Annual Scrutiny Programme
North Lanarkshire Council · 16 February 2023
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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 16/02/23 Annual scrutiny programme From Katrina Hassell, Chief Officer (Business and Digital) E-mail HassellK@northlan.gov.uk Telephone 07903 096 121 Executive Summary This report sets out the annual programme for the scrutiny function of the Audit and Scrutiny Panel. It follows on from the report to the Panel in September 2022 which outlined the process by which members of the Audit and Scrutiny Panel are able to submit items, functions, or activities requiring scrutiny and the subsequent assessment and prioritisation mechanism. Traditionally, the scrutiny function of the Audit and Scrutiny Panel has been twofold, comprising (1) items, functions, or activities requiring scrutiny identified and submitted by Panel members, and (2) the presentation of information and reports aligned to the long- term vision set out in The Plan for North Lanarkshire and its supporting strategic frameworks. This report therefore combines both these aspects in a composite programme which lists all scrutiny related reports scheduled to be presented to the Audit and Scrutiny Panel during each cycle of 2023/24. This approach aims to ensure the council fulfils its statutory Best Value duty (with scrutiny structures that support Elected Members in reviewing and challenging performance) and the principles of good corporate governance. It also aims to ensure all scrutiny activity remains framed within the context of The Plan for North Lanarkshire and is focused on improving local public services and improving local outcomes. Recommendations It is recommended that the Audit and Scrutiny Panel: (1) Endorse the composite programme and reporting timetable, set out in this report and Appendix 1, in order to establish an annual programme for the scrutiny function of the Audit and Scrutiny Panel, (2) Continue to endorse the role of Panel members in identifying, assessing, and prioritising items for inclusion in the scrutiny work programme in line with the updated process, and (3) Continue to carry out their scrutiny role in reviewing and challenging performance to ensure the council fulfils its statutory Best Value duty.
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1. Background 1.1 Audit and Scrutiny Panel members will recall the report in September 2022 which set out the updated assessment and prioritisation process for the Panel to use to determine the work programme for scrutiny. 1.2 This report focused on the process through which members of the Audit and Scrutiny Panel would be able to identify and submit specific items, functions, or activities requiring scrutiny. This process allows for the relative merits of each issue brought forward by Panel members to be assessed objectively, thus making prioritising and choosing between possibly competing items requiring scrutiny easier and transparent. 1.3 This process supports the Audit and Scrutiny Panel to fulfil its remit (in line with the Scheme of Administration) to provide an “independent review of the council's governance, risk management, performance, and control frameworks, and oversee the financial reporting and annual governance processes.” 1.4 It also contributes to discharging the scrutiny function in line with the Panel’s specific remit to: • Review and monitor the performance of the council in delivering upon its priorities, outcomes, programme of work, and targets in the council plan; specifically performance in improving local public services and local outcomes and in demonstrating Best Value. • Review performance to assess whether intended policy outcomes have been achieved. • Consider the council's performance, improvement, and governance arrangements to ensure that approaches continue to facilitate effective and efficient delivery of planned services and outcomes and the council’s vision. 1.5 The scrutiny function of the Audit and Scrutiny Panel has a key role to play in ensuring the council fulfils both its statutory Best Value duty (with scrutiny structures that support Elected Members in reviewing and challenging performance) and the corporate governance principles (as set out in the national Delivering Good Governance in Local Government: Framework, 2016). As such, the approach to discharging the scrutiny function - in line with the Panel’s specific remit - has traditionally been twofold, comprising: (1) Items, functions, or activities requiring scrutiny identified and submitted by Panel members (in line with the process approved by the Panel in August 2018 and subsequently updated in September 2022). (2) Presentation of information and reports aligned to long-term vision set out in The Plan for North Lanarkshire and its supporting strategic frameworks (as per the process reported to the Panel in November 2019). 1.6 This report therefore combines both these aspects in a composite scrutiny programme. The programme (set out in Appendix 1) lists all scrutiny related reports which are scheduled to be presented to the Audit and Scrutiny Panel in each cycle, from cycle 1 in 2023 to cycle 1 in 2024. This approach aims to ensure all scrutiny activity remains The Plan for North Lanarkshire Priority All priorities Ambition statement All ambition statements
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framed within the context of The Plan for North Lanarkshire and what it aims to achieve, and is focused on improving local public services and improving local outcomes. 2. Composite scrutiny programme 2.1 The development of a work programme for the scrutiny function of the Audit and Scrutiny Panel is founded on items identified and submitted for consideration being evidence based. This is essential in order to ensure a fully informed assessment and prioritisation process. As such, the September 2022 report highlighted the wide range of information which exists to complement the scrutiny process, including: • Performance indicators from the Strategic Performance Framework. • Information on the volume, nature, and outcome of complaints. • Benchmarking results and comparisons with other councils, where available and aligned to themes linked to the five priorities in The Plan for North Lanarkshire (as per the approach established by the Panel in September 2021). • Demographics and future projections, e.g. for population or households. • Policies in place, or under development in line with the Strategic Policy Framework review programme. • Improvements already identified and implemented arising from the Strategic Self- Evaluation Framework review programme. • Elements or mechanisms from the Strategic Governance Framework review programme. 2.2 While the information set out in paragraph 2.1 above supports (1) the items, functions, or activities requiring scrutiny identified and submitted by Panel members, it also forms the basis for (2) the presentation of information and reports aligned to long-term vision set out in The Plan for North Lanarkshire and its supporting strategic frameworks. 2.3 Members will recall the inter-related strategic frameworks aim to assess the success of The Plan for North Lanarkshire, while ensuring each stage of delivery towards achieving the overall vision is appropriately planned, guided, implemented, and governed. As such, these frameworks focus on ensuring a corporate one council approach in respect of Policy, Governance, Performance, Self-Evaluation, and Project Management and an annual position statement for each Framework was reported to the Panel in November 2022. 2.4 To ensure these frameworks remain aligned to The Plan for North Lanarkshire, each is on a programme to undergo a regular review and refresh exercise. Those within the remit of the Audit and Scrutiny Panel are set out within the composite scrutiny programme in Appendix 1. Type of scrutiny review 2.5 Appendix 1 also contains four specific areas of scrutiny identified by Panel members to undergo an in-depth review at a future Panel meeting. Members will recall the types of scrutiny review which can be undertaken were set out in the report in November 2022. To ensure the most effective approach to scrutiny, reviews can take one of three formats: • An in-depth review - which can be undertaken by all Panel Members or, if required, a smaller subgroup. This would require a clear scope to be developed along with a timetable for the work to be undertaken. The work of any subgroup
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would require a report, with recommendations, to be submitted back to the full Audit and Scrutiny Panel for consideration and approval. • A spotlight on - short, sharp focused scrutiny activity, which could form one agenda item for a Panel meeting. • A focus on - presentations to Panel Members to share information and raise awareness or increase knowledge of a particularly complex area of activity or issue. 2.6 As such, the four specific areas of scrutiny identified by Panel members to undergo an in-depth review at a future Panel meeting are currently at the scoping stage. A reporting cycle will be added to the timetable in Appendix 1 once scoping is complete and the assessment and prioritisation process has been undertaken. Next steps 2.7 The composite scrutiny programme in Appendix 1 will be established annually and reported to the Audit and Scrutiny Panel in cycle 1 each year. Any new items, functions, or activities requiring scrutiny will be added to the programme as they are identified, scoped (where required), assessed, and prioritised. 3. Measures of success 3.1 The key measure of success is the use of the scrutiny function of the Audit and Scrutiny Panel to identify specific areas of service requiring improvement, that are aligned to The Plan for North Lanarkshire and will have a positive impact on the council’s ability to deliver the long-term vision. 4. Supporting documentation 4.1 Appendix 1 - Annual composite scrutiny programme with timetable of reports to future Panel meetings - 2023 to 2024. Katrina Hassell Chief Officer (Business and Digital) 5. Impacts 5.1 Public Sector Equality Duty and Fairer Scotland Duty Does the report contain information that has an impact as a result of the Public Sector Equality Duty and/or Fairer Scotland Duty? Yes ☐ No ☒ If Yes, please provide a brief summary of the impact? If Yes, has an assessment been carried out and published on the council’s website? https://www.northlanarkshire.gov.uk/your-community/equalities/equality- and-fairer-scotland-duty-impact-assessments Yes ☐ No ☐
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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 Finance? Yes ☐ No ☐ If Yes, please provide a brief summary of the impact? 5.3 HR policy impact Does the report contain any HR policy or procedure impacts? Yes ☐ No ☒ If Yes, have all relevant HR impacts have been discussed and agreed with People Resources? 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? Yes ☒ No ☐ If Yes, please provide a brief summary of the impact? The Local Government Act 1992 established the role of the Statutory Direction to direct the “publication of information as to standards of performance”. The Local Government in Scotland Act 2003 introduced the duty of Best Value; this requires that councils “make arrangements to secure continuous improvement in performance”. 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 significant technology change, has an assessment been carried out (or is scheduled to be carried out) by the Enterprise Architecture Governance Group (EAGG)? Yes ☐ No ☐ 5.7 Environmental / Carbon impact Does the report / project / practice contain information that has an impact on any environmental or carbon matters?
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Yes ☐ No ☒ If Yes, please provide a brief summary of the impact? 5.8 Communications impact Does the report contain any information that has an impact on the council’s communications activities? Yes ☐ No ☒ If Yes, please provide a brief summary of the impact? 5.9 Risk impact Is there a risk impact? Yes ☒ No ☐ If Yes, please provide a brief summary of the key risks and potential impacts, highlighting where the risk(s) are assessed and recorded (e.g. Corporate or Service or Project Risk Registers), and how they are managed? Implementation of the annual composite scrutiny programme will facilitate an effective approach to the scrutiny of performance and contribute to the mitigation of the risk on the Corporate Risk Register for governance, leadership, and decision making. 5.10 Armed Forces Covenant Duty Does the report require to take due regard of the Armed Forces Covenant Duty (i.e. does it relate to healthcare, housing, or education services for in-Service or ex- Service personnel, or their families, or widow(er)s)? Yes ☐ No ☒ If Yes, please provide a brief summary of the provision which has been made to ensure there has been appropriate consideration of the particular needs of the Armed Forces community to make sure that they do not face disadvantage compared to other citizens in the provision of public services.
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Appendix 1 Annual composite scrutiny programme with timetable of reports to future Panel meetings - 2023 to 2024 The following programme will be updated as new items requiring scrutiny are identified, scoped (where required), assessed, and prioritised. Scrutiny items, functions, or activities for future Audit and Scrutiny Panel meetings Scrutiny of this item, function, or activity aims to … Cycle 1 16th Feb 2023 Cycle 2 18th May 2023 Cycle 3 31st Aug 2023 Cycle 4 16th Nov 2023 Cycle 1 15th Feb 2024 Identified by Members of the Audit and Scrutiny Panel Digital Broadband. Carry out an in-depth scrutiny review. This item is currently at the scoping stage prior to undergoing the assessment and prioritisation process. Laundries in towers. Carry out an in-depth scrutiny review. ✓ Supported businesses. Carry out an in-depth scrutiny review. ✓ Housing refurbishments. Carry out an in-depth scrutiny review. ✓ Sale of housing. Carry out an in-depth scrutiny review. ✓ Work programme for scrutiny Annual composite scrutiny programme with timetable of reports to future Panel meetings. Support the Best Value governance and accountability theme by ensuring the council’s scrutiny structures support Elected Members in reviewing and challenging performance. ✓ ✓ Strategic Performance Framework Annual Performance Reporting schedule. Support the Best Value governance and accountability theme by ensuring the council can demonstrate the existence of robust arrangements for scrutiny and performance reporting. Fulfil the Panel’s remit as per the Scheme of Administration to: • Review and monitor the performance of the council in delivering upon its priorities, outcomes, programme of work, and targets in the council plan, specifically performance in improving local services and outcomes and in demonstrating Best Value. • Review performance to assess whether intended policy outcomes have been achieved. ✓ ✓ Performance in terms of improving outcomes (level 1 health check indicators). ✓ ✓ Performance in improving services (levels 2 and 3 indicators, which includes Local Government Benchmarking Framework (LGBF) results aligned to the council’s strategic priorities. ✓ ✓
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Scrutiny items, functions, or activities for future Audit and Scrutiny Panel meetings Scrutiny of this item, function, or activity aims to … Cycle 1 16th Feb 2023 Cycle 2 18th May 2023 Cycle 3 31st Aug 2023 Cycle 4 16th Nov 2023 Cycle 1 15th Feb 2024 Strategic Government Framework Annual review and refresh of the Framework and an update to the review programme. Fulfil the Panel’s remit as per the Scheme of Administration to: • Consider the council's performance, improvement, and governance arrangements to ensure that approaches continue to facilitate effective and efficient delivery of planned services and outcomes and the council's vision. Ensure good governance principles are in place to enable the council to effectively pursue the ambition set out in The Plan for North Lanarkshire within appropriate controls and the management of risk. This 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. ✓ Annual Governance Statement Consider and note the Annual Governance Statement each year, and confirm the inclusion of the assurance statement regarding the management of the risk of fraud and corruption. Fulfil the Panel’s remit as per the Scheme of Administration to: • Consider the council's performance, improvement, and governance arrangements to ensure that approaches continue to facilitate effective and efficient delivery of planned services and outcomes and the council's vision. • Review the Annual Governance Statement prior to approval and consider whether it properly reflects the risk environment and supporting assurances, taking into account Internal Audit’s opinion on the overall adequacy and effectiveness of the council’s framework of governance, risk management and control. Fulfil the requirements of the Delivering Good Governance in Local Government: Framework (2016) and the Local Authority Accounts (Scotland) Regulations 2014 by ensuring that: • The council conducts a review at least once in each financial year of the effectiveness of its system of internal control. • The findings from the review are considered at a meeting of a committee whose remit includes audit or governance functions. ✓ Strategic Self- Annual review and Fulfil the Panel’s remit as per the Scheme of Administration to: ✓
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Scrutiny items, functions, or activities for future Audit and Scrutiny Panel meetings Scrutiny of this item, function, or activity aims to … Cycle 1 16th Feb 2023 Cycle 2 18th May 2023 Cycle 3 31st Aug 2023 Cycle 4 16th Nov 2023 Cycle 1 15th Feb 2024 Evaluation Framework refresh of the Framework and an update to the review programme. • Consider the council's performance, improvement, and governance arrangements to ensure that approaches continue to facilitate effective and efficient delivery of planned services and outcomes and the council's vision. Complaints handling performance Annual report on the council’s performance in complaints handling. Report on the suite of Scottish Public Services Ombudsman (SPSO) indicators which measures the council’s performance in implementing the Local Authority Model Complaints Handling Procedure. Fulfil the requirements of the Delivering Good Governance in Local Government: Framework (2016), in particular principle A1.4 Behaving with integrity and “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”. ✓ Position statement on the six strategic frameworks Annual report to demonstrate Best Value in good governance and effective use of resources that leads to improving the functions and activities the council undertakes to deliver the best possible outcomes and services that improve the everyday lives of local people. Support the Best Value governance and accountability theme by ensuring the council can demonstrate the existence of robust arrangements for scrutiny and performance reporting. Fulfils the Panel’s purpose as per the Scheme of Administration to provide “independent review of the council’s governance, risk management, performance and control frameworks”. Ensure good governance principles are in place to enable the council to effectively pursue the ambition set out in The Plan for North Lanarkshire within appropriate controls and the management of risk. This 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. ✓ Project Management Elected Member oversight in terms of the Fulfil good practice in project management which recommends that a council's audit and scrutiny committee have an ✓
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Scrutiny items, functions, or activities for future Audit and Scrutiny Panel meetings Scrutiny of this item, function, or activity aims to … Cycle 1 16th Feb 2023 Cycle 2 18th May 2023 Cycle 3 31st Aug 2023 Cycle 4 16th Nov 2023 Cycle 1 15th Feb 2024 Framework independent strategic oversight and assurance process quality assurance process and review programme for the Project Management Framework. important role to play in providing independent assurances about the delivery of major programmes and projects. The Panel’s role in this respect is therefore to be assured that suitable review procedures have been adopted and to gain assurance about the value of independent reviews that are undertaken during the project life cycle. Self-evaluation of the Audit and Scrutiny Panel Effectiveness of the performance and activities of the Audit and Scrutiny Panel in discharging the scrutiny aspects of its role. Fulfil corporate governance principle E2.4 in line with the Delivering Good Governance in Local Government: Framework (2016) in terms of developing capabilities to ensure Elected Members have the appropriate skills, knowledge, resources, and support to fulfil their roles and responsibilities and ensuring they are able to update their knowledge on a continuing basis. Address the risk identified by Internal Audit in terms of the council being able to adequately demonstrate that it has effective audit committee arrangements and/or arrangements to ensure Elected Members have the skills, knowledge and (where appropriate or required) access to relevant training and resources to effectively undertake their role. ✓ Training and development Elected Member training on the scrutiny function, of the Audit and Scrutiny Panel, including aspects of Best Value and the supporting strategic frameworks (i.e. Policy, Governance, Performance, Self- Evaluation, and Project Management) relevant to each Member’s role on the Panel. Note, formal training will be scheduled for cycle 4 but informal 1:1s can be requested at any time. Support the Best Value vision and leadership theme in terms of Elected Members being self-aware and committed to training and personal development to update and enhance their knowledge, skills, capacity, and capabilities to deliver Best Value and perform their leadership roles, and they receive sufficient support to do so. Fulfil corporate governance principle E2.4 in line with the Delivering Good Governance in Local Government: Framework (2016) in terms of developing capabilities to ensure Elected Members 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. ✓
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