Strategic Governance Framework Annual Review
North Lanarkshire Council · 29 June 2023
Back to Audit and Scrutiny Panel — 29 June 2023 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 29/06/23 Strategic Governance Framework - annual review and refresh From Katrina Hassell, Chief Officer (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 annually thereafter. The Delivering Good Governance in Local Government: Framework requires that each year councils test their arrangements against the good governance principles 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 a key piece of evidence used to inform the development of the Annual Governance Statement for 2022/23. 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 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 on the annual process to review existing governance arrangements to ensure ongoing 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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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 (produced by the respective Chief Officer) into the one local code for annual review, assessment, assurance, and reporting purposes. 1.8 The annual assessment process in place through the Strategic Governance Framework and its accompanying review programme has been recognised as an area of good practice in the latest two annual Internal Audits on Corporate Governance. In May 2023 it was cited that there are “formal and generally 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 determining and 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 16th June 2023. 1.10 With the annual review process now concluded for 2022/23, 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 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: RAG status Definition Red The element or mechanism was last reviewed / updated prior to January 2020 and there is a requirement for an annual (or other regular frequency) review and/or update to be undertaken, or there has been a change in legislation which necessitates a review and update, but either way no commitment has been identified from a Chief Officer to do so. Amber Although the element or mechanism has been reviewed and/or updated, this has not been carried out within the pandemic recovery environment to reflect any changes in service delivery or impacts on compliance with good governance, or (while there is a commitment by a Chief Officer to carry out a review and/or update) there has been slippage in the timescale identified to do so. Green The element or mechanism has been reviewed and/or updated since January 2020 and has been subject to an annual (or other regular frequency) review and/or update since then so there is no requirement for a further update at this time, or a Chief Officer or the Corporate Management Team has already identified that the item requires to be reviewed and/or updated during 2023/24. Next steps 2.8 Although the Strategic Governance Framework is subject to an annual review and refresh process, it is not a static document and as such: (a) Chief Officers will be responsible for ensuring that all elements and mechanisms within their area of responsibility are reviewed and updated, and submitted to the Corporate Management Team and/or relevant Committee (as appropriate), in line
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with the review programme. (b) The Strategy and Performance function within Business and Digital will continue to keep the list of elements and mechanisms under review to ensure any other policy developments or legislative changes are considered for inclusion in the council’s local code of governance, as appropriate. 2.9 The following list for Chief Officers to use when reviewing and updating each of the elements and mechanisms contained within the Strategic Governance Framework review programme was first introduced in June 2021. This has been implemented during 2021/22 and 2022/23 with no adverse feedback received. As such, all reports to the Business Management Team, Corporate Management Team, or a Committee - which provide an update on work to review and/or 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 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
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Sector Equality Duty and/or Fairer Scotland Duty? 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. 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 been discussed and agreed with Finance? 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 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? 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?
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Where the impact identifies a requirement for significant technology change, has an assessment been carried out (or scheduled) by the Enterprise Architecture Governance Group (EAGG)? Yes ☐ No ☒ 5.7 Environmental / Carbon impact Does the report / project / practice contain information that has an impact on any environmental or carbon matters? Yes ☒ No ☐ If Yes, please provide a brief summary of the impact? 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. 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. 5.11 Children’s rights and wellbeing impact Does the report contain any information regarding any council activity, service delivery, policy, or plan that has an impact on children and young people up to the age of 18, or on a specific group of these? Yes ☐ No ☒ If Yes, please provide a brief summary of the impact and the provision that has been made to ensure there has been appropriate consideration of the relevant Articles from the United Nations Convention on the Rights of the Child (UNCRC). If Yes, has a Children’s Rights and Wellbeing Impact Assessment (CRWIA) been carried out? Yes ☐ No ☐
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Strategic Governance Framework Appendix 1
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2 Document control Title Strategic Governance Framework Owner Katrina Hassell, Chief Officer (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 4.0 Linda Johnston, Business Strategy Manager April 2023 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 4.0 Audit and Scrutiny Panel June 2023 Consultation record (for most recent update) Status of document consulted upon Strategic Governance Framework Stakeholders consulted / date Corporate Management Team (16/06/23) Strategic alignment Next review date Review date June 2024 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 ………………………………………………...…………………. 7-10 - Annual review and assessment ……………………………………………………………... 10 - Continuous improvement …………………………………………………………………….. 10 - Roles and responsibilities ……………………………………………………………………. 10-11 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 - 42
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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 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 fifth iteration) enables a recurring and dynamic approach to realising the shared ambition. It enables delivery of the long-term vision to be informed by a strategic planning process that is framed within the context of the local demographic, social, and economic profile that shaped The Plan for North Lanarkshire, as well as the latest national policy changes and developments. This process also ensures a more targeted approach to establishing the programmes, projects, and activities required to achieve the intended outcomes. Key to assessing the success of The Plan for North Lanarkshire are six inter-related strategic frameworks that focus on ensuring a corporate one council approach. They are also key to monitoring delivery towards achieving the overall vision and ensuring each stage is appropriately planned, guided, implemented, and governed. • 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 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 determining and 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 12 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 was shaped by the area’s demographic, social, and economic profile which at the time showed a positive picture in terms of economic growth, inward investment, employment, and educational attainment, but still unacceptably high levels of deprivation and child poverty and clear areas of inequity and inequality remaining. This meant that not all North Lanarkshire’s people were sharing equally in the improving picture, and there was 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. As the delivery vehicle for the shared ambition, the Programme of Work provides a clear roadmap for work across council services and with partners in this respect. An annual strategic planning process enables a recurring and dynamic approach to realising the shared ambition. It enables delivery of the long- term vision to be informed by a strategic planning process that is framed within the context of the local demographic, social, and economic profile that shaped The Plan for North Lanarkshire, as well as the latest national policy changes and developments. This process also ensures a more targeted and cohesive approach to establishing the programmes, projects, and activities required to achieve the intended outcomes. Achievements to date highlight developments that are key to creating the economic, social, and community conditions that will enable local people and communities (and the place that is North Lanarkshire) to thrive. These focus on the investment made to establish the solid foundations required to support the place based ambition. This includes the provision of high quality housing, hubs at the heart of local communities, transformations to town centres, and enhancements to active green spaces to bring physical and mental benefits. This is supported by growing transport links, an enhanced digital infrastructure, and a network of active travel routes, all of which is aimed at boosting the local economy, attracting inward investment, securing improved opportunities and outcomes for employment, education, housing, and leisure, and creating places where people want to live, learn, work, invest, and visit. The fifth iteration of the Programme of Work (to 2028) was approved in March 2023. This longer-term approach reflected the need to reframe the Programme of Work in line with the latest North Lanarkshire context presented through the suite of 28 health check indicators. This evidence base shows positive trends in a number of key economic indicators (such as gross weekly pay, people claiming employment related benefits, and growth in North Lanarkshire’s economy), as well as significant improvements in educational attainment for all pupils gaining 5+ awards at level 6 and for pupils living in the 20% most deprived areas, leavers achieving a positive post school destination, and school exclusion rates. These trends were considered particularly
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8 significant given the extent of the impact of the pandemic that is evident in certain indicators, however the trends also show that challenges remain, reiterating the need for a new approach to the development of the fifth iteration of the Programme of Work to ensure a heightened and more strategic focus on not only sustaining the economic and community aspects, but also on ensuring a more targeted approach to improving social conditions and outcomes. Local code of governance 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 specific details on each of the elements and mechanisms in the local code of governance are set out in Appendix B and 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 strategic frameworks (Policy, Governance, Performance, Self-Evaluation, Project Management, and Demonstrating Improved Outcomes for Communities) that aim to maintain a corporate one council approach across the organisation, and ensuring these frameworks remain aligned to The Plan for North Lanarkshire and Programme of Work through a regular review and refresh programme. • Establishing a strategic planning process through the Programme of Work which is framed within the context of the local demographic, social, and economic profile that shaped The Plan for North Lanarkshire. This approach enables a recurring, dynamic, and cohesive approach to developing the programmes, projects, and activities required to realise the vision for inclusive growth and prosperity for all, with corresponding arrangements in place (through the Strategic Policy Framework) to ensure a consistent approach to establishing the strategies, policies, and plans required to achieve the intended outcomes. • 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 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 is the overarching framework that establishes the financial strategies and policies to ensure effective financial governance, planning, and management and, as such, sets out the responsibility for safeguarding public funds within the council. It also sets out the role and responsibilities of the Chief Financial Officer, in line with the corresponding CIPFA Statement (2016). The strategies and policies covered by the Financial Strategy include the Capital Strategy, Treasury Management Strategy, Revenue Budget Strategy, the Medium-Term Financial Plan, and the Financial Regulations and Scheme of Financial Delegation. • A Risk Management Strategy which sets out a clear direction for how the council will identify, assess, and manage the risks faced in providing high quality public services and delivering The Plan for North Lanarkshire. The strategy is intended to ensure that the council is risk aware rather than risk averse and that the management of risk is embedded in the council’s policies, procedures, culture, and practices. It is designed to ensure that key decisions are taken with an understanding of risks and their effective control. • Risk management arrangements which form an important element of good corporate governance and are designed to ensure that the council operates systematic and logical processes for managing risks within a comprehensive framework, ensuring that identified risks are managed consistently, effectively, efficiently, and coherently across the organisation. These arrangements include regular oversight of the council’s risk management arrangements and management of key corporate risks by the Audit and Scrutiny Panel. • 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
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9 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 (that extends to all individuals and organisations 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 senior management team structure which comprises a Business Management Team (to monitor the efficient and effective operation of the council and ensure pursuit of the long-term vision set out in The Plan for North Lanarkshire is underpinned with the relevant assurances and controls in terms of corporate governance, risk management, and financial management), and a Corporate Management Team (to ensure strategic oversight, direction, and a one council approach in terms of delivery of the vision through the Programme of Work. This is supported by a meetings structure comprising service Senior Management Teams focussing on the operational delivery of service remits, and an Operational Management Team to cascade the context, deliverables, and accountabilities and ensure consistency of message in terms of the long-term vision and day to day delivery through the Programme of Work. All Chief Officers are members of the Corporate Management Team; this includes those Chief Officers 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 which sets out performance measurement at three levels in order to collectively provide an overview of performance (over time and compared to targets) to help understand the impact of council activities on improving services and outcomes for the people and communities of North Lanarkshire. These measures also allow for day to day activities, and progress towards achieving the long-term vision set out in The Plan for North Lanarkshire, to be regularly monitored, reported, assessed, and scrutinised. • Formal reporting arrangements through an annual Performance Reporting Schedule that comprises Chief Officer reviews at service committees, corporate reporting, and service specific reporting to meet both business and statutory obligations and which is underpinned by five non-negotiable standards that support regular performance assurance reviews. • 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 through the senior management team structure of meetings and Elected Members. • A range of programme and project Boards and working groups aligned to the delivery and governance requirements for specific Programme of Work items, e.g. Strategic Capital Delivery Group, DigitalNL, Hub Delivery Programme Board, and Data Governance Board. • An Information Governance Policy Framework, comprising policies in terms of records and information management, data protection, information handling and classification, information risk, information security, and payment card industry data 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 includes cyber security and 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 performance reporting arrangements. • A range of employment and other policies, and associated guidance documents and forms, which promote and support ethical behaviour and standards of conduct by employees. An employee Performance Review and Development (PRD) process and access to a range of training and development programmes and opportunities through LearnNL for both employees and Elected Members. • Workforce plans that include an analysis of the risks and issues facing the current workforce and identify the gaps in terms of fulfilling service provision and delivering on priorities and the long-term vision in the future. • 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.
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10 • Independent and objective assurances provided by the external auditors through the Annual Audit Report (AAR) process and other audit, inspection, and regulatory bodies. 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 on page 12. Chief Officers and Elected Members are responsible for determining and implementing the council’s governance arrangements and ensuring the local code is assessed on an annual basis to ensure ongoing effectiveness and compliance. 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 / inspection / regulation 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 determining and implementing the council’s governance arrangements and ensuring the Strategic Governance Framework is assessed on an annual basis to ensure ongoing effectiveness and compliance.
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11 In identifying how the effectiveness of the council’s governance arrangements have been monitored and evaluated in the year, the Corporate Management Team has 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 first introduced in 2021 through the establishment of the following list for Chief Officers 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 Business Management Team, Corporate Management Team, and/or a 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. • 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 (October 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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12 Figure 2 Annual review process
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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 (e.g. 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 to changing legal and policy demands as well as economic, political, and
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16 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 and that of any organisation 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 of the executive and 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 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). 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. 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, while providing a method by which to identify and prioritise items requiring to be reviewed and/or updated further. Definitions supporting the RAG status are noted in the table below: RAG status Definition Red The element or mechanism was last reviewed / updated prior to January 2020 and there is a requirement for an annual (or other regular frequency) review and/or update to be undertaken, or there has been a change in legislation which necessitates a review and update, but either way no commitment has been identified from a Chief Officer to do so. Amber Although the element or mechanism has been reviewed and/or updated, this has not been carried out within the pandemic recovery environment to reflect any changes in service delivery or impacts on compliance with good governance, or (while there is a commitment by a Chief Officer to carry out a review and/or update) there has been slippage in the timescale identified to do so. Green The element or mechanism has been reviewed and/or updated since January 2020 and has been subject to an annual (or other regular frequency) review and/or update since then so there is no requirement for a further update at this time, or a Chief Officer or the Corporate Management Team has already identified that the item requires to be reviewed and/or updated during 2023/24. 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. An update in December 2022 reflected a change to Standing Order 31. A copy is available on InsideNL: Corporate Governance. 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: December 2022 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. RAG: Chief Officer (Legal and Democratic) ✓ ✓ ✓ ✓ ✓ 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 the council’s 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 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att99377.pdf • November 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att97301.pdf Latest version: November 2022 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 2022, and the rationale for each change, are listed in the accompanying committee report. RAG: Chief Officer (Finance) ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ 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 6th October 2022, the Council approved new governance arrangements and the Scheme of Administration: Latest version: October 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. Chief Officer (Legal and Democratic) ✓ ✓ ✓ ✓ ✓
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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 https://mars.northlanarkshire.gov.uk/egenda/images/att98939.pdf A copy is available on InsideNL: Corporate Governance. 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 Assessment: An updated Scheme of Administration was approved in October 2022. RAG: Committee arrangements Committee arrangements support the implementation of the Scheme of Administration, for example through a timetable of meetings. At its meeting on 6th October 2022, the Council approved new governance arrangements - including the membership of committees, sub-committees, panels, and outside bodies and the timetable of meetings for 2022-27: https://mars.northlanarkshire.gov.uk/egenda/public/kab190.pl?cmte=COU&meet=227 Latest version: October 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: An updated Scheme of Administration was approved in October 2022. This included a timetable of meetings up to 2027. RAG: Chief Officer (Legal and Democratic) ✓ ✓ ✓ ✓ ✓ 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 A copy is available on InsideNL: Corporate Governance. 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: Changes approved in April 2019, reflect realignments in the organisational structure implemented in September 2018. As the council’s Monitoring Officer, the Chief Officer (Legal and Democratic), has delegated authority to update the Scheme of Delegation to Officers as necessary in line with statutory changes and organisational requirements. As per an Internal Audit Corporate Governance report to the Audit and Scrutiny Panel in May 2023 [ https://mars.northlanarkshire.gov.uk/egenda/images /att100378.pdf ], there is a management commitment to review/refresh this document. This is scheduled to be submitted to the Council meeting in October 2023. RAG: Chief Officer (Legal and Democratic) ✓ ✓ ✓ ✓ ✓ ✓ 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. • June 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att100791.pdf • November 2017: https://mars.northlanarkshire.gov.uk/egenda/images/att87046.pdf Latest version: June 2023 Review timeframe: As required based on organisational changes and to reflect updates in respect of legislation, best practice, and government guidance. Assessment: Amendments in 2023 were made to reflect the current organisational arrangements. In addition, sections 13 (police enquiries) and 17 (potential conflicts of interest) were expanded to include more explicit wording in respect of the particular requirements in these areas. RAG: Chief Officer (Legal and Democratic) ✓ ✓ ✓ ✓ 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 2023. Review timeframe: Annual. Assessment: Annual process in place which is co- ordinated by the Depute Monitoring Officer in Legal and Democratic (as that postholder does not require to register their interests within the Chief Officers Register of Interests). RAG: Chief Officer (Legal and Democratic) ✓ ✓ ✓ ✓ 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 Latest version: Ongoing statutory obligation Review timeframe: N/A Assessment: All statutory posts are currently filled. Chief Executive / Chief Officer (Legal and Democratic) / ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
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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 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 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. RAG: Chief Officer (Finance) / Chief Social Work Officer 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/ • A mandatory eLearning module on the Employee Code of Conduct has been developed (on LearnNL) and a NLC Announcement was issued to staff in April 2023 regarding the new module and the need to complete it every two years. 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. As per an Internal Audit Corporate Governance report to the Audit and Scrutiny Panel in May 2023 [ https://mars.northlanarkshire.gov.uk/egenda/images /att100378.pdf ], there was a management commitment to review / refresh this document and consider the alignment and refresh of the Codes for the former Culture NL and NL Leisure employees (as appropriate) by October 2022. The timescale for completing this has now been extended to September 2023. RAG: Chief Officer (People Resources) ✓ ✓ ✓ ✓ ✓ 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 Chief Officer. 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 A Guidance document and templates are available on InsideNL: Conflicts of Interest The guidance is reviewed annually in line with the Chief Officer’s Assurance Statement and Checklist process. Latest version: June 2023 Review timeframe: Annual Assessment: In May 2018, the conflicts of interest procedures was updated in the Employee Code of Conduct. A process is in place whereby Chief Officers are required to submit their up to date Service Registers annually (as part of the Chief Officer’s Assurance Statement and Checklist process) for all their staff for independent review and reporting to the CMT. The report in June 2023, advising of the annual review and refresh to the Strategic Governance Framework, provides the CMT with an annual update in this respect. RAG: Chief Officer (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 Chief Officer. 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 A Guidance document and templates are available on InsideNL: Gifts and Hospitality The guidance is reviewed annually in line with the Chief Officer’s Assurance Statement and Checklist process. Latest version: June 2023 Review timeframe: Annual Assessment: In May 2018, procedures for gifts and hospitality were updated in the Employee Code of Conduct. A process is in place whereby Chief Officers are required to submit their up to date registers annually (as part of the Chief Officer’s Assurance Statement and Checklist process) for all their staff for independent review and reporting to the CMT. The report in June 2023, advising of the annual review and refresh to the Strategic Governance Framework, provides the CMT with an annual update in this respect. RAG: Chief Officer (Business and Digital) ✓ ✓ ✓ ✓ Councillors Code of Conduct Latest version: December 2021 Chief Officer (Legal ✓ ✓ ✓ ✓
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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 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 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: and Democratic) 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: https://www.northlanarkshire.gov.uk/your-council/councillors-and-committees/your- councillor/councillors-registered-interests 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 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: Chief Officer (Legal and Democratic) ✓ ✓ ✓ ✓ 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: Chief Officer (Legal and Democratic) ✓ ✓ ✓ ✓ ✓ 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. 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: Chief Officer (Legal and Democratic) ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ 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 (that 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 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 Chief Officer (Audit and Risk) ✓ ✓ ✓ ✓
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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 should be implemented to ensure the council’s arrangements are more fully consistent with recognised good practice. As per an Internal Audit Corporate Governance report to the Audit and Scrutiny Panel in May 2023 [ https://mars.northlanarkshire.gov.uk/egenda/images /att100378.pdf ], a review of the council’s anti-fraud arrangements (including a review of the policy) was included in the 2022/23 annual Internal Audit Plan and this assignment is now underway with a report scheduled to be presented to the Policy and Strategy Committee in October 2023. RAG: 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. • March 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att99996.pdf • March 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att97980.pdf The Whistleblowing Procedure is accessible to staff through MyNL: https://mynl.co.uk/wpfd_file/whistleblowing-policy/ Latest version: March 2023 Review timeframe: Annual Assessment: Latest review in March 2023 was undertaken on the use of the Whistleblowing Procedure and to identify any amendments required to the Procedure. The updated Procedure was approved at Policy and Strategy Committee in March 2023. RAG: Chief Officer (Legal and Democratic) ✓ ✓ ✓ ✓ The Plan for North Lanarkshire • Update on level 1 health check indicators that provide the latest North Lanarkshire context in terms of the economic, social, health, environmental wellbeing of the area, March 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att100085.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 • Place based regeneration investment programme of work - The Place The Vision, 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 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att95824.pdf • Place based regeneration investment programme of work - March 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att93588.pdf • The Plan for North Lanarkshire, February 2019: https://mars.northlanarkshire.gov.uk/egenda/images/att90076.pdf • Published on the council’s website: https://www.northlanarkshire.gov.uk/your- council/council-strategies-and-plans/council-strategies/plan-north-lanarkshire Latest version: The Plan for North Lanarkshire is a long-term strategy with a long-term vision which was approved in February 2019. Review timeframe: Annual Assessment: The Programme of Work is the delivery mechanism for The Plan for North Lanarkshire; this is reviewed and updated annually. The most recent Programme of Work to 2028 was approved at the Policy and Strategy Committee in March 2023. The Plan for North Lanarkshire is supported by a suite of high level Health Check Performance Indicators that collectively provide the context for North Lanarkshire as a place. These are reviewed, updated, and reported to the Policy and Strategy Committee annually and inform the council’s strategic planning process through the Programme of Work. RAG: Chief Executive ✓ ✓ ✓ ✓ ✓ ✓ Programme of Work • Programme of Work to 2028 approved in March 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att100217.pdf • Programme of Work for 2022/23 approved in March 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att97996.pdf • Programme of Work for 2021/22 approved in March 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att95824.pdf • Programme of Work for 2020 and beyond approved in March 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att93774.pdf • Inaugural Programme of Work approved in March 2019: https://mars.northlanarkshire.gov.uk/egenda/images/att90396.pdf Latest version: Programme of Work to 2028 approved in March 2023. 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. A 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 2024. RAG: Chief Executive ✓ ✓ ✓ ✓ ✓ ✓ ✓ Strategic Policy Framework • Refreshed Strategic Policy Framework approved in March 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att100087.pdf • Refreshed Strategic Policy Framework approved in March 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att97995.pdf • 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 November 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att99349.pdf • Update provided to the Audit and Scrutiny Panel in September 2021: Latest version: Most recent update following annual review and refresh process was approved at committee in March 2023. 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 relevant policy and legislation changes. The annual update Chief Officer (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 https://mars.northlanarkshire.gov.uk/egenda/images/att96915.pdf • Update provided to the Audit and Scrutiny Panel in September 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att94661.pdf of the Strategic Policy Framework is scheduled to be reported to committee in cycle 1 of 2024. RAG: Strategic Performance Framework The Strategic Performance Framework sets out performance measurement at three levels in order to collectively provide an overview of performance (over time and compared to targets) to help understand the impact of council activities on improving services and outcomes for the people and communities of North Lanarkshire. These measures also allow for day to day activities, and progress towards achieving the long-term vision set out in The Plan for North Lanarkshire, to be regularly monitored, reported, assessed, and scrutinised. • 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 • Update provided to the Audit and Scrutiny Panel in November 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att99349.pdf • Update provided to the Audit and Scrutiny Panel in September 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96915.pdf Update provided to the Audit and Scrutiny Panel in September 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att94661.pdf Latest version: November 2022 Review timeframe: Annual Assessment: 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. An update on all six of the strategic frameworks is provided to the Audit and Scrutiny Panel annually. The Strategic Performance Framework is currently undergoing a review and update in line with the new Programme of Work to 2028, with an update scheduled to be reported in 2023/24. RAG: Chief Officer (Business and Digital) ✓ ✓ ✓ ✓ ✓ ✓ Strategic Performance Framework - performance reporting schedule Formal reporting arrangements are in place through an annual Performance Reporting Schedule that comprises Chief Officer reviews at service committees, corporate reporting, and service specific reporting to meet both business and statutory obligations. This is underpinned by five non-negotiable standards that inform a regular performance assurance review process. • Performance Reporting Schedule for 2023 to 2023 reported to the Audit and Scrutiny Panel in February 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att99866.pdf • Reporting Schedule - March 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att95860.pdf • Performance assurance review, May 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att100418.pdf Latest version: February 2023 Review timeframe: Annual Assessment: Annual performance reporting schedule includes a list of Chief Officer reviews at service committees, corporate reporting, and service specific reporting to meet both business and statutory obligations scheduled for each committee cycle for 2023 to 2034. This includes the ALEO performance assurance report which is submitted to the Audit and Scrutiny Panel on a six monthly basis. A performance assurance review process is in place which assesses the reports on the schedule against the five non-negotiable standards; this is reported to the Audit and Scrutiny Panel on a six monthly basis. RAG: Chief Officer (Business and Digital) / all Chief Officers ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ Strategic Governance Framework • Refreshed Strategic Governance Framework approved in September 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att98532.pdf • Refreshed Strategic Governance Framework approved in September 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96686.pdf • Initial Strategic Governance Framework approved in February 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att92927.pdf • Update provided to the Audit and Scrutiny Panel in November 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att99349.pdf • Update provided to the Audit and Scrutiny Panel in September 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96915.pdf • Update provided to the Audit and Scrutiny Panel in September 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att94661.pdf Latest version: Most recent update following annual review and refresh process was approved at committee in September 2022. 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 June 2023. RAG: Chief Officer (Business and Digital) ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ Annual Governance Statement • Annual Governance Statement reported to the Audit and Scrutiny Panel in September 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att98533.pdf (with there being no council committees held in cycle 2 of 2022, it was permitted to submit the Statement to the next available committee meeting). • Annual Governance Statement reported to the Audit and Scrutiny Panel in June 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96418.pdf • Annual Governance Statement reported to the Audit and Scrutiny Panel in September 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att94514.pdf Latest version: Annual Governance Statement for 2021/22 reported to the Audit and Scrutiny Panel in September 2022 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 2022/23 was presented to CMT in June 2023 to allow for inclusion in unaudited Annual Accounts for Chief Executive / Chief Officer (Business and Digital) ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
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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 2022/23 and submission to external auditors by end June 2023. RAG: Project Management Framework The council’s Project Management Framework 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. • Project Management Framework (2022) and templates on InsideNL: Project Management Framework • Updates provided to the Audit and Scrutiny Panel in November 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att99349.pdf and February 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att99869.pdf • Updated provided to the Audit and Scrutiny Panel in September 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96915.pdf • 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 Latest version: New Framework launched council wide December 2022. Review timeframe: Annual Assessment: The Project Management 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 ongoing alignment to The Plan for North Lanarkshire. The 2022 review aimed to ensure that the council’s arrangements remained fit for purpose and able to effectively support delivery of The Plan for North Lanarkshire. This followed recommendations arising from Internal Audit reports on managing strategic change and the governance of capital projects. The review was also considered necessary in light of the changes in the council’s operating environment since the implementation of the Model in 2018. These changes had led to a rapid evolution of programmes and projects across the council, as well as increasing complexities in the delivery of many of these, and a growing need for good governance and good project management to set up and deliver a wider range of projects at pace and scale (particularly during the pandemic), and ensure these are well-directed, delivered to time, cost, and quality targets, and provide the expected benefits and improved local outcomes. RAG: Chief Officer (Business and Digital) ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ Strategic Self-Evaluation Framework • Refreshed Strategic Self-Evaluation Framework was presented to the Audit and Scrutiny Panel in November 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att99350.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 • Approved in February 2019: https://mars.northlanarkshire.gov.uk/egenda/images/att90076.pdf • Update provided to the Audit and Scrutiny Panel in November 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att99349.pdf • Updated provided to the Audit and Scrutiny Panel in September 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96915.pdf • Update provided to the Audit and Scrutiny Panel in September 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att94661.pdf Latest version: Refreshed Strategic Self-Evaluation Framework and rolling review programme presented to the Audit and Scrutiny Panel in November 2022. 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 2023. RAG: Chief Officer (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 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 CMT, 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: Chief Officer (Finance) ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ 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 Latest version: March 2023 Review timeframe: Annual Assessment: The latest version of the Treasury Management Strategy approved in March 2023 covers the period from 2023 to 2024. This report Chief Officer (Finance) ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
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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 movement in interest rates, council borrowing and investment strategies, policy on repayment of loans funds advances, and treasury management and prudential indicators. • March 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att100207.pdf • March 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att97874.pdf • 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. • Quarter ended March 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att100686.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 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att98651.pdf • September 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96857.pdf fulfils the key requirements of the Local Government Act 2003 in that it outlines the Treasury Management Strategy for 2023/24 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: 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 since has identified no further changes and concluded that the original Reserves Policy remains valid and therefore no further update is required at the time. RAG: Chief Officer (Finance) ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ 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. • September 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att98764.pdf • June 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96162.pdf • June 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att94063.pdf Update reports on the implementation of savings are provided: • March 2023 - Review of 2022/23 budget savings: https://mars.northlanarkshire.gov.uk/egenda/images/att100054.pdf • September 2022 - Review of 2022/23 budget savings: https://mars.northlanarkshire.gov.uk/egenda/images/att98648.pdf Latest version: September 2022 Review timeframe: Annual Assessment: The Revenue Resources Budget Strategy was approved in June 2019, with an update provided annually thereafter given the significantly increased financial risks faced by the council. The latest update report (September 2022) set out some of the high level challenges faced by the council (in particular continued recovery from the pandemic and the current economic and financial environment) and how these will need to be addressed in line with the Revenue Resources Budget Strategy. The report recognised that unless there is any significant change which impacts on the validity of the key principles, no further updates on the implementation of the Strategy will be required. An update will be provided to committee in cycle 3 of 2023 and cycle 1 of 2024 on the implementation of savings. RAG: Chief Officer (Finance) ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ 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 BMT and committee. Revenue monitoring reports are standing items on the CMT agenda. • Latest - Revenue Monitoring Report Council Summary 1 April 2022 to 3 March 2023 (Period 12), May 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att100693.pdf Latest version: Period end report in May 2023 and annual report for 2021/22 in September 2022 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: Chief Officer (Finance) ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
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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 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 Fund Account, Housing Revenue Account, and Adult Health and Social Care for the financial year just ended. The council summary report 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 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att98646.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 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att99981.pdf Latest version: February 2023 Review timeframe: Annual Assessment: Report approved in February 2023 set the Revenue Budget and Council Tax for 2023/24 and outlined the updated forecast budget position for 2024/25 and 2025/26. The principle of setting a 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: Chief Officer (Finance) ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ 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: • June 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att100799.pdf • September 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att98767.pdf • September 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96882.pdf • October 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att94530.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: June 2023 Review timeframe: Annual Assessment: The Medium-Term Financial Plan approved in June 2023 covers the period 2024/25 to 2028/29. This provides an early 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 is undertaken of the planning assumptions in the council’s Medium-Term (five-year) Financial Plan and an update of the scenarios relating to the anticipated budget position. A financial outlook update scheduled to be reported to committee in cycle 3 of 2023 and the annual update to the five year Medium Term Financial Plan will be reported to committee in cycle 2 of 2024. RAG: Chief Officer (Finance) ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ 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. Given the council’s current work to progress a new Strategic Capital Investment Programme from April 2024, it was agreed that the existing strategy should continue throughout 2023/24 to ensure that the revised strategy aligns with the updated Programme of Work. The revised Capital Strategy will be presented to committee in cycle 1 of 2024 alongside the new Strategic Capital Investment Programme. This update will include a review of the key principles and reflect the requirements of the new Prudential Chief Officer (Finance) ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
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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 Code for Local Authorities. RAG: 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. The latest update to the Strategic Capital Investment Programme for 2023/24 to 2025/26 was approved at committee in March 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att100227.pdf Annual Community Investment Fund progress report: September 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att98766.pdf Latest version: March 2023 Review timeframe: Annual Assessment: Strategic Capital Investment Programme approved in March 2023 covers the period from 2023/24 to 2025/26. The Strategic Capital Investment Programme is key in supporting the council’s Programme of Work and, as such, monitoring reports are scheduled to be provided to committee each cycle; this includes elements funded by the Community Investment Fund managed by the Strategic Capital Delivery Group. The Strategic Capital Delivery Group has commenced work on the development of a new Strategic Capital Investment Programme from 2024/25 to 2028/29. This will ensure continued alignment between capital investment and the revised Programme of Work. In addition, an annual Community Investment Fund progress report is scheduled to be reported to committee in cycle 3 of 2023. This will outline updated financial projections linked to emerging economic trends. RAG: Chief Officer (Finance) ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ 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. • March 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att100227.pdf • September 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96942.pdf Latest version: March 2023 Review timeframe: Terms of Reference reviewed in line with the requirements of the Strategic Capital Investment Programme. Assessment: An update to the Terms of Reference were approved at the Policy and Strategy Committee in March 2023 to reflect the revised management team and organisational structure (approved at Policy and Strategy Committee in December 2022) and ensure it properly reflects the council’s current organisational structure. RAG: Chief Officer (Finance) ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ 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 / Chief Officer (Finance) ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ 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 BMT 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. • Latest - Capital Programme 2022/23 Monitoring Report, March 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att100051.pdf Latest version: Period end report in March 2023 and annual report for2022/23 in May 2023. 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: Chief Officer (Finance) ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
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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 An annual Provisional Outturn Capital Monitoring report is provided to the Strategic Capital Delivery Group (SCDG) each year (latest on 27/04/23). 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 2022/23 Monitoring Report, May 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att100688.pdf Annual accounts The preparation of the Accounts is a key statutory responsibility for Finance 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 2021/22 publication. • Annual Accounts (audited) - October 2022 https://mars.northlanarkshire.gov.uk/egenda/images/att99220.pdf • 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 Latest version: October 2022 Review timeframe: Annual Assessment: The preparation of the Annual Accounts is a key statutory responsibility for the council. The audited annual Accounts for 2021/22 were approved by the Audit and Scrutiny Panel in October 2022 for signing. The unaudited Annual Accounts for 2021/22 were presented to the external auditors by end June 2022, in line with statutory requirements. With there being no committees during cycle 2 of 2022 (due to the local government elections), the unaudited Accounts for 2021/22 were approved by the Audit and Scrutiny Panel in September 2022.. RAG: Chief Officer (Finance) ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ 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 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att100082.pdf Latest version: March 2023 Review timeframe: 3 year strategy. Assessment: Risk Management Strategy approved in March 2023 covers the period 2023 to 2026. An item within the Strategic Policy Framework, the Risk Management Strategy is next scheduled for review in 2025/26. 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, increase the likelihood of the council achieving its planned outcomes, priorities, ambitions, and report the results of that assessment to key stakeholders. RAG: Chief Officer (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 had a major impact on levels of employment and the needs of employers across North Lanarkshire. It also addressed 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 been made redundant or may be at risk when the furlough scheme ended. • June 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96241.pdf A further update was submitted to committee in March 2022 to reflect recent work and ensure this 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 Latest version: March 2022 Review timeframe: Annual Assessment: This area of work will be subsumed into the revised Programme of Work approved at Policy and Strategy Committee in March 2023 under the Brighter Futures programme. The scope and key deliverables for the Brighter Futures programme of work is scheduled to be reported to Policy and Strategy Committee in September 2023. RAG: Chief Officer (People Resources) ✓ ✓ ✓
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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 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 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: Chief Officer workforce plans were considered at CMT in April 2022. Refinement of plans to be undertaken and a council wide summary is scheduled to be presented to Policy and Strategy Committee in cycle 4 of 2023. RAG: Chief Officer (People Resources) ✓ 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. • The GSCO have subsequently been updated and version 16 - effective from 1 June 2022; this is available on InsideNL: Procurement • These are also available on the council’s website: https://www.northlanarkshire.gov.uk/business/procurement/key-procurement- documents • June 2018: https://mars.northlanarkshire.gov.uk/egenda/images/att88119.pdf 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 and secure continuous improvement and Best Value. Assessment: Further reviews will be undertaken in line with any legislative changes or national guidance issued. RAG: Chief Officer (Assets and Procurement) ✓ ✓ ✓ 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 - September 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att98662.pdf • Annual report - September 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att98654.pdf • 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: September 2022 Review timeframe: Annual Assessment: Introduced in August 2017 and updated annually thereafter, the Procurement Strategy approved at committee in September 2022 covers the period from 2023 to 2024. The latest annual report for 2021/22 was approved at committee in September 2022. An item within the Strategic Policy Framework, the Procurement Strategy is due to be updated and reported to committee by cycle 4 each year. Reports submitted to committee each cycle update on procurement activity in terms of contracts awarded below committee approval threshold and contracts with variations. RAG: Chief Officer (Assets and Procurement) ✓ ✓ ✓ 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 supported by thematic carbon budgets 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 2023 Review timeframe: Annual Assessment: Each year, an annual report is produced 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: Chief Officer (Assets and Procurement) ✓
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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 The Climate Change (Duties of Public Bodies; Reporting Requirements) (Scotland) Order 2015 introduced a legal obligation for public bodies to report annually detailing their compliance with the duties specified in the Climate Change (Scotland) Act 2009 and its subsequent amendments. The report is produced annually for the most recently completed financial year with a submission date of 30th November each year. The annual submission requires the council to demonstrate that, as a public sector organisation, it is contributing to the nationally set climate change targets as well as adhering to its other responsibilities in terms of both adaptation and sustainability. • February 2023: Public Sector Duties Climate Change annual report 2021/22 https://mars.northlanarkshire.gov.uk/egenda/images/att99883.pdf Asset management The Corporate Asset Management Plan (CAMP) provides an overview of how the council is managing its assets in alignment with the strategic direction of the organisation to both deliver and sustain an asset base that will meet current and future requirements. The CAMP is one of the tools used to manage the asset base and guide activities (i.e. maintain, rationalise, invest, dis-invest); it links into the ongoing review and development of the 5 year capital plan. • September 2022: CAMP 2021-26 https://mars.northlanarkshire.gov.uk/egenda/images/att98661.pdf Updates on the asset rationalisation and development area of work - which includes reviewing the use of assets on a regular basis to ensure their ongoing effectiveness - were provided in: • October 2020: https://mars.northlanarkshire.gov.uk/egenda/public/kab190.pl?cmte=PSC&meet=11 • March 2020: https://mars.northlanarkshire.gov.uk/egenda/public/kab190.pl?cmte=PSC&meet=7 Latest version: September 2022 Review timeframe: Corporate Asset Management Plan approved in September 2022 covers the period from 2021 to 2026. Assessment: The CAMP is on the Strategy Policy Framework review programme to report on an update in 2024/25, when the current plan reaches the end of its current life. RAG: Chief Officer (Assets and Procurement) ✓ 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: https://www.northlanarkshire.gov.uk/ The council’s website has a section dedicated for public consultation https://www.northlanarkshire.gov.uk/your-community/working- communities/consultations. This section is used - along with other methods as appropriate - when draft strategies, policies, plans, or changes to service provision require feedback from the public as part of the development process. 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, an update to the strategy and communications plan, as well as an evaluation of activity for 2022/23, is scheduled to be reported to committee in cycle 3 of 2023. RAG: Chief Officer (Strategic Communication and Engagement) ✓ ✓ ✓ ✓ ✓ ✓ 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. • September 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att94512.pdf • June 2019: https://mars.northlanarkshire.gov.uk/egenda/images/att90858.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. An item within the Strategic Policy Framework, the Digital and IT Strategy is next scheduled for review in 2023/24, with a view to an updated strategy being produced and reported in cycle 1 of 2024. RAG: Chief Officer (Business and Digital) ✓ ✓ ✓ ✓ ✓ ✓ ✓ Enterprise Architecture Governance Group (EAGG) The EAGG ensures: Latest version: Recurring group. Review timeframe: The group was formed in Chief Officer (Business and ✓ ✓ ✓ ✓ ✓ ✓
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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 • 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. 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. A review of the terms of reference for the Group was undertaken early in 2023 which identified improvements to the supporting documentation suite. To further assess the effectiveness of the Group a follow up self-evaluation is scheduled to be undertaken during 2024/25. RAG: 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: Chief Officer (Business and Digital) ✓ ✓ ✓ ✓ ✓ ✓ Strategic data management and information governance • Data and information management strategic roadmap - August 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att98769.pdf • BI Hub update - February 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att97777.pdf • Data and information management strategic roadmap - February 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att95605.pdf Latest version: August 2022. Review timeframe: Annual. Assessment: Update on the implementation of the Data and Information Management Roadmap and BI Hub was submitted to the Policy and Strategy Committee in August 2022. Next report is due to be submitted to committee in cycle 3 of 2023. RAG: Chief Officer (Business and Digital) ✓ 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, information security and payment card data security to ensure proper recording of information, appropriate access to that information including by the public, and compliance with legislation. • June 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att100735.pdf • June 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96160.pdf Latest version: June 2023 Review timeframe: Next review due March 2025. Assessment: Latest version of the Information Governance Framework was approved at Policy and Strategy Committee in June 2023. RAG: Chief Officer (Business and Digital) ✓ ✓ ✓ ✓ ✓ ✓ ✓ Information Security Policy An Information Security Policy, which includes cyber security, 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 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att100735.pdf • June 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96160.pdf Latest version: June 2023 Review timeframe: Next review due March 2025. Assessment: Latest version of the Information Security Policy was approved at Policy and Strategy Committee in June 2023. RAG: Chief Officer (Business and Digital) ✓ ✓ ✓ ✓ ✓ ✓ ✓ Cyber security Cyber security is the activity required to protect an organisation’s data, devices, networks and software from unintended or unauthorised access, change or destruction via the internet or other communications systems or technologies. Cyber incidents pose an increasing threat to public bodies’ management of their information with hacking, ransomware, cyber-fraud and accidental losses all evident across the public and private and sectors. Latest version: February 2023 Review timeframe: As required. Assessment: A joint review and assessment was undertaken in February 2023 (between Internal Audit and Business and Digital) using a structured format (using templates and guidance created by the National Audit Office, National Cyber Security Centre (NCSC), and the Scottish Government). Chief Officer (Business and Digital) ✓ ✓ ✓ ✓ ✓ ✓ ✓
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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 • Cyber security assessment - February 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att100091.pdf This assessment - categorised as reasonable assurance - determined the council has robust and effective information governance arrangements, duly recognises the risks associated with cyber security threats, and operates practices commensurate with the good practice recommended by bodies such as the National Audit Office. RAG: Senior Information Risk Owner (SIRO) The SIRO role is fulfilled by a member of the CMT. 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 2021/22, February 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att99867.pdf • SIRO Information Governance Assurance and Performance Report 2019/20 and 2020/21, December 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att97501.pdf Latest version: February 2023 Review timeframe: Annual Assessment: Following various council restructures, SIRO responsibilities now rest with the Chief Officer (Business and Digital). A 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 reverted to the recommended annual frequency from financial year 2021/22 onwards, with a report submitted to the Audit and Scrutiny Panel in February 2023. RAG: Chief Officer (Business and Digital) ✓ ✓ ✓ ✓ ✓ ✓ ✓ Data protection The Chief Officer (Legal and Democratic) is the council’s Data Protection Officer (DPO) and the Chief Officer (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 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att100735.pdf • 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 InsideNL: Data protection. This 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 2023 Review timeframe: Next review due March 2025. Assessment: Policies and procedures in place and communicated via InsideNL. Latest version of the Data Protection Policy approved at Policy and Strategy Committee in June 2023 RAG: Chief Officer (Legal and Democratic) / Chief Officer (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. • March 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att100062.pdf • November 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att97307.pdf Latest version: March 2023 Review timeframe: Annual Assessment: The annual data protection report forms part of the Strategic Performance Framework reporting schedule. The latest report in March 2023 (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 2023. RAG: Chief Officer (Legal and Democratic) ✓ ✓ ✓ ✓ ✓ ✓ ✓ 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 process is outlined on the council’s website; the website also contains a guide to information available through the model publication scheme - 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 through the council’s website. RAG: Chief Officer (Legal and Democratic) ✓ ✓ ✓ ✓ ✓ Freedom of Information annual report November 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att99389.pdf November 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att97268.pdf Latest version: November 2022 Review timeframe: Annual Assessment: The annual freedom of information report forms part of the Strategic Performance Framework reporting schedule. The latest report in Chief Officer (Legal and Democratic) ✓ ✓ ✓ ✓ ✓
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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 November 2022 (by the Chief Officer (Legal and Democratic)) 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: 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: Chief Officer (People Resources) ✓ ✓ ✓ ✓ ✓ Local Government Benchmarking Framework (LGBF) • National web portal available from 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 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att98107.pdf - September 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96914.pdf https://mars.northlanarkshire.gov.uk/egenda/images/att96951.pdf - March 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att95913.pdf Latest version: National web portal last updated in May 2023 Review timeframe: Annual publication of data by the Improvement Service Assessment: The national web portal and Dashboard are 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. From January 2023, the council’s performance in the LGBF indicators has been incorporated into each Chief Officers six monthly Strategic Performance Framework report to committee. RAG: Chief Officer (Business and Digital) ✓ ✓ ✓ ✓ ✓ Professional / specialised input to policy development and decision making Business partners in People Resources and Finance 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 • Armed Forces Covenant Duty • Children’s rights and wellbeing impact The role, and need for, good governance is reiterated in the Guidance accompanying the Report Template which requires to be used for all council reports. 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 Latest version: Ongoing resource Review timeframe: As required. 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 and guidance is reviewed and updated regularly (either as a new impact is identified and endorsed by the CMT, or once a year as a matter of course). An update in February 2022 aimed to further improve the contents of the impacts section in committee reports and provide authors with subject matter experts contact details for further information and guidance. A further update in December 2022 reflected the new impact for the Armed Forces Covenant Duty and the change in Head of Service designations to Chief Officers. A subsequent update in June 2023 included the introduction of an impact for children’s rights and wellbeing. The updated template and guidance is available on InsideNL: Report Template. Updates to the report template and guidance is issued to all employees via a NLC Announcement e-mail following each update. RAG: All Chief Officers ✓ ✓ ✓ ✓ ✓ ✓ ✓
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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 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 InsideNL: One Way of Reporting.pdf. 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 MyNL [ https://mynl.co.uk/knowledge-base/equality-impact- assessments/ ]. Following publication of the updated national guidance, a report was submitted to committee in January 2022 highlighting the changes from the previous guidance. A report on the council’s progress against the Fairer Scotland Duty is scheduled to be submitted to the Wellbeing and Tackling Poverty Committee in cycle 3 of 2023. RAG: Chief Officer (People Resources) ✓ ✓ ✓ ✓ 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, when the current strategy reaches the end of its current life. RAG: Chief Officer (People Resources) ✓ ✓ ✓ ✓ 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 allows 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: The council has recently established an Equalities Board and a key remit of this Board will be to review and further strengthen the council’s approach to Equality Impact Assessments. RAG: Chief Officer (People Resources) ✓ ✓ ✓ ✓ 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 in April 2020, the council was successfully reaccredited as a Disability Confident Leader after undergoing an external assessment conducted by Inverclyde Council. In August 2021 the council successfully participated in the pilot and achieved the Equally Safe at Work Bronze Standard award. • August 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96623.pdf • April 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att93893.pdf A Race at Work Charter was approved at committee in October 2021. This provides a Latest version: May 2023 Review timeframe: Every four years Assessment: The Public Sector Equality Duty combined report in June 2021 covers a number of different requirements including - Mainstreaming Equalities, progress in achieving the council’s equality outcomes, employment Information, and the Equal Pay Policy Statement. The council’s most up to date Mainstreaming Equality report was approved by the Wellbeing and Tackling Poverty Committee in May 2023, and will be published in line with the Public Sector Equality Duty. RAG: Chief Officer (People Resources) ✓ ✓ ✓ ✓
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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 framework to support employers to take practical steps to ensure that their workplaces are identifying and tackling barriers that minority ethnic people face in in the workplace. It requires employers to commit to seven calls to action to ensure that ethnic minority employees are represented at all levels and that their organisation reflects British society today. • October 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att97138.pdf A service review identified the need to be clearer about how the Equality Strategy is being delivered and to set out the significant equalities programmes of work which link to the ambitions and intentions within The Plan for North Lanarkshire, including support for those who are most disadvantaged. As such, a new delivery framework for equalities was developed outlining more clearly the key areas of focus within Equalities which will be supported by associated plan of activities and campaigns to support the advancement of Equalities Strategy. This was approved at committee in February 2023: • Delivery Framework for Equalities: https://mars.northlanarkshire.gov.uk/egenda/images/att99820.pdf A Plan for Advancing Race Equality in the council’s Workforce, Communities, and Schools was approved at committee in February 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att99818.pdf The Mainstreaming Equality report was updated and approved at committee in May 2023. This details how the council, including the Education Authority and the Licensing Board, is demonstrating that the general equality duty is integral to its work. This composite report also updated on progress being made to deliver against the stated Equality Outcomes for 2021-25 as well as an up to date picture of the current equalities profile of council employees, employment practices, and pay gap information as required to be published by law every two years. • Mainstreaming Equality report: https://mars.northlanarkshire.gov.uk/egenda/images/att100517.pdf Corporate Risk Register • Quarterly risk management update - May 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att100379.pdf • Corporate risk register for 2022/23 - September 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att98468.pdf Latest version: September 2022 Review timeframe: Annual. Assessment: Most recent version of the Corporate Risk Register was considered by the Audit and Scrutiny Panel in September 2022. 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 and updates on specific risks are frequently reported to the Audit and Scrutiny Panel. As reported in the quarterly risk management update to the Audit and Scrutiny Panel in May 2023, all bar one of the risks on the Corporate Risk Register are classified as live with completed risk documentation. The one risk classified as draft where documentation is currently being finalised is for the Target Operating Model (i.e. Ensuring resources (workforce, digital and assets) and service delivery are fully aligned to support the successful implementation of the council’s future operating model). Quarterly risk management update reports are scheduled to be presented to the Audit and Scrutiny Panel each cycle of 2023/24. RAG: Chief Officer (Audit and Risk) ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ Service risk registers Risk Champions and Facilitators are identified for each service. These are noted on InsideNL: Risk Management. • Quarterly risk management update - May 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att100379.pdf 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. Work in 2023 has been undertaken to supplement the corporate / strategic risk register information included in the report to the Audit and Scrutiny Panel with a summary of key service risks from service risk registers to enable Elected Members to have sight of those risks with the highest residual risk scores. This is scheduled to be included in the Chief Officer (Audit and Risk) ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
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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 report to the Audit and Scrutiny Panel in cycle 3 of 2023. RAG: Project risk registers As part of the corporate Project Management Framework (2022), all projects are required to complete a Position 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. The PRA template and guidance is on InsideNL: Project Management Framework Latest version: December 2022 Review timeframe: As required. Assessment: The approach to risk management when managing projects was reviewed when updating the Project Management Framework in 2022. The Position Risk Assessment (PRA) documentation and guidance was also reviewed and updated at that time. RAG: Chief Officer (Audit and Risk) ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ 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 • Complaints performance on the council’s website - September 2022: https://www.northlanarkshire.gov.uk/your-council/complaints-and- feedback/complaints-performance Latest version: September 2022 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. Annual reporting of the council’s performance in complaints handling is noted on the Audit and Scrutiny Panel annual scrutiny programme for a report to be submitted in cycle 3 of 2023. RAG: Chief Officer (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 October 2022: https://mars.northlanarkshire.gov.uk/egenda/images /att98939.pdf RAG: Chief Officer (Business and Digital) / Chief Officer (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 • Scottish Housing Regulator annual assurance statement 2021/22 - August 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att98392.pdf • Scottish Housing Regulator annual landlord report 2021/22 - November 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att99127.pdf 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 Chief Officers ✓ ✓ ✓ ✓ Best Value Assurance Report (BVAR) • Update on recommendations, Audit Scotland Annual Audit Report (AAR) - October 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att98619.pdf • Update on recommendations, Audit Scotland Annual Audit Report (AAR) - December 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att97492.pdf • Update on recommendations, Audit Scotland interim Management Report - June 2021 https://mars.northlanarkshire.gov.uk/egenda/images/att96423.pdf • Update on recommendations - March 2020 https://mars.northlanarkshire.gov.uk/egenda/images/att93589.pdf • Update on recommendations - September 2019 https://mars.northlanarkshire.gov.uk/egenda/images/att91818.pdf • Council meeting to formally present the BVAR findings - June 2019: https://mars.northlanarkshire.gov.uk/egenda/images/att91268.pdf • Council website: https://www.northlanarkshire.gov.uk/your-council/performance-of- the-council/best-value/national-audit-results Latest version: October 2022 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 Chief Executive / Chief Officer (Business and Digital) ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
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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 update in terms of the eight BVAR recommendations (four of which were confirmed by Audit Scotland as complete). The AAR in October 2022 confirmed a further two more recommendations were complete. RAG: 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 2022/23 - September 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att98467.pdf • Internal Audit annual plan 2021/22 - June 2021 https://mars.northlanarkshire.gov.uk/egenda/images/att96320.pdf • Internal Audit annual plan 2020/21 - September 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att94145.pdf • Internal Audit annual report 2021/22 (and annual opinion) - September 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att98464.pdf • Internal Audit annual report 2020/21 (and annual opinion) - June 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96327.pdf • Internal Audit annual report 2019/20 (and annual opinion) - September 2020 https://mars.northlanarkshire.gov.uk/egenda/images/att94146.pdf Latest version: Recurring function Review timeframe: Annual Assessment: The annual Internal Audit report provides an update on compliance with corporate governance and is a key item of evidence for the Annual Governance Statement. Various audit outputs are a standing item on the Audit and Scrutiny Panel agenda during 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 4 of 2023. RAG: Chief Officer (Audit and Risk) ✓ ✓ ✓ Corporate governance audits • Audit on corporate governance principles C and D - May 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att100378.pdf • Audit on corporate governance principles A and B - March 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att96559.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 C and D - September 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att94112.pdf • Audit on corporate governance, principles A and B - March 2019: https://mars.northlanarkshire.gov.uk/egenda/images/att89965.pdf • Internal Audit annual report 2021/22 (and annual opinion) - September 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att98464.pdf • Internal Audit annual report 2020/21 (and annual opinion) - June 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96327.pdf • Internal Audit annual report 2019/20 (and annual opinion) - September 2020 https://mars.northlanarkshire.gov.uk/egenda/images/att94146.pdf Latest version: May 2023 Review timeframe: Annual Assessment: The Chief Officer (Audit and Risk) Internal Audit annual reports for 2019/20, 2020/21, 2021/22 and 2022/23 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. An Internal Audit is undertaken on an annual basis that focuses on specific principles of corporate governance. Findings and areas for improvement in this respect are reported to the Audit and Scrutiny Panel. RAG: Chief Officer (Audit and Risk) ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ External auditor’s annual audit report (AAR) The Accounts Commission have appointed Audit Scotland as the council’s appointed external auditor. Expected outputs to be produced by the council’s external auditors are outlined each year in their annual planning document. The external auditor is required to annually prepare a report for Elected Members and the Controller of Audit summarising the audit work done and presenting the main findings arising from the audit. The external auditor’s report presents key matters arising from each of the main areas of work undertaken by the external auditor, including the audit of the financial statements and issues relating to the council’s financial management, financial sustainability, governance and best value arrangements. • Final for 2021/22 published by Audit Scotland December 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 • Draft for 2021/22 at Audit and Scrutiny Panel - October 2022 https://mars.northlanarkshire.gov.uk/egenda/images/att98619.pdf • Draft for 2020/21 at Audit and Scrutiny Panel - December 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att97492.pdf Latest version: October 2022 Review timeframe: Annual Assessment: Draft Annual Audit Report (AAR) for the council was considered by the Audit and Scrutiny Panel in October 2022 with the final version for the council published on the Audit Scotland website in December 2022, and the IJB in March 2023. RAG: Chief Officer (Business and Digital) / Chief Officer (Finance) / Chief Officer (Audit and Risk) ✓ ✓ ✓ ✓ ALEOs’ governance and risk management oversight and assurance The council’s five arm’s length external organisations (ALEOs) complete an annual Certificate of Assurance and update the accompanying Checklist to support the preparation of the council’s statements on corporate governance and internal financial control. Latest version: February 2023 Review timeframe: Six monthly. 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 Chief Officer (Business and Digital) ✓ ✓ ✓ ✓ ✓ ✓
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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 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 each ALEO. • Latest - February 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att99770.pdf 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 February 2023. Six monthly reports are scheduled to be submitted in cycle 3 of 2023 and cycle 1 of 2024. RAG: 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 2021/22, February 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att99827.pdf • 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 Communities Committee in February 2023 provides an update on activity to strengthen governance arrangements within the North Lanarkshire Community Planning Partnership Board 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: Chief Officer (Business and Digital) ✓ ✓ ✓ ✓ ✓ ✓ ✓ Community Boards • Community Boards and partnership communication strategy - March 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att100487.pdf • Community Boards - progress update - August 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96642.pdf • Establishment of Community Boards - March 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att93588.pdf • Community Matters - a framework for working with communities - August 2019: https://mars.northlanarkshire.gov.uk/egenda/images/att91527.pdf Community Board information and dates of meetings on the council’s website - last updated April 2023: 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: March 2023 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. A report providing an update on the work of the Community Boards and the partnership communication strategy is submitted to the Communities Committee each cycle. A review of corporate governance by Internal Audit in 2021 recommended that, after allowing a sufficient period of time for the model and individual Boards to become established, a formal review (or self-assessment) of the effectiveness of the Community Boards should be undertaken. This work was combined with a self-evaluation of the Strategic Leadership Board and an update provided to the Audit and Scrutiny Panel in May 2023 [https://mars.northlanarkshire.gov.uk/egenda/image s/att100378.pdf ] with an expected completion date of September 2023. RAG: Chief Officer (Strategic Communication and Engagement) ✓ ✓ ✓ ✓ ✓ ✓ 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. A review of the council’s Boards and working groups is currently underway during 2023/24 in line with the work to develop delivery plans for the new Programme of Work to 2028. RAG: Chief Officers ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ 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 Chief Officer (Legal and Democratic) is the Single Point of Contact (SPOC) for the council’s working group as well as the Lanarkshire multi-agency group. Assessment: A process is established through the Chief Officer (Legal and Democratic) ✓ ✓ ✓ ✓ ✓
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39 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. SPOC to ensure ongoing review of all controls either in place or assessed as being necessary. This is particularly important given the ever changing and developing environment in which these risks operate. A specific review on the council’s activities and measures to safeguard against serious organised crime and terrorism attacks was undertaken during 2022 and the outcome was reported to the Policy and Strategy Committee in September 2022 [ https://mars.northlanarkshire.gov.uk/egenda/public/k ab190.pl?cmte=PSC&meet=21 ]. This work continues to be undertaken throughout each year and will be reported on an annual basis, with the next report scheduled to be submitted to the Policy and Strategy Committee in September 2023. RAG: Corporate Resilience Plan Dedicated section on InsideNL for business continuity and disaster recovery: • Corporate Resilience Plan - June 2021, this is available on InsideNL: Corporate Resilience Plan.pdf • Committee update - November 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att99191.pdf • Committee update - November 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att97157.pdf Latest version: June 2021 Review timeframe: As required. Assessment: An annual update in respect of the Corporate Resilience Plan was reported to committee in November 2022. RAG: Chief Officer (Community Operations) ✓ ✓ ✓ ✓ 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 Chief Officer (Community Operations). Assessment: Effectiveness of the group is reviewed in line with the council’s Corporate Resilience Plan. RAG: Chief Officer (Community Operations) ✓ ✓ ✓ ✓ 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 InsideNL - October 2021: Business Continuity Documentation • Annual assurance return / business continuity guidance notes are available on InsideNL: Business Continuity Documentation 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. Chief Officers are required to review and update their Business Continuity Plans annually. Chief Officers are also required to complete a business continuity annual assurance return. An Internal Audit was undertaken on Business Continuity Planning in September 2022 [ https://mars.northlanarkshire.gov.uk/egenda/images /att98345.pdf ]. This identified recommendations for action which included improvements to the current framework for documenting individual services’ Business Continuity / Disaster Recovery arrangements to enhance the quality and completeness of the corresponding plans, a more robust and formalised review process for corporate and individual services’ business continuity and disaster recovery arrangements, and consistently undertaking formal testing of business continuity and/or disaster recovery arrangements. These improvement are expected to be fully implemented by September 2023. RAG: Chief Officer (Community Operations) ✓ ✓ ✓ ✓ Power Resilience Strategy Black Start event is the name for the recovery process following a complete (or partial) shutdown of the Great Britain electricity system (National Electricity Transmissions Failure) where the planning assumption is that full power restoration could take up to seven days. The planning arrangements for such a recovery process are described Latest version: February 2023 Review timeframe: Review scheduled for December 2023. Assessment: The aim of the Power Resilience Strategy is to provide a framework for, and to enhance, the council’s power resilience Chief Officer (Community Operations) ✓ ✓ ✓ ✓
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40 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 under the term Power Resilience. Within the last United Kingdom Government National Risk Assessment, Black Start is rated as a medium likelihood with significant impacts. Although the council has well documented and comprehensive business continuity planning measures in place, all of these are based on the assumption that there will be a national power supply available. As a consequence, the Scottish Government requested that in addition to normal business continuity arrangements all public bodies should also have a stand-alone Power Resilience Strategy which would be enacted in the event of any failure of the national grid system. A Power Resilience Strategy was developed for the council and approved at committee in February 2023: https://mars.northlanarkshire.gov.uk/egenda/images/att99880.pdf arrangements. RAG: 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 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 ✓ ✓ ✓ ✓ ✓ Leadership and Operating Model The Leadership and Operating Model aims to ensure a unified approach to maintain effective management, operation, and governance structures within each Hub. The model aims to ensure that Town and Community Hubs operate as a single entity and support a much wider integrated community offer - with communities having more direct access to the services they need and staff closer to the communities they work in. This unified approach puts communities at the heart of the council’s model and seeks to ensure everyone is given equality of opportunity and individuals are supported, encouraged, and cared for at each key stage of their life. Latest version: March 2023 Review timeframe: Annual Assessment: A three phased approach to the model over a 10 year period was initially approved in December 2021. A report submitted to the Policy and Strategy Committee in March 2023 outlined what had been delivered in phase one and set out a 2-year plan for phase two as an integrated provision that depends on strategic alignment between projects and programmes delivering against The Plan for North Lanarkshire. At this time approval was granted on the 2-year plan in order to move towards the longer term operating model. RAG: Chief Officer (Education) ✓ ✓ ✓ ✓ ✓ 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. • Update, February 2022: https://mars.northlanarkshire.gov.uk/egenda/images/att97633.pdf • February 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att95704.pdf Latest version: February 2022 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: Chief Officer (Place) ✓ ✓ ✓ ✓ ✓
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41 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 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: Chief Officer (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 Tenant Participation Strategy 2020-25 (Involving Tenants - Improving Services) replaces the previous strategy and is the main source of information regarding tenant participation; it outlines opportunities to participate in the monitoring and development of the housing service. The aim of this strategy is to continue to develop and improve how the council communicates with tenants and residents and ensure opportunities are provided for participation and involvement that are accessible to all. • Tenant Participation Strategy on the council’s website: Involving Tenants - Improving Services • Update on implementation - September 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96710.pdf • February 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att93095.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. This strategy is also available on the council’s website.. RAG: Chief Officer (Housing Management) ✓ ✓ ✓ 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: 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 an induction process. Assessment: Report to committee in March 2022 concluded on the review of the governance and induction and training arrangements. A full programme for the induction of Elected Members commenced immediately following the Council elections in early May and was timetabled to run for approximately 6 weeks. The take-up by Elected Members was low, and a downward trend of attendance was experienced. The Chief Executive took the decision to terminate the programme with the proviso that important aspects and subjects would be incorporated into the ongoing Elected Members training and development programme. The training and development programme is up and running with a number of sessions already completed and more planned going forward; each session is dedicated to a specific topic. This programme will continue for the duration of the council term. RAG: Chief Officer (People Resources) / Chief Officer (Legal and Democratic) ✓ ✓ ✓ ✓ ✓ Elected Members training and development LearnNL provides an online portal for all Elected Members training and development needs, as well as an induction programme for new Elected Members. 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: Chief Officer (People Resources) / Chief Officer (Legal and Democratic) ✓ ✓ ✓ ✓ ✓ 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. Latest version: March 2017 Review timeframe: As required. Assessment: As per an Internal Audit Corporate Governance report to the Audit and Scrutiny Panel Chief Officer (People Resources) ✓ ✓ ✓ ✓
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42 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://mars.northlanarkshire.gov.uk/egenda/images/att85835.pdf in May 2023 [ https://mars.northlanarkshire.gov.uk/egenda/images /att100378.pdf ], the PRD process has been reviewed and the Learn NL system functionality has been enabled to allow staff to record their PRD conversations. Following an initial pilot of the new system earlier in the year, a report was considered by the BMT in May 2023 to agree the full roll out and launch of the PRD process and supporting system. Full promotion of the new approach will be undertaken as part of learning at work week in June 2023, with further engagement and training available to support wider adoption after the launch. RAG: Employee training and development LearnNL provides an online portal for all employee training and development needs, as well as an induction programme for new staff. 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). The mandatory e-learning module in respect of the employee code of conduct was incorporated into LearnNL in April 2023. RAG: Chief Officer (People Resources) ✓ ✓ ✓ ✓ Workwell NL Available to all employees, this platform provides benefits and discounts, health and well-being support, and learning and development opportunities. This is available through the following portal: https://workwellnl.co.uk/ 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. The council’s Mental Health and Wellbeing Strategy was updated and approved by CMT in October 2022 to incorporate service based mental health and wellbeing groups. A fuller updated on this work is scheduled to be provided to the Wellbeing and Tackling Poverty Committee in cycle 4 of 2023. RAG: Chief Officer (People Resources) ✓ ✓ ✓ ✓ 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. • December 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att97423.pdf • May 2021: https://mars.northlanarkshire.gov.uk/egenda/images/att96130.pdf • September 2020: https://mars.northlanarkshire.gov.uk/egenda/images/att94474.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. An interim Investors of People survey is being carried out during May and June 2023, with results scheduled to be reported to committee in September 2023. RAG: Chief Officer (People Resources) ✓ ✓ ✓ ✓