrity and in safeguarding public resources. • A Whistleblowing Procedure which provides a mechanism for employees of the council, and other workers within the council, to report a concern about serious wrongdoing within the council and to do so with security and in confidence. • A Corporate Management Team with a supporting meetings structure comprising service Senior Management Team meetings, and Operational Management Team meetings to cascade the context, deliverables, and accountabilities and ensure consistency of message in the vision set out in The Plan for North Lanarkshire and the delivery required through the Programme of Work. All Heads of Service are members of the Corporate Management Team; this includes those Heads of Service who hold a statutory officer role. • An Audit and Scrutiny Panel whose activities and functions comply with the standards set out in CIPFA’s Position Statement: Audit Committees in Local Authorities (2018), and whose purpose is to provide independent assurance to the council and those charged with governance on the adequacy of the council's risk management framework and internal control environment. • A Strategic Performance Framework that aims to enable performance to be measured and assessed at three levels within the council and includes target setting and service and statutory reporting in line with an annual schedule. • Comprehensive revenue budget and capital expenditure guidelines, with well-established processes and systems to ensure regular monitoring and reporting, as well as oversight and scrutiny by management and Elected Members. • A range of programme Boards and working groups aligned to the delivery of specific Programme of Work items, e.g. Strategic Capital Delivery Group, DigitalNL, Hub Delivery Programme Board, and Data Governance. • An Information Governance Policy Framework, comprising policies in terms of records and information management, data protection, information handling and classification, information risk, and information security to ensure proper recording of information, appropriate access to that information including by the public, and compliance with legislation. • An Information Security Policy which aims to protect the council’s information systems and physical assets including supporting processes, networks, and equipment. This is essential to ensure the council can continue to operate and successfully deliver its functions, while finding the right balance between the benefits and risks to the processing of information. • Publicly available complaints and freedom of information procedures with management, monitoring, and reporting arrangements. • A range of employment and other policies and the associated guidance documents and forms which promote and support ethical behaviour and standards of conduct by employees, along with an employee Performance Review and Development (PRD) process, and access to a range of employee and Elected Members’ training and development programmes and opportunities through LearnNL. • Independent and objective assurances provided by Internal Audit whose function is designed to add value and improve the council’s operations. The Internal Audit function operates within the Public Sector Internal Audit Standards (PSIAS) and the council’s Internal Audit Charter. The service undertakes an annual programme of work approved by the Audit and Scrutiny Panel which is based on the Internal Audit Annual Plan. This plan is risk based and is periodically updated to reflect evolving issues and changes. • Independent and objective assurances provided by the external auditors through their Annual Audit Report (AAR) process and a range of other external audit and inspection bodies. Specific details on each of the elements and mechanisms in the above list, which forms the council’s local code of governance, are detailed in Appendix B. These span the complete range of council activities and include arrangements for corporate governance, risk management, and internal financial controls.
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10 Annual review and assessment The council’s local code of governance requires to be reviewed to ensure it operates effectively in practice and an annual assessment of compliance with the principles requires to be undertaken and reported in public. The annual review process is outlined in Figure 2 below Chief Officers and Elected Members are responsible for implementing the council’s governance arrangements and ensuring the local code is assessed on an annual basis to ensure ongoing effectiveness and compliance. Figure 2
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11 Continuous improvement Introduced under the Local Government in Scotland Act 2003, the council has a duty to ensure Best Value. This requires the council to “make arrangements to secure continuous improvement in performance” in the way in which its functions are exercised, having regard to a combination of economy, efficiency, and effectiveness. Good governance is central to meeting statutory Best Value obligations as effective governance and accountability arrangements - with openness and transparency in decision-making, schemes of delegation, and effective reporting of performance - are essential for taking informed decisions and ensuring effective scrutiny of performance and stewardship of resources. Areas requiring improvement are also identified through the work of the Internal Audit function, the external auditors Annual Audit Report (AAR), the various external bodies’ audit and inspection reports, and the council’s Strategic Self-Evaluation Framework and rolling review programme. Outputs from these processes are a key piece of evidence required to inform the development of the Annual Governance Statement. The council’s Strategic Self-Evaluation Framework is aligned to the seven Best Value themes: • Vision and leadership • Governance and accountability • Use of resources • Partnerships and collaborative working • Working with communities • Sustainable development • Fairness and equality These themes are outlined within the national guidance (updated in 2020 and available at: https://www.gov.scot/publications/best-value-revised-statutory- guidance-2020/) which is designed to help local authorities and other public bodies to demonstrate continuous improvement in their performance. Roles and responsibilities Chief Officers and Elected Members are responsible for implementing the council’s governance arrangements and ensuring the Strategic Governance Framework is assessed on an annual basis to ensure ongoing effectiveness and compliance. In identifying how the effectiveness of the council’s governance arrangements have been monitored and evaluated in the year, the Corporate Management Team have a role to play in terms of identifying any improvement actions and/or future planned developments in relation to key governance arrangements and continuous improvement activity. Improvements to the process to review effectiveness were introduced in 2021 through the establishment of a checklist for Heads of Service to use when reviewing and updating each of the elements and mechanisms on the Strategic Governance Framework review programme. As such, all reports to the Corporate Management Team and/or Committee which provide an update on work to review and refresh an element or mechanism in Appendix B require to contain the following: • An assessment of the effectiveness of the particular element or mechanism. • A summary outlining the changes / improvements made to the element or mechanism since the last update.
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12 • The role of the element or mechanism in supporting the successful delivery of The Plan for North Lanarkshire. As set out in the Scheme of Administration (June 2022), the Audit and Scrutiny Panel is a key component of the council’s corporate governance arrangements. The purpose of the Audit and Scrutiny Panel is to “provide independent assurance to the council and those charged with governance on the adequacy of the Council’s risk management framework and internal control environment. It provides independent review of the council’s governance, risk management, performance and control frameworks and oversees the financial reporting and annual governance processes. It oversees the council’s internal and external audit arrangements, helping to ensure efficient and effective assurance arrangements are in place. It also undertakes the scrutiny function within the council’s governance framework and will establish short life task group reviews, as required, to undertake in-depth examination of particular areas of policy and/or service delivery with a view to making recommendations for improvement.”
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13 Appendix A: 7 principles and 21 sub principles The 7 principles (A. to G.) within the International Framework: Good Governance in the Public Sector together with the 21 supporting sub-principles set out in the Delivering Good Governance in Local Government: Framework are listed in the table below (pages 13 to 17) along with 91 examples of behaviours and actions that according to CIPFA demonstrate good governance in practice. A. Behaving with integrity, demonstrating strong commitment to ethical values, and respecting the rule of law. B. Ensuring openness and comprehensive stakeholder engagement. C. Defining outcomes in terms of sustainable economic, social, and environmental benefits. D. Determining the interventions necessary to optimise the achievement of the intended outcomes. E. Developing the entity’s capacity, including the capability of its leadership and the individuals within it. F. Managing risks and performance through robust internal control and strong public financial management. G. Implementing good principles in transparency, reporting, and audit, to deliver effective accountability. e.g. • Principle A = Behaving with integrity, demonstrating strong commitment to ethical values, and respecting the rule of law. • Sub-principles = A1. BEHAVING WITH INTEGRITY, A2. DEMONSTRATING STRONG COMMITMENT TO ETHICAL VALUES, A3. RESPECTING THE RULE OF LAW. • Listed below that are the behaviours and actions that demonstrate good governance in practice (i.e. 1.1 to 1.4; 2.1 to 2.4; and 3.1 to 3.5). A. Behaving with integrity, demonstrating strong commitment to ethical values, and respecting the rule of law A1. BEHAVING WITH INTEGRITY A2. DEMONSTRATING STRONG COMMITMENT TO ETHICAL VALUES A3. RESPECTING THE RULE OF LAW 1.1 Ensuring members and officers behave with integrity and lead a culture where acting in the public interest is visibly and consistently demonstrated thereby protecting the reputation of the organisation. 1.2 Ensuring members take the lead in establishing specific standard operating principles or values for the organisation and its staff and that they are communicated and understood. These should build on the seven Principles of Public Life (also known as the Nolan principles), i.e. selflessness, integrity, objectivity, accountability, openness, honesty, and leadership. 1.3 Leading by example and using these standard operating principles or values as a framework for decision making and other actions. 1.4 Demonstrating, communicating, and embedding the standard operating principles or values through appropriate policies and processes which are reviewed on a regular basis to ensure that they are operating effectively. 2.1 Seeking to establish, monitor and maintain the organisation’s ethical standards and performance. 2.2 Underpinning personal behaviour with ethical values and ensuring they permeate all aspects of the organisation’s culture and operation. 2.3 Developing and maintaining robust policies and procedures which place emphasis on agreed ethical values. 2.4 Ensuring that external providers of services on behalf of the organisation are required to act with integrity and in compliance with high ethical standards expected by the organisation. 3.1 Ensuring members and staff demonstrate a strong commitment to the rule of the law as well as adhering to relevant laws and regulations. 3.2 Creating the conditions to ensure that the statutory officers, other key post holders and members are able to fulfil their responsibilities in accordance with legislative and regulatory requirements. 3.3 Striving to optimise the use of the full powers available for the benefit of citizens, communities, and other stakeholders. 3.4 Dealing with breaches of legal and regulatory provisions effectively. 3.5 Ensuring corruption and misuse of power are dealt with effectively.
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14 B. Ensuring openness and comprehensive stakeholder engagement B1. OPENNESS B2. ENGAGING COMPREHENSIVELY WITH INSTITUTIONAL STAKEHOLDERS B3. ENGAGING STAKEHOLDERS EFFECTIVELY, INCLUDING INDIVIDUAL CITIZENS AND SERVICE USERS 1.1 Ensuring an open culture through demonstrating, documenting, and communicating the organisation’s commitment to openness. 1.2 Making decisions that are open about actions, plans, resource use, forecasts, outputs, and outcomes. The presumption is for openness. If that is not the case, a justification for the reasoning for keeping a decision confidential should be provided. 1.3 Providing clear reasoning and evidence for decisions in both public records and explanations to stakeholders and being explicit about the criteria, rationale and considerations used. In due course, ensuring that the impact and consequences of those decisions are clear. 1.4 Using formal and informal consultation and engagement to determine the most appropriate and effective interventions/ courses of action. 2.1 Effectively engaging with institutional stakeholders to ensure that the purpose, objectives and intended outcomes for each stakeholder relationship are clear so that outcomes are achieved successfully and sustainably. 2.2 Developing formal and informal partnerships to allow for resources to be used more efficiently and outcomes achieved more effectively. 2.3 Ensuring that partnerships are based on - trust, a shared commitment to change, a culture that promotes and accepts challenge among partners - and that the added value of partnership working is explicit. 3.1 Establishing a clear policy on the type of issues that the organisation will meaningfully consult with or involve individual citizens, service users and other stakeholders to ensure that service (or other) provision is contributing towards the achievement of intended outcomes. 3.2 Ensuring that communication methods are effective, and that members and officers are clear about their roles with regard to community engagement. 3.3 Encouraging, collecting, and evaluating the views and experiences of communities, citizens, service users and organisations of different backgrounds including reference to future needs. 3.4 Implementing effective feedback mechanisms in order to demonstrate how their views have been taken into account. 3.5 Balancing feedback from more active stakeholder groups with other stakeholder groups to ensure inclusivity. 3.6 Taking account of the interests of future generations of taxpayers and service users. C. Defining outcomes in terms of sustainable economic, social, and environmental benefits C1. DEFINING OUTCOMES C2. SUSTAINABLE ECONOMIC, SOCIAL, AND ENVIRONMENTAL BENEFITS 1.1 Having a clear vision which is an agreed formal statement of the organisation’s purpose and intended outcomes containing appropriate performance indicators, which provides the basis for the organisation’s overall strategy, planning and other decisions. 1.2 Specifying the intended impact on, or changes for, stakeholders including citizens and service users. It could be immediately or over the course of a year or longer. 1.3 Delivering defined outcomes on a sustainable basis within the resources that will be available. 1.4 Identifying and managing risks to the achievement of outcomes. 1.5 Managing service users’ expectations effectively with regard to determining priorities and making the best use of the resources available. 2.1 Considering and balancing the combined economic, social, and environmental impact of policies, plans and decisions when taking decisions about service provision. 2.2 Taking a longer-term view with regard to decision making, taking account of risk and acting transparently where there are potential conflicts between the organisation’s intended outcomes and short-term factors such as the political cycle or financial constraints. 2.3 Determining the wider public interest associated with balancing conflicting interests between achieving the various economic, social, and environmental benefits, through consultation where possible, in order to ensure appropriate trade-offs. 2.4 Ensuring fair access to services. D. Determining the interventions necessary to optimise the achievement of the intended outcomes
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15 D1. DETERMINING INTERVENTIONS D2. PLANNING INTERVENTIONS D3. OPTIMISING ACHIEVEMENT OF INTENDED OUTCOMES 1.1 Ensuring decision makers receive objective and rigorous analysis of a variety of options indicating how intended outcomes would be achieved and including the risks associated with those options. Therefore ensuring best value is achieved however services are provided. 1.2 Considering feedback from citizens and service users when making decisions about service improvements or where services are no longer required in order to prioritise competing demands within limited resource available including people, skills, land, and assets and bearing in mind future impacts. 2.1 Establishing and implementing robust planning and control cycles that cover strategic and operational plans, priorities, and targets. 2.2 Engaging with internal and external stakeholders in determining how services and other courses of action should be planned and delivered. 2.3 Considering and monitoring risks facing each partner when working collaboratively including shared risks. 2.4 Ensuring arrangements are flexible and agile so that the mechanisms for delivering outputs can be adapted to changing circumstances. 2.5 Establishing appropriate key performance indicators (KPIs) as part of the planning process in order to identify how the performance of services and projects is to be measured. 2.6 Ensuring capacity exists to generate the information required to review service quality regularly. 2.7 Preparing budgets in accordance with organisational objectives, strategies, and the medium-term financial plan. 2.8 Informing medium and long-term resource planning by drawing up realistic estimates of revenue and capital expenditure aimed at developing a sustainable funding strategy. 3.1 Ensuring the medium term financial strategy integrates and balances service priorities, affordability, and other resource constraints. 3.2 Ensuring the budgeting process is all-inclusive, taking into account the full cost of operations over the medium and longer term. 3.3 Ensuring the medium-term financial strategy sets the context for ongoing decisions on significant delivery issues or responses to changes in the external environment that may arise during the budgetary period in order for outcomes to be achieved while optimising resource usage. 3.4 Ensuring the achievement of ‘social value’ through service planning and commissioning. E. Developing the entity’s capacity, including the capability of its leadership and the individuals within it E1. DEVELOPING THE ENTITY’S CAPACITY E2. DEVELOPING THE CAPABILITY OF THE ENTITY’S LEADERSHIP AND OTHER INDIVIDUALS 1.1 Reviewing operations, performance and use of assets on a regular basis to ensure their continuing effectiveness. 1.2 Improving resource use through appropriate application of techniques such as benchmarking and other options in order to determine how the authority’s resources are allocated so that outcomes are achieved effectively and efficiently. 1.3 Recognising the benefits of partnerships and collaborative working where added value can be achieved. 1.4 Developing and maintaining an effective workforce plan to enhance the strategic allocation of resources. 2.1 Developing protocols to ensure that elected and appointed leaders negotiate with each other regarding their respective roles early on in the relationship and that a shared understanding of roles and objectives is maintained. 2.2 Publishing a statement that specifies the types of decisions that are delegated and those reserved for the collective decision making of the governing body. 2.3 Ensuring the leader and the chief executive have clearly defined and distinctive leadership roles within a structure, whereby the chief executive leads the authority in implementing strategy and managing the delivery of services and other outputs set by members and each provides a check and a balance for each other’s authority. 2.4 Developing the capabilities of members and senior management to achieve effective shared leadership and to enable the organisation to respond successfully
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16 to changing legal and policy demands as well as economic, political, and environmental changes and risks by - ensuring members and staff have access to appropriate induction tailored to their role and that ongoing training and development matching individual and organisational requirements is available and encouraged, ensuring members and officers have the appropriate skills, knowledge, resources, and support to fulfil their roles and responsibilities and ensuring that they are able to update their knowledge on a continuing basis, and ensuring personal, organisational and system-wide development through shared learning, including lessons learnt from both internal and external governance weaknesses. 2.5 Ensuring that there are structures in place to encourage public participation. 2.6 Taking steps to consider the leadership’s own effectiveness and ensuring leaders are open to constructive feedback from peer review and inspections. 2.7 Holding staff to account through regular performance reviews which take account of training or development needs. 2.8 Ensuring arrangements are in place to maintain the health and wellbeing of the workforce and support individuals in maintaining their own physical and mental wellbeing F. Managing risks and performance through robust internal control and strong public financial management F1. MANAGING RISK F2. MANAGING PERFORMANCE F3. ROBUST INTERNAL CONTROL F4. MANAGING DATA F5. STRONG PUBLIC FINANCIAL MANAGEMENT 1.1 Recognising that risk management is an integral part of all activities and must be considered in all aspects of decision making. 1.2 Implementing robust and integrated risk management arrangements and ensuring that they are working effectively. 1.3 Ensuring that responsibilities for managing individual risks are clearly allocated. 2.1 Monitoring service delivery effectively including planning, specification, execution, and independent post- implementation review. 2.2 Making decisions based on relevant, clear objective analysis and advice pointing out the implications and risks inherent in the organisation’s financial, social, and environmental position and outlook. 2.3 Ensuring an effective scrutiny or oversight function is in place which encourages constructive challenge and debate on policies and objectives before, during and after decisions are made thereby enhancing the organisation’s performance 3.1 Aligning the risk management strategy and policies on internal control with achieving objectives. 3.2 Evaluating and monitoring risk management and internal control on a regular basis. 3.3 Ensuring effective counter fraud and anti-corruption arrangements are in place. 3.4 Ensuring additional assurance on the overall adequacy and effectiveness of the framework of governance, risk management, and control is provided by the internal auditor. 3.5 Ensuring an audit committee or equivalent group or function which is independent 4.1 Ensuring effective arrangements are in place for the safe collection, storage, use and sharing of data, including processes to safeguard personal data. 4.2 Ensuring effective arrangements are in place and operating effectively when sharing data with other bodies. 4.3 Reviewing and auditing regularly the quality and accuracy of data used in decision making and performance monitoring. 5.1 Ensuring financial management supports both long-term achievement of outcomes and short-term financial and operational performance. 5.2 Ensuring well-developed financial management is integrated at all levels of planning and control, including management of financial risks and controls.
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17 and that of any organisation for which it is responsible. OR (for a committee system) Encouraging effective and constructive challenge and debate on policies and objectives to support balanced and effective decision making. 2.4 Providing members and senior management with regular reports on service delivery plans and on progress towards outcome achievement. 2.5 Ensuring there is consistency between specification stages (such as budgets) and post- implementation reporting (e.g. financial statements). of the executive and accountable to the governing body: provides a further source of effective assurance regarding arrangements for managing risk and maintaining an effective control environment, and that its recommendations are listened to and acted upon. G. Implementing good practices in transparency, reporting, and audit to deliver effective accountability G1. IMPLEMENTING GOOD PRACTICE IN TRANSPARENCY G2. IMPLEMENTING GOOD PRACTICE IN REPORTING G3. ASSURANCE AND EFFECTIVE ACCOUNTABILITY 1.1 Writing and communicating reports for the public and other stakeholders in an understandable style appropriate to the intended audience and ensuring that they are easy to access and interrogate. 1.2 Striking a balance between providing the right amount of information to satisfy transparency demands and enhance public scrutiny while not being too onerous to provide and for users to understand. 2.1 Reporting at least annually on performance, value for money, and the stewardship of its resources. 2.2 Ensuring members and senior management own the results. 2.3 Ensuring robust arrangements for assessing the extent to which the principles contained in the Framework have been applied and publishing the results on this assessment including an action plan for improvement and evidence to demonstrate good governance (annual governance statement). 2.4 Ensuring that the Framework is applied to jointly managed or shared service organisations as appropriate. 2.5 Ensuring the performance information that accompanies the financial statements is prepared on a consistent and timely basis and the statements allow for comparison with other similar organisations. 3.1 Ensuring that recommendations for corrective action made by external audit are acted upon. 3.2 Ensuring an effective internal audit service with direct access to members is in place which provides assurance with regard to governance arrangements and recommendations are acted upon. 3.3 Welcoming peer challenge, reviews and inspections from regulatory bodies and implementing recommendations. 3.4 Gaining assurance on risks associated with delivering services through third parties and that this is evidenced in the annual governance statement. 3.5 Ensuring that when working in partnership, arrangements for accountability are clear and that the need for wider public accountability has been recognised and met.
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18 Appendix B: North Lanarkshire Council local code of governance review programme Each of the specific elements and mechanisms which form the council’s local code of governance (as outlined on pages 7 to 12) have been aligned to the 7 principles (and 21 sub principles) within the international and local government Frameworks. These are detailed below along with hyperlinks to the relevant documentation, an update on the review timeframe and date of next update (where appropriate), and an assessment of the current position. Based on this assessment each element and mechanism has been assigned a RAG status. Taking into consideration the impact of the coronavirus (COVID-19) pandemic, this aims to ensure all elements and mechanisms are as up to date as they require to be while providing a method by which to identify and prioritise items requiring to be reviewed and updated further. Definitions supporting the RAG status are noted in the table below: Red The element or mechanism was last updated prior to January 2020 and there is an annual requirement to do so or there has been a change in legislation which necessitates a review and update, but no commitment has been identified to ensure this is updated. Amber Although the element or mechanism has been updated, it has not been reviewed or updated within the COVID-19 recovery environment to reflect any changes required in service delivery or to ensure continued compliance with good governance. There is, however, a commitment by a member of the Corporate Management Team to do so during 2022/23. Green The element or mechanism was updated after January 2020, or there is no requirement for a further update at this time, or work to review and refresh this item is already recorded on the Programme of Work for 2022/23, or Corporate Management Team have already identified that the item requires to be reviewed and updated during 2022/23. Elements and mechanisms in the North Lanarkshire Council local code of governance Name of element or mechanism with a brief description and links to relevant documentation Current position including review timeframe and date of next update (where appropriate), with assessment and RAG status Chief Officer responsible 7 principles and 21 sub principles A B C D E F G A1 A2 A3 B1 B2 B3 C1 C2 D1 D2 D3 E1 E2 F1 F2 F3 F4 F5 G1 G2 G3 Standing Orders Local authorities are corporate bodies created by statute and must make corporate decisions. Legislation allows local authorities to delegate most decision making to committees, sub-committees, or officers. This means that committees only operate within the remits given to them by their council. The council has delegated certain matters to committees, sub-committees and officers, and the Standing Orders set out the rules which apply to the running and operation of council and its committee meetings. October 2018: https://mars.northlanarkshire.gov.uk/egenda/images/att88879.pdf A review of the Standing Orders was carried out in October 2019: https://mars.northlanarkshire.gov.uk/egenda/images/att92238.pdf. This was followed in August 2020 by an amendment approved to the Standing Orders to permit the council and its committees to meet by remote access. At this time the Standing Orders were changed and an annex was incorporated: https://mars.northlanarkshire.gov.uk/egenda/images/att94286.pdf. Standing Orders are published on the council’s website: https://www.northlanarkshire.gov.uk/your-council/how-the-council-works/standing- orders-and-scheme-of-administration Latest version: August 2020 Review timeframe: Changes to Standing Orders are led by Elected Members who can propose amendments as they wish; these require approval at a meeting of the Council prior to adoption. Assessment: Standing Orders are subject to regular review to determine if they remain fit for purpose and to identify any revisions required to further improve the efficient operation of the council’s decision making process. Following the local government elections in May 2022 and the new governance arrangements approved for the council on 9th June 2022, a cross- party review of Standing Orders will be undertaken during 2022. Standing Orders may be subject to further change following the conclusion of the review. RAG: Head of Legal and Democratic Solutions ✓ ✓ ✓ ✓ ✓ Financial Regulations and Scheme of Financial Delegation Financial Regulations are an integral part of the council’s framework of internal financial controls; these are designed to ensure the effective stewardship of North Lanarkshire Council funds. Compliance with these regulations will ensure that public money is safeguarded and properly accounted for, and all council financial transactions are undertaken in a manner which demonstrates openness, transparency, and integrity. The Financial Regulations form a key part of the overarching Financial Strategy and the corporate governance arrangements of the council. November 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att97301.pdf Latest version: November 2021 Review timeframe: An annual review process is in place to ensure that both the Financial Regulations and Scheme of Financial Delegation remain appropriate for the effective stewardship of the council’s financial resources. Assessment: Financial regulations are subject to regular review. Key changes made to the Financial Regulations following the most recent review in November 2021, and the rationale for each change, are listed in the accompanying committee report. RAG: Head of Financial Solutions ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ Scheme of Administration The Scheme of Administration provides the details and different functions of committees and other groups of each council and the delegation of authority to carry out the functions of the council. It sets out the terms of reference for committees, sub- committees, and panels of the council. At its meeting on 9th June 2022, the Council approved new governance arrangements and the Scheme of Administration: https://mars.northlanarkshire.gov.uk/egenda/public/kab190.pl?meet=226&cmte=COU The Scheme of Administration is published on the council’s website: https://www.northlanarkshire.gov.uk/your-council/how-the-council-works/standing- orders-and-scheme-of-administration Latest version: June 2022 Review timeframe: The Scheme of Administration is reviewed following every local government election. Officers and Elected Members can propose amendments as they wish throughout each term; these require approval at a meeting of the Council prior to adoption. Assessment: Following the local government elections in May 2022, an updated Scheme of Administration was approved in June 2022. RAG: Head of Legal and Democratic Solutions ✓ ✓ ✓ ✓ ✓ Committee arrangements Latest version: June 2022 Head of Legal and ✓ ✓ ✓ ✓ ✓
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19 Name of element or mechanism with a brief description and links to relevant documentation Current position including review timeframe and date of next update (where appropriate), with assessment and RAG status Chief Officer responsible 7 principles and 21 sub principles A B C D E F G A1 A2 A3 B1 B2 B3 C1 C2 D1 D2 D3 E1 E2 F1 F2 F3 F4 F5 G1 G2 G3 Committee arrangements support the implementation of the Scheme of Administration, for example through a timetable of meetings. At its meeting on 9th June 2022, the Council approved new governance arrangements - including the timetable of meetings to end of 2022/23: https://mars.northlanarkshire.gov.uk/egenda/public/kab190.pl?meet=226&cmte=COU Review timeframe: The Scheme of Administration is reviewed following every local government election. Officers and Elected Members can propose amendments as they wish throughout each term; these require approval at a meeting of the Council prior to adoption. Assessment: Following the local government elections in May 2022, an updated Scheme of Administration was approved in June 2022. This included a timetable of meetings to the end of 2022/23. RAG: Democratic Solutions Scheme of Delegation to Officers The Scheme of Delegation sets out the powers delegated by the Council to officers, pursuant to the Local Government (Scotland) Act 1973. The Scheme is intended to facilitate the efficient conduct of council business by clearly setting out the nature and extent of the powers delegated to officers by the Council. In exercising any delegated function, the nominated officer will take account of any appropriate council practice or procedure, any managerial instruction given, and any other similar consideration. The Scheme of Delegation to Officers is subject to: 1. The policies adopted by the council. 2. Appropriate provision for financial outlays having been made in the estimates for the current year. 3. The right of an officer to consult with the Chief Executive on any matter or to refer any matter to the appropriate committee or sub-committee of the council. 4. The obligation on the Chief Executive and on each Chief Officer to arrange consultations with individual local Members on matters which affect their areas in all cases in which the council practice or procedures so require. 5. The requirement that the Chief Executive and all Chief Officers observe the principles of corporate management. 6. Statutory authority granted only to certain officers. April 2019: https://mars.northlanarkshire.gov.uk/egenda/images/att90599.pdf The Scheme of Delegation to Officers is published on Connect: http://connect/index.aspx?articleid=9566 Latest version: April 2019 Review timeframe: As a matter of practice, the Scheme of Delegations to Officers is reviewed following any organisational change or restructure. Assessment: The latest changes, approved in April 2019, reflect changes to the organisational structure implemented in September 2018. As the council’s Monitoring Officer, the Head of Legal and Democratic Solutions, has delegated authority to update the Scheme of Delegation to Officers as necessary in line with statutory changes and organisational requirements. A further review and refresh of the Scheme of Delegation to Officers will be undertaken during 2022 following the restructure changes approved through the Delivering for Communities report in December 2020. RAG: Head of Legal and Democratic Solutions ✓ ✓ ✓ ✓ ✓ ✓ Code of Conduct for Chief Officers This provides a framework within which Chief Officers of the council are expected to undertake their duties in a manner which meets the required standards for good governance. November 2017: https://mars.northlanarkshire.gov.uk/egenda/images/att87046.pdf Latest version: November 2017 Review timeframe: As required based on organisational changes and to reflect updates in respect of legislation, best practice, and government guidance. Assessment: Specific amendments made in 2017 provided greater detail relating to the role and responsibilities of all Chief Officers in relation to the media and provided clarity in relation to specific areas of work undertaken by Chief Officers which match the operating procedures in place. Review and update scheduled to be undertaken during 2022/23. RAG: Head of Legal and Democratic Solutions ✓ ✓ ✓ ✓ Chief Officers Register of Interests A process to register the interests of Chief Officers was implemented in November 2017: https://mars.northlanarkshire.gov.uk/egenda/images/att87047.pdf To comply with this, Chief Officers are required to detail any other renumeration they receive, property they may own, memberships of clubs and associations or any other financial interests (for example directorships or shareholdings), they may have. Registers are published on the council’s website: https://www.northlanarkshire.gov.uk/your-council/how-council-works/chief-officers- register-interests Latest version: Registers and council website last updated in May 2022. Review timeframe: Annual. Assessment: Annual process in place which is co- ordinated by the Depute Monitoring Officer in Legal and Democratic Solutions (as that postholder does not require to register their interests within the Chief Officers Register of Interests). RAG: Head of Legal and Democratic Solutions ✓ ✓ ✓ ✓ Statutory officer posts • The post of head of paid service (the chief executive) was established under the Local Government and Housing Act 1989 and is responsible to councillors for the staffing of the council and ensuring the work in different departments is co- ordinated. • The monitoring officer was established under the Local Government and Housing Act 1989 and is responsible for ensuring that the council observes its governance arrangements and operates legally. This includes reporting on the legality of Latest version: Ongoing statutory obligation Review timeframe: N/A Assessment: All statutory posts are currently filled. RAG: Chief Executive / Head of Legal and Democratic Solutions / Head of Financial Solutions / / Head of Children, Families, and Justice ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
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20 Name of element or mechanism with a brief description and links to relevant documentation Current position including review timeframe and date of next update (where appropriate), with assessment and RAG status Chief Officer responsible 7 principles and 21 sub principles A B C D E F G A1 A2 A3 B1 B2 B3 C1 C2 D1 D2 D3 E1 E2 F1 F2 F3 F4 F5 G1 G2 G3 matters, mal-administration, and the conduct of councillors and officers. • The chief financial officer (section 95 officer or the senior financial officer) was established under the Local Government (Scotland) Act 1973 and is responsible for the financial affairs of the council. • The chief social work officer was established under the Social Work (Scotland Act) 1968. Councils are required to appoint a professionally qualified chief social work officer to provide members and senior officers with effective, professional advice about the delivery of social work services. There are also a number of other statutory posts across services in line with legislation. Employee Code of Conduct The Code of Conduct is the standard which is applicable to all employees. While Chief Officers have additional responsibilities, and many other professions within the council work to dedicated professional standards (e.g. teaching or social care), the Employee Code of Conduct should be considered as the foundation of the high standards applicable to all. An introduction and commitment from the Chief Executive reinforces this view. • March 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att95750.pdf • Available to employees on MyNL: https://mynl.co.uk/wpfd_file/employee-code-of- conduct/ Latest version: March 2021 Review timeframe: Annual Assessment: The latest version of the Employee Code of Conduct was approved in March 2021. This followed changes to the Homeworking Scheme (Interim), introduced in September 2020 in direct response to the pandemic, and reflected the associated changes proposed to the Employee Code of Conduct and Acceptable use of ICT policies. RAG: Head of People and Organisational Development ✓ ✓ ✓ ✓ ✓ Conflicts of Interest Register When an employee identifies a potential conflict of interest, they must complete the relevant form after discussion with their line manager. Employees must then submit the form to their Head of Service. This must be done as soon as possible and within one month of the conflict or potential conflict of interest. A new section in this respect was introduced to the Employee Code of conduct in May 2018: https://mars.northlanarkshire.gov.uk/egenda/images/att87964.pdf Links were also inserted to the relevant register on Connect: http://connect/index.aspx?articleid=20697 Latest version: February 2022 Review timeframe: Bi-annual Assessment: In May 2018, the conflicts of interest procedures was updated in the Employee Code of Conduct. A process is in place whereby Heads of Service are required to submit their up to date registers twice a year for all their staff for independent review and reporting to the CMT. A report is submitted to CMT annually to provide an update in this respect - the latest report was submitted in February 2022. RAG: Head of Business and Digital ✓ ✓ ✓ ✓ Gifts and Hospitality Register Employees are required to advise their line manager of any gifts or hospitality received by them, or offered to them, in the course of their employment with the council. After discussing any gifts or hospitality received (or offered) with their line manager, employees must complete and submit the relevant form to their Head of Service. This must be done as soon as possible and within one month of being offered the gift or hospitality. Further details on what should be recorded were included in the updated version of the Employee Code of Conduct in May 2018: https://mars.northlanarkshire.gov.uk/egenda/images/att87964.pdf Links were also inserted to the relevant register on Connect: http://connect/index.aspx?articleid=20697 Latest version: February 2022 Review timeframe: Bi-annual Assessment: In May 2018, procedures for gifts and hospitality were updated in the Employee Code of Conduct. A process is in place whereby Heads of Service are required to submit their up to date registers twice a year for all their staff for independent review and reporting to the CMT. A report is submitted to CMT annually to provide an update in this respect - the latest report was submitted in February 2022. RAG: Head of Business and Digital ✓ ✓ ✓ ✓ Councillors Code of Conduct The Ethical Standards in Public Life etc. (Scotland) Act 2000 introduced a new ethical framework for public life in Scotland. The Code of Conduct for Councillors came into effect in May 2003. All Councillors elected to local authorities in Scotland must follow this statutory code of conduct when carrying out their public duties. This code is published on the council’s website: https://www.northlanarkshire.gov.uk/your-council/councillors-and- committees/your-councillor/councillors-code-conduct The Code of Conduct for Councillors is approved by the Scottish Parliament and issued by Scottish Ministers. The Standards Commission for Scotland is responsible for the enforcement of the code of conduct. It also has responsibility for issuing guidance to assist local authorities and councillors about the code of conduct and also for hearing complaints about a councillor. The latest code was published in December 2021: https://www.standardscommissionscotland.org.uk/codes-of-conduct/councillors-code- of-conduct Latest version: December 2021 Review timeframe: Review timeframes are set by the Scottish Government as they are responsible for setting the Councillors Code of Conduct. Assessment: In 2020, the Scottish Government held a consultation on a review of the Councillors' Code of Conduct to seek views from relevant stakeholders and members of the public. The council and the Standards Commission for Scotland provided feedback as part of this exercise. Following this exercise, a new code was published on 7th December 2021. The new code and relevant guidance was shared with new and returning Elected Members in May 2022, with training provided on the content. RAG: Head of Legal and Democratic Solutions ✓ ✓ ✓ ✓ Councillors registered interests Under The Ethical Standards in Public Life etc (Scotland) Act 2000 (Register of Interests) Regulations 2003, Councillors and other committee members are required to give notice of any registrable interests. The list of registrable interests for each Elected Member is updated on the Councillor’s Information System and published on the council’s website: Latest version: Ongoing statutory obligation set out in the Councillor’s Code of Conduct Review timeframe: Any changes to the process will be advised nationally in line with the guidance issued by the Standards Commission. Assessment: Upon taking up their position as an Head of Legal and Democratic Solutions ✓ ✓ ✓ ✓
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21 Name of element or mechanism with a brief description and links to relevant documentation Current position including review timeframe and date of next update (where appropriate), with assessment and RAG status Chief Officer responsible 7 principles and 21 sub principles A B C D E F G A1 A2 A3 B1 B2 B3 C1 C2 D1 D2 D3 E1 E2 F1 F2 F3 F4 F5 G1 G2 G3 https://www.northlanarkshire.gov.uk/your-council/councillors-and-committees/your- councillor/councillors-registered-interests Elected Member, Councillors are required to give notice to the Monitoring Officer of any registrable interests at that point and for the previous 12 months. Thereafter Elected Members are legally required to inform the council’s Monitoring Officer of any changes to their registrable interests within four weeks of the change taking place. Following the local government elections in May 2022 there was an obligation on every Elected Member to complete and sign their register within 4 weeks of being elected. RAG: Declarations of interest Standing agenda item number 1 on all agendas for Council and Committee meetings is Declarations of Interest in terms of the Ethical Standards in Public Life Etc. (Scotland) Act 2000. Any declarations made are recorded in the minutes. Latest version: Ongoing statutory obligation set out in the Councillor’s Code of Conduct Review timeframe: Any changes to the process will be advised nationally in line with the guidance issued by the Standards Commission. Assessment: Agenda / minutes of all committee meetings show declarations of interest are sought, and appropriate declarations are made and recorded. RAG: Head of Legal and Democratic Solutions ✓ ✓ ✓ ✓ ✓ Open and transparent decision making Dedicated section on the council’s website provides the public with information on each of the local Elected Members, the official council roles, minutes / agendas / reports on MARS from committee meetings, standing orders and scheme of administration, and a link to webcasts of committee meetings on You Tube. March 2022: https://www.northlanarkshire.gov.uk/your-council/councillors-and- committees Latest version: Live pages Review timeframe: Ongoing Assessment: Web pages continually updated as and when new information becomes available. RAG: Head of Legal and Democratic Solutions ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ Corporate Anti-Fraud Policy and Response Plan An Anti-Fraud Policy and Fraud Response Plan is in place which sets out the council’s expectations (which extend to all individuals and organisations with whom it deals) in terms of acting honestly and with integrity and in safeguarding public resources. June 2017: https://mars.northlanarkshire.gov.uk/egenda/images/att86106.pdf Latest version: June 2017 Review timeframe: A periodic review was undertaken of the Corporate Anti-Fraud Policy and Fraud Response Plan in June 2017. The review was undertaken to ensure that the document remains consistent with good practice and continues to properly reflect how the council responds to fraud following staffing and organisational changes since the policy was last reviewed. The revised document reflects changes to specific posts, organisational structures, and revised management arrangements for certain types of fraud. Assessment: An Internal Audit review in May 2020 (https://mars.northlanarkshire.gov.uk/egenda/image s/att94222.pdf) recommended that current corporate anti-fraud policies and arrangements should be reviewed and any identified actions necessary should be implemented to ensure the council’s arrangements are more fully consistent with recognised good practice. A review is scheduled to be undertaken during 2022/23 in this respect. RAG: Head of Audit and Risk ✓ ✓ ✓ ✓ Whistleblowing Procedure (Public Interests Disclosure) The council’s Whistleblowing Procedure provides a mechanism for employees of the council, and other workers within the council, to report a concern about serious wrongdoing within the council and to do so with security and in confidence. • Procedure - March 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att97980.pdf • Available for employees to access on Connect: http://connect/index.aspx?articleid=3937 Latest version: March 2022 Review timeframe: Annual Assessment: Latest review in March 2022 was undertaken on the use of the Whistleblowing Procedure and to identify any amendments required to the Procedure. The updated Procedure was approved at Committee in March 2022. RAG: Head of Legal and Democratic Solutions ✓ ✓ ✓ ✓ The Plan for North Lanarkshire • February 2019: https://mars.northlanarkshire.gov.uk/egenda/images/att90076.pdf • Published on the website: https://www.northlanarkshire.gov.uk/your-council/council- strategies-and-plans/council-strategies/plan-north-lanarkshire • Place based regeneration investment programme of work - March 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att93588.pdf • Update on level 1 health check indicators and progress against Programme of Work, March 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att95824.pdf • Place based regeneration investment programme of work - The Place The Vision, Latest version: Long-term vision approved in February 2019. Review timeframe: Annual Assessment: Annual Programme of Work in place as the delivery mechanism. Latest council wide updates in terms of delivery and progress were reported through The Place The Vision report in September 2021 and within the Programme of Work report for 2022/23 in March 2022. Chief Executive ✓ ✓ ✓ ✓ ✓ ✓
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22 Name of element or mechanism with a brief description and links to relevant documentation Current position including review timeframe and date of next update (where appropriate), with assessment and RAG status Chief Officer responsible 7 principles and 21 sub principles A B C D E F G A1 A2 A3 B1 B2 B3 C1 C2 D1 D2 D3 E1 E2 F1 F2 F3 F4 F5 G1 G2 G3 September 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96933.pdf • Update on level 1 health check indicators and progress against Programme of Work, March 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att97996.pdf RAG: Programme of Work • Inaugural Programme of Work approved in March 2019: https://mars.northlanarkshire.gov.uk/egenda/images/att90396.pdf • Programme of Work for 2020 and beyond approved in March 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att93774.pdf • Programme of Work for 2021/22 approved in March 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att95824.pdf • Programme of Work for 2022/23 approved in March 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att97996.pdf Latest version: Programme of Work for 2022/23 approved in March 2022. Review timeframe: Annual update in cycle 1 each year. Assessment: Programme of Work comprises an annual review and assessment process which concludes with a report to committee in cycle 1 each year. CMT strategic planning session in April 2022 further reviewed the Programme of Work arrangements and contents and identified future developments required therein. The next annual update is scheduled to be reported to committee in cycle 1 of 2023. RAG: Chief Executive ✓ ✓ ✓ ✓ ✓ ✓ ✓ Strategic Policy Framework • Inaugural Strategic Policy Framework approved in September 2018: https://mars.northlanarkshire.gov.uk/egenda/images/att88711.pdf • Update provided to the Audit and Scrutiny Panel in September 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att94661.pdf • Update provided to the Audit and Scrutiny Panel in September 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96915.pdf • Refreshed Strategic Policy Framework approved in March 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att97995.pdf Latest version: Most recent update following annual review and refresh process was approved at committee in March 2022. Review timeframe: Annual. Assessment: The Strategic Policy Framework is key in supporting the council’s Programme of Work and, as such, is subject to an annual review and refresh process to ensure the council’s strategies, policies, and plans are kept up to date, aligned to The Plan for North Lanarkshire, and reflect policy and legislation changes, as appropriate. The next annual update of the Strategic Policy Framework is scheduled to be reported to committee in cycle 1 of 2023. RAG: Head of Business and Digital ✓ ✓ ✓ ✓ ✓ ✓ ✓ Strategic Performance Framework • Approved in February 2019: https://mars.northlanarkshire.gov.uk/egenda/images/att90076.pdf • Detail reported in September 2019: https://mars.northlanarkshire.gov.uk/egenda/images/att92050.pdf Pilot reports to service committees August/September 2021: • Regulatory Services and Waste Solutions - https://mars.northlanarkshire.gov.uk/egenda/images/att96782.pdf • Financial Solutions - https://mars.northlanarkshire.gov.uk/egenda/images/att96958.pdf • Business Solutions - https://mars.northlanarkshire.gov.uk/egenda/images/att96716.pdf Follow up six monthly reports to service committees February/March 2022: • Regulatory Services and Waste Solutions - https://mars.northlanarkshire.gov.uk/egenda/images/att97662.pdf • Financial Solutions - https://mars.northlanarkshire.gov.uk/egenda/images/att97666.pdf • Business Solutions - https://mars.northlanarkshire.gov.uk/egenda/images/att97665.pdf • Environmental Assets - https://mars.northlanarkshire.gov.uk/egenda/images/att97663.pdf Latest version: March 2022 Review timeframe: Six monthly reporting for service committees. Assessment: Positive feedback received from pilot reporting to service committees so this is being rolled out for all heads of service’s responsibilities within the Strategic Performance Framework. The Strategic Performance Framework is key in supporting the council’s Programme of Work and, as such, is subject to a regular review and refresh process to ensure it remains aligned to The Plan for North Lanarkshire. The next update of the Strategic Performance Framework is scheduled to be reported to committee in cycle 4 of 2022. RAG: Head of Business and Digital ✓ ✓ ✓ ✓ ✓ ✓ Strategic Performance Framework reporting schedule • Update on level 1 health check indicators and progress against Programme of Work, March 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att95824.pdf • Reporting Schedule - March 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att95860.pdf • Update on level 1 health check indicators and progress against Programme of Work, March 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att97996.pdf Latest version: March 2022. Review timeframe: Annual Assessment: Annual performance reporting schedule includes a list of service/statutory and Strategic Performance Framework reporting for 2021/22. This includes six monthly ALEO performance reports submitted by Heads of Service from the relevant client service. An update on the Strategic Performance Framework reporting schedule is underway to be reported to committee in cycle 4 of 2022/23. RAG: Head of Business and Digital / all Heads of Service ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ Strategic Governance Framework • Initial Strategic Governance Framework approved in February 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att92927.pdf Latest version: Most recent update following annual review and refresh process was approved at committee in September 2021. Head of Business and Digital ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
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23 Name of element or mechanism with a brief description and links to relevant documentation Current position including review timeframe and date of next update (where appropriate), with assessment and RAG status Chief Officer responsible 7 principles and 21 sub principles A B C D E F G A1 A2 A3 B1 B2 B3 C1 C2 D1 D2 D3 E1 E2 F1 F2 F3 F4 F5 G1 G2 G3 • Update provided to the Audit and Scrutiny Panel in September 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att94661.pdf • Update provided to the Audit and Scrutiny Panel in September 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96915.pdf • Refreshed Strategic Governance Framework approved in September 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96686.pdf Review timeframe: Review and update undertaken annually in order to inform the production of the Annual Governance Statement Assessment: The Strategic Governance Framework is key in supporting the council’s Programme of Work and, as such, is subject to an annual review and refresh process to ensure ongoing alignment to The Plan for North Lanarkshire, and to inform the production of the Annual Governance Statement. The next annual update of the Strategic Governance Framework is scheduled to be reported to committee in cycle 3 of 2022. RAG: Annual Governance Statement Annual Governance Statement reported in June 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96418.pdf Latest version: Annual Governance Statement for 2020/21 reported to the Audit and Scrutiny Panel in June 2021 Review timeframe: Annual Assessment: Annual Governance Statement requires to be produced each year in line with the Delivering Good Governance in Local Government: Framework and included in the annual accounts each year in line with The Local Authority Accounts (Scotland) Regulations 2014. Statement for 2021/22 was presented to CMT in June 2022 to allow for inclusion in unaudited Annual Accounts for 2021/22 and submission to external auditors by end June 2022. RAG: Chief Executive / Head of Business and Digital ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ Project Management Model Launched in April 2018, the council’s Project Management Model aims to ensure a systematic approach across the organisation by providing a corporate framework and guidance that enables each stage of delivery towards achieving the overall objectives of a project to be planned, guided, implemented, and governed. • Guidance and templates on Connect: http://connect/index.aspx?articleid=20087 • Update provided to the Audit and Scrutiny Panel in November 2019 in terms of governance arrangements for the project management model: https://mars.northlanarkshire.gov.uk/egenda/images/att92361.pdf • Updated provided to the Audit and Scrutiny Panel in September 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96915.pdf Latest version: Update provided to the Audit and Scrutiny Panel in September 2021. Review timeframe: Annual Assessment: The Project Management Model is key in supporting the council’s Programme of Work and, as such, is subject to an annual review and refresh process to ensure ongoing alignment to The Plan for North Lanarkshire. An annual review is currently underway and nearing completion; this is expected to conclude with a report to CMT in September 2022. RAG: Head of Business and Digital ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ Strategic Self-Evaluation Framework • Approved in February 2019: https://mars.northlanarkshire.gov.uk/egenda/images/att90076.pdf • Update provided to the Audit and Scrutiny Panel in September 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att94661.pdf • Refreshed Strategic Self-Evaluation Framework was presented to the Audit and Scrutiny Panel in September 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96743.pdf Latest version: Refreshed Strategic Self-Evaluation Framework and rolling review programme presented to the Audit and Scrutiny Panel in September 2021. Review timeframe: Annual Assessment: The Strategic Self-Evaluation Framework is key in supporting the council’s Programme of Work and, as such, is subject to an annual review and refresh process to ensure improvement actions remain aligned to The Plan for North Lanarkshire. The annual update of the Strategic Self-Evaluation Framework is scheduled to be reported to committee in cycle 4 of 2022. RAG: Head of Business and Digital ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ Financial Strategy As the overarching framework that establishes the financial strategies and policies which ensure effective financial governance, planning, and management, this sets out the responsibility for safeguarding public funds within North Lanarkshire Council and the role of the Section 95 Officer. The strategies and policies covered by the Financial Strategy are the Capital Strategy, Treasury Management Strategy, Revenue Budget Strategy, Medium-Term Financial Plan, and the Financial Regulations and Scheme of Financial Delegation. June 2019: https://mars.northlanarkshire.gov.uk/egenda/images/att90922.pdf (updated hyperlink to reflect the August 2022 review process to be added when available) Latest version: August 2022 Review timeframe: The strategies and policies covered by the Financial Strategy are set out therein along with timescales for further review. All have an annual review frequency. Assessment: All strategies and policies covered by the Financial Strategy are shown separately in this table. The Financial Strategy itself was reviewed in August 2022 and, as reported to the Corporate Management Team, it was concluded that the Strategy remains relevant in its current form and therefore no further update requires to be reported to committee at this time. RAG: Head of Financial Solutions ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
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24 Name of element or mechanism with a brief description and links to relevant documentation Current position including review timeframe and date of next update (where appropriate), with assessment and RAG status Chief Officer responsible 7 principles and 21 sub principles A B C D E F G A1 A2 A3 B1 B2 B3 C1 C2 D1 D2 D3 E1 E2 F1 F2 F3 F4 F5 G1 G2 G3 Treasury Management Strategy Each year, in line with the CIPFA Code of Practice on Treasury Management, the council produces a Treasury Management Strategy. The Treasury Strategy Statement sets out the policies, practices, and activities undertaken by the council in compliance with the Code. It covers the council’s debt and investment projections, expected movement in interest rates, council borrowing and investment strategies, policy on repayment of loans funds advances, and treasury management and prudential indicators. March 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att95752.pdf Treasury Management monitoring reports are submitted to committee quarterly. This fulfils the requirements in accordance with the CIPFA Code of Practice on Treasury Management and the CIPFA Prudential Code for Capital Finance in Local Authorities. It informs on Treasury Management activity for the latest quarter and compliance with the mandatory treasury and prudential indicators. November 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att97306.pdf The Treasury Management Annual Activity report also fulfils the key requirements in accordance with the CIPFA Code of Practice on Treasury Management and the CIPFA Prudential Code for Capital Finance in Local Authorities in that it outlines the treasury management activity undertaken during the latest financial year and the resulting impact on the council’s borrowing and investment strategy. It also reports on the council’s performance in complying with the mandatory prudential indicators, and provides a detailed summary of performance, making reference to those targets and prudential indicators set at the start of the year within the approved strategy. September 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96857.pdf Latest version: March 2021 Review timeframe: Annual Assessment: The latest version of the Treasury Management Strategy approved in March 2021 covers the period from 2021 to 2022. This report fulfils the key requirements of the Local Government Act 2003 in that it outlines the Treasury Management Strategy for 2021/22 in accordance with the CIPFA Code of Practice on Treasury Management, and reports on the treasury and prudential indicators as required by the above code and the CIPFA Prudential Code for Capital Finance in Local Authorities. RAG: Head of Financial Solutions ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ Reserves Policy To support the commitments made by both the Financial Strategy and Revenue Resources Budget Strategy, a Reserves Policy was approved in January 2020. The policy is subject to annual review to ensure available balances are managed and utilised in accordance with effective governance principles and continue to support financial plans which are affordable and sustainable. Any significant amendments to the policy are reported to committee. January 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att92779.pdf Latest version: January 2020 Review timeframe: Annual Assessment: The Reserves Policy was approved in January 2020. The annual review process in January 2021 and January 2022 identified no further changes and concluded that the original Reserves Policy remained valid and therefore no further update was required at the time. RAG: Head of Financial Solutions ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ Revenue Resources Budget Strategy To facilitate a more strategic approach to establishing budgets and associated savings options, a Revenue Resources Budget Strategy was approved in June 2019. This set out the rationale for the development of a revised approach to budgeting and the identification of future savings. It sets out guiding principles and an outline framework to develop the Strategy to ensure alignment with The Plan for North Lanarkshire. • June 2019: https://mars.northlanarkshire.gov.uk/egenda/images/att90956.pdf The Revenue Resources Budget Strategy has been reviewed and updated annually since. • June 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att94063.pdf • June 2021 https://mars.northlanarkshire.gov.uk/egenda/images/att96162.pdf Latest version: June 2021 Review timeframe: Annual Assessment: The Revenue Resources Budget Strategy was approved in June 2019. An update was provided in June 2020 and June 2021 given the significantly increased financial risks the council faces in both responding to and recovering from the pandemic. The latest update report also set out some of the high level challenges faced by the council and how these will need to be addressed in line with the Revenue Resources Budget Strategy. The Revenue Resources Budget Strategy is key in supporting the council’s Programme of Work and, as such, an annual update on the ongoing development and implementation of the Revenue Resources Budget Strategy is scheduled to be undertaken and reported to committee in cycle 3 of 2022. Update reports will also be provided to committee in cycle 3 of 2022 and cycle 1 of 2023 on the implementation of savings. RAG: Head of Financial Solutions ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ 4-weekly revenue monitoring reports The council’s Revenue budget is subject to close monitoring throughout the financial year, with service’s reporting their own position to their relevant Service Committees and Management Teams. A council Summary report is prepared on a 4-weekly basis and consolidates the budget monitoring position of all General Fund Services, along with the Housing Revenue Account, and Adult Health and Social Care. This report highlights and explains major variances as per the council’s approved Financial Regulations and is reported to both the CMT and committee. Revenue monitoring reports are standing items on the CMT agenda. Revenue Monitoring Report Council Summary 1 April 2021 to 7 January 2022 (Period 10), March 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att97879.pdf A consolidated council annual Provisional Outturn Revenue monitoring report is provided to CMT each year. This updates CMT on the overall position for the General Latest version: Period end report in March 2022 and annual report for 2020/21 in September 2021 Review timeframe: As at each period end and as at the year end. Assessment: Revenue budget monitoring reports are submitted to committees each cycle throughout the year and at the year end. RAG: Head of Financial Solutions ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
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25 Name of element or mechanism with a brief description and links to relevant documentation Current position including review timeframe and date of next update (where appropriate), with assessment and RAG status Chief Officer responsible 7 principles and 21 sub principles A B C D E F G A1 A2 A3 B1 B2 B3 C1 C2 D1 D2 D3 E1 E2 F1 F2 F3 F4 F5 G1 G2 G3 Fund Account, Housing Revenue Account, and Adult Health and Social Care for the financial year just ended. This is supported by individual service reports which are reported to Service Committees / Service Management Teams. These reports include analysis of significant budget variations, impact of COVID, budget savings, and earmarked reserves. An Annual Accounts final outturn is reported to committee each year after the completion of the draft accounts. September 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96862.pdf Annual Revenue Budget and Council Tax The statutory requirements in relation to budget setting are contained within Section 93 of the Local Government Finance Act 1992. An annual report provides financial information to enable the council to set its Revenue Budget and Council Tax for the year. February 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att97910.pdf Latest version: February 2022 Review timeframe: Annual Assessment: Report approved in February 2022 set the Revenue Budget for 2022/23 to 2024/25 and the Council Tax for 2022/23. Setting an updated three year (rolling) budget is key in supporting the council’s Programme of Work and, as such, is scheduled for a report to committee in cycle 1 in each year. RAG: Head of Financial Solutions ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ Medium-Term Financial Plan Longer term planning is integral to the council’s Financial Strategy and the council’s strategic approach to budgeting. Effective decision making relies on strong financial planning and the Medium-Term Financial Plan assists in ensuring resources are aligned to the key priorities outlined in The Plan for North Lanarkshire and ensures the Programme of Work is robust, affordable, and sustainable. The Medium-Term Financial Plan reflects the risks which may impact on the council’s ability to continue to provide high quality services focussing on the strategic priorities. The Medium-Term Financial Plan was approved at Committee in September 2019, this is a 5 year rolling plan: https://mars.northlanarkshire.gov.uk/egenda/images/att92055.pdf The plan has subsequently been reviewed and updated annually: October 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att94530.pdf September 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96882.pdf Taking the previously reported position as the new baseline, the latest plan updates financial planning assumptions in relation to future revenue grant and other funding sources, along with increased cost pressures arising from employee costs, inflation, and policy decisions. A range of risk-based scenarios have been considered, resulting in envisaged, pessimistic and optimistic positions. Latest version: September 2021 Review timeframe: Annual Assessment: The Medium-Term Financial Plan approved in September 2021 covers the period 2022/23 to 2026/27. This provides an update on the five year financial forecast and outlines the challenges facing the council in maintaining medium-term financial stability, while achieving the strategic priorities of the council and reflecting the impact of the pandemic. The Medium-Term Financial Plan is key in supporting the council’s Programme of Work and, as such, an annual review of the planning assumptions in the council’s Medium-Term (five- year) Financial Plan and update of the scenarios relating to the anticipated budget gap from 2023/24 to 2027/28 is scheduled to be undertaken and reported to committee in cycle 3 of 2022. RAG: Head of Financial Solutions ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ Capital Strategy Following the publication of the revised Prudential Code for Capital Finance in Local Authorities 2017, there is a requirement for councils to produce a Capital Strategy. The Capital Strategy to 2022/23 was approved in March 2019: https://mars.northlanarkshire.gov.uk/egenda/images/att90194.pdf An update in March 2020 reported on the annual review of the strategy: https://mars.northlanarkshire.gov.uk/egenda/images/att93556.pdf which requires to be undertaken in accordance with the Prudential Code requirements. Latest version: March 2020 Review timeframe: Annual Assessment: The annual review of the Capital Strategy approved in March 2020 covers the period to 2022/23. The Capital Strategy is key in supporting the council’s Programme of Work and creating an asset base that supports delivery of The Plan for North Lanarkshire and which delivers on the shared ambitions and the Programme of Work, as such, a review and update of the Capital Strategy is scheduled to be undertaken and reported to committee in cycle 1 of 2023. This update will include a review of the key principles and reflect the requirements of the new Prudential Code for Local Authorities. RAG: Head of Financial Solutions ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ Strategic Capital Investment Programme The principles of the council’s strategic capital investment programme are underpinned by the Capital Strategy. Following the review of the Capital Strategy in March 2020, the main principles outlined and adopted within the Strategy remained unchanged apart from minor updates - the Strategic Capital Delivery Group (SCDG) terms of reference were updated to incorporate all capital investment programmes. The principles of the Capital Strategy are adopted in preparing the revised annual Strategic Capital Investment Programme. An update to the Strategic Capital Investment Programme for 2022/23 to 2025/26 was approved at Committee in March 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att97974.pdf Latest version: March 2022 Review timeframe: Annual Assessment: Strategic Capital Investment Programme approved in March 2022 covers the period from 2022/23 to 2025/26. The Strategic Capital Investment Programme is key in supporting the council’s Programme of Work and, as such, update reports are scheduled to be provided to committee each cycle of 2022/23; this includes elements funded by the Community Investment Fund managed by the Strategic Capital Delivery Group. In addition, an annual Community Investment Fund progress report is scheduled to be reported to committee in cycle 4 of 2022. This will outline updated financial projections linked to emerging Head of Financial Solutions ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
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26 Name of element or mechanism with a brief description and links to relevant documentation Current position including review timeframe and date of next update (where appropriate), with assessment and RAG status Chief Officer responsible 7 principles and 21 sub principles A B C D E F G A1 A2 A3 B1 B2 B3 C1 C2 D1 D2 D3 E1 E2 F1 F2 F3 F4 F5 G1 G2 G3 economic trends. RAG: Strategic Capital Delivery Group (SCDG) terms of reference and governance framework The SCDG is an officer working group convened of senior officers with responsibility for the development and delivery of the council’s long-term capital programme. The Terms of Reference and Governance Framework allow the SCDG to make amendments to the approved capital programme subject to limits, adjustments to the programme to reflect future capital grant allocations, the approval of virement of resources, and additional projects plus the process for reporting decisions and recommendations to committee. September 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96942.pdf Latest version: September 2021 Review timeframe: Terms of Reference reviewed in line with the requirements of the Strategic Capital Investment Programme. Assessment: Virement and reprofiling limits were updated and approved at Committee in September 2021 to reflect the increased scale of overall capital investment. The objectives of the Group were updated to reflect the council’s responsibilities within the Community Empowerment (Scotland) Act 2012 and to ensure the Terms of Reference reflected the increased role of project boards in managing and monitoring capital programme activity in accordance with the council’s Project Management Model. The terms and reference and governance framework will be further updated during 2022 to reflect the council’s current management structure. RAG: Head of Financial Solutions ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ Strategic Capital Delivery Group (SCDG) Meetings are held each quarter as a minimum. Minutes and meeting papers available. Latest version: Recurring group. Review timeframe: Strategic Capital Delivery Group in operation; chaired by Depute Chief Executive. Assessment: Effectiveness of the group reviewed in line with the council’s Strategic Capital Investment Programme. RAG: Depute Chief Executive / Head of Financial Solutions ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ Capital monitoring The capital programme is monitored and managed by the council’s Strategic Capital Delivery Group. Consolidated council monitoring reports are prepared regularly and provide an update on the resources and expenditure for the council’s Capital Programmes. The close monitoring facilitates the group’s proper management of the council’s ambitious capital programme, including the realignment of resources to ensure its effective delivery and ensuring resources are directed to where they are most required and informs updates to elected members through committee where appropriate. Capital programme monitoring reports are standing items on the CMT agenda every 4 weeks. These reports include projected outturns, budget variations, savings, earmarked reserves, and commitments. Reports are also submitted to committee each cycle. These provide an update on the latest year’s resources and expenditure for the council's Strategic Capital Investment Programme. The report also shows the latest financial year’s provisional outturn position and the resultant variances as at the period end. Capital Programme 2021/22 Monitoring Report 1 April to 7 January 2022 (Period 10), March 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att97881.pdf An annual Provisional Outturn Capital Monitoring report is provided to the Strategic Capital Delivery Group (SCDG) each year (latest on 20/05/21). This provides an update on the latest financial year’s resources and expenditure for the council's capital programmes. The report also shows the year end provisional outturn position and the resultant variances. Capital Programme 2020/21 Monitoring Report, May 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96144.pdf Latest version: Period end report in March 2022 and annual report for 2020/21 in May 2021 Review timeframe: As at each period end and as at the year end. Assessment: Capital monitoring reports are submitted to committee each cycle throughout the year and at the year end. RAG: Head of Financial Solutions ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ Annual accounts The preparation of the Accounts is a key statutory responsibility for Financial Solutions and the council. The Local Authority Accounts (Scotland) Regulations 2014 require the council to prepare Annual Accounts, section 12 of the Local Government in Scotland Act 2003 requires these to be prepared in accordance with proper accounting practices, primarily the Code of Practice on Local Authority Accounting in the United Kingdom, supported by International Financial Reporting Standards (IFRS), and statutory guidance issued. In the midst of the ongoing pandemic, Local Government Finance Circular 10/2020 was issued, providing flexibility within the Regulations in line with The Coronavirus (Scotland) Act 2020, this included flexibility in the timescales for publication of the Unaudited Accounts and the subsequent approval of the Audited Accounts for 2019/20. The Local Authority (Capital Finance and Accounting) (Scotland) (Coronavirus) Amendment Regulations 2021 subsequently extended this for the Latest version: December 2021 Review timeframe: Annual Assessment: The preparation of the Annual Accounts is a key statutory responsibility for the council. The audited annual Accounts for 2020/21 were approved by the Audit and Scrutiny Panel in December 2021 for signing. The unaudited Annual Accounts for 2021/22 were presented to the external auditors by end June 2022, in line with statutory requirements. RAG: Head of Financial Solutions ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
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27 Name of element or mechanism with a brief description and links to relevant documentation Current position including review timeframe and date of next update (where appropriate), with assessment and RAG status Chief Officer responsible 7 principles and 21 sub principles A B C D E F G A1 A2 A3 B1 B2 B3 C1 C2 D1 D2 D3 E1 E2 F1 F2 F3 F4 F5 G1 G2 G3 publication of the 2020/21 Audited Accounts to 15 November 2021. • Annual Accounts (audited) - December 2021 https://mars.northlanarkshire.gov.uk/egenda/images/att97493.pdf • Annual Accounts are published on the council’s website: https://www.northlanarkshire.gov.uk/your-council/facts-and-figures/annual-accounts Risk Management Strategy The Risk Management Strategy outlines that effective risk management arrangements form an important element of good corporate governance and are designed to ensure that the council operates systematic and logical processes for managing business risks within a comprehensive framework, ensuring that identified risks are managed consistently, effectively, efficiently and coherently across the organisation. March 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att93523.pdf Latest version: March 2020 Review timeframe: 3 year strategy Assessment: Risk Management Strategy approved in March 2020 covers the period 2019/20 to 2021/22. An item within the Strategic Policy Framework, the Risk Management Strategy is scheduled to be updated and reported to committee in cycle 4 of 2022. In addition, reports are scheduled to be submitted to the Audit and Scrutiny Panel each cycle to develop and regularly assess the effectiveness of the risk management arrangements which the council has in place to assist the identification and management of risks, strengthen organisational resilience, improve governance and stakeholder confidence and trust, and increase the likelihood of the council achieving its planned outcomes, priorities, and ambitions and report the results of that assessment to key stakeholders. RAG: Head of Audit and Risk ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ Workforce for the Future Strategy Workforce for the Future Strategy approved in March 2020 covers the period 2020-23. • March 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att92786.pdf This Strategy was subsequently refreshed in June 2021 and realigned in light of the pandemic, which continues to have a major impact on levels of employment and the needs of employers across North Lanarkshire. It also addresses the issue that the pandemic is expected to have adversely affected the wider employment, training, and progression prospects of young people and other residents who have recently been made redundant or may be at risk when the furlough scheme comes to an end. • June 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96241.pdf A further update was submitted to committee in March 2022 to reflect the work over the last 8 months and ensure work continues to identify and directly address critical labour market and employment challenges and opportunities across North Lanarkshire. This report saw approval granted for: • Further progression of an NL Employer Charter Scheme, to fully engage businesses in North Lanarkshire as key partners in the labour market recovery. • Further work to deliver accelerated service improvements in processes for tracking young people post-school and engaging more systematically with business on capturing their workforce needs to ensure a fully end to end service delivery capability is in place. • A test of change proposal to engage directly with a new business investing in North Lanarkshire, in an innovative partnership approach which ensures the council plays a key role in supporting that business to build a workforce for the future. March 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att97969.pdf Latest version: March 2022 Review timeframe: Annual Assessment: The Programme of Work for 2022/23 (P077.1) outlines scheduled updates in respect of the Workforce for the Future Strategy, for a further report to committee in cycle 1 of 2023. RAG: Head of People and Organisational Development ✓ ✓ ✓ Workforce plans Best Value guidance requires that councils demonstrate effective use of resources. In terms of staff this means: • A workforce strategy is in place that sets out expectations on how the local authority’s staff will deliver its vision, priorities, and values. • The strategy is translated into workforce plans, covering employee numbers, skills, knowledge, competencies, and organisational structures that demonstrate how staff will be deployed to deliver the services planned for the future. • Plans are regularly reviewed at appropriate intervals according to a clear review cycle. Latest version: April 2022 Review timeframe: Annual Assessment: Head of Service workforce plans considered at CMT in April 2022. Refinement of plans to be undertaken and council wide summary scheduled to be presented to committee in cycle 3 of 2022. RAG: Head of People and Organisational Development ✓ General Contract Standing Orders (GCSO) GCSO are a legal requirement and provide the powers to control and regulate procurement throughout the council. The GCSO also place requirements on service areas to effectively plan and manage the resulting contracts. • June 2018: https://mars.northlanarkshire.gov.uk/egenda/images/att88119.pdf • The GSCO have subsequently been updated and version 16 - effective from 1 June 2022 - is available on Connect: http://connect/CHttpHandler.ashx?id=48055&p=0 Latest version: The current General Contract Standing Orders (GCSO) were approved at the former Policy and Resources Committee in June 2018. These have subsequently been updated and version 16 - effective from 1 June 2022 - is now available. Review timeframe: The GCSO require to be kept under regular review to ensure they work effectively Head of Asset and Procurement Solutions ✓ ✓ ✓
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28 Name of element or mechanism with a brief description and links to relevant documentation Current position including review timeframe and date of next update (where appropriate), with assessment and RAG status Chief Officer responsible 7 principles and 21 sub principles A B C D E F G A1 A2 A3 B1 B2 B3 C1 C2 D1 D2 D3 E1 E2 F1 F2 F3 F4 F5 G1 G2 G3 and secure continuous improvement and Best Value. Assessment: Full review to be undertaken during 2022/23 once clarity on legislative changes as a result of Brexit received and UK and Scottish Government guidance is issued. RAG: Procurement Strategy In order to demonstrate Best Value, local authorities are required to comply with legal and best practice requirements in the procurement and strategic commissioning of goods, services, and works, including the Scottish Model of Procurement and ensure there is clear accountability within procurement and commissioning arrangements. The Procurement Reform (Scotland) Act 2014 requires Scottish public bodies with annual procurement spend greater than £5 million (which includes the council) to develop and publish an organisational procurement strategy and keep the strategy under regular review; the council is also required to publish and prepare an annual report. • Strategy - November 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att97297.pdf • Annual report - September 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96865.pdf Latest version: November 2021 Review timeframe: Annual Assessment: Introduced in August 2017 and updated annually thereafter, the Procurement Strategy approved in November 2021 covers the period from 2022 to 2023. The latest annual report for 2020/21 was published in September 2021. An item within the Strategic Policy Framework, the Procurement Strategy is due to be updated and reported to committee in cycle 4 of 2022. Reports submitted to committee each cycle update on procurement activity in terms of contracts awarded below committee approval threshold and contracts with variations. RAG: Head of Asset and Procurement Solutions ✓ ✓ ✓ Climate change - committing to net zero The council recognises the need for urgent action and, as such, declared a Climate Emergency in June 2019 advancing the net zero target from 2045 to 2030. Similarly the council became a signatory of the Edinburgh Biodiversity Declaration in June 2021, recognising the need to protect nature as well as the important role it will play in tackling climate change. The risk of climate change to the local economy is considered significant and therefore as well as being the right thing to do, any deliberate interventions will benefit North Lanarkshire. Actions delivered should consider the impact on the vulnerable such as those likely to become fuel poor and ensure that these households are not negatively impacted on. Post-COP26 (the 26th United Nations Climate Change Conference held in 2021) and the Glasgow Pact, the council (through its Climate Plan ACT2030) will continue to develop its overall climate strategy to encourage internal and external action (mitigation, adaptation, and sustainability) to tackle and prevent further climate change. Medium and long-term aims are as set out in the Climate Plan ACT2030 (approved in February 2022) - this encompasses the council’s own climate emergency declaration and its subsequent target of net-zero emissions by 2030. The climate plan therein provides targets from 2021/22 to 2025/26 with a commitment to continually review and set targets beyond this to 2030. • February 2022: Climate Plan: Action on Climate Together 2030 https://mars.northlanarkshire.gov.uk/egenda/images/att97673.pdf Latest version: February 2022 Review timeframe: Annual Assessment: The councils Climate Plan is a key aspect of the Programme of Work and, as such, update reports are scheduled to be provided to committee: • In cycle 4 of 2022 for the route map to 2030 detailing the resource requirements to achieve net zero by 2030. • In cycle 1 of 2023 for the annual report on the council’s compliance with the public sector climate change duties and the status of the council in terms of achieving net zero by 2030. RAG: Head of Asset and Procurement Solutions ✓ Asset management Updates on the asset rationalisation and development programme of work - which includes reviewing the use of assets on a regular basis to ensure their ongoing effectiveness - were provided in: • March 2020: https://mars.northlanarkshire.gov.uk/egenda/public/kab190.pl?cmte=PSC&meet=7, • October 2020: https://mars.northlanarkshire.gov.uk/egenda/public/kab190.pl?cmte=PSC&meet=11 Latest version: October 2020 Review timeframe: Annual Assessment: The Programme of Work for 2022/23 (P002.1) outlines scheduled updates in respect of asset rationalisation and development. This includes reports on the development of a Corporate Asset Management Plan and an update on the property rationalisation programme to committee in cycles 3 and 4 of 2022. RAG: Head of Asset and Procurement Solutions ✓ Communications Strategy The council’s overarching Communications Strategy covers the whole organisation and aims to ensure that communication activity closely aligns with the delivery of The Plan for North Lanarkshire. All major activity must support an ambition statement and also align with the core narrative which supports the Live, Learn, Work, Invest, and Visit brand strategy. • June 2019: https://mars.northlanarkshire.gov.uk/egenda/images/att90957.pdf The council has approved The Plan for North Lanarkshire and The Place, The Vision and these are the council’s priorities and therefore the focus for communications activity. As such, the Annual Communications Plan details communications activities for each year. • June 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96259.pdf New platform developed for the council’s website went live in November 2020: Latest version: June 2021 Review timeframe: Process in place to update the communications plan annually. Assessment: The council’s Communications Strategy was approved in June 2019. As part of that strategy, an annual communications plan was to be published looking back at the previous year’s major communications activity and setting out the major activity for the next 12 months. No plan was published for 2020/21 due to the pandemic. The plan for 2021/22 was approved in June 2021. Key to supporting the Programme of Work, the update to the annual communications plan is scheduled to be reported to committee in cycle 3 of 2022. Head of Strategic Communication ✓ ✓ ✓ ✓ ✓ ✓
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29 Name of element or mechanism with a brief description and links to relevant documentation Current position including review timeframe and date of next update (where appropriate), with assessment and RAG status Chief Officer responsible 7 principles and 21 sub principles A B C D E F G A1 A2 A3 B1 B2 B3 C1 C2 D1 D2 D3 E1 E2 F1 F2 F3 F4 F5 G1 G2 G3 https://www.northlanarkshire.gov.uk/ RAG: Digital and IT Strategy The Digital and IT Strategy is central to delivery of the council’s transformational / service redesign programme as well as enabling many of the elements within the council’s Programme of Work. This details the programmes, projects, and policies that will enable the council to recover, renew, and transform services by exploiting emerging technology to the benefit of employees, service delivery, and ultimately the people and communities of North Lanarkshire. It guides services to transition from the current traditional IT estate to a new and agile digital service delivery. • June 2019: https://mars.northlanarkshire.gov.uk/egenda/images/att90858.pdf • September 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att94512.pdf The annual review in 2021/22 focussed on: • Reiterating the overarching digital vision for a Digital North Lanarkshire (DigitalNL) with Digital Communities, a Digital Economy, and a Digital Council. • Further strengthening the digital alignment with the council’s long-term vision as set out in The Plan for North Lanarkshire, and the place-based investment programme articulated through The Place The Vision, to reflect the scale and complexities of the DigitalNL programme and the range of interdependencies across many Programme of Work elements. February 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att97664.pdf Latest version: February 2022 Review timeframe: Annual Assessment: The Strategy was introduced in June 2019 and refreshed in September 2020 to reflect the fast changing environment in which the council operates, not least the implications and unexpected opportunities arising from the coronavirus pandemic. A further review and significant refresh was undertaken and approved at committee in February 2022. RAG: Head of Business and Digital ✓ ✓ ✓ ✓ ✓ ✓ ✓ Enterprise Architecture Governance Group (EAGG) The EAGG ensures: • Organisation wide governance for all digital solutions and services. • That a cohesive, integrated, and data driven approach to enterprise wide architecture is undertaken. • A holistic full lifecycle view of solutions is considered. • The council’s enterprise architecture principles are considered and addressed for new proposals. • The council’s enterprise architecture principle remain relevant. The EAGG aims to ensure a consistent, coherent, and complete council-wide (enterprise) perspective to design to enable business operations to be transformed and the associated benefits to be secured in a co-ordinated manner across the organisation. The EAGG has the ability and responsibility to challenge operational business cases, ensuring a holistic organisation wide approach to design is maintained and best value is achieved. Meetings are held approximately every six weeks. Minutes and meeting papers available. Latest version: Recurring group. Review timeframe: The group was formed in November 2019 to provide strategic governance and oversight for all digital and IT related projects, services, solutions, and operations within the council to ensure such are fit for purpose and comply with all relevant standards, specifications, and principles. Assessment: The EAGG reports to the DigitalNL Delivery Board which holds meetings every second month. The intentions set out in the Digital and IT Strategy are underpinned by the work of the EAGG. The Digital and IT Strategy (refreshed in February 2022) reflects the governance role of the EAGG. RAG: Head of Business and Digital ✓ ✓ ✓ ✓ ✓ ✓ Data Governance Board The corporate Data Governance Board is responsible for developing good practice and awareness raising to ensure that the council complies with its Data Protection obligations. It is also responsible for developing the council’s overall maturity in how it collects, analyses, and manages data and business intelligence to reduce the volume and complexity of current reporting and achieve the shift to future state forecasting with policies and service developments informed by data intelligence. The Data and Information Management Strategic Roadmap provides the framework and development of the Business Intelligence Hub aims to deliver streamlined data outputs. Meetings are held approximately every 8 weeks. Minutes and meeting papers available. Latest version: Recurring group. Review timeframe: Group reconfigured, transitioning from a service perspective to a functional perspective, at its meeting in December 2020. Assessment: Review of Board and terms of reference for Data Governance Board and Data Management Team was undertaken during 2021/22. This incorporated a self-assessment exercise where the areas for improvement were reported to the Data Governance Board in November 2021. RAG: Head of Business and Digital ✓ ✓ ✓ ✓ ✓ ✓ Strategic data management and information governance • Data and information management strategic roadmap - February 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att95605.pdf • BI Hub update - February 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att97777.pdf Latest version: Live programme of work Review timeframe: Next report due cycle 3 of 2022 Assessment: Update on the implementation of the Data and Information Management Roadmap through the themes of vision, organisation and governance, culture and skills, technology and architecture, and process to advance the council’s data maturity score is scheduled to be reported in cycle 3 of 2022 and cycle 1 of 2023. Update on the implementation of Phase 3 of the BI Hub development to deliver on the core and service hub requirements and support the advancement of the council’s data maturity score is scheduled to be reported in cycle 4 of 2022. RAG: Head of Business and Digital ✓
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30 Name of element or mechanism with a brief description and links to relevant documentation Current position including review timeframe and date of next update (where appropriate), with assessment and RAG status Chief Officer responsible 7 principles and 21 sub principles A B C D E F G A1 A2 A3 B1 B2 B3 C1 C2 D1 D2 D3 E1 E2 F1 F2 F3 F4 F5 G1 G2 G3 Information Governance Framework An Information Governance Policy Framework is in place, comprising policies in terms of records and information management, data protection, information handling and classification, information risk, and information security to ensure proper recording of information, appropriate access to that information including by the public, and compliance with legislation. • June 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96160.pdf Latest version: June 2021 Review timeframe: Next review due March 2023 Assessment: Latest version of the Information Governance Framework was approved at Policy and Strategy Committee in June 2021. RAG: Head of Business and Digital ✓ ✓ ✓ ✓ ✓ ✓ ✓ Information Security Policy An Information Security Policy is in place; this aims to protect the council’s information systems and physical assets including supporting processes, networks, and equipment. This is essential to ensure the council can continue to operate and successfully deliver its functions, while finding the right balance between the benefits and risks to the processing of information. June 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96160.pdf Latest version: June 2021 Review timeframe: Next review due March 2023 Assessment: Latest version of the Information Security Policy was approved at Policy and Strategy Committee in June 2021. RAG: Head of Business and Digital ✓ ✓ ✓ ✓ ✓ ✓ ✓ Senior Information Risk Owner (SIRO) The SIRO role is fulfilled by a member of the Corporate Management Team. The SIRO has ownership of the council’s information risk policy, and acts at the strategic level as the advocate of information assurance and risk. Good practice in information governance requires an annual information governance and performance overview report to be presented to senior management and Elected Members outlining the council’s information governance arrangements, performance, and compliance against key expectations and requirements. SIRO Information Governance Assurance and Performance Report 20192/20 and 2021/22, December 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att97501.pdf Latest version: December 2021 Review timeframe: Annual Assessment: Following various council restructures, SIRO responsibilities now rest with the Head of Business and Digital. Report was produced by the council’s SIRO and presented to the CMT and Audit and Scrutiny Panel in December 2021; this covered the years 2019/20 and 2020/21. Reporting will revert to the recommended annual report from financial year 2021/22 onwards. RAG: Head of Business and Digital ✓ ✓ ✓ ✓ ✓ ✓ ✓ Data protection The Head of Legal and Democratic Solutions is the council’s Data Protection Officer (DPO) and the Head of Business and Digital is the council’s Senior Information Risk Owner (SIRO). • Data Protection Policy was updated in line with the Information Governance Policy Framework in June 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96160.pdf • Data protection information published on Connect: http://connect/index.aspx?articleid=3955 includes Data Protection Impact Assessment (DPIA) guidance and template, General Data Protection Regulation (GDPR) guidelines, data protection breach and incident management protocol, privacy notice template, and data sharing agreements register. Latest version: June 2021 Review timeframe: Next review due March 2023 Assessment: Policies and procedures in place and communicated via Connect. Latest version of the Data Protection Policy approved at committee in June 2021. RAG: Head of Legal and Democratic Solutions / Head of Business and Digital ✓ ✓ ✓ ✓ ✓ ✓ ✓ Data protection annual report The General Data Protection Regulation (GDPR) and the Data Protection Act 2018 (DPA) came into force in May 2018. An annual report updates on compliance with the regulations. November 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att97307.pdf Latest version: November 2021 Review timeframe: Annual Assessment: The annual data protection report forms part of the Strategic Performance Framework reporting schedule. The latest report in November 2021 (by the council’s DPO) provided an update in relation to data sharing, breaches, complaints, and training. A report on the conclusion of a review of corporate Data Protection arrangements undertaken to ensure greater assurances can be provided in terms of statutory compliance with data protection legislation and information governance is scheduled to be submitted to committee in cycle 4 of 2022. RAG: Head of Legal and Democratic Solutions ✓ ✓ ✓ ✓ ✓ ✓ ✓ Freedom of Information The Freedom of Information (Scotland) Act 2002 and the Environmental Information (Scotland) Regulations 2004, both of which came into force in January 2005, provide rights to the public to ask for and be provided recorded information held by public authorities. • The council process is outlined on the website: https://www.northlanarkshire.gov.uk/your-council/managing-information/freedom- information • A guide to information available through the model publication scheme is also available on the council’s website - November 2021: https://www.northlanarkshire.gov.uk/your-council/managing-information/freedom- information Latest version: November 2021 Review timeframe: Annual Assessment: Policies and procedures in place and communicated via Connect. RAG: Head of Legal and Democratic Solutions ✓ ✓ ✓ ✓ ✓ Freedom of Information annual report November 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att97268.pdf Latest version: November 2021 Review timeframe: Annual Head of Legal and Democratic ✓ ✓ ✓ ✓ ✓
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31 Name of element or mechanism with a brief description and links to relevant documentation Current position including review timeframe and date of next update (where appropriate), with assessment and RAG status Chief Officer responsible 7 principles and 21 sub principles A B C D E F G A1 A2 A3 B1 B2 B3 C1 C2 D1 D2 D3 E1 E2 F1 F2 F3 F4 F5 G1 G2 G3 Assessment: The annual freedom of information report forms part of the Strategic Performance Framework reporting schedule. The latest report in November 2021 (by the Head of Legal and Democratic Solutions) provided an update on the number of Freedom of Information and Environmental Information requests as well as the number of internal reviews and appeals to the Scottish Information Commissioner processed. RAG: Solutions Employment policies and associated guidance The MyNL Policies A to Z site lists all of North Lanarkshire Council’s employment policies and the associated guidance documents and forms. https://mynl.co.uk/a-to-z/ Contracts of employment and job descriptions are in place for all posts to give employees a clear sense of purpose and direction. A recruitment process is in place which is applied consistently to ensure transparency and fairness. In line with the Scheme of Administration, an Appointments Sub-Committee is in place to deal with the recruitment and appointment of Chief and Depute Chief Officers with full delegated powers to consider and agree the job outline, employee specification, advertising proposals and interviewing procedures, agree the short list of candidates to be interviewed, interview the shortlisted candidates, and make the appointment. Latest version: Policies are all individually dated Review timeframe: Each policy is reviewed and updated as required in line with organisational and/or legislative changes. Assessment: MyNL contains an A-Z list of all of the council’s employment policies and the associated guidance documents and forms. These documents are available to download. A version control process is in place to identify the date of the last review and refresh for each document. RAG: Head of People and Organisational Development ✓ ✓ ✓ ✓ ✓ Local Government Benchmarking Framework (LGBF) • National web portal available on the council’s website: https://www.northlanarkshire.gov.uk/your-council/performance-of-the- council/comparing-our-performance • Improvement Service LGBF presentation of the latest results to the Audit and Scrutiny Panel: - March 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att95913.pdf - September 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96914.pdf https://mars.northlanarkshire.gov.uk/egenda/images/att96951.pdf - March 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att98107.pdf Latest version: National web portal last updated in May 2022 Review timeframe: Annual publication of data by the Improvement Service Assessment: The national web portal is available from the council’s website; this provides access to all the benchmarking indicators within the LGBF and allows for comparisons with other local authorities, family group averages, and national averages. The Audit and Scrutiny Panel received a presentation from the Improvement Service in March 2021, September 2021, and March 2022, providing a high level overview of the latest results within the North Lanarkshire context. RAG: Head of Business and Digital ✓ ✓ ✓ ✓ ✓ Professional / specialised input to policy development and decision making Business partners in People and Organisational Development and Financial Solutions are aligned to specific services in order to provided dedicated professional support. Solutions Relationship Managers in Business and Digital are aligned to services to facilitate a smooth transition to integrated technology and digital solutions and increase understanding of available solutions and levels of consumption. Specialised input is also incorporated into the council’s committee report process which requires sections completed on the following impacts: • Public sector equality duty / Fairer Scotland duty • Financial • HR policy • Legal • Data protection • Technology / digital • Environmental / carbon - change in February 2022 reflects the agreement at the Council meeting in June 2021, that the environmental impact was to be changed to environmental / carbon impact • Communications • Risk An e-learning module Writing Effective Committee Reports has been developed on LearnNL. The aim of this course is to establish a one-way approach to writing committee reports within the council. The e-earning module can be accessed through the following link: https://learnnl.learningpool.com/course/view.php?id=547 A One Way of Reporting booklet has been developed by Corporate Communications - this style guide provides guidance for those who have to put something in writing on behalf of the council. This can be anything from a letter, leaflet, strategy document, or news release to a committee report. This is available on Connect: http://connect/onewayofreporting Latest version: Ongoing resource Review timeframe: N/A Assessment: Structures and processes are in place that provide services with access to officers for professional / specialised input to policy development and decision making and for report writing purposes. The committee report template guidance was updated in March 2021 and again in February 2022 to further improve the contents of these sections in committee reports and provide authors with subject matter experts contact details for the relevant sections for further information and guidance. The updated template and guidance is published on Connect http://connect/index.aspx?articleid=21181 and was issued to all employees via a NLC Announcement e-mail following each annual update. RAG: All Heads of Service ✓ ✓ ✓ ✓ ✓ ✓ ✓
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32 Name of element or mechanism with a brief description and links to relevant documentation Current position including review timeframe and date of next update (where appropriate), with assessment and RAG status Chief Officer responsible 7 principles and 21 sub principles A B C D E F G A1 A2 A3 B1 B2 B3 C1 C2 D1 D2 D3 E1 E2 F1 F2 F3 F4 F5 G1 G2 G3 Fairer Scotland Duty The Fairer Scotland Duty (FSD) came into effect in April 2018. The Duty places a legal responsibility on particular public bodies in Scotland to actively consider how they can reduce inequalities of outcome caused by socio-economic disadvantage when making strategic decisions or at the policy development stage. August 2018: https://mars.northlanarkshire.gov.uk/egenda/images/att88434.pdf Interim guidance was published nationally at this time. While awaiting further guidance from the Scottish Government, the council was required to take steps to ensure that the duty is taken forward through combining the needs of the FSD into the equality impact assessment process, as recommended in the FSD interim guidance. In preparation for the new guidance being published, the council considered how its own approach had delivered on the duty to reduce socio-economic disadvantage. The findings from this review were presented to committee in September 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96878.pdf Updated guidance was published by the Scottish Governance in October 2021. The guidance hasn’t changed substantially from what was published in 2018, as the duty hasn’t changed, but it has been updated, enhanced, and informed by the experience of delivering the duty over the last three years. The pandemic and its impacts are reflected in the guidance, highlighting how important consideration of socio-economic disadvantage is in decision making in order to tackle the unequal impact on those on low incomes, with low wealth, in material deprivation or living in deprived areas. Information in terms of the updated guidance was reported to committee in January 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att97618.pdf Latest version: October 2021 Review timeframe: As this is nationally produced guidance, the Scottish Government undertook a consultation in May 2021 with a view to revising and finalising the interim guidance. Updated guidance was subsequently published in October 2021. Assessment: The guidance adopted by the council, incorporates the equality impact assessment process and templates into the committee report writing processes. This guidance is on Connect: http://connect/index.aspx?articleid=21181. Following publication of the updated national guidance, a report was submitted to committee in January 2022 highlighting the changes from the previous guidance. RAG: Head of People and Organisational Development ✓ ✓ ✓ ✓ Equality Strategy The council’s Equality Strategy sets out a clear commitment to deliver equality for communities, service users, and employees through outcomes specifically developed to support the council’s vision to make equality an embedded element of not only mainstream service delivery but also the operation of the council. The Equality Strategy therefore underscores the council’s commitment to equality and human rights and sets out an approach that ensures that equality is embedded within everyday business through five key underpinning objectives for success. September 2019: https://mars.northlanarkshire.gov.uk/egenda/images/att91529.pdf Latest version: August 2019 Review timeframe: Strategy approved in August 2019 covers the period from 2019 to 2024. Assessment: The Equality Strategy is on the Strategy Policy Framework review programme to report on an update in 2024/25. RAG: Head of People and Organisational Development ✓ ✓ ✓ ✓ Equality Impact Assessments (EqIA) The council ensures that equality impact assessments (EqIA) are undertaken to ensure fairness and openness in the decisions taken. This ensures a process is in place to examine the council’s main functions and policies to see whether they have the potential to affect people differently. Carrying out an EqIA on council policies, practices, decisions (including financial decisions), functions and strategies helps to identify any negative impact on particular groups of people and therefore allow for action to be taken to remove it or lessen its negative effects. EqIAs also include assessments under the Fairer Scotland Duty. Equality Impact Assessments are published by each service on the council’s website: https://www.northlanarkshire.gov.uk/your-community/equalities/equality-impact- assessments-eqias Latest version: Ongoing Review timeframe: Registers are reviewed at varying times within each service. Assessment: EqIAs also include assessments under the Fairer Scotland Duty - see information above in terms of the Fairer Scotland Duty review. RAG: Head of People and Organisational Development ✓ ✓ ✓ ✓ Public Sector Equality Duties Every four years public bodies covered by the Public Sector Equality Duties (PSED) are required to publish a number of reports and information to evidence how they are meeting the needs of people whose characteristics are protected by the Equality Act 2010 - the PSED (General Duty). June 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96170.pdf Latest version: June 2021 Review timeframe: Every four years Assessment: The Public Sector Equality Duty combined report in June 2021 covers a number of different requirements including - the Mainstreaming Equality report 2021, progress in achieving the council’s equality outcomes 2017-21, NLC Equality Outcomes 2021-25, employment Information, and the Equal Pay Policy Statement. A key aspect of the Programme of Work, update reports are scheduled to be provided to committee: • In cycle 3 of 2022 and cycle 1 of 2023 to report on progress of the nine equality outcomes set for the years 2021-25. • In cycle 3 of 2022 to report the findings following several areas of work in relation to advancing race equality in the organisation. • In cycle 4 to report on progress towards becoming a Fair Work employer and organisation including progress in relation to Disability Confident Leader, Equally Safe at Work, and Race at Work Charter. RAG: Head of People and Organisational Development ✓ ✓ ✓ ✓
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33 Name of element or mechanism with a brief description and links to relevant documentation Current position including review timeframe and date of next update (where appropriate), with assessment and RAG status Chief Officer responsible 7 principles and 21 sub principles A B C D E F G A1 A2 A3 B1 B2 B3 C1 C2 D1 D2 D3 E1 E2 F1 F2 F3 F4 F5 G1 G2 G3 Corporate Risk Register • Corporate risk register for 2021/22 - June 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96445.pdf Latest version: June 2021 Review timeframe: Annual. Assessment: Most recent version of the Corporate Risk Register was considered by the Audit and Scrutiny Panel in June 2021. The Corporate Risk Register is key in supporting the council’s Programme of Work and, as such, is subject to an annual review and update process. Risks within the Corporate Risk Register are on a regular programme of review. Update reports are scheduled to be presented to the Audit and Scrutiny Panel each cycle of 2022/23. RAG: Head of Audit and Risk ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ Service risk registers Risk Champions and Facilitators are identified for each service. These are noted on Connect: http://connect/index.aspx?articleid=20382 Latest version: Ongoing Review timeframe: Registers are reviewed at varying times within each service. Assessment: Service risk registers are required to be a standing item on all service management team meetings. RAG: Head of Audit and Risk ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ Project risk registers As part of the corporate Project Management Model (2018), all projects, regardless of value, are required to complete a Preliminary Risk Assessment (PRA). This is to estimate the level of risk within a project, both at an initial stage and at any other time during the life cycle of the project. All projects with a value of £500,000 or greater, are required to follow the full project management process. The PRA and project risk management process are embedded in this. Details are on Connect: http://connect/index.aspx?articleid=20090 Latest version: April 2018 Review timeframe: As required Assessment: A review and refresh of the current Project Management Model is currently underway and expected to conclude with a report to CMT in August 2022. RAG: Head of Audit and Risk / Head of Business and Digital ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ Complaints Handling Procedure • Procedure and online portal available publicly on the council’s website: https://www.northlanarkshire.gov.uk/your-council/complaints-and-feedback • Online portal for making complaints is also accessible from the website: https://www.northlanarkshire.gov.uk/nlc-forms/complaint • March 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att95705.pdf • Complaints performance on the council’s website: https://www.northlanarkshire.gov.uk/your-council/complaints-and- feedback/complaints-performance Latest version: November 2021 Review timeframe: Annual Assessment: Information on the local authority complaints handling procedure is published on the council’s website; this also contains links to the online portal to allow for complaints to be made. The website also contains information on advocacy services for those that need help to make a complaint. Complaint’s handling is currently a work package within the DigitalNL transformation programme, an update in this respect was provided to the Policy and Strategy Committee in March 2021. This transformation work includes development of the new Dynamics system and integration with the BI Hub which aims to enhance access to information for managing complaints and reporting performance and strengthen arrangements for learning from complaints and implementing service improvements. RAG: Head of Business and Digital ✓ ✓ ✓ ✓ ✓ ✓ Audit and Scrutiny Panel The purpose of the Audit and Scrutiny Panel is to provide independent assurance to the council and those charged with governance on the adequacy of the council's risk management framework and internal control environment. It provides independent review of the council's governance, risk management, performance, and control frameworks and oversees the financial reporting and annual governance processes. Meetings are held every cycle. Minutes and meeting papers are available in Mars. https://mars.northlanarkshire.gov.uk/egenda/public/kab71.pl?cmte=AUS Latest version: Recurring Panel meetings Review timeframe: Review arrangements for the Audit and Scrutiny Panel take place in line with the Scheme of Administration. Assessment: Scheme of Administration was updated in June 2022: https://mars.northlanarkshire.gov.uk/egenda/public/k ab190.pl?meet=226&cmte=COU RAG: Head of Business and Digital / Head of Audit and Risk ✓ ✓ ✓ ✓ Audit and inspection reports The council is subject to ongoing inspection work undertaken by a range of scrutiny bodies. This includes the work the council carries out in partnership with other public bodies. This inspection work provides an independent assessment of North Lanarkshire's performance. The latest inspection reports are available from the council’s website: https://www.northlanarkshire.gov.uk/your-council/performance-of-the-council/best- value/independent-assessments Latest version: Various Review timeframe: These are set by the respective external audit or inspection body. Assessment: Audit and inspection reports are reported to the relevant committee when received by the council and uploaded to the website when they are made publicly available by the relevant body. RAG: All Heads of Service ✓ ✓ ✓ ✓
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34 Name of element or mechanism with a brief description and links to relevant documentation Current position including review timeframe and date of next update (where appropriate), with assessment and RAG status Chief Officer responsible 7 principles and 21 sub principles A B C D E F G A1 A2 A3 B1 B2 B3 C1 C2 D1 D2 D3 E1 E2 F1 F2 F3 F4 F5 G1 G2 G3 • Scottish Housing Regulator 2020/21 annual assurance statement - September 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96709.pdf • Scottish Housing Regulator 2020/21 landlord report - November 2021 https://mars.northlanarkshire.gov.uk/egenda/images/att97234.pdf Best Value Assurance Report (BVAR) • Website - May 2019: https://www.northlanarkshire.gov.uk/your-council/performance- of-the-council/best-value/national-audit-results • Council meeting to formally present the BVAR findings - June 2019: https://mars.northlanarkshire.gov.uk/egenda/images/att91268.pdf • Update on recommendations - September 2019 https://mars.northlanarkshire.gov.uk/egenda/images/att91818.pdf • Update on recommendations - March 2020 https://mars.northlanarkshire.gov.uk/egenda/images/att93589.pdf • Update on recommendations, Audit Scotland interim Management Report - June 2021 https://mars.northlanarkshire.gov.uk/egenda/images/att96423.pdf • Update on recommendations, Audit Scotland Annual Audit Report (AAR) - December 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att97492.pdf Latest version: December 2021 Review timeframe: Annual Assessment: Published in May 2019, the BVAR comprised eight recommendations for action by the council. An update was provided to the CMT and Policy and Strategy Committee in September 2019 and March 2020. The report in March 2020 consolidated the eight improvement actions within the Programme of Work to strengthen a corporate and integrated approach to improvement that supports delivery of The Plan for North Lanarkshire. Any future updates in this respect are covered by the External Auditors Annual Audit Report (AAR) - the interim 2020/21 report was submitted to the Audit and Scrutiny Panel in June 2021 and the final 2020/21 AAR in December 2021 - both provided an update in terms of the eight BVAR recommendations (four of which are now confirmed ay Audit Scotland as complete, and good or reasonable progress was noted as being made regarding the remaining four). RAG: Chief Executive / Head of Business and Digital ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ Internal Audit • Internal audit charter - September 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96738.pdf • Standing item on the agenda for the Audit and Scrutiny Panel https://mars.northlanarkshire.gov.uk/egenda/public/kab71.pl?cmte=AUS • Internal Audit annual plan - June 2021 https://mars.northlanarkshire.gov.uk/egenda/images/att96320.pdf • Internal Audit annual report (and annual opinion) - June 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96327.pdf Latest version: Recurring function Review timeframe: Annual Assessment: Annual report provides an update on compliance with audit requirements. Various audit outputs are a standing item on the agenda for the Audit and Scrutiny Panel throughout the year. Reports are scheduled to be submitted to the Audit and Scrutiny Panel each cycle to provide a range of independent assurance outputs, in line with the approved Internal Audit Strategy and Annual Plan, focused on cyclical coverage of core corporate governance processes, key strategic priorities and programmes of work, key corporate risks, and key financial systems. An item within the Strategic Policy Framework, the Internal Audit Strategy is scheduled to be updated and reported to committee in cycle 3 of 2022. RAG: Head of Audit and Risk ✓ ✓ ✓ Corporate governance audits • Audit on corporate governance, principles A and B - March 2019: https://mars.northlanarkshire.gov.uk/egenda/images/att89965.pdf • Audit on corporate governance principles C and D - September 2020 https://mars.northlanarkshire.gov.uk/egenda/images/att94112.pdf • Audit on corporate governance principles E, F, and G - March 2021 https://mars.northlanarkshire.gov.uk/egenda/images/att95449.pdf • Audit on corporate governance principles A and B - March 2022 https://mars.northlanarkshire.gov.uk/egenda/images/att96559.pdf • Internal Audit annual report 2019/20 - September 2020 https://mars.northlanarkshire.gov.uk/egenda/images/att94146.pdf • Internal Audit annual report 2020/21 - June 2021 https://mars.northlanarkshire.gov.uk/egenda/images/att96327.pdf Latest version: March 2022 Review timeframe: Annual Assessment: The Head of Audit and Risk’s Internal Audit annual reports for 2019/20, 2020/21, and 2021/22 states that the results from the detailed internal audit work examining the council’s corporate governance arrangements suggest that compliance with the requirements of the corporate governance framework adopted by the council continues to be positive with no significant weaknesses or areas of concern highlighted. RAG: Head of Audit and Risk ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ External auditor’s annual audit report (AAR) • Draft at Audit and Scrutiny Panel - December 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att97492.pdf • Final published by Audit Scotland February 2022; links to the council and IJB AAR are on the council’s website: https://www.northlanarkshire.gov.uk/your- council/performance-of-the-council/best-value/independent-audits Latest version: February 2022 Review timeframe: Annual Assessment: Draft Annual Audit Report (AAR) for the council was considered by the Audit and Scrutiny Panel in December 2021 with the final version being published on the Audit Scotland website in February 2022. RAG: Head of Business and Digital / Head of Financial Solutions / Head of Audit and Risk ✓ ✓ ✓ ✓ ALEOs’ governance and risk management oversight and assurance The council’s seven arm’s length external organisations (ALEOs) complete an annual Latest version: March 2022 Review timeframe: Six monthly. Head of Business and Digital ✓ ✓ ✓ ✓ ✓ ✓
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35 Name of element or mechanism with a brief description and links to relevant documentation Current position including review timeframe and date of next update (where appropriate), with assessment and RAG status Chief Officer responsible 7 principles and 21 sub principles A B C D E F G A1 A2 A3 B1 B2 B3 C1 C2 D1 D2 D3 E1 E2 F1 F2 F3 F4 F5 G1 G2 G3 Certificate of Assurance and update the accompanying checklist to support the preparation of the council’s statements on corporate governance and internal financial control. A regular reporting process is in place to provide the Audit and Scrutiny Panel with oversight and assurance of governance, financial governance, and risk management arrangements within the council’s Arm’s Length External Organisations (ALEOs). March 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att97829.pdf Assessment: Regular reports are submitted to the Audit and Scrutiny Panel on arrangements to ensure the council maintains adequate oversight of service delivery and governance while demonstrating where arm’s length external organisations (ALEOs) are supporting delivery of The Plan for North Lanarkshire. Latest oversight and assurance report submitted to the Audit and Scrutiny Panel in March 2022. Six monthly reports are scheduled to be submitted in cycle 3 of 2022 and cycle 1 of 2023. RAG: Insourcing the delivery of culture, sport, and leisure services • December 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att95067.pdf • March 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att95927.pdf • June 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96222.pdf Latest version: June 2021 Review timeframe: The insourcing of culture, sport and leisure services was effective from 1 April 2021. Assessment: Following the decision taken by the Policy and Strategy Committee at its meeting in January 2020 the insourcing of culture, sport and leisure services was effective from 1 April 2021, under the new, focussed and integrated Active and Creative Communities (ACC) team. RAG: Head of Education ✓ ✓ Community Planning Partnership - Strategic Leadership Board Information on the council’s website: https://www.northlanarkshire.gov.uk/your- community/working-communities/your-area/community-planning Meetings are held approximately every 10-12 weeks. Minutes and meeting papers available. Annual report, September 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96876.pdf Latest version: Recurring group Review timeframe: As required Assessment: Annual report approved at committee in September 2021 provides an update on activity to strengthen governance arrangements within the North Lanarkshire Community Planning Partnership Board and introduced an annual review report to committee to demonstrate where partnership working is making a significant contribution to improving local outcomes and ensuring compliance with statutory requirements. New corporate framework - Framework for Demonstrating Improved Outcomes for Communities - was formally approved by the Strategic Leadership Board in June 2022. This sets out the performance arrangements in line with the partnership’s programme of work, strategies, policies, and plans, and strategic and local delivery requirements and includes a reporting timetable. RAG: Head of Business and Digital ✓ ✓ ✓ ✓ ✓ ✓ ✓ Community Boards • Community Matters - a framework for working with communities - August 2019: https://mars.northlanarkshire.gov.uk/egenda/images/att91527.pdf • Establishment of Community Boards - March 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att93588.pdf • Community Boards - progress update - August 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96642.pdf Community Board information and dates of meetings on the council’s website - last updated June 2022: https://www.northlanarkshire.gov.uk/your-community/working- communities/your-area/community-boards Local Outcome Improvement Plans: https://www.northlanarkshire.gov.uk/your- community/working-communities/your-area/local-outcome-improvement-plans-loips Latest version: June 2022 Review timeframe: Meetings are ongoing. Assessment: Boards are now established and a schedule of meetings is in place. Local Outcome Improvement Plans are in place for each of the 9 Community Board areas. RAG: Head of Communities ✓ ✓ ✓ ✓ ✓ ✓ Boards and working groups A range of programme / project Boards and working groups, aligned to the delivery of specific Programme of Work items, are in operation, e.g. Strategic Capital Delivery Group, DigitalNL, Hub Delivery Programme Board, and Data Governance. Meetings frequency differs for each Board, but generally meetings are held every 6-8 weeks. Minutes and meeting papers available Latest version: Recurring groups. Review timeframe: Annual Assessment: Membership and terms of reference reviewed and updated as required. RAG: Various Heads of Service ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ Serious Organised Crime / Counter Terrorism (SOC / CT) working group Serious organised crime and the threat of terrorist attacks continue to present significant challenges to the council in it seeking to protect Elected Members, employees, physical assets, public funds, and the information it holds from the risks of infiltration and attack. Latest version: Recurring group. Review timeframe: The Head of Legal and Democratic Solutions is the Single Point of Contact (SPOC) for the council’s working group as well as the Lanarkshire multi-agency group. Assessment: An ongoing review of all controls either in place or assessed as being necessary, is in Head of Legal and Democratic Solutions ✓ ✓ ✓ ✓ ✓
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36 Name of element or mechanism with a brief description and links to relevant documentation Current position including review timeframe and date of next update (where appropriate), with assessment and RAG status Chief Officer responsible 7 principles and 21 sub principles A B C D E F G A1 A2 A3 B1 B2 B3 C1 C2 D1 D2 D3 E1 E2 F1 F2 F3 F4 F5 G1 G2 G3 The council's physical and cyber security is a priority so as to ensure that it is not exposed to any incident which gives rise to loss of life or injury, financial loss, or reputational damage. Meetings are held quarterly. Minutes and meeting papers available. place. This is particularly important given the ever changing and developing environment in which these risks operate. Following the review, an update is scheduled to be reported to committee in cycle 3 of 2022. RAG: Corporate Resilience Plan Dedicated section on Connect for business continuity and disaster recovery: http://connect/index.aspx?articleid=20534 • Corporate Resilience Plan - October 2021: http://connect/CHttpHandler.ashx?id=47988&p=0 • Committee update - November 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att97157.pdf Latest version: October 2021 Review timeframe: As required Assessment: The Corporate Resilience Plan was updated in October 2021 and this update was reported to committee in November 2021. RAG: Head of Regulatory Services and Waste Solutions ✓ ✓ ✓ ✓ Corporate Resilience Group Meetings are held approximately every 8 weeks. Minutes and meeting papers available. Latest version: Recurring group Review timeframe: Corporate Resilience Group in operation; chaired by Head of Regulatory Services and Waste Solutions Assessment: Effectiveness of the group is reviewed in line with the council’s Corporate Resilience Plan. RAG: Head of Regulatory Services and Waste Solutions ✓ ✓ ✓ ✓ Corporate Business Continuity Plan / service Business Continuity Plans In line with legislation, businesses are required to have continuity planning measures in place in order to survive and continue to thrive whilst working towards keeping the incident as minimal as possible. In accordance with the Act, the council has a duty to make relevant provisions and this forms an important part of the council’s resilience development functions. • Corporate Business Continuity Plan on Connect - October 2021: http://connect/CHttpHandler.ashx?id=44828&p=0 • Annual assurance return / business continuity guidance notes http://connect/index.aspx?articleid=20534 Latest version: October 2021 Review timeframe: Annual Assessment: It is the responsibility of each service within the council to detail their specific business continuity arrangements which would be enacted, as appropriate, to mitigate the impact of an emergency. Heads of Service are required to review and update their Business Continuity Plans annually. Heads of Service are also required to complete a business continuity annual assurance return. RAG: Head of Regulatory Services and Waste Solutions ✓ ✓ ✓ ✓ Council’s response to COVID • Self-evaluation exercise - October 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att94694.pdf • Internal audit - February 2021 https://mars.northlanarkshire.gov.uk/egenda/images/att95449.pdf Latest version: October 2020 Review timeframe: N/A Assessment: A desktop review of the council’s response to the COVID-19 pandemic was undertaken in September 2020. This review was structured around a set of criteria developed independently by the Improvement Service; it comprised 20 assessment statements across four sections - the council’s response to COVID19, governance of the council during COVID-19, support for staff during COVID-19, and new ways of working. This exercise also captured lessons learned from the pandemic to support the council through the recovery and renewal planning processes, and to move to a platform of stability from which available resources were able to be redirected to fulfil the ambition set out in The Plan for North Lanarkshire. An Internal Audit was subsequently carried out in order to provide independent assurance of the adequacy and effectiveness of the council’s resilience arrangements and its response to the pandemic. Based on the results of the work, this audit was categorised as offering substantial assurance. RAG: Chief Executive ✓ ✓ ✓ ✓ ✓ COVID-19 Operating model In line with the guidance set out by the Scottish Government, a COVID Operating Model was approved at the Council meeting in March 2022. This provides a template as to how the council will operate over the next six months in a manner which recognises the ongoing risks associated with the pandemic, sets out the routine protection measures to be adopted across all council facilities, and allows for delivery of all council services in a manner more reflective to what existed pre-pandemic. March 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att98054.pdf Latest version: March 2022 Review timeframe: Six monthly Assessment: In line with the commitment to review the new hybrid working model (approved at committee in December 2021), there will also be a review of the COVID-19 Operating Model within a similar timeline. The purpose of this will be to reflect on any issues arising through its implementation and to have regard to any change in national policy which is likely to be kept under review over the Head of Regulatory Services and Waste Solutions ✓ ✓ ✓ ✓ ✓
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37 Name of element or mechanism with a brief description and links to relevant documentation Current position including review timeframe and date of next update (where appropriate), with assessment and RAG status Chief Officer responsible 7 principles and 21 sub principles A B C D E F G A1 A2 A3 B1 B2 B3 C1 C2 D1 D2 D3 E1 E2 F1 F2 F3 F4 F5 G1 G2 G3 same time period. RAG: North Lanarkshire’s Economic Recovery Plan This plan recognised that the pandemic has had a profound impact not just on the nation’s health and wellbeing, but also on global, national, and local economies. It is likely that the economic effects of the pandemic will be felt for many years to come. While NLC is unable to directly influence some of the macro-economic factors that impact on the local economy, the council and partners can still play an important role in supporting local economic recovery. February 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att95704.pdf Update, February 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att97633.pdf Latest version: February 2021 Review timeframe: This plan covers the period from 2020 to 2023. Assessment: The Delivering Good Governance in Local Government: Framework positions the attainment of sustainable economic, societal, and environmental outcomes as a key focus of governance processes and structures. As such, the Economic Recovery Plan seeks to secure sustainable improvements in terms of economic outcomes and opportunities for all by helping to mitigate some of the economic impact of the pandemic. An update on progress was reported to committee in February 2022. RAG: Head of Planning and Regeneration ✓ ✓ ✓ ✓ ✓ NL Connect NL Connect is an opportunity for residents to share their views, help inform council priorities, and shape the future of North Lanarkshire. https://www.northlanarkshire.gov.uk/your-community/working-communities/nl-connect Latest version: Live process Review timeframe: As required Assessment: Ongoing mechanism for local engagement. RAG: Head of Business and Digital ✓ ✓ ✓ ✓ Tenant engagement and participation The Housing (Scotland) Act 2001 introduced the first legal framework for tenant participation in Scotland. Section 53 (1) of the 2001 Act sets out the statutory requirement for social landlords to develop and publish a Tenant Participation Strategy in consultation with tenants. The Housing (Scotland) Act 2010 places additional duties on social landlords to involve both tenants and other customers in housing and related services with the introduction of the Scottish Social Housing Charter (SSHC). The council’s Tenant Participation Strategy is a five year strategy and is the main source of information with regard to tenant participation for tenants and customers and outlines the opportunities to participate in the monitoring and development of the housing service. February 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att93095.pdf September 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96710.pdf Latest version: Strategy for 2020-25 approved in February 2020. Review timeframe: Reviewed quarterly via the Tenant Participation Steering Group with representatives from the North Lanarkshire Federation of Tenants and Residents (NLF). Assessment: The report to committee in February 2020 saw the approval of the new 5 year strategy (2020-25) and the corresponding action plan. Report in September 2021 provided an update in terms of the delivery of the action plan. RAG: Head of Housing Solutions ✓ ✓ ✓ Members induction A range of materials are available through various platforms. Report to committee in March 2022 updated on the work undertaken to develop appropriate arrangements for the induction and training of Elected Members following the May 2022 local government elections. This also outlined the induction programme for May and June 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att97964.pdf Latest version: Full induction programme in place for new and returning Elected Members following the local government elections in May 2022. Review timeframe: Induction programme is reviewed as a matter of course in line with the local government elections timetable. New Members, following by-elections, also take part in the induction process. Assessment: Report to committee in March 2022 concluded on the review of the governance and induction and training arrangements. RAG: Head of People and Organisational Development / Head of Legal and Democratic Solutions ✓ ✓ ✓ ✓ ✓ Elected Members training and development LearnNL https://learnnl.learningpool.com/login/index.php Latest version: Learning site for Elected Members went live on LearnNL in June 2021. Review timeframe: Programme on LearnNL is reviewed for effectiveness on an ongoing basis. Assessment: The LearnNL site comprises an Elected Members development programme and provides access to a range of information, materials, e-learning, and sessions on live topics as well as the offer of 1:1s with the Training and Development team. RAG: Head of People and Organisational Development / Head of Legal and Democratic Solutions ✓ ✓ ✓ ✓ ✓ Employee Performance Review and Development (PRD) Revised scheme introduced in 2017 following consultation with employees and trade unions and completion of a successful pilot scheme. https://mars.northlanarkshire.gov.uk/egenda/images/att85835.pdf The documentation is available to download from Connect: http://connect/index.aspx?articleid=4088 Latest version: March 2017 Review timeframe: As required. Assessment: Plans are in place to review the PRD forms and process during 2022/23 to reflect the move to the hybrid working model for a greater number of employees, as well as technological advances and the move to a digital workforce and need for digital skills as part of the DigitalNL Head of People and Organisational Development ✓ ✓ ✓ ✓
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38 Name of element or mechanism with a brief description and links to relevant documentation Current position including review timeframe and date of next update (where appropriate), with assessment and RAG status Chief Officer responsible 7 principles and 21 sub principles A B C D E F G A1 A2 A3 B1 B2 B3 C1 C2 D1 D2 D3 E1 E2 F1 F2 F3 F4 F5 G1 G2 G3 transformation programme. It is intended that the PRD will move to the learn NL platform. This will support ready access to PRDs so they can be a live document that seamlessly links to learning opportunities. RAG: Employee training and development LearnNL provides an online portal for all employee training and development needs. A calendar of activity in LearnNL supports a range of employee learning and development opportunities and a blended approach. https://learnnl.learningpool.com/login/index.php Latest version: LearnNL went live in June 2020 Review timeframe: Ongoing Assessment: Review of learning assets and digital learning infrastructure completed and LearnNL went live in June 2020. This digital learning platform aims to improve the ability to reach and provide enhanced learning provision to all employees. Leadership and management development provision was revitalised through the LearnNL Leadership Academy which provides bespoke development programmes for managers to gain specific development for future leadership roles. The e-learning offer was refreshed in line with individual and organisational needs and updated mandatory e-learning modules were introduced (for data protection essentials, information security awareness, records and information management, introduction to risk management, conflicts of interest, prevent, introduction to first aid, and fire safety). RAG: Head of People and Organisational Development ✓ ✓ ✓ ✓ NL Life Available to all employees, NL Life provides benefits and discounts, health and well- being support, and learning and development opportunities. http://connect/index.aspx?articleid=20279 Workforce mental health and wellbeing strategy - May 2021 https://mars.northlanarkshire.gov.uk/egenda/images/att96130.pdf Latest version: Ongoing resource for employees Review timeframe: As required Assessment: Workforce mental health and wellbeing strategy approved in May 2021 covers the period from 2021 to 2022. Refresh of the strategy scheduled for 2022 will be aligned with the development of the future workplace model within the Programme of Work. RAG: Head of People and organisational Development ✓ ✓ ✓ ✓ Employee engagement and wellbeing and Investors in People Investors in people is the internationally recognised industry standard for people management that sets out and measures the extent to which organisations are able to drive high levels of performance and employee engagement. The council’s employee engagement plan is fully aligned to the Investors in People framework. The framework is also used to benchmark council practices against those of other leading organisations. • September 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att94474.pdf • May 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96130.pdf • December 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att97423.pdf Latest version: December 2021 Review timeframe: As per Investors in People accreditation timetable Assessment: Reports to committee in September 2020 and May 2021 provided an update in terms of employee engagement and wellbeing, and Investors in People accreditation. Report to committee in December 2021 confirmed that the council had met the requirements of the Investors in People Standard with accreditation awarded at silver level. RAG: Head of People and organisational Development ✓ ✓ ✓ ✓