Agenda Document Pack - Policy and Strategy Committee - 06/06/2024
North Lanarkshire Council · 6 June 2024
Back to Policy and Strategy Committee — 6 June 2024 and its agenda
Text extracted from the council's PDF. Layout and reading order may differ from the original.
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28 May 2024 Members of the Policy and Strategy Committee Chief Executive’s Office Archie Aitken Chief Officer (Legal & Democratic) Civic Centre, Windmillhill Street, Motherwell ML1 1AB www.northlanarkshire.gov.uk Notice is given that a Meeting of the Policy and Strategy Committee is to be held in the Council Chamber, Civic Centre, Windmillhill Street, Motherwell, ML1 1AB on Thursday, 06 June 2024 at 14:00 PM which you are requested to attend. The agenda of business is attached. Archie Aitken Chief Officer (Legal & Democratic) Members : Clerk Name: Lesley Dysart Clerk Telephone: Clerk Email: dysartl@northlan.gov.uk J Logue, L Roarty, C Barclay, A Beveridge, H Brannan-McVey, A Bustard, T Carragher, C Costello, P Di Mascio, K Duffy, T Fisher, D Johnston, K Larson, J Leckie, G Lennon, H Loughran, A Masterton, M McBride, L Nolan, G Robinson, A Smith, K Stevenson, A Stubbs, S Watson, G Woods. Page 1 of 166
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Agenda 1 Declarations of Interest In Terms of the Ethical Standards In Public Life Etc. (Scotland) Act 2000 2 Policy and Strategy Committee Terms of Reference Submit a copy of the remit/delegated functions of the Committee following agreement of this Committee of 7 December 2023 5 - 6 3 Minutes 3(a) Appointments Sub-Committee Minutes of 19 February and 8 March 2024 Submit Minutes of the Meetings of the Appointments Sub-Committee of 19 February, and 8 March 2024 7 - 10 3(b) Minute of the Audit and Scrutiny Panel of 26 February 2024 Submit Minute of the Meeting of the Audit and Scrutiny Panel of 26 February 2024 11 - 20 Financial 4 5 Year Medium Term Financial Plan 2025/26 to 2029/30 and Revenue Budget Strategy Submit report by the Chief Officer (Finance) providing an update on the five-year medium term financial forecast to 2029/30, which will be kept under review with further updated financial Outlooks reported in line with the Revenue Budget Framework outlined within the report 21 - 44 Operational 5 Open Space Strategy Update Submit report by the Chief Officer (Place) providing an update on the progress of the Open Space Strategy 45 - 52 Page 3 of 166
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6 Community Use of Council Assets Submit report by the Chief Officer (Strategic Communications and Engagement) seeking approval of the Community Ownership and Management of Council-Owned Assets Policy, and associated developments to assist in the better use of assets by community groups, whether through formal Community Asset Transfer or other mechanism 53 - 88 7 Communications and Engagement Strategy Report Submit report by the Chief Officer (Strategic Communications and Engagement) seeking approval of the Communications and Engagement Strategy 89 - 108 8 Leadership and Operating Model Submit report by the Chief Officer (Strategic Communications and Engagement) (1) setting out the progress made to date against the Leadership and Operating Model phased transition plan previously approved by Policy and Strategy Committee on 16th March 2023, and (2) seeking approval of the direction of the programme in phase 2 aligned to the Plan for NL programme of work, as summarised in next steps, and illustrated in Appendix 3 of the report 109 - 128 9 One Workforce - Summer Placement Programme Submit report by the Chief Officer (People Resources) (1) acknowledging the success of the pilot programme in 2023 and its contribution to building the Council's next generation workforce, and (2) providing an update of the summer placement programme for 2024 which will offer 112 paid placements to young people in North Lanarkshire 129 - 138 10 Annual Review of Whistleblowing Submit report by the Chief Officer (Legal and Democratic) informing that the annual review of the Whistleblowing Procedure has been undertaken 139 - 152 11 Code of Conduct for Chief Officers Submit report by the Chief Officer (Legal and Democratic) seeking approval of the revised Code of Conduct for Chief Officers 153 - 166 Page 4 of 166
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POLICY AND STRATEGY COMMITTEE (1) To plan, set targets for, and monitor the performance of all services within the remit of this Committee. (2) To guide the Council in the formulation of its policy objectives and priorities and, for this purpose, to consider the broad social and economic needs of the Authority and matters of comprehensive importance to the area including the Business Plans and Strategies for North Lanarkshire, and to recommend to the Council such forward programmes and other steps as may be necessary to achieve those objectives. (3) To consider, whether following reference by another Committee or otherwise, new policies or changes in policy which may have significant impact on the policy and plans of the Council. (4) To prepare, implement and keep under continuous review such forward programmes as the Committee considers necessary to achieve the Council's long term aims and objectives. (5) To consider matters concerned with the structure and organisation of Local Government generally, including arrangements concerning relations with the Scottish Parliament and the Convention of Scottish Local Authorities except where those fall within the operational responsibilities of another Committee. (6) * To prepare and review Standing Orders for the conduct of Meetings and the Scheme of Administration of Council Business. (7) To consider electoral registration and all matters relating to the election of Councillors and Scottish, United Kingdom and European elections including, inter alia, alteration of electoral divisions and polling districts and the provision of polling stations and review of boundaries and electoral arrangements. (8) * To oversee arrangements in relation to the Council’s corporate planning process including development and review of the Business Plans and/or Strategies. (9) * To oversee the development, co-ordination and monitoring of the Plan for North Lanarkshire. (10) To provide information concerning the activities of the Council and to consider matters of public relations. (11) * To consider matters relating to allowances for Members. (12) To advise and represent the Council relative to Police and Fire matters. (13) * To oversee arrangements made to secure that the functions of the Council are carried out with due regard to the need to meet the requirements of the law for the time being related to equalities and equal opportunities and to advise the Council generally on its policies with regard thereto so as to promote equality of opportunity among the residents of North Lanarkshire and users of the Council’s services. (14) To supervise the activities of the Council, including the deployment of resources, in the event of any emergency, as such may be defined by the Chief Executive. (15) To examine on behalf of the Council the ALEOs’ strategies, policies and future plans. Item 2 Page 5 of 166
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(16) To monitor and approve expenditure falling within the remit of this Committee consistent with approved Council objectives. (17) To periodically review ALEOs to ensure that they remain the best option for service delivery and represent best value in delivering against the relevant Council priorities and objectives, and to determine on behalf of the Council, all recommendations within such reports. (18) To deal with any matters contained within the Terms of Reference of any Sub-Committee of the Policy and Strategy Committee. (19) To grant authority to Members to attend seminars, conferences and other visits concerning matters within the areas of responsibility of this Committee. (20) To accept tenders for previously approved projects within the responsibility of this Committee. (21) To consider all reports submitted by the Audit and Scrutiny Panel and to determine, on behalf of the Council, all recommendations contained in all such reports. (22) To consider and agree action in relation to petitions received by the Council relative to the business of the Committee. (23) To oversee the operation of the Chief Executive's Office. (24) To deal, on behalf of the Council, with any matter of urgency. (25) To deal with all matters not otherwise within the area of responsibility of another Committee. (26) To guide the design, development and implementation of the Council’s transformational policy programme and projects. (27) To approve and then oversee the delivery of the Council’s transformational and digitisation programmes and projects, specifically:- • to initiate projects with a supporting business case, as appropriate; • to monitor progress against the Council’s Transformation Plan, and specific projects, and agree the reporting arrangements that will be necessary to gain assurance on delivery; • to monitor progress against the standard and associated benefits realisation, and • to monitor and authorise changes to the scope and timing of projects included within the Transformation Plan. (28) To consider, agree and monitor delivery of the Council’s investment plan for the Shared Prosperity Fund. Page 6 of 166
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APPOINTMENTS SUB - 19 FEBRUARY 2024 1 19 February 2024 at 2.00 pm. A Meeting of the APPOINTMENTS SUB-COMMITTEE PRESENT Councillor Logue, Convener; Councillor Roarty, Vice-Convener; Councillors Carragher, Fisher, Smith and Watson. ALSO PRESENT In accordance with Standing Order 64(A) Councillors Hume and Robinson attended as substitutes for Councillors Lennon and Thomas respectively. CHAIR Councillor Logue (Convener) presided. IN ATTENDANCE Depute Chief Executive; Chief Officer (People Resources), and Democratic Services Manager. APOLOGIES Councillors Lennon, Thomas and Williams. DECLARATIONS OF INTEREST IN TERMS OF THE ETHICAL STANDARDS IN PUBLIC LIFE ETC. (SCOTLAND) ACT 2000 1. The Sub-Committee noted that there were no declarations of interest. It was agreed in terms of Section 50A(4) of the Local Government (Scotland) Act 1973, that the public be excluded from the meeting for the following item on the grounds that the business involved the likely disclosure of exempt information as defined in paragraph 1 of Part 1 of Schedule 7A of the Act. POST OF CHIEF OFFICER (EDUCATION – NORTH) – RECRUITMENT PACK 2. There was submitted a recruitment pack which had been provided to applicants and made available via the myjobscotland recruitment portal. Thereon, the Chief Officer (People Resources) provided an overview of the skills, experience and knowledge demonstrated in each application forms. There was submitted application forms received in respect of the post of Chief Officer (Education – North). Decided: that applicants 6, 8, 9, 12, 15 and 17 proceed to interview. Item 3(a) Page 7 of 166
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APPOINTMENTS SUB - 19 FEBRUARY 2024 2 ARRANGEMENT FOR INTERVIEWS 3. The Sub-Committee considered the appropriate arrangements for the interview of candidates. Decided: (1) that a pre-meeting take place on Thursday, 7 March 2024 at 2 pm, and (2) that interviews take place on Friday, 8 March 2024. Page 8 of 166
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APPOINTMENTS SUB - 8 MARCH 2024 1 8 March 2024 at 9.15 am. A Meeting of the APPOINTMENTS SUB-COMMITTEE PRESENT Councillor Logue, Convener; Councillor Roarty, Vice-Convener; Councillors Carragher, Fisher, Smith and Watson. ALSO PRESENT In accordance with Standing Order 64(A) Councillors Hume and Robinson attended as substitutes for Councillors Lennon and Thomas respectively. CHAIR Councillor Logue (Convener) presided. IN ATTENDANCE Depute Chief Executive. APOLOGIES Councillors Lennon, Thomas and Williams POST OF CHIEF OFFICER (EDUCATION - SOUTH) 1. There were submitted the recruitment pack and application forms for each candidate to be interviewed in relation to the post of Chief Officer (Education – South). Decided: that candidate 12 be offered the post of Chief Officer (Education – South). Page 9 of 166
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AUDIT AND SCRUTINY PANEL - 26 FEBRUARY 2024 1 26 February 2024 at 10 am. A Meeting of the AUDIT AND SCRUTINY PANEL PRESENT Councillor Watson, Convener; Councillors Brannan-McVey, Fisher, Hughes, Hume, D. Johnston, B. McCulloch, McLaren and Robinson. CHAIR Councillor Watson (Convener) presided. IN ATTENDANCE Chief Officer (Audit and Risk); Chief Officer (Business and Digital); Chief Officer (Education – North); Business Strategy Manager; Strategy and Performance Manager; Principal Auditor, and Democratic Services Manager. ALSO IN ATTENDANCE J. Boyd, K. Graham and P. Murray, Audit Scotland. APOLOGIES Councillors Dunbar and Leckie. DECLARATIONS OF INTEREST IN TERMS OF THE ETHICAL STANDARDS IN PUBLIC LIFE ETC. (SCOTLAND) ACT 2000 1. There were no declarations of interest. UPDATE ON SCHOOL FUNDS AND SCHOOL TRIPS 2. There was submitted a report by the Chief Officer (Education – North) (1) responding to the request made by the Panel to provide a report for management following the Panel’s consideration at its meeting in November 2023 of two separate Internal Audit reports on school excursions and management of school funds; (2) reminding the Panel that, during its consideration of these reports, a number of issues had been highlighted on which it sought information from the Service in order to gain assurance that the weaknesses identified were being appropriately addressed; (3) reiterating the reviews previously undertaken by Internal Audit relevant to this matter and the subsequent actions which had been taken by the Service in response; (4) detailing a number of future planned actions together with appropriate timescales, and (5) attaching, as an Appendix to the report, the summary of relevant Internal Audit assignments. During consideration of the report, Panel members raised a number of questions which were responded to by appropriate Officers, namely (a) timescale to implement the new framework; (b) clarification on whether the primary or secondary sector presented a greater risk to the Service; (c) confirmation that previous and existing practices had been halted pending introduction of the new processes; (d) that links should be made with the Council’s procurement service to ensure that best value can be achieved for school trips and excursions; (f) confirmation on which Officers will provide approval for trips and excursions, and (g) details of the engagement with head teachers on this matter. Item 3(b) Page 11 of 166
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AUDIT AND SCRUTINY PANEL - 26 FEBRUARY 2024 2 Decided: (1) that the findings, conclusions and recommendations of completed Internal Audit reports, together with the associated management responses, be noted; (2) that it is considered that there are no issues raised by Internal Audit which the Panel considers are sufficiently significant to require a further report from management to be submitted to a future meeting of the Panel; (3) that Internal Audit provide a report to future meetings of the Panel, reporting progress made in the implementation of agreed management actions in relation to all audit recommendations categorised as High or Medium, and (4) that the contents of the report be otherwise noted. AUDIT SCOTLAND ANNUAL AUDIT PLAN 2023-24 3. There was submitted a report by the Chief Officer (Audit and Risk) providing the Panel with sight of the Annual Audit Plan 2023/24 which had been received from Audit Scotland, the Council’s appointed external auditors; (2) attaching, as an Appendix to the report, the Audit Scotland Annual Audit Plan which provides an overview of key issues arising from the audit planning process including (a) a summary of the proposed audit approach; (b) that wider scope audit work will be carried out, and (c) a timetable for key audit outputs, and (3) noting that good professional practice requires the external auditor to communicate and discuss planned external audit activity with the senior management and with those elected Members charged with governance matters. Thereon, J. Boyd, Audit Scotland, spoke to the Audit Scotland Annual Audit Plan and responded to a number of questions from Members of the Panel. Decided: that the Annual Audit Plan by Audit Scotland, together with the oral presentation provided by Audit Scotland, regarding its planned audit approach to the 2023-24 audit of the Council, be noted. AUDIT AND RISK-RELATED ITEMS: ACTION LOG 4. There was submitted a report by the Chief Officer (Audit and Risk) enabling the Panel to track implementation of requests and recommendations made by it in respect of Aduit and Risk related items in the previous 18 months, with the action log, attached as an Appendix to the report, recording those requests and recommendations made by the Panel, and when these had been addressed and/or were expected to be addressed. Decided: that the contents of the report be noted. INTERNAL AUDIT PROGRESS REPORT 5. There was submitted a report by the Chief Officer (Audit and Risk) (1) providing an overview of Internal Audit activity; (2) reporting the results of the Internal Audit outputs finalised since the last update to the Panel in November 2023; (3) highlighting the most significant issues arising from the completed audit work; (4) updating the Panel on other aspects of the work of Internal Audit, and (5) attaching, as an Appendix to the report, a brief summary of the scope and key findings of each substantive planned audit, together with a summary pack containing copies of those reports. Page 12 of 166
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AUDIT AND SCRUTINY PANEL - 26 FEBRUARY 2024 3 During consideration of the matter, the Panel expressed the view that it required to have continued awareness in respect of the matter of school funds management and sought assurance on how this could be achieved and timescales for reporting back to the Panel. The Chief Officer (Audit and Risk) advised that he would be monitoring the Service’s compliance in respect of this matter during the first year of implementation of the new processes and would report back to the Panel at an early stage, most likely to be after the Summer period 2024. Decided: (1) that the findings, conclusions and recommendations of completed Internal Audit reports, together with the associated management responses, be noted; (2) that Internal Audit provide a report to future meetings of the Panel on progress made by management in implementing agreed management actions in relation to all audit recommendations categorised as high or medium; (3) that a report be brought back to the Panel post-Summer 2024 in relation to the effectiveness of the Service’s compliance monitoring of the implementation of new processes in respect of school funds management, and (4) that the contents of the report be otherwise noted. INTERNAL AUDIT: FOLLOW-UP OF ACTIONS PREVIOUSLY AGREED BY MANAGEMENT IN RESPONSE TO AUDIT RECOMMENDATIONS 6. There was submitted a report by the Chief Officer (Audit and Risk) (1) detailing the extent to which management had implemented actions previously committed to in response to recommendations contained within Internal Audit reports, where those actions were due to be completed by the end of December 2023; (2) advising that Internal Audit had concluded that 18 of the 35 actions agreed in response to relevant Internal Audit recommendations during the period had been fully completed, with 17 having been assessed as partially implemented; (3) explaining that of the 11 actions due in respect of external outputs, 5 had been completed, 5 were not yet due and 1 was considered no longer relevant; (4) attaching, as an Appendix to the report, a commentary from management with details of proposed management actions, together with the revised target dates for completion of those outstanding audit recommendations where Internal Audit had assessed the residual risk as high or medium, and (5) attaching, as Appendices to the report, (a) Internal Audit recommendations: management actions assessed as not yet completed in this cycle; (b) residual risk rating definition, and (c) outstanding Internal Audit recommendations at the February cycle where the revised implementation date was not yet due. During consideration of this item, concerns were expressed by the Panel in relation to the robustness and resilience of the general control environment in relation to payroll which continued to demonstrate weaknesses and/or areas requiring improvement and the Panel sought an explanation of the issue. Following a response from Officers it was agreed that a review of this matter, specifically in relation to the performance of the Midland HR software application, used for payroll controls and future plans surrounding this, be incorporated into the Scrutiny Work Programme. Additionally, a request was made by the Panel that reference numbers be attached to each item within the report to enable elected Members to better track the progress of the management actions between Panel meetings. The Chief Officer (Audit and Risk) advised that he would seek to address this concern. Decided: (1) that the contents of the report be noted Page 13 of 166
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AUDIT AND SCRUTINY PANEL - 26 FEBRUARY 2024 4 (2) that the recommendations made by Internal Audit at Appendix 1 to the report be noted; (3) that the updates provided by management at Appendix 2 to the report be noted, and (4) that a review of payroll controls, particularly relating to the software used, be incorporated into the Scrutiny Work Programme. ACCOUNTS COMMISSION: LOCAL GOVERNMENT FINANCIAL BULLETIN 2022-23 7. There was submitted a report by the Chief Officer (Audit and Risk) (1) presenting to the Panel the Accounts Commission Local Government Financial Bulletin 2022-23 which had been published in January 2024; (2) attaching, as an Appendix to the report, the report by the Accounts Commission which presents its considerations of the financial performance of councils in 2022-23, together with a commentary on the financial outlook for local government and issues arising; (3) highlighting that effective financial management within councils is crucial as budget gaps increase; (4) commenting that councils continue to rely on savings, reserves and other financial flexibilities to balance budgets which helps with immediate budget pressures but defers costs to later years and fails to tackle underlying challenges to financial sustainability; (5) highlighting that, despite more core funding from the Scottish Government for 2023-24, there was a significant increase in councils’ total funding gap due to pressures including increased demand for services, inflation and the cost-of-living; (6) noting that some Councils have experienced opposition from within their communities when seeking to reduce services to balance budgets which they consider re-enforces the need for frank consultation and engagement with communities when planning change, and (7) indicating that the report by the Accounts Commission contains a small number of audit recommendations and the management responses to these are included in the report by the Chief Officer (Audit and Risk). During consideration of this matter, commentary was sought by the Panel in relation to the information made available to Members in relation to the Council’s Reserves Policy and the use of reserves with Officers responding that this was a question best raised at the Finance and Resources Committee and it was further clarified that a meeting of that Committee would be taking place later that week and that this item was also on the agenda for that meeting. Decided: (1) that the findings and recommendations contained within the Accounts Commission report, and the management response to the issues raised, be noted; (2) that it be noted that financial sustainability remains a key corporate risk with relevant and existing controls, and the future planned actions, subject to regular review by the Council’s senior management, and (3) that, given the scope of the Accounts Commission report, the report be remitted to the Finance and Resources Committee for its consideration. RISK MANAGEMENT UPDATE 8. There was submitted a report by the Chief Officer (Audit and Risk) (1) providing an update on key risk management developments, and changes in relation to the Corporate Risk Register and other key risk management developments since the last update to the Panel in November 2023; (2) providing a particular focus on changes to corporate risk scores, new or emerging risk issues and a snapshot of the highest current residual risks within Service Risk Registers; (3) explaining that the Corporate Risk Register is formally reviewed annually to ensure completeness and continuing alignment to the Council’s strategic objectives, The Plan for North Lanarkshire and that the associated Programme of Work and the improved Corporate Risk Register for 2023-24 had been presented to the Panel in September 2023; (4) explaining that the Corporate Risk Register is also continually reviewed during Page 14 of 166
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AUDIT AND SCRUTINY PANEL - 26 FEBRUARY 2024 5 the year to ensure it remains valid and up to date and properly reflects new and emerging risks and changes to existing risks; (5) noting that all corporate risks identified and agreed as meriting inclusion in the Corporate Risk Register are subject to regular monitoring and review by relevant senior management, and periodic review and consideration of individual risks by both the Corporate Management Team and the Panel in line with their respective governance roles; (6) highlighting that a small number of additions, deletions and changes to scores had been made to risks included in the Corporate Risk Register with these being detailed within the report, and (7) attaching, as Appendices to the report (a) the 2023-24 Corporate Risk Register, and (b) Service risks with the highest residual scores. During consideration of the report, Councillor McLaren, in his role as Convener of the Regulatory Committee, expressed his concern regarding fire safety inspections at stadia located within North Lanarkshire and that the Scottish Fire and Rescue Service no longer undertake these checks. The Chief Officer (Audit and Risk) advised that he would consult with relevant colleagues and respond directly to the Member. Further, the Panel sought clarification on whether the ongoing investigation into one of the Council’s strategic partners had been added to the Corporate Risk Register as the outcome of that investigation would be critical to decisions about the future service delivery. The Chief Officer (Audit and Risk) advised that it had not been formally added to the Corporate Risk Register but a number of internal groups were reviewing what the possible outcomes and implications, and the impacts, of the investigation might be for the Council and future service delivery. Finally, confirmation was sought as to whether the rationale for changes to risk scores within the Corporate Risk Register were documented and whether elected Members could have access to that documentation. The Chief Officer (Audit and Risk) explained the purpose of deep dive documents and the scoring process incorporated within them and advised that these could be provided to elected Members if they so wished. Decided: (1) that the current scoring for risks on the Corporate Risk Register for 2023-24, attached as Appendix 1 to the report, be noted, and (2) that the information contained within the report in respect of risk management arrangements in relation to corporate risks and risks within Services be noted. SCRUTINY WORK PROGRAMME - UPDATE 9. There was submitted a report by the Chief Officer (Business and Digital) (1) explaining that the report followed on from the initial report in February 2023 which had set out the work programme for the scrutiny function of the Panel which comprises (a) items, functions or activities requiring scrutiny identified and submitted by the Panel and considered through the assessment and prioritisation process, and (b) the presentation of information and reports aligned to the long-term vision set out in The Plan for North Lanarkshire and its supporting strategic frameworks; (2) reminding the Panel that a subsequent mid-year report, in September 2023, had been considered by it and this had provided an update in terms of the Scrutiny Work Programme and all related reports scheduled to be presented to the Panel during each cycle of 2023/24, with the report also setting out a commitment to provide a six-monthly update to the Panel thereafter; (3) explaining that the approach detailed in the report aims to ensure that the Council fulfils both (a) its statutory best value duty, and (b) the principles of good corporate governance, and (4) attaching, as Appendices to the report, (a) the approach to scrutiny led by members of the Panel; (b) the assessment and prioritisation process, and (c) the composite Scrutiny Work Programme with a timetable of reports to Panel meetings – 2024-2025 (as at January 2024). During consideration of this matter Councillor Robinson requested that a review of outside bodies be added to the Scrutiny Work Programme together with a review on the effectiveness of Community Boards. The Chief Officer (Audit and Risk) advised that a self-assessment on Community Boards had Page 15 of 166
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AUDIT AND SCRUTINY PANEL - 26 FEBRUARY 2024 6 been undertaken in 2023 and that this had been reported to the North Lanarkshire Strategic Leadership Board and had included a number of recommendations which Officers were currently considering. Officers thereafter proposed that a report from the Chief Officer (Strategic Communication and Engagement) might be of use to the Panel and would seek that the Officer present a report in due course. Finally, it was proposed that, in respect of the review of outside bodies, a meeting take place between Councillor Robinson, the Chief Officer (Legal and Democratic) and the Business Strategy Manager to discuss this matter and to establish what the scope of such a review would be. Decided: (1) that the six-monthly updates to the composite Scrutiny Work Programme, and the reporting timetable for the scrutiny function of the Panel, as set out in Appendix 3 to the report, be noted; (2) that the role of Panel members in identifying potential issues for inclusion in the Scrutiny Work Programme in line with the assessment and prioritisation process, attached as Appendix 2 to the report, and the overall approach, detailed in Appendix 1 to the report, be endorsed, and (3) that the Panel continues to carry out its scrutiny role in reviewing and challenging performance to ensure that the Council fulfils its statutory best value duty. STRATEGIC PERFORMANCE FRAMEWORK - PERFORMANCE REPORTING SCHEDULE QUARTERLY PERFORMANCE ASSURANCE REVIEW 10. There was submitted a report by the Chief Officer (Business and Digital) (1) reminding the Panel that it had received a report in February 2023 on the Strategic Performance Framework – Performance Reporting Schedule 2023-2024 and a subsequent report in May 2023 setting out the first performance assurance review that had been undertaken of performance reports and submitted to Council Committees during the previous cycle; (2) confirming that the report in May 2023 had advised that performance assurance reviews would thereafter be reported to the Panel on a quarterly basis with this report therefore providing the outcome from the latest performance assurance reviews that had been undertaken of performance reports previously submitted to Council Committees during cycle 4 of 2023, and (3) attaching, as Appendices to the report, (a) Chief Officer six monthly performance reviews at Service Committees in line with the Strategic Performance Framework, and (b) Chief Officer Service specific performance reporting which takes place each year to meet business and/or statutory obligations. During consideration of this item discussion took place regarding the accuracy of the data provided as part of the Local Government Benchmarking Framework (LGBF) in relation to performance information for children’s social work and child protection. The Strategy and Performance Manager outlined the time lag in the Improvement Service’s publication of the data relating to the LGBF and committed to providing an update to the Panel in relation to any updated data in respect of the query raised. Decided: (1) that the composite overview of performance reporting, provided in Appendices 1 and 2 to the report, be noted and that the Panel would maintain an awareness of each report within the performance reporting schedule for 2023-2024, and (2) that any updated data in respect of the LGBF performance in respect of children’s social work and child protection be shared with Panel members. Page 16 of 166
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AUDIT AND SCRUTINY PANEL - 26 FEBRUARY 2024 7 THE PLAN FOR NORTH LANARKSHIRE: FRAMEWORK AND SCHEDULE 4 PERFORMANCE REPORTING AND PROGRESS MONITORING FOR 2024/25 11. There was submitted a report by the Chief Officer (Business and Digital) (1) recalling the Performance Reporting Schedule for 2023-2024 considered by the Panel at its meeting in February 2023, with this Schedule supporting the Strategic Performance Framework by setting out the performance reporting, monitoring, review and scrutiny arrangements for The Plan for North Lanarkshire by way of a reporting schedule and set of non-negotiable standards; (2) advising that, during 2023/24, information regarding items on the Performance Reporting Schedule had been made available to the Panel through quarterly performance assurance reports in order to support its scrutiny and strategic oversight role; (3) confirming that, since its implementation, the Performance Reporting Schedule has been regularly reviewed and updated and that this year’s refresh of the Schedule differs to previous years in that it also incorporates a programme of work, performance management and progress monitoring, with this arising out of work to update the Strategic Performance Framework and development of delivery plans and performance measures for each of the seven Programme of Work priorities, whilst ensuring further alignment and formalisation of the corporate arrangements that support monitoring and governance of The Plan for North Lanarkshire; (4) setting out the performance reporting, monitoring, review and scrutiny arrangements for The Plan for North Lanarkshire by way of a reporting framework, schedule and a set of quality and non-negotiable standards to be implemented for 2024-2025; (5) intimating that, as reports and information to support these new arrangements become available, they will be integrated within the quarterly performance assurance reports to the Panel during 2024/25, and (6) attaching, as Appendices to the report, (a) the reporting framework; (b) the reporting schedule; (c) reporting standards; (d) performance management, and progress monitoring roles and responsibilities; (e) statutory Public Performance Reporting requirements, and (f) the current audit position. Decided: (1) that the reports within the reporting schedule for 2024-2025 be noted in line with the Panel’s remit to provide independent review of the Council’s governance, risk management, performance and control frameworks; (2) that it be acknowledged that the Panel would have an opportunity for scrutiny and strategic oversight of specific items in the Reporting Framework/Schedule through the quarterly performance assurance reports process, and (3) that it be acknowledged that the Reporting Framework/Schedule forms a key part of the Scrutiny Work Programme, which supports the Best Value governance and accountability theme by ensuring that the Council can demonstrate the existence of robust arrangements for scrutiny and performance reporting. QUALITY ASSURANCE ARRANGEMENTS FOR THE PROJECT MANAGEMENT FRAMEWORK AND THE PROGRAMME OF WORK - ROLE OF THE AUDIT AND SCRUTINY PANEL 12. There was submitted a report by the Chief Officer (Business and Digital) (1) reminding the Panel that the Programme of Work is key to achieving the shared ambition set out in The Plan for North Lanarkshire and that, to date, it has collectively facilitated a co-ordinated approach to successfully delivering a wide range of programmes, projects, and large high-scale transformational activities, including the Council’s Capital Investment Programme; (2) confirming that, to deliver successful investment and transformation programmes and projects, the Council needs to ensure that the plans are well designed and well executed and that good project management arrangements and good governance, therefore, go hand in hand; (3) advising that the delivery of The Plan for North Lanarkshire is subject to a set of quality assurance arrangements in line with the Corporate Project Management Framework, which had been reviewed, refreshed, and launched across the Council in December 2022; (4) explaining that good practice recommends that a council’s audit and scrutiny committee plays an important role in providing independent assurances in respect of the delivery of major programmes, and projects, with the report providing the initial overview of the quality assurance arrangements for Page 17 of 166
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AUDIT AND SCRUTINY PANEL - 26 FEBRUARY 2024 8 the Panel’s information, and that this was in advance of future assurance reports that would support elected Member oversight in terms of the quality assurance process and review programme for the Project Management Framework, and (5) attaching, as an Appendix to the report, Internal Audit recommendations in relation to project management. Decided: (1) that the quality assurance arrangements as set out in the report, and the role of the Audit and Scrutiny Panel therein, be acknowledged; (2) that the next steps as detailed in the report to further support the Council in demonstrating progress in delivering the Programme of Work and achieving the vision set out in The Plan for North Lanarkshire be noted, and (3) that the extent to which implementation of the quality assurance arrangements, and the next steps set out in the report, fulfil the Internal Audit recommendations in terms of governance and capital projects and managing strategic change, as detailed in Appendix 1 to the report, be recognised. AUDITING BEST VALUE IN LOCAL GOVERNMENT - UPDATE 13. There was submitted a report by the Chief Officer (Business and Digital) (1) reminding the Panel that the Best Value duty requires the Council to ensure arrangements are in place to secure continuous improvement in performance for all the functions and activities undertaken to deliver services and improve outcomes; (2) advising that, since the implementation of that duty 20 years ago, all local authorities in Scotland had been subject to ongoing national and local audit processes to ensure that they continue to be able to demonstrate Best Value in practice; (3) reporting that a new national approach to auditing Best Value came into effect as part of the external auditors’ five-year appointments for 2022/2023 and that this approach means that the Council undergoes an assessment of particular aspects of Best Value each year in order to provide the Accounts Commission with the relevant assurances in terms of performance and the quality of services to the public; (4) indicating that the new approach integrates Best Value audit work within the wider scope of the external auditor’s annual audit work which is reported in the Annual Audit Report, and also includes thematic work detailed by the Accounts Commission to provide assurance on areas of risk and interest across Scotland as at a defined point in time; (5) detailing a number of next steps to be taken in respect of this area, and (7) attaching, as an Appendix to the report, an extract from “Best Value in Scotland - 20 years of auditing Best Value and next steps for Best Value reporting in Scottish Councils” published by the Accounts Commission in September 2023. Decided: (1) that the updates to the national approach to auditing Best Value, the priorities for the 2023/24 Best Value audit work, and the implications for the Council in this respect be acknowledged, and (2) that the role of the Panel in terms of ensuring the Council continues to secure Best Value in practice in line with the Council’s statutory duty be endorsed. STRATEGIC SELF-EVALUATION FRAMEWORK - ANNUAL REVIEW AND REFRESH 14. There was submitted a report by the Chief Officer (Business and Digital) (1) recalling that to meet the Best Value duty the Council must ensure arrangements are in place to secure continuous improvement in performance for all the functions and activities undertaken to deliver services and improve outcomes; (2) intimating that a single strategy for improvement is in place through the Strategic Self-Evaluation Framework and the rolling review programme, which were initially approved by the Page 18 of 166
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AUDIT AND SCRUTINY PANEL - 26 FEBRUARY 2024 9 Panel in September 2021, and that a subsequent review and refresh process has been undertaken each year and reported to the Panel annually; (3) explaining that the Strategic Self-Evaluation Framework is specifically designed to be strategic but light touch, and consistent but flexible, to ensure that self-evaluation exercises are tailored to the service, function, project or group being evaluated and designed within the context of that operating environment; (4) informing that items on the rolling review programme aim to ensure a mechanism is in place to assess the Council’s functions and activities, and identify areas for improvement within the context of fulfilling the vision set out in The Plan for North Lanarkshire; (5) detailing that, as one of the six inter-related corporate frameworks designed to support The Plan for North Lanarkshire, the Strategic Self-Evaluation Framework is on a programme for a regular review and refresh exercise and, following this year’s review process, presenting the Refresh Framework and Rolling Review Programme for 2024-2025, attached as an Appendix to the report, for the information of the Panel, and (6) attaching, as Appendices to the report, (a) the assessment criteria and statements; (b) the Rolling Review Programme; (c) the options appraisal process, and (d) the options appraisal template. Decided: (1) that the refreshed Strategic Self-Evaluation Framework and Rolling Review Programme, and the purpose therein in terms of ensuring that self-evaluation identifies areas for improvement and contributes to the achievement of the vision set out in The Plan for North Lanarkshire, be acknowledged, and (2) that the challenge and scrutiny role of the Panel, in line with its responsibility to provide an independent review of the Council’s governance, risk management, performance and control frameworks, be endorsed. PERFORMANCE IN COMPLAINTS HANDLING 15. There was submitted a report by the Chief Officer (Business and Digital) (1) explaining that the Scottish Public Services Ombudsman (SPSO) has established a local authority Model Complaints Handling Procedure which defines a two-stage process which the Council is required to implement when handling all complaints received; (2) explaining that a key aspect of this procedure is the supporting complaints governance arrangements in terms of reporting and publicising complaints information, which includes performance statistics, trends and outcomes, and actions taken to improve services; (3) providing an update on the performance of the Council in complaints handling in line with the Panel’s role to provide an independent review of the Council’s governance, risk management, performance and control frameworks; (4) detailing a number of next steps to be undertaken to ensure complaints continue to support efficient ways of working and to inform improvements to services, and (5) attaching, as Appendices to the report, (a) the two-stage local authority model complaints handling procedure; (b) a summary of complaints performance at stage 1 and stage 2, and (c) lessons learned. Decided: (1) that the local authority Model Complaints Handling Procedure is in place across the Council, and the corresponding complaints governance requirements, in terms of performance reporting, be noted, and (2) that it be noted that a further report in terms of complaints performance is scheduled to be presented to the Panel in Cycle 4 of 2024 as per the Scrutiny Work Programme, with reports annually thereafter. Page 19 of 166
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AUDIT AND SCRUTINY PANEL - 26 FEBRUARY 2024 10 ARMS LENGTH EXTERNAL ORGANISATIONS: GOVERNANCE AND RISK MANAGEMENT OVERSIGHT AND ASSURANCE (JULY TO DECEMBER 2023) 16. There was submitted a report by the Chief Officer (Business and Digital) (1) providing an update on the externalised service delivery arrangements within North Lanarkshire through the Council’s portfolio of Arms Length External Organisations (ALEOs); (2) confirming where established performance monitoring reporting arrangements had been complied with and identifying, by exception, financial matters that require close monitoring by the Board of Directors or Management Committees for each individual ALEO, along with robust, separate oversight by the Council’s Finance Service; (3) reflecting on a reduction in recent years in the number of wholly owned ALEOs that are providing services on behalf of the Council and acknowledging that the Arms Length landscape will be impacted further through roll-out of the Enterprise Strategic Vehicle; (4) recommending that a review of the format of future reports to the Panel be undertaken, with the findings to be reported for consideration at a future meeting; (5) recommending that a refresh of the ALEO review programme is undertaken over 2024/25 and 2025/26 to ensure that the externalised service delivery arrangements for the Council’s wholly owned ALEOs continue to demonstrate best value and meet the Council’s expectations; (6) providing a detailed narrative on each of the Council’s ALEOs and any other associated bodies, and (7) attaching, as Appendices to the report, (a) a summary of in-scope ALEOs and joint venture partnerships, and (b) statutory bodies: associates and joint ventures. Thereon, the Panel was informed that Culture and Leisure North Lanarkshire (CLNL) would be officially dissolved the following day and that the striking off of the company at Companies House had been suspended due to an objection to that striking off having been received, with officers seeking information from Companies House to enable engagement with the complainant to try and resolve the matter. The Convener requested that the Panel be kept updated on the situation regarding the striking off at Companies House of CLNL. Decided: (1) that it be acknowledged that ALEO governance, performance reporting and financial monitoring arrangements were progressing satisfactorily; (2) that recent changes to the Council’s ALEO portfolio be noted and that it be acknowledged that this will be subject to further change as the Enterprise Strategic Vehicle is mobilised; (3) that a review of the format and frequency of future reports to the Panel is undertaken with the findings reported to it at a future meeting, and (4) that a refresh of the ALEO review programme be undertaken during 2024/25 and 2025/26 and that it be noted that the findings from these Client Service led reviews would be reported to future meetings of the Policy and Strategy Committee in due course and in line with the Council’s Scheme of Administration. Page 20 of 166
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North Lanarkshire Council Report Policy and Strategy Committee Does this report require to be approved? ☒ Yes ☐ No Ref EK/KS Date 06/06/24 5 Year Medium Term Financial Plan 2025/26 to 2029/30 & Revenue Budget Strategy From Elaine Kemp, Chief Officer (Finance) E-mail kempe@northlan.gov.uk Telephone 07939 280601 Executive Summary This report provides an update on the five-year medium term financial forecast to 2029/30, which will be kept under review with further updated Financial Outlooks reported in line with the Revenue Budget Framework outlined in the report. The report outlines the challenges faced by the Council in maintaining medium term financial stability, whilst achieving the strategic priorities of the Council. Taking the approved 2024/25 budget as the new baseline, this plan updates on the key financial planning assumptions focussing on those factors which have the greatest potential to impact the Council’s forecast financial position in the medium term. This includes future revenue grant funding, pay and non-pay inflation. A range of risk-based scenarios have been considered, resulting in envisaged, pessimistic and optimistic positions, as set out in Appendices 1 to 3. Whilst the envisaged scenario remains the most appropriate for planning purposes, it is important to note the budget gap range, reflecting other potential scenarios the Council may face. Table 1 below includes the optimistic and pessimistic scenarios and demonstrates the volatility and the extent of the fluctuation possible over the period of this plan. The summary forecast envisaged position, indicates a budget gap of £100.084 million over the planning period and £61.976 million for the three-year budget period, 2025/26 to 2027/28. Reflecting the other planning scenarios, the budget gap is estimated to range between £21.758 million and £225.518 million over the five-year period, and £11.422 million and £132.758 million over three years. This position is prior to any consideration of Council Tax increases, additional savings or other potential solutions to manage the position. Financial Year Budget Gap Optimistic (£000) Budget Gap Envisaged (£000) Budget Gap Pessimistic (£000) 2025/26 1,851 21,561 40,349 2026/27 3,920 21,320 47,275 2027/28 5,651 19,095 45,134 2028/29 5,723 19,433 46,443 2029/30 4,613 18,675 46,317 Total 21,758 100,084 225,518 3 Year Gap 11,422 61,976 132,758 Table 1 Item 4 Page 21 of 166
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1. Background 1.1. Members will appreciate longer term planning is integral to the Council’s Financial Strategy and the strategic approach to budgeting. Effective decision making relies on robust financial planning and the Medium-Term Financial Plan (MTFP) assists in ensuring resources are aligned to the key priorities outlined in The Plan for North Lanarkshire are affordable and sustainable. 1.2. The MTFP reflects the financial risks that may impact on the Council’s ability to continue to provide high quality services focussing on the strategic priorities, whilst balancing the budget. Therefore, this plan continues to consider a range of scenarios and highlights the associated forecast budget position. Taking the 2024/25 approved budget position as the new baseline, key financial planning assumptions have been reviewed and updated, and are reflected in this plan. A range of risk-based outcomes continued to be modelled highlighting optimistic, envisaged and pessimistic scenarios. 1.3. The two main variables with the greatest potential to impact the forecast financial plan and the Council’s ability to set a balanced budget are the level of funding provided by This report also provides an update on the key principles of the Revenue Resources Budget Strategy approved by Policy and Strategy Committee in June 2019, and outlines the Revenue Budget Framework to govern the budget process, which will ensure sustainable solutions are identified to manage the challenging financial position faced by the Council in setting a balanced budget. As approved by Council on 15 February 2024 and outlined at paragraph 2.35, it is anticipated that part of the solution will result from a series of service reviews to be undertaken, which will identify savings options or income generation opportunities. The outcome of such reviews will be reported to relevant service committees in due course and financial implications identified will be incorporated in future Financial Outlooks. Recommendations It is recommended that the Policy Strategy Committee: 1) Approves the updated Medium Term Financial Plan 2025/26 to 2029/30. 2) Recognises this plan will be subject to ongoing review with updates reported as outlined in the Revenue Budget Framework. 3) Approves the Revenue Budget Strategy update and restated key principles. 4) Acknowledges the Revenue Budget Framework to manage the three-year forecast financial position outlined in the MTFP, which will facilitate the identification of a sustainable solution by Council in meeting its statutory obligation to set a balanced budget. The Plan for North Lanarkshire Priority All priorities Ambition statement (25) Ensure intelligent use of data and information to support fully evidence based decision making and future planning Programme of Work All Programmes of Work Page 22 of 166
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the Scottish Government and pay inflation. Reflecting on the Office for Budget Responsibility’s (OBR) most recent economic forecast and the downward trajectory for inflation towards the longer-term target of 2%, it is anticipated that the more material adverse impacts of non-pay inflation including energy costs, experienced in more recent years, will not be so prevalent over the term of this plan. However, there does remain the risk that levels of inflation in certain sectors may continue to remain higher for longer. 1.4. This plan continues to recognise the risks and volatility in forecasting the potential financial implications. Therefore, whilst the envisaged scenario remains the most appropriate for planning purposes, the budget gap range across the potential scenarios demonstrate the volatility and the extent of the fluctuation possible over the period of the plan. 1.5. Continuing the approach taken in recent years through collaborative working, financial pressures facing adult social care services provided to the IJB will be managed by the IJB. Therefore, the Council’s MTFP continues to exclude any potential future financial impacts of providing Adult Social Care Services. However, it should be noted that Officers in both the Council and IJB will work closely to ensure the IJB has a robust Financial Plan and Budget Strategy to support financial sustainability over the medium term. 1.6. It should be noted that a five year medium term plan continues to remain reasonable and appropriate for financial planning purposes. 1.7. Additionally, this report provides an update on the implementation of the key principles and framework of the Revenue Resources Budget Strategy approved by Policy & Strategy Committee in June 2019, which have underpinned decision making, ensuring elected members have information to assist them in making robust and financially sustainable decisions in setting a balanced budget. Whilst the existing strategy is based on sound principles a review to consider further development of the key principles has been undertaken to ensure the Council continues to develop strategic, robust and sustainable solutions, to manage the longer term financial challenges. 1.8. A Revenue Budget Framework to manage the 2025/26 is also provided. 2. Report 2.1 The previous MTFP approved by this Committee in June 2023 indicated a three year gap for the period 2025/26 to 2027/28 of £56.739 million (2025/26, £14.660 million, 2026/27 £18.760 million and 2027/28 £23.320 million). This position is updated for the approved 2024/25 budget decisions along with other relevant key changes, whilst recognising the impact these may have on the demand for services, resources, and other cost pressures. 2.2 Appendices 1 to 3 provide summaries for three planning scenarios across the five year planning period, highlighting the anticipated budget gap for the three year budget period 2025/26 to 2027/28. Whilst three planning scenarios have been presented reflecting sensitivities and volatility in forecasting, the remainder of this report primarily focuses on assumptions in relation to the envisaged scenario. These are outlined below, with a summary of the movements since the previous plan provided at Appendix 4. Page 23 of 166
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Forecast Resources 2.3 The largest element of the Scottish Budget is the Scottish Block Grant provided by the UK Government through the Barnett formula. The UK Spending Review is the process by which the UK Government sets out its plans for public spending. This provides vital information for the Scottish Government’s planning assumptions and budget. The Spring Statement in March 2024 provided an update on the economy, OBR forecasts, highlighting a downward trajectory in inflation over the medium term, with the UK’s inflation rate forecast to fall below 2% target by the end of June, falling to 1.5% next year. The next spending review is anticipated to come after the general election. Therefore, it should be noted that there is potential for adjustments to both UK and Scottish Government budgets which would impact this plan. Aggregate External Finance (AEF) 2.4 The Council’s revenue funding consists largely of government funding, Aggregate External Finance (AEF) equates to approximately 83% of total funding, and is made up of General Revenue Grant based on the Scottish Government’s assessment of overall spending needs, Specific Grant and Non-Domestic Rates Income. 2.5 Estimating future years’ funding with any degree of certainty is challenging, and a slight variation on funding level can have a significant impact (1% equates to more than £8.000 million) on the Council’s forecast financial position. 2.6 Scottish Government published its Resource Spending Review in May 2022, which set out high level parameters for future Scottish budgets up to 2026/27. This confirmed a flat lining of resource funding for Local Government at 2022/23 levels, to 2025/26, with a small increase forecast in 2026/27. In addition, in May 2023, the Scottish Government published its updated Medium-Term Financial Strategy (MTFS) for the period from 2023/24 to 2027/28, providing insight to future funding and spending priorities at a national level. In overall terms, based on the most likely scenario, although the MTFS indicates increasing taxation, block grant and other revenues over the period to 2027/28, funding is not forecast to keep pace with expenditure demands. The Scottish Government has therefore reiterated a need for difficult and prioritised spending decisions to be made across the full period covered by the MTFS. However, given that Local Government is unlikely to be prioritised as part of the Scottish Government’s budget decisions, there is an increasing risk to the previous flat cash commitment. 2.7 Nonetheless, there is no clarity over this position nor the funding at individual Council level, or whether this funding will come with additional spending commitments. In the absence of any further updates this plan continues to assume a flat lining of government funding. All three scenarios have been re-baselined to reflect the 2024/25 AEF as reported in the approved 2024/25 budget and updated for subsequent finance circular movements. The envisaged scenario assumes no movement in the re- baselined 2024/25 core grant for the duration of this plan. The optimistic and pessimistic scenarios have been flexed to 1% increase/decrease respectively. 2.8 It should be noted that allocating grant funding to Local Government, the Scottish Government makes assumption about growth in income from Council Tax, and adjusts grant funding allocations, accordingly. This plan assumes the expected flat cash commitment is net of such adjustment. 2.9 Members will recall that in setting the budget in February 2024, the Council agreed that in the event of additional undirected recurring funding being made available for 2024/25, it would be ringfenced to address identified resource gaps. The Council Page 24 of 166
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expects to receive c.£4.000 million representing a share of £62.700 million in relation to Council’s actions to freeze Council Tax Freeze in 2025/26. This funding has been allocated on a one-off basis in 2024/25 to help manage cost pressures which are estimated to be greater than previously anticipated, such as contract inflation, utilities and other emerging issues including those linked to the review of the Council’s current pay and grading model. These resources available on a recurring basis from 2025/26 onwards and have been recognised in this plan accordingly. However, these burdens are in the main recurring and so they too have been recognised in the planning assumptions, as appropriate. 2.10 As previously advised by the Depute First Minister, it is assumed that the increased cost of employers’ contributions to teacher pension costs, will be fully funded. Both the increased cost and funding have been incorporated into the 2024/25 position and rolled forward into the baseline of this plan, on that basis. Any shortfall in this funding will have a financial impact. Therefore an update will be reported in a future Financial Outlook, if necessary. Council Tax 2.11 Income from Council Tax accounts for around 16% of the Council’s revenue resources with the estimated income based on a combination of Band D equivalent value, householder base and the expected rate of collection. 2.12 In setting the 2024/25 budget, the Council implemented the Scottish Government’s Council Tax freeze, therefore the Band D charge remains at £1,320.78. 2.13 The plan continues to reflect increased Council Tax income ring-fenced for the Community investment fund, which consists of increased funding from ring-fencing future household growth from regeneration activities and the Council’s ambition, along with 1% of future increases in Council Tax charges. Therefore, this plan continues to reflect the commitment to increase Council Tax by 1% to support the Community Investment Programme. This provides £9.280 million of additional resources over the five year planning period and £5.460 million over the 3 year budget period. 2.14 Further increases in Council Tax rates will be a decision for Elected Members. However, members will recall the budget motion approved by Council in February 2024 recognised that this Council has the second lowest level of Council Tax across all Scottish mainland local authorities. Reflecting on the forecast challenging financial environment in which the Council operates, the Chief Officer (Finance) has been requested to undertake an analysis of options in relation to a future Council Tax Strategy for North Lanarkshire. This is outlined in the Revenue Budget Framework below. Whilst there is currently no assumption in this respect within the MTFP reported, it is important to remember that the smoothing strategy in relation to the 2024/25 budget assumed Council Tax increases of at least 5% in order to materially reduce the forecast budget gaps. A 1% increase in Council Tax is estimated to generate c.£1.770m. 2.15 In addition to the increase in Council Tax rates noted above, it is also anticipated that additional income will be generated as a result of household growth. This is expected to generate an additional £1.700 million of Council Tax income in 2025/26, and £10.310 over the course of the planning period. This includes assumed additional income from household growth ringfenced for the CIF programme of £5.310 million. Use of Reserves / Resources Page 25 of 166
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2.16 The principles linked to the Revenue Budget Strategy provided later in the report, continue to allow for prudent and sustainable use of balances to support multi-year budgeting and help smooth budget gaps, in accordance with the Reserves Policy. This also provides for the Change Management Fund which is necessary to support the one- off costs of approved budget savings to enable a more strategic and sustainable approach to managing the challenging budget position, allowing time to develop and implement recurring savings. 2.17 Therefore, this plan recognises the reversal of the 2024/25 one-off use of reserves of £5.366 million in 2025/26, which was approved to manage the lead in times in achieving approved savings for 2023/24 and 2024/25 (£3.400m and £3.501m respectively), partially offset by £1.535m to replenish reserves as a result of Scottish Government funding towards the 2023/24 pay award being received in 2024/25. Forecast Expenditure & Income Generation Employee Cost Pressures 2.18 Employee costs remain the largest single element of the General Fund budget, accounting for around 53% of General Fund budgeted expenditure in 2024/25. Cost pressures linked to the workforce are therefore material and a key variable which has the potential to impact significantly on the forecast plan. Information on the 2024/25 pay negotiations, as well forecast future employee cost pressures is outlined below. 2.18.1 Pay Award 2024/25 This plan currently assumes the £13.000 million previously provided will be sufficient to cover the cost of the 2024/25 pay award. However, as negotiations are ongoing there remains a real degree of uncertainty in relation to this assumption and the ultimate cost of any settlement to be borne by Local Authorities. This also has the potential to impact the baseline position used to forecast the cost from 2025/26 onwards. Therefore, this will be kept under review as the negotiations progress and an update will be incorporated into a future Financial Outlook, as required. 2.18.2 Pay Award – Future Years Summary For the period of this plan, future pay awards are based on the Council funding an increase of 2%, reflecting the UK Government inflation target. Reflecting these forecast uplifts and the impact of re-baselining previous awards, a total provision of £11.700 million is estimated for 2025/26. Total provision over the next 3 years is anticipated to be £35.000 million. The optimistic scenario assumes pay awards will cost the Council 0.5% less than the envisaged scenario, whilst the pessimistic scenario assumes a 2.5% increase on the envisaged assumption, thus providing a range for potential pay award of £9.300 million to £23.700 million in 2025/26 or between £26.600 million and £77.700 million over the next 3 years. Furthermore, as previously advised the plan includes provision for a permanent reduction in pension contributions as a result of the most recent triennial revaluation of the Strathclyde Pension Fund. Reflecting the assumptions on pay award as noted above, a reduction in pension costs of £4.200m is now anticipated in 2026/27, an increase of £0.400 million from the previously reported position. Pay award assumptions will remain under review as negotiations continue, and Financial Outlooks will be updated, as appropriate. 2.18.3 First Stage of Pay and Grading Model Page 26 of 166
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As indicated in the One Workforce report to Policy & Strategy in December 2023, there is a need for the Council to review the pay and grading model to address a number of workforce challenges. The first stage of changes proposes a move from the current NLC spinal column points to the national scale, with employees being matched on a no-detriment basis. It is anticipated that this move would result in a cost pressure of £2.400m within 2025/26. Non Pay Inflationary Pressures 2.19 The assumptions from 2025/26 onwards reflect on the OBR's most recent economic forecast at March 2024 and the latest Bank of England forecast for inflation at February 2024, indicating a downward trajectory towards 2% over the medium term. 2.20 Historically non-pay inflationary uplifts based on forecast relevant inflationary indices, have only been provided where deemed material and contractual in nature. This continues to be the case in this update to the MTFP. However, it has been acknowledged that inflation has remained higher for longer than previous economic forecasts indicated, resulting in actual cost uplifts being greater than previously assumed. Therefore, additional budgetary provision of £2.350 million has been provided on a one-off basis in 2024/25, with recurring provision of £1.650 million from 2025/26 incorporated into this update. This plan also reflects estimates of future contract inflationary pressures from 2025/26 of £2.800 million. As a result, total contract inflationary pressures of £2.100 million in 2025/26 and £16.760 million over the period of the plan, are assumed. 2.21 As previously reported, energy costs increased significantly over recent years resulting in a material cost pressures. Committee will recall an additional provision of £10.700 million was provided for 2023/24 on a one-off basis to recognise the real uncertainty in respect of the recurring cost to the Council. Following more recent updates, contract prices negotiated for energy pre-purchased from 2025/26, have reduced. As a result, it is considered reasonable to assume the non-purchased elements will also reduce. However, given the degree of uncertainty around this it is deemed prudent not to assume such reduction will be of the same level, therefore a budget reduction of £3.080 million has been assumed from 2025/26. Thereafter the plan assumes costs will increase in line with CPI forecasts, totalling £1.748 million from 2026/27 to 2029/30. The budgetary requirements for future years will be kept under review with an update provided in future Financial Outlooks or MTFP updates. Other Cost Pressures 2.22 Within this plan, Continuing Service Pressures (CSPs) of £5.900m over the five year period have been reflected, primarily in relation to increased cost of ASN activity as a result of emerging and future demand, together with costs associated with carrying out Corporate maintenance Electrical Inspection Condition Reports, and reduced income within Legal and Democratic as a result of legislative and other changes. 2.23 Other cost pressures totalling £13.310 million over the five years are also provided for. These predominantly relate to assumed increased costs of Council Tax Reduction Scheme associated with a Council Tax increase, increased non-domestic rates costs, and other minor emerging service budget burdens. Other Commitments Page 27 of 166
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2.24 There is provision for loan debt costs in relation to the Community Investment Programme, including City Deal, which equates to £2.790 million in year 1 of the plan and £15.760 million across the planning period. 2.25 In addition, this plan recognises that the updated forecast loan charge costs when compared with existing budgetary provision indicates there is a requirement to increase the budget commencing in 2025/26, mainly as a result of previously approved non- recurring loan debt re-profiling savings and increased interest rate costs. This plan also includes the additional the borrowing cost in relation to the £45.000 million capital investment added to the recently approved 5 year capital programme, arising from the retrospective application of the change in accounting for existing service concessions in 2024/25. However, the plan also recognises the uncertainty in forecasting precisely when the budget will be required due to a number of variables, including the spend profile of the capital programme. Therefore, it is deemed prudent to smooth the overall increased budgetary requirement over a longer period. This means that a combination of one-off earmarked reserves and recurring budget provision, is deemed necessary to manage and demonstrate affordability of current capital investment plans currently approved. This will result in a build-up of one-off resources in early years with a requirement to drawdown in future years. Thus, an additional recurring £0.600 million has been provided for in 2025/26 and a total of £2.400 million over the planning period, which equates to and overall provision of £10.700 million over the planning period. 2.26 The MTFP reported in June 2023 incorporated a saving of £4.500 million for the five years in respect of the funding for PPP contract obligations. It was recognised that additional budgetary provision would require to be incorporated into future MTFPs. Therefore, year five of this plan reflects an additional cost of £1.000 million. Further additional financial consequences will be recognised in future Financial Outlooks or MTFPs. Sales, Fees & Charges 2.27 One of the key principles of the Revenue Budget Strategy outlined below, is that maximising income should be considered, with future charging models for services to be informed by benchmarking and the principles of full cost recovery, where appropriate. To assist with moving towards full cost recovery and in recognition of inflationary impacts affecting costs for services, the plan assumes additional income generation for discretionary charges of £1.000 million in 2025/26, in line with the approved policy to uplifted prices by 5% each year. The optimistic and pessimistic scenarios assume a slightly adjusted base for 2025/26 of £1.250million and £0.750 million, respectively. 2.28 As approved at Council on 15 February 2024 members are reminded a review in respect of discretionary fees and charges is to be undertaken to accelerate the move to full cost recovery where possible. The outcome of this review will be reported to Committee in due course. Any additional financial implications arising from this review will be incorporated into a future Financial Outlook. Updated Medium Term Financial Forecast Approved Savings / Advance Action 2.29 In line with the Revenue Budget Strategy and the principle to consider a three year rolling revenue budget, 3 years of base budget adjustments were approved by Council on the 23 February 2023. These savings result in minor savings of £0.210 million for 2025/26. Page 28 of 166
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2.30 This plan assumes all other previously approved savings will be fully achieved. Committee should note that updates in this regard will be provided to future meetings and amendments to the Financial Plan will be made accordingly. Strategic Use of Balances 2.31 Members will recall the approved budget set in February 2024 agreed savings of £9.621 million, with £6.120 million to be achieved in 2024/25, and £2.283 million and £1.218 million to be delivered in 2025/26 and 2026/27 respectively. The timing and delivery of the savings required one-off use of balances of £4.719 million across 2025/26 and 2026/27, which is recognised in this plan. 2.32 The Council’s unallocated balances continue to be closely monitored and as outlined below, a key principle of the Revenue Budget Strategy and the Revenue Budget Framework, is that planned and sustainable use of available balances will be considered, in line with policy, and in accordance with a budget strategy recommended by the S95 Officer. Until this strategy is developed the additional call on these balances is currently unknown. Summary – Medium Term Financial Forecasts 2.33 In summary, the envisaged scenario indicates a budget gap of £100.084 million over the five year planning period and £61.976 million for the three year budget period 2025/26 to 2027/28. Further details are contained within Appendix 1. Appendices 2 and 3, summarise the forecast pessimistic and optimistic scenarios indicating the gap could range between £21.758 million and £225.518 million, over the five years. 2.34 Appendix 4 provides a high level summary of the movements between this plan and the previous plan reported to Committee in September 2022. Proposed Additional Advance Action & Council Tax Strategy 2.35 As part of the 2024/25 budget setting, it was recognised that further action would be required to address significant forecast budget gaps in 2025/26 and 2026/27. To address this, approval was given to carry out a series of service reviews which should include identifying savings options or income generation opportunities. These reviews include: a) Review of the Council’s approach to facilitate Community Asset Transfers b) In line with the approved Discretionary Fees and Charges Policy acceleration of the move to full cost recovery where possible c) Review of the provision of First Stop Shops, non-school catering functions, Land & Waste, Revenues & Benefits and Business & Digital, to ensure that they are fit for purpose and represent Best Value for the Council. d) Review of the functions and strategic direction of the Council’s remaining ALEOs (Routes to Work, Fusion Assets and North Lanarkshire Properties) to ensure that they continue to contribute to the delivery of the Council’s strategic priorities. 2.36 In line with the Revenue Budget Framework outlined below, Council officers will work with Elected Members to ensure options for potential solutions are presented to enable the Council to address the budget gap in each financial year and to meet its legal obligation to set a balanced budget. Members will recall the budget smoothing strategy proposed by the S95 Officer in setting the 2024/25 budget made an assumption around Council Tax increases over the three year period, with the potential to materially reduce the forecast budget gaps and therefore ultimately the savings requirement. Should a Page 29 of 166
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similar approach be recommended for the 2025/26 to 2027/28 three year budget, members are reminded that an annual Council Tax increase between 5% and 10% is estimated to generate additional income between £6.880 million £17.200 million. The equivalent of £20.640 million and £51.600 million over a three year planning period. Risks and Uncertainties 2.37 Whilst the assumptions applied to income and expenditure projections in this financial plan are based on the best information available at the time of writing, they are inherently uncertain. The key factors which are likely to impact upon the Council’s assumptions and future financial plans have been discussed throughout the report, including the significant uncertainty in relation to the Council’s funding settlement and uncertainty in assumed cost of pay awards. There are also a number of political factors which may impact on planning assumptions, including potential changes at UK and Scottish Government levels as a result of elections, the Scottish Government’s commitment to a National Care Service and the financial consequences of this on Local Government, along with climate change commitments. 2.38 Other current notable risks previously reported include; 2.38.1 Ash tree dieback linked to a disease which could cause significant damage to the UK’s ash population. As has been previously recently reported to Committee, there has been some capital funding allocated to support the cost in managing the diseased species. However, there is a still a risk that revenue resources are required in respect of this issue. 2.38.2 Committee are also reminded of Scottish Government’s plans to review the Capital Accounting arrangements and statutory mitigations in respect of such, to ensure they remain fit for purpose. Statutory interventions override the CIPFA Code of Practice for Local Authority Accounting. The Scottish Government consulted on draft changes at the end of 2023 and have since issued a draft revised circular for comment by 30 April 2024. Whilst the draft circular does not contain some of the more contentious issues proposed in the original consultation, it is still understood that the plan is to comprehensively review existing statutory arrangements, with a view to reducing reliance on statutory mitigations and offer greater alignment with international accounting standards. This continues to cause real concerns and Local Authority Directors of Finance and COSLA continue to seek engagement on such plans. Removing existing statutory mitigations will have material financial consequences on revenue budgets and ultimately potentially impacting on capital investment programmes. Revenue Budget Strategy Update 2.39 As indicated in paragraph 1.7 above the key principles and framework of the Revenue Resources Budget Strategy approved in June 2019 have underpinned financial plans to ensure robust and financially sustainable decisions have been taken in setting the revenue budget. This report gives a further update on the implementation of such principles and how they have largely become embedded in the financial planning and budget process. In addition, whilst the existing strategy and principles are soundly based a review has been undertaken to consider the continued relevance of such principles in order to further develop and enhance them to ensure the Council can continue to manage the challenges it faces, minimising cost and maximising resources, efficiencies and savings, in both the near and longer term. A summary of the implementation and review of the principles is provided at Appendix 5. Page 30 of 166
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2.40 As outlined in Appendix 5, following the review of the principles seven key principles are recommended, which will continue to underpin future financial strategies and decision making. These are summarised below along with some additional information to give context to application of such revised principles; 1) Revenue funding will be directed to the Council’s key priorities Integration of the Plan for North Lanarkshire and the Financial Plan will ensure that resources are directed towards the key priorities and that current service delivery is prudent, affordable and sustainable. Services should manage allocated revenue resources effectively and ensure delivery of previously approved savings, whilst managing unmet budget burdens, thus enabling net allocated revenue resources to be directed to delivery of current service provision. The Programme of Work is critical to delivery of the financial strategy, driving change and future financial efficiencies and savings. Any requirement for new or enhanced services should be reported either through appropriate committees or part of the budget process, to ensure there is a coherent decision- making strategy and prioritisation of resources, particularly given the ongoing future financial challenges the Council faces. 2) Three year rolling budgets will be developed A strategy to manage the position in line with the Revenue Budget Framework will be recommended by the S95 Officer. It is recognised the strategy will require a combination of solutions and initiatives to close future budget gaps, and that mixture of shorter and longer term initiatives may be required, some of which will not deliver early financial benefits due to longer lead times. This will include the continued need for all Services to identify and deliver savings. 3) Service delivery should remain under continuous review to ensure the Council delivers best value and efficient services Service design and delivery reviews should be informed by benchmarking and where appropriate reported for approval through a relevant Committee, in accordance with the Scheme of Administration. This will support the Council in its statutory duty to provide best value, inform decision making and allow the financial implications to be incorporated timeously into the MTFP or Financial Outlooks. Such reviews should enable service performance to be compared with other peer Local Authorities, aiming to minimise cost, maximising income generation and potentially generating financial savings . These reviews may mean re-prioritisation or a change in service performance, to enable the Council to deliver more of the existing services, for longer. The Revenue Budget Framework aims to ensure there is a cohesive and joined up approach to consideration of savings, particularly where these are crosscutting. Such an approach to decision making will require strong and effective leadership, to ensure the Council remains financially sustainable. 4) Maximising income generation should be considered The opportunities to maximise income generation should be informed by benchmarking, where appropriate, and should include implementing a Council Tax Strategy to maximise revenue resources available for service priorities. All future charging models should be informed by the principle of full cost recovery. Page 31 of 166
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Once charges are established on this basis, future increases will be index-linked in line with approved policies. 5) Planned and sustainable use of available balances will be considered in line with policy Sustainable use of balances will be considered where it is prudent and affordable and in line with the Reserves Policy and the provisions contained in the Revenue Budget Framework outlined below. This may include managing the financial impact of a budget strategy, as recommended by the S95 Officer, with the aim to close future budget gaps and to support the timing of delivering approved savings. 6) Members and other key stakeholders will be actively involved in the budget process The financial pressures facing the Council means Councillors need to make difficult decisions. To manage these challenges requires effective political leadership and communications. It is essential that all Councillors, and other key stakeholders as deemed appropriate, work effectively with officers to identify and deliver necessary savings or alternative solutions, to and meet the statutory requirement to set a balanced budget. 7) Consideration will be given to proposals to fully implement the use of participatory budgeting and opportunities to meet statutory requirements under the Community Empowerment (Scotland) Act 2015 The outcome of such considerations will inform members’ decisions around the solutions to ensure the Council continues to manage the budget challenges it faces. Revenue Budget Framework 2.41 Aligned to the MTFP and Revenue Budget Strategy principles, Table 2 below provides an outline framework to govern the 2025/26 budget process and to ensure that the Council manages the rolling three year budget forecast position as reported in the annual MTFP, in a robust and timely manner. This framework will be reviewed annually. Table 2 Action Detail Responsibility Timeline Annual update of MTFP to P&S Committee Review and update the assumptions of the MTFP to ensure the Council has a robust an up to date forecast financial plan. S95 Officer Committee Cycle 2 Update & Report Financial Outlooks Ongoing review of financial plan assumptions and provision of updated Financial Outlooks for material changes. These will be reported as part of the budget engagement and / or an update provided to Committee, as deemed appropriate. S95 Officer Ongoing between June 2024 and January 2025 Report on Delivery of Approved Savings Updates reported to Finance & Resources Committee to approved savings are on target to deliver approved financial savings. Chief Officers/ S95 Officer Committee Cycle 3 2024 & Cycle 1 2025 Page 32 of 166
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Budget Strategy to Manage the 3 Year Position (e.g. smoothing) The S95 Officer will consider the updated three gap and recommend a strategy to manage the position. This strategy will give due consideration to the scale of the challenge and the overall level of unallocated reserves available to support the position, and in line with the Reserves Policy. S95 Officer September 2024 All Member & Trade Union Engagement Ongoing engagement to keep key stakeholders informed of the financial position and to support with decision making to set a balanced budget. Chief Executive & S95 Officer Min. March, June, September, December 2024 Strategic Service Reviews As approved by Council in February 2024 a series of service reviews which should include identifying savings options or income generation opportunities will be undertaken and reported Committee, as required. Depute Chief Executive Reported to relevant committees in due course Council Tax Strategy Report The budget motion approved by Council in February 2024 recognised that this Council has the second lowest level of Council Tax across all Scottish mainland local authorities. Therefore, reflecting on the forecast challenging financial environment in which the Council operates, the Chief Officer (Finance) has been requested to undertake an analysis of options in relation to a future Council Tax Strategy for North Lanarkshire. S95 Officer Report to Policy & Strategy Committee in Cycle 3 2024 Review other Councils’ approaches to identification of savings Aligned with Principle 2 & 3 above and informed by benchmarking; research other LAs approach to savings to ensure NLC maximises all opportunities for efficiencies, savings, or income generation. CMT October 2024 Refresh of existing in- scope budget savings options Officers will ensure there is a current list of options to support members decision making in closing future budget gaps, as required. Chief Officers/ Finance Teams Ongoing Budget Report to Council An update on the three-year financial forecast will be reported to Council which will incorporate the Council’s grant settlement as indicated by Scottish Government. S95/ Political Groups 3. Measures of success Measures of success will include: 3.1 Development of solutions aligned to the Council’s strategic objectives outlined in the Plan for North Lanarkshire. 3.2 Setting of a balanced budget for 2025/26 and subsequent years. 3.3 Successful and timeous implementation of approved solutions. 4. Supporting documents Appendix 1 Envisaged Scenario Appendix 2 Pessimistic Scenario Appendix 3 Optimistic Scenario Appendix 4 Summary of Movements Appendix 5 Review of Principles of Revenue Resources Budget Strategy Page 33 of 166
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Elaine Kemp Chief Officer (Finance) Page 34 of 166
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5. Impacts 5.1 Public Sector Equality Duty and Fairer Scotland Duty Does the report contain information that has an impact as a result of the Public Sector Equality Duty and/or Fairer Scotland Duty? Yes ☐ No ☒ If Yes, please provide a brief summary of the impact? If Yes, has an assessment been carried out and published on the council’s website? https://www.northlanarkshire.gov.uk/your-community/equalities/equality- and-fairer-scotland-duty-impact-assessments Yes ☐ No ☐ 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? 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 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? Page 35 of 166
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Where the impact identifies a requirement for significant technology change, has an assessment been carried out (or is scheduled to be carried out) by the Enterprise Architecture Governance Group (EAGG)? Yes ☐ No ☐ 5.7 Environmental / Carbon impact Does the report / project / practice contain information that has an impact on any environmental or carbon matters? Yes ☐ No ☒ If Yes, please provide a brief summary of the impact? 5.8 Communications impact Does the report contain any information that has an impact on the council’s communications activities? Yes ☐ No ☒ If Yes, please provide a brief summary of the impact? 5.9 Risk impact Is there a risk impact? Yes ☐ No ☒ If Yes, please provide a brief summary of the key risks and potential impacts, highlighting where the risk(s) are assessed and recorded (e.g. Corporate or Service or Project Risk Registers), and how they are managed? 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 ☐ Page 36 of 166
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Envisaged Scenario Appendix 1 2025/26 2026/27 2027/28 2028/29 2029/30 £000s £000s £000s £000s £000s Anticipated Cost Pressures 18,910 14,766 17,175 17,473 18,075 Pay Award 11,700 11,600 11,700 11,900 12,200 Pension Costs 0 (4,200) 0 0 0 Other Employee Costs; first stage of pay and grading model 2,400 0 0 0 0 Contract Inflation 2,100 3,240 3,760 3,760 3,900 Energy Costs (3,080) 416 424 433 475 CSP's 3,400 2,500 0 0 0 Other Cost Pressures 3,390 2,260 2,400 2,540 2,720 Income Generation- Fees & Charges (1,000) (1,050) (1,110) (1,160) (1,220) Other Commitments 4,290 6,290 5,890 5,990 5,000 City Deal Commitments 290 290 290 290 0 Community Investment Fund 2,500 2,700 3,000 3,000 3,400 Loan charges reprofiling 2,400 2,400 2,600 2,700 600 PPP Contract Obligations 0 0 0 0 1,000 SPF cost reduction (900) 28,300 0 0 0 New Investment; Community Hubs CFCR 0 (23,416) 0 0 0 Use of one off to smooth budget 0 (3,984) 0 0 0 Total Cost Pressures 23,200 21,056 23,065 23,463 23,075 Less: Resource Forecasts 1,935 3,720 3,970 4,030 4,400 AEF adjustments - Core (1,535) 0 0 0 0 1% Council Tax Increase; CIF 1,770 1,820 1,870 1,930 1,890 Net Council Tax Growth inc. rebaselining adj in year 1 1,700 1,900 2,100 2,100 2,510 Budget Gap before carry fwd of unresolved gap & advanced action 21,265 17,336 19,095 19,433 18,675 Unresolved Recurring Budget Gap B/fwd 6,025 3,984 0 0 0 Revised Budget Gap before advanced action 27,290 21,320 19,095 19,433 18,675 Approved Advance Action (5,729) 0 0 0 0 Approved Base Budget Adjustments (210) 0 0 0 0 Proposed Base Budget Adjustments 0 0 0 0 0 2023/24 Approved Savings now applied (3,400) 0 0 0 0 2024/25 Approved Savings now applied (2,283) (1,218) 0 0 0 Use of Reserves for delayed 2023/24 approved savings 0 0 0 0 0 One-off Use of Reserves for delayed 2024/25 approved savings (1,218) 0 0 0 0 2023/24 Reversal of use of reserves for delayed saving 3,400 0 0 0 0 Reversal of previous years use of reserves for delayed saving 3,501 1,218 0 0 0 23/24 Pay Award One-Off Funding - Replenish Reserves (1,535) 0 0 0 0 One-off Use of Resources supported by SPF Cost Reduction (3,984) 0 0 0 0 Budget Gap after approved advanced action 21,561 21,320 19,095 19,433 18,675 3 year total (25/26 to 27/28) 61,976 Page 37 of 166
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Pessimistic Scenario Appendix 2 2025/26 2026/27 2027/28 2028/29 2029/30 £000s £000s £000s £000s £000s Anticipated Cost Pressures 35,998 30,891 34,574 35,923 37,527 Pay Award 23,700 26,500 27,500 28,700 30,000 Pension Costs 0 (4,400) 0 0 0 Other Employee Costs; first stage of pay and grading model 2,400 0 0 0 0 Contract Inflation 5,180 4,010 4,570 4,620 4,790 Energy Costs (1,332) 671 693 714 737 CSP's 3,400 2,500 0 0 0 Other Cost Pressures 3,400 2,400 2,640 2,760 2,920 Income Generation- Fees & Charges (750) (790) (830) (870) (920) Other Commitments 3,480 7,680 6,180 6,280 5,000 City Deal Commitments 580 580 580 580 0 Community Investment Fund 2,500 2,700 3,000 3,000 3,400 Loan charges reprofiling 2,400 2,400 2,600 2,700 600 PPP Contract Obligations 0 0 0 0 1,000 SPF cost reduction (2,000) 29,400 0 0 0 New Investment; Community Hubs CFCR 2,041 (23,416) 0 0 0 Use of one off to smooth budget (2,041) (3,984) 0 0 0 Total Cost Pressures 39,478 38,571 40,754 42,203 42,527 Less: Resource Forecasts (6,600) (4,720) (4,380) (4,240) (3,790) AEF adjustments - Core (10,070) (8,440) (8,350) (8,270) (8,190) 1% Council Tax Increase; CIF 1,770 1,820 1,870 1,930 1,890 Net Council Tax Growth inc. rebaselining adj in year 1 1,700 1,900 2,100 2,100 2,510 Budget Gap before carry fwd of unresolved gap & advanced action 46,078 43,291 45,134 46,443 46,317 Unresolved Recurring Budget Gap B/fwd 6,025 3,984 0 0 0 Revised Budget Gap before advanced action 52,103 47,275 45,134 46,443 46,317 Approved Advance Action (5,729) 3,984 0 0 0 Approved Base Budget Adjustments (210) 0 0 0 0 Proposed Base Budget Adjustments 0 0 0 0 0 2023/24 Approved Savings now applied (3,400) 0 0 0 0 2024/25 Approved Savings now applied (2,283) (1,218) 0 0 0 Use of Reserves for delayed 2023/24 approved savings 0 0 0 0 0 One-off Use of Reserves for delayed 2024/25 approved savings (1,218) 0 0 0 0 2023/24 Reversal of use of reserves for delayed saving 3,400 0 0 0 0 Reversal of previous years use of reserves for delayed saving 3,501 1,218 0 0 0 23/24 Pay Award One-Off Funding - Replenish Reserves (1,535) 0 0 0 0 One-off Use of Resources supported by SPF Cost Reduction (3,984) 3,984 0 0 0 Budget Gap after approved advanced action 40,349 47,275 45,134 46,443 46,317 3 year total (25/26 to 27/28) 132,758 Page 38 of 166
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Optimistic Scenario Appendix 3 2025/26 2026/27 2027/28 2028/29 2029/30 £000s £000s £000s £000s £000s Anticipated Cost Pressures 13,560 10,160 12,421 12,543 12,883 Pay Award 9,300 8,600 8,700 8,800 9,000 Pension Costs 0 (4,100) 0 0 0 Other Employee Costs; first stage of pay and grading model 2,400 0 0 0 0 Contract Inflation 1,610 2,480 2,970 2,930 3,000 Energy Costs (4,830) 160 161 163 164 CSP's 3,400 2,500 0 0 0 Other Cost Pressures 2,930 1,840 1,970 2,100 2,240 Income Generation- Fees & Charges (1,250) (1,320) (1,380) (1,450) (1,520) Other Commitments 4,490 6,090 5,890 5,990 5,000 City Deal Commitments 290 290 290 290 0 Community Investment Fund 2,500 2,700 3,000 3,000 3,400 Loan charges reprofiling 2,400 2,400 2,600 2,700 600 PPP Contract Obligations 0 0 0 0 1,000 SPF cost reduction (700) 28,100 0 0 0 New Investment; Community Hubs CFCR 2,041 (23,416) 0 0 0 Use of one off to smooth budget (2,041) (3,984) 0 0 0 Total Cost Pressures 18,050 16,250 18,311 18,533 17,883 Less: Resource Forecasts 10,470 12,330 12,660 12,810 13,270 AEF adjustments - Core 7,000 8,610 8,690 8,780 8,870 1% Council Tax Increase; CIF 1,770 1,820 1,870 1,930 1,890 Net Council Tax Growth inc. rebaselining adj in year 1 1,700 1,900 2,100 2,100 2,510 Budget Gap before carry fwd of unresolved gap & advanced action 7,580 3,920 5,651 5,723 4,613 Unresolved Recurring Budget Gap B/fwd 6,025 3,984 0 0 0 Revised Budget Gap before advanced action 13,605 7,904 5,651 5,723 4,613 Approved Advance Action (5,729) 0 0 0 0 Approved Base Budget Adjustments (210) 0 0 0 0 Proposed Base Budget Adjustments 0 0 0 0 0 2023/24 Approved Savings now applied (3,400) 0 0 0 0 2024/25 Approved Savings now applied (2,283) (1,218) 0 0 0 Use of Reserves for delayed 2023/24 approved savings 0 0 0 0 0 One-off Use of Reserves for delayed 2024/25 approved savings (1,218) 0 0 0 0 2023/24 Reversal of use of reserves for delayed saving 3,400 0 0 0 0 Reversal of previous years use of reserves for delayed saving 3,501 1,218 0 0 0 23/24 Pay Award One-Off Funding - Replenish Reserves (1,535) 0 0 0 0 One-off Use of Resources supported by SPF Cost Reduction (3,984) 0 0 0 0 Budget Gap after approved advanced action 1,851 3,920 5,651 5,723 4,613 3 year total (25/26 to 27/28) 11,422 Page 39 of 166
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Appendix 4 Summary Movements from Previous MTFP 2025/26 £000 2026/27 £000 2027/28 £000 2028/29 £000 Total £000 Gap per approved MTFP June 2023 14,660 18,760 23,320 20,941 77,681 Action Approved Adjustments to Pay Assumptions 2024/25-2026/27 (200) (2,100) 0 0 (2,300) Reduction in Employers Pension Contributions 0 (3,800) 0 0 (3,800) Reversal of One-off funding for 2023/24 Pay Award 0 1,535 0 0 1,535 2023/24 Pay Awared One-off; Replenish Reserves 0 (1,535) 0 0 (1,535) Reversal of One-off reduction for 2024/25 Pension Contributions 27,400 27,400 0 0 54,800 Reversal of one-off CFCR approved for 24/25 (21,375) (23,416) 0 0 (44,791) 25/26 One-Off reduction in Pension Contributions (27,400) 0 0 0 (27,400) One-off CFCR approved for 25/26 23,416 0 0 0 23,416 25/26 Approved Savings (2,283) (1,218) 0 0 (3,501) Reverse previous year use of reserves to balance unresolved gap 3,501 1,218 0 0 4,719 One of use of reserves to support delivery of savings (1,218) 0 0 0 (1,218) 1,841 (1,916) 0 0 (75) Revised Gap February 2024 16,501 16,844 23,320 20,941 77,606 Updated assumptions April 2024 Cost Pressures Pay Award (100) (1,100) (6,500) (3,800) (11,500) Pension Costs 0 (400) 0 0 (400) Other Employee Costs; first stage of review of pay and grading model 2,400 0 0 0 2,400 Contract Inflation 950 990 600 510 3,050 Energy (3,080) 416 424 433 (1,807) CSPs 3,400 2,500 0 0 5,900 Other Cost Pressures 2,270 1,090 1,210 1,350 5,920 Income Generations - Sales, Fees & Charges (480) (520) (559) (600) (2,159) One-off reduction in Pension Contributions (900) 900 0 0 0 Loan Charges 600 600 600 600 2,400 Revised MTFP Gap 21,561 21,320 19,095 19,433 81,409 Movement 5,060 4,476 (4,225) (1,508) 3,803 Page 40 of 166
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Appendix 5 Update on Implementation of the Principle Review of Principle New or Enhanced Principle i. Future budgets will be developed to cover a rolling three year period. The Revenue Resources Budget for the 3 year period will take account of all opportunities flowing from the Plan for North Lanarkshire and the associated Programme of Work, ensuring full integration of the Plan and the budget. A longer term approach to the budget process will provide for longer term planning and delivery of more complex projects, linked to the Plan to deliver efficiencies and savings over an extended period. The Council continues to consider 5 years as an appropriate timeframe for financial planning purposes but the focus for budget setting is three years. This principle remains sound but is increasingly difficult to implement particularly in light of continued one year financial settlements from the Scottish Government. There is also an ever increasing risk associated with estimating the level of funding available for Local Government in Scotland and a greater degree of risk associated with inflationary pressures, including future costs of pay awards. This makes planning for the longer term and taking a more strategic approach to savings and other solutions to manage the financial position, more difficult to implement. Therefore, whilst this Council is fully committed to this key principle the focus has been on setting a balanced budget for single year. However it should be noted that this principle has assisted with the effective implementation of the financial strategy to ensure effective decisions are taken to deliver significant savings over more than one year, and support of the ongoing challenge to ensure the Council remains financially sustainability. The focus of this principle is the period to be considered for budget setting purposes and the solutions to manage the position. Therefore, the principle should be compressed to give it that focus. The alignment and integration of the Financial Plan and the Plan for North Lanarkshire is more fully reflected in principle ii) & iv). Three year rolling budgets will be developed; a strategy to manage the position in line with the Revenue Budget Framework will be recommended by the S95 Officer. It is recognised the strategy will require a combination of solutions and initiatives to close future budget gaps, and that mixture of shorter and longer term initiatives may be required, some of which will not deliver early financial benefits, due to longer lead times. This will include the continued need for all Services to identify and deliver savings. ii. Budgets will be clearly linked to the achievement of Council priorities. As previously reported, the financial plan continues to ensure there is alignment with the Plan for North Lanarkshire and the corporate objectives and priorities. The MTFP Plan continues to assume that any financial implications arising from the Plan for North and associated Programme of Work will be managed within existing resources. However, the governance arrangements in reporting on PoW activity ensure any additional financial consequences are captured and reported through the relevant channels. This will ensure all costs and savings are clearly reported and incorporated into the MTFP. The budget strategy to manage the financial position also ensures that appraisal of savings options distinguishes between those related to statutory and discretionary responsibilities, to ensure resources are targeted towards delivery of Council priorities and statutory requirements. This principle closely aligns with principle iv) below. Therefore, principle ii) and iv) should be merged to reflect the direct linkage with the opportunities that are anticipated to flow from the Programme of Work and drive decisions to ensure budgets are linked to Council priorities. Integration of the Plan for North Lanarkshire and the Financial plan will ensure that resources are directed towards key priorities and that current service delivery is prudent, affordable and sustainable. Services should manage allocated revenue resources effectively and ensure delivery of previously approved savings, whilst managing unmet budget burdens, thus enabling net allocated revenue resources to be directed to delivery of current service provision. The Programme of Work is critical to delivery of the financial strategy, driving change and future financial efficiencies and savings. Any requirement for new or enhanced services should be reported either through appropriate committees or part of the budget process, to ensure there is a coherent decision-making strategy and prioritisation of resources, particularly in light of the ongoing future financial challenges the Council faces. Key Principles Revenue Resources Budget Strategy Progress Update & Review of Key Principles Page 41 of 166
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Appendix 5 Update on Implementation of the Principle Review of Principle New or Enhanced Principle iii. The identification of savings opportunities will remain under continuous consideration rather than being restricted to deliberation as part of the annual budget setting exercise. Approval from appropriate Committees will be sought as savings are identified, allowing consideration by elected members well in advance of the annual budget setting meeting. The identification and approval of savings will become an integral part of normal Committee activity. The Council remains committed to this principle. However, it should be acknowledged that a key savings report was approved during financial year 2023/24, which was subsequently reversed. The Council needs to learn lessons from this and the challenge to ensure there is adequate public and member communications to help aid understanding and support for proposed decisions, and the impact of not taking such difficult decisions, in order to manage the ongoing financial sustainability challenges. This remains a sound and essential principle which must become more embedded in Council's decision making processes throughout the year. Therefore there needs to be a shift emphasis on the ongoing requirement to review service deliver models to ensure the Council continues to provide best value services thus ensuring services are efficient as possible, therefore potentially generate financial savings. This will help the Council to continue to provide and protect the services for the community it serves. It is important that this principle is reinforced to ensure effective leadership in managing the challenging financial position the Council continues to face, ensuring members can make timely decisions and managing the overall financial position of the Council. Service design and delivery should remain under continuous review to ensure the Council delivers best value and efficient services, potentially generating financial savings or income generating opportunities; such reviews should be informed by benchmarking and were appropriate reported for approval through a relevant Committee. This will support the Council in its statutory duty to provide best value and enable operational delivery levels to be compared with other peer Local Authorities, to inform decision making and for any financial implications to be incorporated into the MTFP/ Financial Outlooks more timely. These reviews may mean re-prioritisation or change in service performance, to enable the Council to deliver more of our existing services for longer. The Revenue Budget Framework should ensure that there is a cohesive and joined up approach to consideration of savings particularly where there are crosscutting proposals. Such approach to decision making will help demonstrate strong and effective leadership, to ensure the Council remains financially sustainable. iv. Opportunities for service redesign which will inevitably flow from the Plan for North Lanarkshire and the associated Programme of Work will become the new drivers of future years’ savings. Consideration of Service redesign continues to identify savings options to improve efficiency and reduce the Council's asset base where appropriate. In addition, income generation opportunities and other service restructures, have contributed to managing the challenging financial position, in support of the Council's budget strategy. This principle closely aligns with principle ii) above. Therefore, it is proposed to merge both principles to reflect the direct linkage with the Council's objectives of the Plan for North Lanarkshire, and recognise the opportunities which are anticipated to flow from the Programme of Work, which should help drive decisions and ensure budgets are linked to Council priorities. Merged with ii) above v. Services must ensure full understanding and recognition of the revenue consequences of future capital investment decisions to enable capital and revenue budget plans which are fully integrated. This will facilitate the development of an approach to growth which meets the objectives of the Community Investment fund by ring fencing elements future of Council Tax increases. The key principles of the Council's Capital Strategy reflect the requirement to ensure revenue consequences are embedded in the decision making around Community Investment decisions, ensuring all recurring revenue consequences are considered. The Policy & Strategy Committee of 14 March 2024 approved the new Strategic Capital Investment Programme 2024/25 to 2028/29. In accordance with Prudential Code requirements, the Council carries out ongoing reviews of the Capital Strategy. Therefore, an updated Capital Strategy was also presented to Committee outlining the framework used to develop the new programme, which remain largely unchanged from the previous iteration. Due consideration of the recurring revenue consequences was fully reflected in the evaluation of capital proposals and assessed to be managed within existing revenue budgets. As this principle is now more embedded in the capital Strategy and associated decision making processes reflect good financial management and decision making in accordance with financial regulations, then is it is proposed that this principle be removed from the Revenue Budget Strategy. Key Principles Revenue Resources Budget Strategy Progress Update & Review of Key Principles Page 42 of 166
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Appendix 5 Update on Implementation of the Principle Review of Principle New or Enhanced Principle vi. Future charging models for services provided will be informed by benchmarking and the principles of full cost recovery. Once costs are established on this basis, future increases will be index-linked. Additionally, consideration will be given to appropriate revenue generating opportunities. As previously advised there has been attempts made to move towards full cost recovery, for example in relation to school meal prices, burial charges and the introduction of charges for services such as community alarms. However, the recent challenging economic climate including high inflation has made it increasing difficult to deliver previously approved income generation targets or to undertake further development work to ensure this principle is fully embedded. In support of this principle and in particular that charges should be indexed linked, the Policy & Strategy Committee in September 2023 approved the new Discretionary Fees and Charges Policy, which includes provision for a 5% annual uplift on charges. It should be recognised however that as a result in high inflation in recent years some costs have risen materially therefore potentially resulting in some charges being further adrift from full cost recovery than they were previously. Services must ensure compliance with the policy and are required to carryout an annual review of discretionary charges by the end of April each year to assess compliance with the full cost recovery principle. The outcome of the annual review is to be reported to the Section 95 Officer summarising any financial implications, and any material shortfalls in compliance, which may require to be considered as part of the budget setting process or a separate report to Committee, in line with principle iii) above and the need to minimise cost and maximise income generation opportunities. There should be a shift in emphasis from focussing on full cost recovery in relation to sales, fees & charges, to maximising all income generating opportunities including Council Tax, which after government grant is the most significant income receivable by the Council. There also needs to be a greater emphasis on reviews to be informed by benchmarking allowing for full consideration of performance and service delivery levels relative to peer authorities. Maximising all income generating opportunities should be considered; including implementing a Council Tax Income Strategy to help maximise resources available for service delivery. All future charging models should be informed by benchmarking, where appropriate, and the principles of full cost recovery. Once charges are established on this basis, future increases will be index-linked in line with approved policies. vii. Consideration will continue to be given to the planned, sustainable use of available balances. The Council's continues to comply with the approved Reserves Policy. Financial Solutions continue to ensure financial plans reflect demands for future one-off resource requirements. This includes change management fund requirements to meet the one-off costs savings. An update on forecast costs was included in the 2024/25 budget setting report. In addition, as part of the close down of the financial year a review of other one-off resource requirements is undertaken and reserves earmarked as applicable. The position in respect of these reserves will continue to be reported within the revenue monitoring reports. Implementation of this principle is essential to demonstrate the affordability and sustainability of approved plans and associated one-off costs. This principle remains essential to the Revenue Budget Strategy. Minor change to reflect the requirement to align with policy. Planned and sustainable use of available balances will be considered in line with policy; this includes consideration of use of balances in accordance with provisions contained in the Revenue Budget Framework such as managing the financial impact of any agreed smoothing or other strategy approved by the S95 Officer, to help close future budget gaps and lead in times for approved savings, where it affordability can be demonstrated. Key Principles Revenue Resources Budget Strategy Progress Update & Review of Key Principles Page 43 of 166
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Appendix 5 Update on Implementation of the Principle Review of Principle New or Enhanced Principle viii. Consideration will be given to proposals to fully implement the use of participatory budgeting Full implementation of Participatory Budgeting and delivery of the 1% target has been delivered to March 2024. There should be a shift in emphasis from focussing only on participatory budgeting to incorporate the requirement for community engagement / communication to reflect statutory requirements under the Community Empowerment (Scotland) Act 2015, which requires councils to embed community participation in the design and delivery of public services, and to build community capacity to give people the skills and confidence required to be involved, while recognising the particular needs of communities facing multiple social and economic challenges. The outcome of such engagement will inform members’ decisions around the solutions to ensure the Council meets its statutory requirement to set a balanced budget. Consideration will be given to proposals to fully implement the use of participatory budgeting and opportunities to meet statutory requirements under the Community Empowerment (Scotland) Act 2015; the outcome of such considerations is will inform members’ decisions around the solutions to ensure the Council meets its statutory requirement to set a balanced budget. ix. Active member involvement is essential. The Accounts Commission previously recognised that “with the financial pressures, Councillors need to make difficult decisions. This requires effective political leadership and communications. It is essential that all Councillors, not just the administration, work effectively with officers and other stakeholders to identify and deliver necessary savings.” Officers continue to develop a budget strategy and ensure that members are fully informed and supported as they work towards setting a balanced budget. The Financial Planning Advisory Group was established in 2023/24 to encourage cross party working and to strengthen the budget process. This proved challenging and the group has subsequently been disbanded. However, all member budget briefing sessions were delivered to encouraging active member involvement across all political groups. Subsequent identical briefings were also provided to Trade Unions. These briefings were well received and Finance continued to work with individual party budget groups to progress budget discussions and to support members with their group budget motions. This principle remains essential to the Revenue Budget Strategy. Minor change to reflect requirement to involve other key stakeholders. Members and other key stakeholders will be actively involved in the budget process; with the financial pressures facing the Council, Councillors need to make difficult decisions. To manage these challenges requires effective political leadership and communications. It is essential that all Councillors, not just the administration, work effectively with officers and other stakeholders to identify and deliver necessary savings and meet their statutory responsibility to set a balanced budget. In addition, it is important to involve other key stakeholders as deemed appropriate. Key Principles Revenue Resources Budget Strategy Progress Update & Review of Key Principles Page 44 of 166
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North Lanarkshire Council Report Policy and Strategy Committee Does this report require to be approved? ☐ Yes ☒ No Ref PH/AL Date 06/06/24 Open Space Strategy Update From Pamela Humphries, Chief Officer (Place) E-mail LeslieA@northlan.gov.uk Telephone Alan Leslie 07583 133230 Executive Summary The Planning (Scotland) Act 2019 introduced new statutory duties upon councils to prepare and publish an Open Space Strategy (OSS) and Play Sufficiency Assessment (PSA) to assess the sufficiency of play opportunities for children in their area. An open space strategy must contain an audit of existing open space provision and an assessment of current and future requirements. The Act also introduces a requirement for planning authorities to carry out a play sufficiency assessment. Work is underway on the development of the council’s OSS which will set out a strategic framework for the future development, maintenance, and use of open spaces and green networks. This report provides an update on the progress of the Open Space Strategy (OSS) and of the Open Space Audit carried out to inform it. Recommendations It is recommended that the Policy and Strategy Committee: 1) Acknowledges the completion of the Open Space Audit as a major step towards publication of a Draft Open Space Strategy and Play Sufficiency Assessment later this year. The Plan for North Lanarkshire Priority All priorities Ambition statement (15) Encourage the health and wellbeing of people through a range of social, cultural, and leisure activities (16) Transform our natural environment to support wellbeing and inward investment and enhance it for current and future generations (17) Ensure we keep our environment clean, safe, and attractive (20) Improve the involvement of communities in the decisions, and development of services and supports, that affect them Item 5 Page 45 of 166
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1. Background 1.1 As reported to Committee in March 2023, the Planning (Scotland) Act 2019 placed a new duty on planning authorities to publish an Open Space Strategy (OSS), supported by an audit of open spaces in their areas, and to assess the sufficiency of play opportunities for children and young people. Planning Authorities must have an approved Open Space Strategy and have carried out Play Sufficiency Assessments (PSAs) prior to publishing the Evidence Report as part of the preparation of the next generation of Local Development Plans. 1.2 The Scottish Government published its finalised Play Sufficiency Assessment Regulations 2023 in December 2023. Proposed requirements for Open Space Strategies remains in draft form as part of the Draft Open Space and Play Sufficiency Assessment Regulations 2021. 1.3 The Draft Regulations define open space as “space within and on the edge of settlements comprising green space or civic areas such as squares, marketplaces and other paved or hard landscaped areas with a civic function.” 1.4 It is intended that the Open Space Strategy will also incorporate the Community Sports Pitch Review currently being prepared by the Council. 1.5 In order to progress the development of the Open Space Strategy an Open Space Strategy and Play Sufficiency Assessment Steering Group has been established, including representatives from relevant services and external partners (e.g., public health colleagues at NHS Lanarkshire). 1.6 Members will recall that a small project team was established to deliver the audit and strategy development phase of the Open Space Strategy and Play Sufficiency Assessment. This work has been supported by Greenspace Scotland, a social enterprise which is the national lead for improving urban environments and which has significant experience in developing assessments and strategies of this nature. 2. Report 2.1 The audit of all open spaces in North Lanarkshire of 0.2 hectares or greater has been completed by the project team, in conjunction with Greenspace Scotland and Glasgow & Clyde Valley Green Network. Smaller spaces were included where considered appropriate, such as where a smaller space is recognised as being of particular value to the community or makes a significant contribution to particular outcomes. 2.2 The pioneering NLC Open Space Strategy Quality Assessment Document developed in collaboration with Greenspace Scotland and the Glasgow Clyde Valley Green Network ensured a robust and consistent approach to auditing that could be applied to every site. This looked at the quality of green and open spaces under the following headings: (24) Review and design services around people, communities, and shared resources (25) Ensure intelligent use of data and information to support fully evidence based decision making and future planning Programme of Work All Programmes of Work Page 46 of 166
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• Accessible and connected • Place quality • Care and maintenance • Function, use and activity • Safe • Biodiverse supporting ecological networks 2.3 722 sites were identified initially as requiring to be audited. A further desktop exercise was undertaken, along with analysis of the results of the surveys. This identified a further 829 sites to be included, taking the total number of sites that fell to be audited to 1,551, totalling 5,646.7 Hectares, representing over 12% of North Lanarkshire’s total land area of 466.2 km2/46,620 Ha. The audit phase has been completed and final checks are being made to the data to ensure that it is consistent. 2.4 Analysis of the open space audit findings is still ongoing, but Members may be interested in the initial high-level, Council-wide findings to date. • 1,551 sites fell to be audited in line with the Scottish Government’s definition, covering a total of 5,647 hectares. Due to site and time constraints, the audit team was able to survey 4,256 hectares in-person, representing 75% of all land due to be surveyed. All other sites will be scored using a sampling process based on similarities in type and location of sites that were audited in-person. • North Lanarkshire has 16.55 Ha of open space per 1,000 people overall. This equates to over 350 m2 per home. • North Lanarkshire has 293 sports pitches, not counting 71 red blaes pitches. 2.5 Having carried out and reported on our initial partner engagement workshop in 2022 a programme of engagement and consultation was undertaken throughout 2023 to further inform the audit of sites and the development of the Open Space Strategy. 2.6 Two major open/public survey exercises for Green & Open Space and Play were carried out in the spring and summer of 2023. Both exercises involved surveys of those using the spaces, as well as any parents and carers of open space/play users. Digital technology and interactive smart maps were developed to compliment traditional engagement methods and enable feedback about the existing quality and level of provision of open space to be gathered in real time, therefore more effectively and efficiently. The response was encouragingly large and clearly captured the attention and interest of a significant cross-section of our communities across North Lanarkshire. 2.7 1,185 people responded to the Green and Open Space Survey. Analysis of the responses was carried out, with the following being the significant findings: • A total of 465 spaces were identified as being important to our communities (Included in Open Space Survey Phase 2) • 88% of participants visited open space once a week or more • 74% of participants had a 10-minute walk or less to their nearest green or open space. The majority (53%) could walk to their nearest green or open space within 5 minutes Page 47 of 166
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• 90% of participants strongly agreed with the statement ‘Visiting green spaces makes me feel better’ • 54% of participants were very satisfied or quite satisfied with the quality of their local greenspace. 13.92% were neither satisfied nor dissatisfied • 70% of participants responded ‘yes’ or ‘maybe’ that they would be interested in volunteering in future • The main factors that would influence if people used green and open space more or less often were: o Litter o Anti social behaviour or vandalism o Maintained paths for walking, wheeling and cycling 2.8 1,663 responses were received to the survey of peoples’ perception of play space. Analysis of the responses to this survey highlighted that: • 74% of participants were responsible for children on the 5-11 age category. • 43% said their child(ren) go outside to play or hang out with friends several times a week. • 72% of participants said their child(ren) get to where they play by walking, wheeling, cycling, scooting, skateboarding or blading. • 71% had a 10 minute walk or less to where their child(ren) play. • 44% of participants were either quite dissatisfied or very dissatisfied that their child(ren) have access to outdoor play outside of school hours. The most popular response was quite satisfied (26.88%). • 72.5% of participants agreed strongly or agreed slightly that their local play space was easy to get to by walking or cycling • The main issues highlighted when asked what participants didn’t like about their child(ren)’s play space were: o Litter o Dog poo in the play space o Equipment that is broken or has missing parts o Dangerous litter, for example glass or needles 2.9 A joint session was held with all 9 of North Lanarkshire’s Community Boards in summer 2023, with similar themes emerging as from the Partner Worshop and Surveys, namely: Biodiversity; safety; maintenance; accessibility; multi-functionality; inclusivity, including toilets and welcoming for children to play. 2.10 A further workshop involving the Council’s internal and external delivery partners took place at the GLO Centre, Motherwell, in November 2023. Taking into account the outputs from previous workshops, the public consultation and the audit to that date, delegates were tasked with identifying the key drivers that would influence the contents of the Open Space Strategy. It was important that the delegates also identified potential Page 48 of 166
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barriers that could restrict both the contents of the Strategy and, crucially, its effective implementation. 2.11 The following Drivers emerged through the various engagement exercises undertaken by the project team:- • Budget. The Open Space Strategy will need to take account of likely available resources and it is recognised that there will be a need to use the OSS as a framework to help prioritise available resources and/or support alternative options to help maintain/improve or re-purpose some areas of open space. • Health. The direct health benefits to communities and individuals is another obvious driver, from individual physical and mental wellbeing to reductions in the burdens and strains placed on health care provision through increased personal wellbeing. • Environment & Climate. Open spaces contribute much needed green lungs within our predominantly and tightly packed urban communities. They give an opportunity for wildlife to flourish and enhance the ecosystems around us. They also have benefits in restricting and regulating the chemical factors that are contributing to climate change. • Community Involvement. Community engagement is a central part of the process to develop an OSS, in line with the council’s Delivering for Communities operating model. 2.12 Analysis of the significant amount of data gathered is ongoing. Consideration is being given as to how to present the data and to ensure appropriate standards are adopted and a subsequent grading system is applied as part of the Strategy. 2.13 As we prepare our Open Space Strategy, engagement will continue to be a central part of the process. To ensure partners, stakeholders and communities are involved it is proposed to seek views on the draft strategy during a 12-week period of consultation in Autumn 2024. There will be an elected member workshop held in advance of the public consultation period. It is currently anticipated that the final Open Space Strategy will be presented to Committee for approval in Cycle 1 2025. 3. Measures of success 3.1 Open Space Audit completed and Open Space Strategy on track to meet statutory requirements and can demonstrate meaningful stakeholder engagement, and provides an effective framework to inform future planning and investment decisions for the future provision and management of open space making best use of available resources. 4. Supporting documentation 4.1 No supporting documents. Pamela Humphries Chief Officer (Place) Page 49 of 166
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5. Impacts 5.1 Public Sector Equality Duty and Fairer Scotland Duty Does the report contain information that has an impact as a result of the Public Sector Equality Duty and/or Fairer Scotland Duty? Yes ☒ No ☐ If Yes, please provide a brief summary of the impact? An equality impact assessment will be carried out as part of the development of the OSS. 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? Financial provision has been made to support the delivery of the Open Space Audit and Open Space Strategy. The Open Space Strategy and the associated Action Plan will need to reflect the financial constraints under which the council operates, and consider how to make best use of available resources. 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 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 ☐ Page 50 of 166
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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? There has been close collaboration with the Business and Digital Team to progress the IT requirements for the OSA. The council’s existing ‘Confirm’ asset management system is being utilised for OSS audit use. A module within the system was designed and developed at pace to meet the needs of the audit. Where the impact identifies a requirement for significant technology change, has an assessment been carried out (or is scheduled to be carried out) by the Enterprise Architecture Governance Group (EAGG)? Yes ☐ No ☐ 5.7 Environmental / Carbon impact Does the report / project / practice contain information that has an impact on any environmental or carbon matters? Yes ☒ No ☐ If Yes, please provide a brief summary of the impact? The Open Space Strategy will have a positive impact on the environment through the establishment of standards relating to the retention and enhancement of open spaces and the consequent benefits to health and biodiversity. It will also contribute towards climate change adaptation and mitigation and have a positive impact on North Lanarkshire’s carbon footprint. 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? 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 ☐ Page 51 of 166
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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). A Children’s Rights and Wellbeing Impact Assessment will be carried out as part of the development of the OSS. If Yes, has a Children’s Rights and Wellbeing Impact Assessment (CRWIA) been carried out? Yes ☐ No ☒ Page 52 of 166
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North Lanarkshire Council Report Policy & Strategy Committee Does this report require to be approved? ☒ Yes ☐ No Ref SP Date 06/06/24 Community Use of Council Assets From Stephen Penman, Chief Officer, Strategic Communication and Engagement E-mail PenmanSte@northlan.gov.uk Telephone 07947 997750 Executive Summary This report presents for consideration of the committee a new Community Ownership and Management of Council-Owned Assets policy and associated developments to assist in the better use of assets by community groups, whether through formal Community Asset Transfer or other mechanism. It follows a review determined by the Council at its budget-setting meeting in February 2024, and builds on previous work undertaken in promoting community use of assets. The policy brings together all elements of community use in a single place, sets out the requirements for groups, the council and other stakeholders and describes a framework for consideration of leases with respect to council assets. In addition, this report proposes two significant developments which it is anticipated will accelerate the process, lead to more timely conclusion of asset transfers, and assist groups in carrying out capital works to assets upon a successful transfer. Firstly, the role of community capacity officer will be created to provide intensive support to community groups in realising their ambitions to undertake a Community Asset Transfer or any other arrangement involving use of assets. Secondly, following the decisions of the Council earlier in 2024 to allocate £10m of capital to the local development programme and the review of Community Asset Transfer, a bid- in capital fund with an initial value of £3m to 2028 will be established for groups to fund capital works to assets which are transferring. Recommendations It is recommended that the Policy & Strategy Committee: 1) Approve the Community Ownership and Management of Council-Owned Assets policy at Appendix 1. 2) Acknowledge the creation of a capital fund to support groups in carrying out works to transferring assets in line with previous council decisions. Item 6 Page 53 of 166
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1. Background 1.1. The Plan for North Lanarkshire has as priorities that the council will enhance participation, capacity and improvement across communities and improve the North Lanarkshire’s resource base. The council has a long history of working effectively with local communities and recognises the important contribution that this makes to improving outcomes for residents. The council welcomes community interests and requests to use assets. The Community Empowerment (Scotland) Act 2015 provides the legal framework for Community Asset Transfer (CAT). The primary purpose of CAT is to empower local communities by giving them control over assets owned or leased by public bodies, including councils, that can be used to address local need, promote community development and enhance wellbeing. 1.2 CAT is a formal process, with groups requiring to submit a request outlining their plans for the asset’s use and demonstrating community support. The public body then assesses the request based on criteria such as community benefit, sustainability, the viability of the business plan and, in the council’s case, links to the priorities contained within the Plan for North Lanarkshire and the outcomes in local outcome improvement plans. However, other mechanisms for groups to assume leases are possible. 1.3 Prior to the legislation taking effect, the council operated a pilot scheme for community asset transfer, with one project being successfully completed. Since the legislation took effect, there have been six full transfers under the CAT process, 16 leases agreed and 10 other mechanisms, meaning that, since 2017, a total of 32 assets have been effectively transferred to communities. For the purposes of this report, all transfers under these categories are referred to as CAT whether through the formal process or not. 1.4 The Community Partnership team are in active discussions with 38 groups (some in connection with the same assets), with those groups at varying stages of readiness to undertake further transfers. 2. Report 2.1 While progress has been made in community asset transfer over recent years, and ongoing and active discussions are being held with a large number of groups, it is considered that significant potential exists to increase the number of Community Asset Transfers. 3) Note the creation of a dedicated resource to provide groups with intensive support to realise their ambitions for use of assets. The Plan for North Lanarkshire Priority Enhance participation, capacity, and empowerment across our communities Ambition statement (19) Improve engagement with communities and develop their capacity to help themselves Programme of Work One Service Page 54 of 166
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2.2 To facilitate faster progress, a Community Ownership and Management of Council- Owned Assets policy has been developed. This updates (and supersedes) the existing Community Asset Transfer policy and introduces a number of new elements. Capacity 2.3 The most significant challenge to completing asset transfers to community groups is the capacity of groups themselves to develop all the elements required for a successful transfer and, in many cases, organise under the types of governance required to be eligible. 2.4 With respect to governance, groups require to be a Community Controlled Body (CCB), of which there are different types. A CCB must be a constituted group (with appropriate articles of association), a Scottish Charitable Incorporated Organisation (SCIO) or a registered charity. In order to be considered as a CCB, the operation, governance and practice of the group must reflect: - that the group is controlled and managed by community members and ensure that membership is open to any adult who wishes to join; - an asset clause stating that any profits can only be used to benefit that community and in accordance with the aims and objectives of organisation as set out in their constitution or incorporation documents; - that if the request is for transfer of title (i.e. ownership rather than lease) the CCB needs to be a not-for-profit organisation; - that there must be a clear dissolution clause that states that the assets of the CCB can only go to another CCB or charity. Some bodies are not automatically eligible for CAT unless designated to be so by the Scottish Ministers, for example Community Interest Companies, Community Trusts, Foundations or enterprising community and voluntary organisations. However, the council will seek to work with such organisations where appropriate outwith the formal CAT process. 2.5 Companies or other organisations established for profit, for the benefit of private shareholders, for the purpose of party political promotion, or for the generation of equity are not eligible for CAT. 2.6 With respect to the capacity of groups, the following elements must be in place before a CAT can be considered: - an established business plan - a demonstration that the transfer will benefit the community in a sustainable way - measures to ensure equality of access and benefit - demonstrable links to The Plan for North Lanarkshire and Local Outcome Improvement Plans. 2.7 Because the assets in questions are in public ownership (or, on occasion, leased) these requirements are necessary both in legislative terms and to ensure that transfers are in line with council priorities. However all these elements can be challenging for groups to meet. For many groups, the first step is to become a CCB which, of itself, involves substantial consideration and group member time, particularly as group members are volunteers in the overwhelming majority of cases. Page 55 of 166
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2.8 All of this combined has the effect of extending the timescale from initial enquiry to formal application. In some cases, more than two years has passed since the initial enquiry with some groups still not at the stage of being able to submit a formal request. 2.9 This also brings resource challenges for the council; assisting groups in building their capacity requires intensive support with a wide range of knowledge about the legislation, how groups commonly operate, the availability of external support and grants, local priorities and good governance. 2.10 In order to intensify efforts to effect CAT, and to ensure that groups can have the confidence and expertise to proceed through what can be an onerous process, it is considered appropriate to create a dedicated resource of community capacity officer (2FTE). This role will provide the intensive support needed to groups through a deep understanding of the issues faced, governance and advice. It will provide a single point of contact for groups, and will advise on sources of external funding available while making the necessary connections across the council. This can include with officers in legal, property and, for example, Business Gateway, who can provide advice on business planning. 2.11 This knowledge, ability to connect necessary expertise, and intense focus will have the benefit of increasing groups’ capacity at pace and giving them better opportunities to conclude CAT in a timely way. 2.12 It is acknowledged that faster progress towards CAT completions may add resource pressure to other council services. This will be closely monitored and considered jointly by the relevant chief officers as progress is made. Community Asset Fund 2.13 While the council has often carried out minor works to assist in preparing an asset for transfer and making a transfer more feasible, it is recognised that CCBs may wish to undertake other capital works to assets to upgrade them or to otherwise make them more appropriate for the activities to be undertaken by the group. 2.14 The council recognises that CCBs may be financially constrained and find it challenging to raise capital money at pace. This, in turn, can cast doubt on a group’s ability to take on ownership or management of an asset and can lead to longer timescales before a group is ready to concluded a CAT. 2.15 As part of its strategic capital investment plan, approved in March this year, the council allocated £10m in total for the next five years to facilitate both the continued delivery of the Local Development Programme and to help conclude further CAT applications. 2.16 It is proposed to create a £3m Community Asset Fund (which includes £670,000 of UK Shared Prosperity Fund grant). The fund will allow CCBs to bid for capital monies to carry out works to an asset subject to a successful CAT being concluded (whether full ownership or lease). This will give CCBs the capacity to carry out works which meet the ambitions set out in their applications and will allow them to plan such works with some certainty. 2.17 CCBs will be able to apply for a capital grant of up to £100,000 on successful acceptance of their stage 2 CAT request, and should indicate clearly in the course of their application what their bid is for and whether their CAT request is contingent on a successful bid into the Community Asset Fund. The £100,000 upper limit will be subject to review to ensure it best meets the needs of bidders. Page 56 of 166
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2.18 Should a bid be approved, the capital allocation will be released to the CCB on the date of transfer and is expected to be spent within 24 months. The detail of the proposed expenditure must be approved by the council and only the activities approved can be undertaken. 2.19 Other conditions aimed at protecting the public interest and securing Best Value must be agreed by the CCB before any monies can be released, for example: - audit and management of bids and expenditure - open and transparent procurement - an impact assessment covering equality, environment and community benefit specific to the activity to be funded by the capital grant 2.20 A detailed set of conditions will be developed quickly to ensure bids can be supported in early course, along with technical guidance for council officers. Discounted arrangements 2.21 Scottish Government guidance for public bodies with respect to the Community Empowerment (Scotland) Act 2015 discusses at length the issue of discounting from market value for both full transfers and leases. The guidance recognises that, while public bodies have a duty to Best Value, this does not always mean that Best Value is guaranteed by securing the highest possible price or disposal of an asset. As set out by the Disposal of Land by Local Authorities (Scotland) Regulation 2010, it is a question of balancing the financial and non-financial benefits and risks of different options. 2.22 CCBs making an application for CAT must, according the provisions of the legislation, state how much they are willing to pay for an asset or what level of rent they are willing to agree to (in effect requesting a discount from market value), and the council has a duty to consider this. As set out in the Scottish Government guidance, CCBs should not assume that a transfer will be available at a nominal sum. 2.23 The new Community Ownership and Management of Council-Owned Assets policy provides a framework for consideration of a discounted rate based on assessment of the overall strength of the application. However, this is not the only factor to be considered; the council must balance whether the asset is currently in use, to what level, the cost of relocation of other activities and other factors. The Community Asset Ownership and Management Leadership Group will consider all of these factors before making a decision or a recommendation to committee. Assets surplus to the council’s requirements 2.24 The council has a procedure for the disposal of surplus assets in place. Where one service declares an asset surplus to its requirements, an internal check is carried out with other services to determine if they have a use for the asset in question before disposal. It is proposed that, where no service expresses an interest in a surplus asset and the asset is considered suitable for potential transfer, a 12-week period will be built in to allow the community partnership team to discuss potential asset transfer with local groups. If no concrete interest is expressed during this period then disposal will proceed in the normal way. Next steps Page 57 of 166
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2.25 Recruitment of community capacity officers to carry out the intensive capacity-building work described in this report. 2.26 Rapid development of detailed guidance and conditions for the Community Asset Fund and technical guidance concerning policy application for officers. This will be developed by a group of officers including the Chief Officers for Asset & Procurement, Legal & Democratic, Financial Solutions, and Strategic Communication & Engagement. 2.27 Promotion of the Community Asset Fund, both to groups engaged in current dialogue about CAT and to the wider community and voluntary sector. 2.28 Work in partnership with Business Gateway to deliver business planning, cash flow forecasting and other workshops. 3. Measures of success 3.1 More CAT completions, with appropriate bids into the Community Asset Fund. 4. Supporting documentation Appendix 1- Community Ownership and Management of Council-Owned Assets Policy. Stephen Penman Chief Officer, Strategic Communications and Engagement Page 58 of 166
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5. Impacts 5.1 Public Sector Equality Duty and Fairer Scotland Duty Does the report contain information that has an impact as a result of the Public Sector Equality Duty and/or Fairer Scotland Duty? Yes ☒ No ☐ If Yes, please provide a brief summary of the impact? The implementation of the policy aims to reduce the inequalities caused by socio economic disadvantage align with the requirements of the Fairer Scotland Duty. 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? Existing resource identified to create new posts; capital funding profiled appropriately. 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? Job evaluation required for creation of two new posts. 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 been discussed and agreed with Legal and Democratic? Yes ☒ No ☐ If Yes, please provide a brief summary of the impact? Detailed terms and conditions for asset fund to be developed. Page 59 of 166
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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? Yes ☐ No ☒ 5.7 Environmental / Carbon impact Does the report / project / practice contain information that has an impact on any environmental or carbon matters? Yes ☐ No ☒ If Yes, please provide a brief summary of the impact? 5.8 Communications impact Does the report contain any information that has an impact on the council’s communications activities? Yes ☒ No ☐ If Yes, please provide a brief summary of the impact? Increased need to raise awareness among groups about additional support available to them. 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? • Risk in transfer of capital will be managed through project management and conditions of grant. 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 ☒ Page 60 of 166
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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, has a Children’s Rights and Wellbeing Impact Assessment (CRWIA) been carried out? Yes ☐ No ☐ Page 61 of 166
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APPENDIX 1 Community Ownership and Management of Council-Owned Assets Strategic Communication and Engagement Page 62 of 166
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Document control Title Community Ownership and Management of Council Owned Assets Policy Owner Stephen Penman Contact penmanste@northlan.gov.uk Governance Group Communities Committee Author Leanne Pollock Contact PollockL@northlan.gov.uk Revision History Number Originator Date Review Commenced Revision description/record of change V1.0 Leanne Pollock 1.3.24 Creation V2.0 Stephen Penman 19.5.24 Various revisions to encompass further discussions Document Approvals Number Governance Group Date approval granted Date approval to be requested (if document still draft) 2.0 Relevant CMT members 23.5.24 Consultation Record (for most recent update) Status of document consulted upon DRAFT Stakeholders consulted/date Chief Executive (19.5.24), relevant chief officers (19.5.24) Strategic Alignment Aligns to The Plan for North Lanarkshire (ambition statement 19) Next review date Review Date June 2028 Page 63 of 166
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Community Ownership and Management of Council Owned Assets Policy Policy statement North Lanarkshire Council recognises the value and contribution that the community and voluntary sector makes in supporting the ambitions of The Plan for North Lanarkshire. The council is committed to working in partnership with the sector to continue to provide key services to local communities and to continue to create thriving places where everyone can play a full and active part in promoting healthy lifestyles and building strong communities. Buildings, spaces, and assets are important in providing a solid base from which the sector can deliver their activities. There is commitment to providing opportunities to support responsible community ownership and management approaches in a way that meets the needs of different types of community organisations while minimising and managing any risk to both individual organisations and the council. Understanding the role of key stakeholders will be instrumental in ensuring the successful implementation of this policy. Community and Voluntary Sector organisations with a desire to take on ownership or management of a council owned asset should familiarise themselves with the policy and process and work with council officers to understand what they need to do to be in a position to take forward their aspirations. When submitting a request, the organisation has a responsibility to ensure that their proposal meets the criteria to be considered and includes all relevant information as well as evidence of community engagement. Elected Members should understand and promote adherence to this policy and associated processes, signpost community organisations to available/advice online and from appropriate officers. Elected members also have a role in the decision-making process through the committee structure and may be called upon to be involved in political reviews reflecting the requirements of the Community Empowerment (Scotland) Act 2015. Council Officers from key services have a role in working together to ensure the effective implementation of this policy. They should consistently apply this policy and associated approaches to work positively with local community organisations and other council services to achieve the best possible outcome in any given situation for both the council and the community organisation. Officers have a role in providing guidance, advice and signposting related to the policy and process relevant to their area of business. Officers will be involved in assessment of requests, presenting to senior leadership outcome of assessments and making recommendations to committee as well as supporting the appeals process linked to the Community Empowerment (Scotland) Act 2015. Chief Officers have a role in considering the outcome of any assessment of applications, agreeing the route to decision, and making recommendations to committee as required. Chief Officers have a role in working with officers to consider more challenging or complex requests, identifying leadership action required with a view to finding a mutually beneficial solution. Page 64 of 166
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1. Policy objectives • Ensure maximum community benefit is derived from council-owned assets • Strengthen participation and engagement in community and recreational activities and help communities to understand the options available to them for use, ownership and management of council owned assets • Safeguard council owned assets where it can be demonstrated that the business case and community benefit associated with retention is greater than the proposed alternative • Ensure requests for ownership, lease or management of council-owned assets, including any discounted rates or prices, are managed consistently and fairly through a transparent assessment process. 2. Guiding Principles The following set of principles will govern the council’s response when considering requests for community ownership or management of council owned assets: • The belief that community organisations can play a key role in supporting and sustaining local communities. • The council is bound by legislation to obtain best consideration for its assets, but can dispose of them at less than market value when certain considerations apply, e.g. demonstrable community benefit. Such consideration will form part of the assessment process. • Recognising property assets as a resource to be used in the delivery of services and to support the delivery of the Plan for North Lanarkshire, including where a transfer would assist the council in the effective management of its revenue budget. • Commitment to positive, supportive engagement and a collaborative relationship with community groups in the management of assets. • Valuing the community benefit derived from the activities undertaken by community organisations and taking this fully into account in setting fair management, lease or transfer terms. • Encouraging groups to work together and share efforts and resources for effective use of an asset for the benefits of the wider community. • Ensuring consistent application of the processes associated with the terms and conditions of any lease agreements and property transactions with community and voluntary sector organisations. • Ensuring the adoption of a flexible approach when responding to changing community circumstances, the diversity of the sector and ensuring a focus on the aspiration and outcomes of a specific community and /or organisations. • Ensuring no additional cost to community organisations for the administration of community ownership and management processes, for example in the preparation of leases and rent reviews. 3. Scope of the policy Community Ownership and Management of Assets refers to the processes, policies and associated procedures the council may use to transfer the ownership, lease, full or partial management of an asset to a community body. This may reflect, for example, opportunities arising from: Page 65 of 166
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• Community Asset Transfer Requests (CAT) guidance and associated procedures linked to part 5 of the Community Empowerment (Scotland) Act 2015 • Participation Request guidance associated with the Community Empowerment (Scotland) Act 2015 • Asset Management in support of the Plan for North Lanarkshire and associated Programme of Work, or other council policies and plans • Dialogue with communities to progress community led priorities identified through local engagement activity, community boards, and their Local Outcome Improvement Plans. In scope: Requests from community-based organisations who meet the necessary conditions where their aims are charitable, not for profit and for the benefit of the wider community including: • New management agreements for an existing council facility or land • Leases (including maintenance of the property/land in accordance with lease terms and conditions) • Full transfer of ownership • Participation requests that may impact on property related decision or business. • Requests for community organisations to use and/or take on maintenance of a council asset or part of it. Not in scope for application of this policy are: • NLP mortgaged properties • Requests from community groups or organisations who cannot demonstrate capacity, resource or community support proportionate to their proposal • Common good assets • Sites that the council has a legally committed or committee approved business decision to demolish or otherwise dispose of (reflected in longer term visions or strategies would not prevent a CAT • Certain types of businesses or Community Interest Companies (CIC) • Any other agreements for the purposes of commercial gain • Unincorporated organisations where their structure does not allow them to enter into contracts or legal agreements. 4. Application of the policy This policy applies to all council services and officers receiving requests or expressions of interest from communities related to community ownership or management of council owned assets. The policy can also be used to guide proactive approaches to engaging with communities around opportunities for community ownership and management where the council plans to disinvest, or has disinvested, in certain assets. This policy applies to voluntary groups, registered charities, clubs, uniformed community groups and other community-based organisations where their structure and governance allows. For certain community organisations the Community Asset Transfer legislation does not apply. In these cases the council can make an assessment regarding a reduced lease cost, but this should be for a limited period (1-3 years) and at a reducing rate with the expectation that social enterprises aim to become self-financing. Page 66 of 166
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This policy does not apply to commercial leases including professional sports clubs (i.e. those clubs who pay athletes to play as their primary occupation). Where there are exceptional circumstances which require a variation from the policy, consent will be required to be obtained from the Community Asset Ownership and Management Leadership Group. The policy meets the requirements of the Community Empowerment (Scotland) Act 2015 relating to Community Assets Transfers and Participation Requests and aims to use these processes to achieve outcomes agreed with community groups and organisations based on their aspirations and the council’s ambitions. The policy covers one clear approach to: • Community Asset Transfer • Community and voluntary sector leases • Other outcomes for community use, management or ownership of council assets agreed through the Participation Request process. The council has the discretion to engage with groups to reach a mutually agreeable solution and each case will be considered on its own merits using a standard set of criteria. This means that a consistent and fair approach will be applied to all requests and the outcome must balance and reflect the needs of the wider community, the aspirations of the applicant organisation and the interests of the council. 5. Approach to Community Ownership and Management of Assets – overview The council fully supports the underpinning principles of community empowerment and community ownership and will support communities to meet their aspirations though application of a clear policy and process. The council has created a single application and assessment process for all requests from community and voluntary sector organisations. There may be times when, to protect the interests of the wider community, assets may need to remain in council ownership to support the delivery of essential services or support economic activity in the area. Where this is the case efforts will be made to identify alternative solutions and outcomes. Each case will be fully considered on its merits reflecting the guidance associated with parts 3 and 5 of the Community Empowerment (Scotland) Act 2015 and outlined at appendix 1. The flowchart at Appendix 2 summarises the council approach and an overview is provided as follows. Stage 1: Expressions of interest The council has identified contact officers for community ownership and management enquiries to provide guidance to community groups, and to help them to assess their eligibility and capacity to take on an asset in a way that is suited to their needs. In the first instance community groups are asked to: • Familiarise themselves with the council’s community ownership and management process and eligibility criteria through the council’s information page here Page 67 of 166
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• Make initial contact by emailing expressions of interest on enquiries to community ownership@northlan.gov.uk Following initial engagement, organisations will be supported to understand the process and what is required of them. This discussion will involve checking with the organisation that they meet the criteria to apply to take on ownership or management of an asset and are able to enter into an agreement with the council under the council’s process. Prior to submitting an official request, eligible organisations will be encouraged to identify that they can evidence that the purposes for which they intend to use the asset they are requesting is for community benefit. Where it is evident that the group does not meet eligibility criteria, council officers will work with the group to identify capacity issues and support with capacity building and, where appropriate, signpost the group to additional support or information to assist them to meet their aspirations in the future. Stage 2 - Submitting a request In the interest of fairness and clarity, for all applications relating to community ownership and management of assets the council will apply assessment criteria and timescales (where possible) that reflect the requirements of the Community Empowerment Act. For organisations that do not meet the Scottish Government criteria as an eligible body under the Community Empowerment Act but can still demonstrate community benefit (for example Community Interest Companies (CICS), Community Trusts, Foundations or social enterprises in certain circumstances) the council can accept an application. However, in this case the outcome of assessment and decision of the council is final and unless designated by Scottish Ministers the council is under no obligation to review or honour any requests to appeal the decision. All community ownership or management requests must be submitted using the council’s application form attached at appendix 3. 6. Types of community groups and eligibility criteria In order to be considered for any type of community ownership, management or lease of an asset the operation, governance and practice of the applicant must show: • That the group is controlled and managed by community members and ensure that membership is open to any adult who wishes to join • That they have an asset clause stating that any profits can only be used to benefit that community and in accordance with the aims and objectives of the organisation (as set out in their constitution or incorporation documents) • If the request is for transfer of title (i.e. ownership) the CCB needs to be a not for profit organisation • a clear dissolution clause that states that the assets of the company can only be transferred to another properly constituted community group or charity. 7. Types of request Page 68 of 166
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Full Ownership Requests Where a group is applying to take full ownership of a building or asset more detailed supplementary information should be submitted including but not exclusive to: • A robust business plan • Any feasibility or condition studies that have been undertaken by the group • Any valuation information instructed by the group, which must be from a suitably qualified and experienced member of the Royal Institution of Chartered Surveyors who is also a Registered Valuer. Any valuation will be subject to agreement with the council in line with Scottish Government guidance on Community Asset Transfer. • A project plan and financial projections for any capital and projects management works required to ensure the building can be made operational (if not already). This would typically include a costed building survey. Leases The council can agree to lease assets (normally land or buildings) at a reduced lease value to voluntary groups, clubs and other community-based organisations. This approach reflects the principles of The Plan for North Lanarkshire and the Community Empowerment (Scotland) Act 2015 but also enables the council to agree arrangements with groups who do not fully meet the legislative criteria for community asset transfer or where it is mutually beneficial to the council and the wider community to conclude a lease at pace. The merits of an application for a discounted lease will be assessed using the same criteria as for requests for full ownership. The following points apply to community and discounted leases: 1. The cost of the lease will be assessed via the information submitted as part of the application process. Discounts will be considered at the discretion of the council as reflected in the discount matrix at appendix 5. The lease would reflect the market value with any percentage subsidy or the standard value applied based on assessment process and reflected in a back letter. 2. Leases will be developed on the basis of the tenant assuming full repairing and insuring leases (FRI). 3. At either the point of rent review or lease renewal there will be a re-assessment to determine the appropriate lease subsidy. 4. Standard values will be reviewed in line with inflation at policy review points. 5. The maximum duration for the granting of a lease is 25 years. 6. Discount will not be awarded at 100% (rent is an essential component of a lease and rental of £1 would be required as a minimum). 7. In the case of a long lease, for example 20 years or longer, where a community group is required to register their lease, there will be outlays to both parties. Where there is an actual external cost to the council, e.g. a district valuation fee, property enquiry certificate, Legal and Plans Reports, this will be met 50% by the council and 50% by the tenant. Page 69 of 166
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8. Existing tenants under the policy applying for an assignation to another community body (or require assigning due to restructuring, for example to a SCIO) or for a licence for works will only be charged for any actual external costs incurred by the council. Participation Requests for alternative outcomes Participation requests are much broader than taking on an asset and can cover a number of ways that community groups want to become more involved in decision making and delivery of council services. Participation requests can be a useful tool in helping groups to identify their aspirations and the outcome they want to achieve. Participation requests can assist the council to work with groups who do not clearly fit the criteria for ownership or who do not want to officially take on an asset at this time but may want to become more involved in supporting the councils ambitions through, for example: • Maintenance of an asset or greenspace • Using a piece of council-owned land to deliver community activities (events, celebrations, fitness and environmental activities) • Exclusive let of some or all of an asset at certain times • Sharing use of an asset with the council. A group can contact the council through the wider community ownership and management process to start to discuss if a participation request is a suitable option. More information on the process can be accessed here. 8. Assessment and decision-making The assessment of a request and any subsequent decision to proceed will consider the condition, usage, value of the asset, the availability of other suitable premises from which the proposed activity could take place and value for money offered by the proposal. The assessment will be made based on the process outlined at appendix 4 using following criteria: • Details of the asset and type of request • Organisational capacity • Links to The Plan for North Lanarkshire • Community benefit and impact • Community support • Financial sustainability • Risk and social impact. The community organisation can indicate the price that they are willing to pay for the asset and the council must consider the feasibility of agreeing a cost that reflects community benefit and council operational requirements. Market value will be taken into consideration alongside community Page 70 of 166
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benefit. This will inform the assessment and decision-making process, including securing the best price as can reasonably be obtained to support council priorities. The council will provide to the applicant information it holds on the asset. The council will consider requests for information on the asset submitted in writing, where this information is readily available and deemed to be useful to the progression of the group’s application for ownership, management or lease if the asset. Community organisations are encouraged to seek (and fund) any required independent legal and technical advice relating to property condition and value. Community asset fund The council will establish a capital fund. Organisations can bid into this fund if they meet all the criteria described in this policy for an asset transfer, a discounted lease or a participation request to carry out capital works to assets. An organisation must set out in their stage 2 request what their bid is for, how much they intend to bid for and whether or not their CAT request is contingent on the bid. Bids and the detail of the proposed expenditure will be subject to approval by the council and other terms and conditions will require to be adhered to. Governance arrangements The Corporate Community Ownership and Management of Assets Working Group is responsible for overseeing the development of the policy and implementing the process for any requests received. This group is made up of senior officers from across the council with practical experience and an understanding of working with communities, management and transfer of community assets. On receipt of an application for ownership or management of a council asset an assessment sub- group will be appointed to assess the application against the criteria set out in this policy. The sub- group will consider policy, legal and financial risk to the council. They will assess the request and present findings based on the assessment criteria to the Community Asset Ownership and Management Leadership Group. The Leadership Group is made up of: • Chief Officer, Asset and Procurement • Chief Officer, Strategic Communication and Engagement • Relevant Chief Officer for the controlling service the asset being assessed • Chief Officer for key corporate functions as and when advice and expertise is required (Audit and Scrutiny, Finance, Legal and Democratic). For leases of 10 years or less or alternative agreements outwith ownership or lease the leadership group has delegated authority to decide to approve or reject based on feedback from the assessment panel. For full transfer of an asset or leases of 10 years or more, the leadership group will make recommendations regarding the request to the committee relating to the holding service for the asset for endorsement. The applicant organisation is then informed of the decision within the timescales agreed earlier in the process. Page 71 of 166
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An annual report will be submitted to the Communities Committee and used to inform the required return to Scottish Government relating to Community Asset Transfer Requests and Participation Requests under the legislation. The council may call upon specialist advisors to provide advice and inform the decision-making process. In line with the requirements of the Community Empowerment (Scotland) Act 2015 the council will aim to ensure decision are taken and communicated within a maximum of six months from submission of application. Should an extension be required (for example to reflect committee cycles or operational delays) this can be agreed in writing between the council and applicant. 9. Successful outcome The outcome of any competent request will be communicated within six months of receipt. Where a decision is in favour of the community group, discussion will commence to negotiate the terms of agreement. The group must then make the council an offer and the expectation outlined in the statutory guidance is that a contract would be agreed within six months of the offer being received. It is acknowledged that this timescale may not always be achievable due to matters outwith the control of both parties and therefore alternative arrangements may be put in place by mutual agreement. Equally, where it is mutually beneficial to do so, matters can be concluded within a shorter timeframe. Where the legislation around CAT is relevant Scottish Ministers can instruct that more time can be taken to conclude the process. 10. Unsuccessful outcome Review and appeal process Where a community group has not applied or does not meet the eligibility criteria under the Community Empowerment Act the decision of the council is final and there is no route to review or appeal. Where a group meets the CAT eligibility criteria and has submitted a request to be considered under part 3 of the Community Empowerment Act the organisation may request that the council review their decision. This review must be undertaken by Elected Members. The Community Asset Transfer (CAT) Review Panel is made up of a group of eight cross-party members. The internal review process must be politically led and council officers can act only in an advisory capacity to the review panel. Elected members from the local area where the appeal has been received from and those who were involved in any earlier committee decisions will not be able to participate in the review process. If an organisation is not satisfied after the internal review, they can appeal to the Scottish Ministers. A review or appeal can be requested if the council: • Does not agree to their CAT request • Does not make a decision by the time it should have Page 72 of 166
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• The applicant organisation does not agree with the terms and conditions in the decision notice. • Following review or appeal the council will send a new decision notice stating the new decision and reasons for this. The following points apply to CAT reviews and appeals: • A community group has 20 working days after the decision notice to ask for a review or appeal • Other people who commented on the asset transfer request must be asked what they think about the review or appeal • All the papers about the review or appeal must be publicly available online • The council or the Scottish Ministers can ask anyone for more information to help them make a decision. They can ask for the information in writing or hold a meeting so people can tell them their views. They can also do other things, such as visiting the land or building the request is about. 11. Reporting The council is required to report annually on: • The number of CAT and participation requests received • The outcome of requests • Any support put in place to support requests. The Corporate Community Ownership and Management of Assets Group will provide reports to the Corporate Management Team and relevant committees regarding any requests received and produce and make available annual reports to Scottish Government, committee and the public 12. Approaches to Managing Risk The council recognises that there are inherent risks in Community Asset Transfer, community ownership and management of assets both for the applicant organisation and for the council and has in place mechanisms to ensure a consistent approach to managing these. Each request will be considered on a case-by-case basis against robust criteria. The assessment and decision-making criteria and process, and this policy, will help to manage and minimise risk and support positive outcomes with and for local communities. The council will provide support or signpost the organisation to the relevant local and national agencies for advice/ resources in managing the risks involved and to support and facilitate successful asset transfer, management or lease of an asset. 13. Policy Review Page 73 of 166
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The council will continue to review this policy through annual reporting and in line with any business needs, and/or changes in guidance associated with the Community Empowerment (Scotland) Act 2015. Page 74 of 166
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Appendix 1 Community Empowerment (Scotland) Act 2015 parts 3 and 5 Community Asset Transfer (Part 5) Part 5 of the Community Empowerment (Scotland) Act 2015 places a statutory duty on local authorities and certain other public sector agencies to ensure a process for community ownership of assets. This policy responds to the framework for CAT requests set out in the Community Empowerment (Scotland) Act 2015 and provides the basis upon which the Council will manage requests for the transfer, lease and management of assets (buildings or land owned by the Council) including those made under the Part 5 of the Act. Community empowerment legislation includes the right for community organisations to request to manage, lease or own an asset that is currently owned by North Lanarkshire Council. The council has developed a transparent process for community ownership, lease or management of assets that supports the implementation of the legislation and further information can be accessed here. Any requests made under the terms of Community Empowerment (Scotland) Act 2015 will be managed, assessed and delivered in line with the requirements of the act. However any requests from community organisations to lease, manage or maintain will be assessed using the same criteria and approach. Part 3 - Participation Requests Participation requests are a way for people to have their say about what improvements they would like to see made to public services they use. This is outlined in Part 3 of the Community Empowerment (Scotland) Act (2015). By making a participation request, a community body, or a group of people can start a discussion with the council about how to improve services. This may be as simple as greater community involvement in a process or may be about negotiating and agreeing for the community body to assume responsibility for making improvements within their local community. The council must agree to the request or give a good reason why not. If the request is granted, the community body will be invited to participate in an outcome improvement process. This formal process will determine the finer details of any involvement or improvement work. It is envisaged that the outcome improvement process will lead to an improvement in the way a service is delivered or to improved outcomes for local communities and for local people. Ultimately Participation Requests are a good mechanism to support community groups to enter into discussion with the council to mutually agree an improved outcome for their community. Some groups may want to use council land informally or to assist the council to maintain or improve a piece of land that they feel is of benefit to their community. This does not always need to result in a formal lease or transfer of the asset. A Participation request provides an alternative formal route to put in place arrangements for shared management, maintenance and use of assets where it is not mutually beneficial to transfer the asset via property procedures. Guidance on participation requests can be found here. Page 75 of 166
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Appendix 2 Community Ownership and Management of Assets flowchart 1 •Initial contact with NLC via shared mailbox. One point of contact for first approach to the counci regardless of desired outcome (ie full ownership, lease, participation request, etc) 2 •Record enquiry and notifiy Community Ownership Working Group for feedback re any coprorate considerations. Notify Leadership Group for information at this stage 3 •Initiate communication with the organisation, sense check proposal and offer help and assistance, including signposting to relevent external partners. Also consider alternative assets where barriers are highlighted. Provide overview of options and highlight any eligibility criteria, discuss process and request more detailled proposal (Standrad form mirroring assessment criteria). Agree best route 4 •On receipt of initial proposal/information, share with Community Ownership Working Group for feedback. If request is for lease of less than 11 years and information is sufficient arrange an assessment panel meeting - Arrange to notify group of date for decision.Arrange for Leadership Briefing and decision making. If the request is for full ownership, long term lease or requires more information/discussion go to step 5. 5 •arrange meeting with the organisation and representatives from relevant holding service, Estates and the Community Partnership Team to undertand need and provide any advice/assitance or signposting. Agree timescale for updated submission and route 6 •On reciept of final proposal arrange assessment panel meeting and Leadership briefing and discussion, Identify Committee timescales. Send goup validation letter with process and timescales. Identify key service link officers from Estates, CPT and holding service 7 •Undertake assessment and agree recommendations with Leadership Group. Present recommendations to Committee and communicate to group with a decision notice letter explaining decision and right to review/appeal where appropriate Community Ownership and Management Consideration process for all community requests Page 76 of 166
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Appendix 3 ASSET TRANSFER REQUEST FORM This Community Asset Transfer request form must be completed to make a formal request. This form will help you to make sure you include all the required information. You should read the asset transfer guidance provided by the Scottish Government before making a request. The council may also provide additional guidance on scheme. You are strongly advised to contact the council and discuss your proposals before making an asset transfer request. When completed, this form and supporting documentation should be sent to NLCommunityOwnership@northlan.gov.uk Section 1: Information about the community transfer body (CTB) making the request 1.1 Name of the CTB making the asset transfer request 1.2 CTB address. This should be the registered address if you have one. 1.3 Contact details. Please provide the name and contact address to which correspondence in relation to this asset transfer request should be sent. 1.4 Please mark an “X” in the relevant box to confirm the type of CTB and its official number, if it has one. Company, and its company number is …………. Scottish Charitable Incorporated Organisation (SCIO), and its charity number is ……………….. Community Benefit Society (BenCom), and its registered number is ……………………………… Unincorporated organisation (no number) Please attach a copy of the CTB’s constitution, articles of association or registered rules. 1.5 Has the organisation been individually designated as a community transfer body by the Scottish Ministers? No ☐ Yes ☐ Please give the title and date of the designation order: 1.6 Does the organisation fall within a class of bodies which has been designated as community transfer bodies by the Scottish Ministers? Page 77 of 166
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No ☐ Yes ☐ If yes what class of bodies does it fall within? Information about the land and rights requested 1.7 Please identify the land to which this asset transfer request relates. You should provide a street address or grid reference and any name by which the land or building is known. If you have identified the land on the relevant authority’s register of land, please enter the details listed there. It may be helpful to provide one or more maps or drawings to show the boundaries of the land requested. If you are requesting part of a piece of land, you must give a full description of the boundaries of the area to which your request relates. If you are requesting part of a building, please make clear what area you require. A drawing may be helpful. 1.8 Please provide the UPRN (Unique Property Reference Number), if known. If the property has a UPRN you will find it in the relevant authority’s register of land. Section 2: Type of request, payment, and conditions 2.1 Please tick what type of request is being made: for ownership (under section 79(2)(a)) - go to section 3A for lease (under section 79(2)(b)(i)) – go to section 3B for other rights (section 79(2)(b)(ii)) - go to section 3C 3A – Request for ownership What price are you prepared to pay for the land requested? Please attach a note setting out any other terms and conditions you wish to apply to the request. 3B – request for lease What is the length of lease you are requesting? How much rent are you prepared to pay? Please make clear whether this is per year or per month. Please attach a note setting out any other terms and conditions you wish to be included in the lease, or to apply to the request in any other way. 3C – request for other rights Page 78 of 166
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What are the rights you are requesting? Do you propose to make any payment for these rights? Yes ☐ No ☐ If yes, how much are you prepared to pay? Please make clear what period this would cover, for example per week, per month, per day? Please attach a note setting out any other terms and conditions you wish to apply to the request. Section 3: Community Proposal 3.1 Please set out the reasons for making the request and how the land or building will be used Benefits of the proposal 3.2 Please set out the benefits that you consider will arise if the request is agreed to. This section should explain how the project will benefit your community, and others. Please refer to the guidance on how the relevant authority will consider the benefits of a request. Restrictions on use of the land 3.3 If there are any restrictions on the use or development of the land, please explain how your project will comply with these. Restrictions might include, amongst others, environmental designations such as a Site of Special Scientific Interest (SSI), heritage designations such as listed building status, controls on contaminated land or planning restrictions. Negative consequences 3.4 What negative consequences (if any) may occur if your request is agreed to? How would you propose to minimise these? You should consider any potential negative consequences for the local economy, environment, or any group of people, and explain how you could reduce these. Capacity to deliver 3.5 Please show how your organisation will be able to manage the project and achieve your objectives. This could include the skills and experience of members of the organisation, any track record of previous projects, whether you intend to use professional advisers, etc. Section 4: Level and nature of support 4.1 Please provide details of the level and nature of support for the request, from your community and, if relevant, from others. This could include information on the proportion of your community who are involved with the request, how you have engaged with your community beyond the members of your organisation and what their response has been. You should also show how you have engaged with any other communities that may be affected by your proposals. Page 79 of 166
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Section 5: Funding 5.1 Please outline how you propose to fund the price or rent you are prepared to pay for the land, and your proposed use of the land. You should show your calculations of the costs associated with the transfer of the land or building and your future use of it, including any redevelopment, ongoing maintenance and the costs of your activities. All proposed income and investment should be identified, including volunteering and donations. If you intend to apply for grants or loans you should demonstrate that your proposals are eligible for the relevant scheme, according to the guidance available for applicants. Section 6: Community Asset Fund Do you propose to make a bid for capital grant to the Community Asset Fund? Yes ☐ No ☐ Is your request contingent on a successful bid to the Community Asset Fund? Yes ☐ No ☐ How much are you bidding for? Please set out the detail of what your bid, if successful, will be spent on and how it contributes to the benefits you have set out above. Signature Two office-bearers (board members, charity trustees or committee members) of the community transfer body must sign the form. They must provide their full names and home addresses for the purposes of prevention and detection of fraud. This form and supporting documents will be made available online for any interested person to read and comment on. Personal information will be redacted before the form is made available. We, the undersigned on behalf of the community transfer body as noted at section 1, make an asset transfer request as specified in this form. We declare that the information provided in this form and any accompanying documents is accurate to the best of our knowledge. Page 80 of 166
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Appendix 4 Assessment framework – all requests Name of Organisation/Applicant Details of the Asset Community Area/Ward Date submitted Date of Decision Recommendation Approve/Reject/ Defer (delete as appropriate) Summary comments Final Decision Summary Grading Very Strong Strong Moderate Weak Very Weak 1.Details of the asset 2.Organisation information 3.Type of Request 4.Link to TPFNL 5.Community Proposal 6.Support 7.Financial Information 8.Risk/Social Impact 1 Details of the Asset – Includes asset status and proposed use This section asks the council to ensure they are in a position to transfer the asset Page 81 of 166
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□ Very Strong: The proposal has a cost saving, does not impact on council direct delivery or service and there are no restrictions on the asset transfer □ Strong: The proposal is cost neutral to the council, it does not impact on council direct delivery of services and there are no restrictions on the asset transfer. □ Moderate: the proposals presents difficulties on the council in terms of one or two of the following – direct cost, council direct delivery of services and or restrictions on the assets transfer. □ Weak: the proposals presents difficulties to the council in terms of cost, council direct deliver of services and restrictions on the asset transfer. □ Very Weak: unlikely to proceed because of ownership restrictions on the asset this would prevent a transfer of responsibility or ownership to another organisation. 2 Organisational Information – Includes governance and capacity to deliver □ Very Strong: Applicant has clearly evidenced that they are a robust and viable organisation with effective governance arrangements in place. □ Strong: Applicant has provided adequate evidence that they are a robust and viable organisation with satisfactory governance arrangements. □ Moderate: Applicant has evidenced some signs of being robust and viable and partial information provided on governance arrangements. Page 82 of 166
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□ Weak: Applicant has shown no evidence of being robust and viable and no/little information being provided on governance arrangements. □ Very Weak: Applicant has provided no evidence of being robust or viable. Governance arrangement does not meet the criteria for asset transfer. 3 Type of request, payment and conditions This section confirms the type of request and seeks and whether or not the price reflects a fair price for the asset taking into consideration community benefit □ Very Strong: Applicant has proposed acceptable terms, with prices reflecting Market/Fair Value. (score would reflect acceptable terms; for example – the right timescale for being able to complete the sale or lease and funds are already in place) □ Strong: Applicant has proposed terms, with prices reflecting Market/Fair Value. □ Moderate: Applicant has proposed terms, with prices well below Market/Fair Value. □ Weak: Applicant has failed to propose terms or prices. □ Very Weak: Applicant unsure of securing funding to afford costs. 4 Link to Strategy– How the project links into the vision and ambitions set out in the Plan for North Lanarkshire (TPFNL) □ Very Strong: Applicant has clearly evidenced that their project links in to the key themes of TPFNL □ Strong: Satisfactory evidence that the applicant understands the importance of linking to the Page 83 of 166
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outcomes of the TPFNL □ Moderate: Limited evidence that the applicant understands the need to ensure the projects reflect one of more of the strands of the TPFNL. □ Weak: Little or no evidence that the applicant has made a clear connection to the TPFNL □ Very Weak: Applicant has no understanding of the TPFNL 5 Community Proposal – Includes project aims, community engagement and community benefit/need □Very Strong: Full consideration has been given to the aims, objectives and vision with clear thought to the future direction of the proposal. The proposal provides, for example, a social/economic/environmental impact. Comprehensive evidence of need/demand provided including consultations, research and surveys. □ Strong: Adequate description of aims, objectives and vision for the proposal. A good understanding of the community benefits including adequate evidence. Need/demand evidence include some consultation and research. □ Moderate: Limited description of the aims, objectives and vision for the proposal. Some understanding of the community benefit but not underpinned by substantive evidence. Some evidence of need/demand provided including limited consultations, research and surveys. □ Weak: Inadequate or no description of aims, objectives and vision for the proposal. Limited reference to community benefit and associated opportunities. No evidence of need/demand provided. Page 84 of 166
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□ Very Weak: No description of aims, objectives and vision for the proposal. No reference to community benefit. No evidence of need or demand provided. 6 Support – Includes stakeholder engagement and partnership working This section looks Including evidence community and stakeholders have been engaged □ Very Strong: Applicant has clearly demonstrated links with relevant stakeholders and groups as well as strong local partnership and community engagement. Evidence of joint responsibility for delivery of other projects/service. □ Strong: applicant has evidenced some partnership working arrangements. Relevant links with groups also evidenced along with strong community engagement activity. □ Moderate: Applicant has demonstrated limited links with groups and community engagement activity. Some evidence of partnership working provided. □ Weak: No/poor evidence of community involvement. No/poor evidence of partnership Working. □ Very Weak: No evidence of community involvement. No evidence of partnership working. 7 Financial Information – Includes fundraising, financial planning and management We will seek clarification of funding being in place or any potential delay in funding being in place in time for the final transfer deadline. □ Very Strong: Clear Evidence that sufficient financial resources are/will be in place by the time of transfer and good resource planning for short/ medium/long term sustainability demonstrated. Detailed, realistic and achievable income and expenditure, cash flow forecast provided along with a comprehensive contingency plan. Page 85 of 166
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□ Strong: Evidence indicates that sufficient financial resources are/will be in place by the time of transfer and some resource planning has been demonstrated. Satisfactory income and expenditure and cash flow forecast. Some consideration has been given to contingency planning. □ Moderate: Applicant has demonstrated there are some financial resources in place but all finances may not be available within the timeframe. There is limited evidence of resource planning. Basic income and expenditure and cash flow forecast induced with limited consideration given to contingency planning. □ Weak: Insufficient financial resources currently in place and unlikely to be ready within the Time frame. No evidence to demonstrate resource planning. No income and expenditure and cash flow forecast provided and no contingency plan outlined. □ Very Weak: No evidence of financial resources in place. No evidence of resources or financial forecast to predict cash flow. 8 Risk/Social Impact – Includes potential impact and barriers/challenges and understanding of managing the asset. □ Very Strong: Full evidence that applicant has in place the necessary capabilities to manage the asset. Considerable awareness of the potential impact of the transfer on others, and barriers/challenges clearly identified. Comprehensive information provide on the anticipated social benefit/impact of the transfer and how this will be measured. □ Strong: Satisfactory evidence that applicant has the necessary capabilities to manage the asset. Sufficient awareness of the potential impact of the transfer on others with consideration given to potential barriers/challenges. Adequate information provided on the anticipated social Page 86 of 166
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benefit/transfer. □ Moderate: Limited evidence to demonstrate capabilities to manage the asset. Some awareness of the potential impact of transfer on others and consideration given to potential barriers/challenges. Minimal information provided on the anticipated social benefit/impact of the transfer. □ Weak: Inadequate or no evidence of capabilities in place to manage the asset. Little or no awareness of the potential impact of the transfer on others or possible barriers/challenges identified. No social benefit/impact monitoring outlined. □ Very Weak: applicant has provided no evidence of capabilities to manage the asset. No awareness of the potential impact of the transfer on others. No social benefit or impact monitoring in place. Appendix 5 Scoring Matrix to inform discounted lease decisions at the discretion of the council Overall Rating from assessment (Appendix 4) Potential discount Additional information VERY WEAK /WEAK 0 No approval MODERATE Up to 10% Discount would only be agreed in the moderate range where there is a clear business case to support the application and is 10-20%% Page 87 of 166
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20-30% at the discretion of the Council. The assessment would need to take into consideration risk to the Council STRONG 30-40% Actual agreed discount levels will be at the discretion of the council and will reflect • The value of the asset (high value assets may have a discount limit set) • Proposed length of lease • Any impact on future for the council • potential income from the asset • The condition of the asset 40-50% 50-60% 60-70% VERY STRONG 70-80% 80-90% 90-100% Page 88 of 166
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North Lanarkshire Council Report Policy and Strategy Committee Does this report require to be approved? ☒ Yes ☐ No Ref CommsStrat170424 Date 06/06/24 Communications and Engagement Strategy From Stephen Penman, Chief Officer (Strategic Communication and Engagement) E-mail PenmanSte@northlan.gov.uk Telephone 01698 302591 Executive Summary The Council has approved The Plan for North Lanarkshire – Delivering the New Programme of Work to 2028, which outlines the ambition, vision and associated deliverables that will improve the lives of people and communities in North Lanarkshire. The Communications and Engagement Strategy outlines an approach to achieve maximum communication support for council priorities, ambitions and the activities and projects outlined in the Programme of Work. The strategy sets out a clear direction for public-facing and internal communications and engagement activity as well as the core principles underpinning the approach to deliver effective communications. Ensuring alignment with The Plan for North Lanarkshire and the Programme of Work is key, together with demonstrating the effectiveness and success of communications and engagement activity, which will be evaluated and measured annually to evidence positive outcomes. Recommendations It is recommended that the Policy and Strategy Committee: (1) Approves the Communications Strategy. The Plan for North Lanarkshire Priority All priorities Ambition statement (19) Improve engagement with communities and develop their capacity to help themselves Programme of Work All Programmes of Work Item 7 Page 89 of 166
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1. Background 1.1 The council approved The Plan for North Lanarkshire – Delivering the New Programme of Work to 2028, which together with the agreed council priorities and ambition statements, sets out the vision for North Lanarkshire. 1.2 A council-wide corporate communications strategy has been in place since 2015, with a revised version approved by Policy and Strategy Committee in May 2019 (V2). Version 2 of the communication strategy clearly aligned how communications can support the council’s wider ambitions as well as the delivery of The Plan for North Lanarkshire and its associated programme of work. 1.3 Annual evaluation reports for communications activity have demonstrated the value and effectiveness of good, multi-disciplinary communications since the inception of The Plan for North Lanarkshire. 1.4 The third iteration of the strategy recognises the expanded structure of the Strategic Communications and Engagement service and has been renamed the Communication and Engagement Strategy. The service now incorporates the Community Partnership Team, Customer Service Hub and Leadership and Operating Model and this collaborative offer, alongside Corporate Communications, strengthens existing networks to positively communicate with the public, partners and internal audiences. 1.5 The new strategy also acknowledges the council’s requirement to adapt to changing technology, communication methods and platforms and the increasing use of data analysis to drive campaigns and information dissemination. 1.6 The Corporate Communications Strategy is contained as an appendix to this report. 2. Report 2.1 The Communications and Engagement Strategy provides a formal strategic direction and approach to the council’s communications activity. It sets out the story of North Lanarkshire within the brand themes of Live, Learn, Work, Invest and Visit, which are incorporated into all council communications and engagement activity, providing consistency and coherence for the lifetime of The Plan for North Lanarkshire. 2.2 The strategy outlines the approach that communications and engagement activity will take to tell the story of The Plan for North Lanarkshire and how it can inspire action and change for place, people and communities. The Programme of Work to 2028 and beyond will underpin all communication and engagement activity, as well as other ‘business as usual’ activity emerging from council policy, services and initiatives. 2.3 A framework with key principles, themes and approaches are summarised as part of the strategic commitment to deliver responsive, relevant and smart communications that help to build community resilience, keep people informed and enhance and protect the council’s reputation. These key principles are: • Engaging communities • Working with others • Focus on campaigns • Focus on audiences 2.4 All communications and engagement activity will be built on foundations that are: Page 90 of 166
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• Community focused • Inspiring • Informative • Creative • Challenging • Driven by data • Quality-governed • Inclusive • Integrated • Responsive • Linked to the Programme of Work 2.5 The strategy also recognises the importance of internal communications, to enable staff to be informed, included and connected to the ambitions set out in The Plan for North Lanarkshire and the projects within the Programme or Work. It is recognised that a significant number of staff are also residents and can be ambassadors for services and projects. 2.6 Listening and engaging with seldom-heard voices within community groups is crucial and the strategy acknowledges that these audiences will be considered in all communications and engagement activity. 2.7 Activity will be prioritised, aligned to The Plan for North Lanarkshire or centred around the actions being taken across the council to ensure The Plan for North Lanarkshire becomes a reality. Communications activity will help to deliver that, using the principles and foundations outlined in the strategy. 3. Measures of success 3.1 Measuring the success or effectiveness of communications and engagement activity is crucial to evaluating performance. 3.2 Corporate communications will report annually in June to the Policy and Strategy Committee on communications activity and its outcomes and impacts, linking this to both key themes and to the Programme of Work. 3.3 For community partnership and engagement, a report will be considered annually in June to the Communities Committee about the number of individuals and community organisations participating in the delivery of the local outcome improvement plans, including analysis of seldom-heard voices. 4. Supporting documentation Appendix 1 - Communication and Engagement Strategy Stephen Penman Chief Officer (Strategic Communication and Engagement) Page 91 of 166
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5. Impacts 5.1 Public Sector Equality Duty and Fairer Scotland Duty Does the report contain information that has an impact as a result of the Public Sector Equality Duty and/or Fairer Scotland Duty? Yes ☒ No ☐ If Yes, please provide a brief summary of the impact? The successful delivery of the Communications and Engagement Strategy significantly contributes to reducing inequalities and inequities within communities caused by socio-economic disadvantage by promoting support, information and advice to affected individuals and communities. Seldom-heard voices and equality considerations are applied in all communications activity to ensure equality of access to materials and information. 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? 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 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 ☐ Page 92 of 166
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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? The significant advancements in digital technology is recognised within the Communications and Engagement Strategy and a number of service processes and platforms are subject to change or adaptation to ensure that the public are provided with the best information on the right channels and platforms using the most appropriate technology. Where the impact identifies a requirement for significant technology change, has an assessment been carried out (or is scheduled to be carried out) by the Enterprise Architecture Governance Group (EAGG)? Yes ☐ No ☐ 5.7 Environmental / Carbon impact Does the report / project / practice contain information that has an impact on any environmental or carbon matters? Yes ☒ No ☐ If Yes, please provide a brief summary of the impact? A continued focus on a ‘digital-first’ approach has already led to a significant reduction in paper-based communications and printed material for promotional purposes. This approach will continue moving forward. 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? This report contains information on the council’s Communication and Engagement Strategy for approval. It outlines the strategic direction and fundamental principles and foundations for the council’s communications and engagement activity and how it aligns with The Plan for North Lanarkshire and the council’s priorities and ambitions. Successful delivery of the strategy will ensure that the public are engaged, informed and more resilient. 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? The Corporate Risk Register recognises the importance of the council being able to communicate effectively and the strategy minimises risk. Ongoing assessments of risk are made for individual campaigns. Page 93 of 166
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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. Individual campaigns, information or news can relate to in-service or former-service personnel and their families and their needs are considered in communications. 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). Many projects and activities relating to children and young people are supported by communications and engagement activities. Individual projects incorporating children and young people have appropriate safeguards in place (such as photography/video consent) and individual requests are always considered together with assessments of material to ensure they are appropriate. If Yes, has a Children’s Rights and Wellbeing Impact Assessment (CRWIA) been carried out? Yes ☐ No ☒ Page 94 of 166
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Communications and Engagement Strategy Version 3.0 Strategic Communication and Engagement April 2024 Page 95 of 166
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Communications and Engagement Strategy 2 Document control Title Communications and Engagement Strategy Owner Stephen Penman, Chief Officer, Strategic Communication and Engagement Contact penmanste@northlan.gov.uk Governance Group Policy and Strategy Committee Author Stephen Penman Carolynne Coole Contact penmanste@northlan.gov.uk coolemillerc@northlan.gov.uk Revision History Number Originator Date Review Commenced Revision description/record of change 1.0 Original Strategy 2015 Stephen Penman 19.3.2015 Strategy approved 2.0 Updated strategy Stephen Penman 1.5.2019 Updated strategy approved 3.0 Updated strategy 2024 Stephen Penman 15.4.24 Updated strategy incorporating wider service Document Approvals Number Governance Group Date approval granted Date approval to be requested (if document still draft) Original strategy Policy and Strategy 19.3.2015 2.0 Updated strategy Policy and Strategy 1.5.2019 3.0 Updated strategy Policy and Strategy 6 June 2024 Consultation Record (for most recent update) Status of document consulted upon Version 3.0 Draft Corporate Communications Strategy Stakeholders consulted/date Chief Executive (26.04.24) Council Leader (TBC), Convener of Communities Committee (TBC), Managers of Corporate Communications (17.4.24), Community Partnership Team (18.4.24), Customer Service Hub (18.4.24), Leadership and Operating Model (18.4.24). Strategic Alignment The Plan for North Lanarkshire and Programme of Work (including The Place The Vision). Priorities and Ambition Statements in The Plan for North Lanarkshire: Improve economic opportunities and outcomes • Market and promote North Lanarkshire as the place to live, learn, work, invest and visit. Support all children and young people to realise their full potential • Enhance collaborative working to maximise support and ensure all our children and young people are included, supported, and safe • Engage children and families in early learning and childcare programmes and making positive transitions to school. • Engage with children, young people, parents, carers and families to help all children and young people reach their full potential. Improve the health and wellbeing of our communities • Improve preventative approaches including self-management and giving people information and choice over supports and services. • Ensure the highest standards of public protection. • Encourage the health and wellbeing of people through a rage of social, cultural and leisure activities. Enhance participation, capacity and empowerment across our communities • Improve engagement with communities and develop their capacity to help themselves. • Improve the involvement of communities in the decisions, and development of services and supports, that affect them. Improve North Lanarkshire’s resource base Page 96 of 166
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Communications and Engagement Strategy 3 • Continue to identify and access opportunities to leverage additional resources to support our ambition • Build a workforce for the future capable of delivering on our priorities and shared ambition. Strategic Policy Framework, Strategic Governance Framework, Strategic Performance Framework, Programme and Project Management Framework. Next review date Review Date June 2029 Page 97 of 166
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Communications and Engagement Strategy 4 Introduction Communication and engagement are crucial to achieving our ambition to make North Lanarkshire the place to Live, Learn, Work, Invest and Visit. This strategy sets out a clear direction for our public-facing and internal communications and engagement activity. The work of Strategic Communication and Engagement has a positive impact on the council’s ability to build community resilience, keep people informed and enhance our reputation. More than that, inspiring communities, supporting service delivery and changing behaviour supports the Plan for North Lanarkshire and the Programme of Work. This requires a strategic approach, creativity and challenge, using all the tools available. Strategic Communication and Engagement already carries out sector-leading work. With this integrated strategy, we believe that communication and engagement will continue to play a significant part in delivering our ambitions. Councillor Jim Logue Leader North Lanarkshire Council Councillor Kenneth Stevenson Convener of the Communities Committee North Lanarkshire Council Page 98 of 166
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Communications and Engagement Strategy 5 Our story This is North Lanarkshire. It’s the place to Live, Learn, Work, Invest and Visit. Our ambition means economic regeneration and growth that benefits everyone in North Lanarkshire and responding positively to social, economic and technological change. We are improving the lives of everyone who lives, works or visits here by driving inclusive economic growth, increasing skills and generating jobs and training opportunities. By doing so, we will reduce poverty and inequality. We recognise that achieving our vision can’t be done alone. We work in partnership with others, and we involve people in communities, sharing our ambition with them. Page 99 of 166
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Communications and Engagement Strategy 6 Our strategy We will deliver outstanding communications and engagement activity that helps to ensure North Lanarkshire is the place to Live, Learn Work invest and Visit. The quality of our work matters in delivering the council’s policy priorities, The Plan for North Lanarkshire, and the Programme of Work to 2028 and beyond. To achieve this we will tell the story of North Lanarkshire as the place to Live, Learn, Work, Invest and Visit and inspire action. We will engage people in communities. All our activity will be targeted, measurable and have impact. Crucially, communications will be responsive, relevant and customer-focused. It will be based on outcomes, not outputs. And it will be smarter; using data and insight to deliver the right message to the right person at the right time. Engaging communities Community engagement is critical to the success of the Programme of Work. Through the work of the Community Partnership Team we will work with people and organisations in communities to help them have a voice in the work of the council and to mobilise more collaborative working. Working with others The Plan for North Lanarkshire involves all community planning partners. The ambitions in the Plan can only be achieved with clear, consistent communication and collaboration and we will work with partners to ensure that our collective communication and engagement efforts are targeted appropriately. Focus on campaigns As the council’s services continue to change, we will devote most of our resource to campaigns which change behaviour and drive advocacy as these are essential to the efficient delivery of services. These campaigns will be tied to SMART objectives, creatively bold and provocative where necessary, aimed at ensuring a measurable impact. Focus on audiences We will always choose the most appropriate channels and language to communicate with people, groups and communities. Page 100 of 166
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Communications and Engagement Strategy 7 How we work By utilising the full suite of communications and engagement disciplines and tools including campaigns and marketing, strategic consultancy, digital, brand and multi-media creative support, public relations, internal communications, community engagement, customer service and major events, we bring information to life for people and communities in North Lanarkshire. Our communications will be: Community focused – we will foster a sense of community spirit that is supportive of taking positive action. By championing behaviours and attitudes, and listening to the voices of people in communities, we can promote community empowerment and participation. Our communications will help keep people safe, informed and connected to their community. Inspiring – we will tell people what we are doing and planning to do through The Plan for North Lanarkshire and the Programme of Work, reinforcing a positive vision for the future and working collaboratively. Informative – our work should direct people to the information and customer service routes they need and are most appropriate to them, helping people to help themselves and making communities more resilient. We highlight support for businesses, guidance on protecting the environment and how community groups and businesses can access funding and support. We provide clarity and reassurance in times of emergency, signposting those in need to access the most applicable support and advice. This work demonstrates how services and policies make a positive impact on people, businesses and communities. Linked to the Programme of Work – the council’s Programme of Work sets out what we will achieve together. Our communications and engagement will support the delivery of the programme and will help to achieve the outcomes contained within each programme theme. Creative – we will use the full range of creative skills to ensure our messages are compelling, embracing digital innovation, video, animation, photography, design and writing and using channels that are relevant, relatable and accessible to individual audiences. Challenging – our communications will be frank and forthright, encouraging people to change their behaviour or take action. Driven by data – the council’s investment in digital technology is firmly aligned to communications, which are driven by insight from analysis of data and service need and underpinned by technological advancements in automation, AI and social media algorithms. This flow of information serves up the right message at the right time, targeting and personalising where possible, to make communications more effective and efficient. Activity will deliver meaningful behaviour change while enhancing customer experience. Quality-governed – incorporating professionalism and practice, systems, standards and guidance through an operating model that provides a consistent approach to delivering communications. Inclusive – we will consider our audiences when planning campaigns or utilising our communication platforms to ensure they are as accessible as possible and where applicable, can be adapted to an appropriate format on request. We will make every effort to ensure communications comply with legislation and are published in line with appropriate regulations, involving relevant people and organisations for advice. Integrated – whether through multi-disciplinary campaigns or through the collaborative networks developed with partners. Our own internal networks will enhance delivery to ensure a joined-up approach to communications and public engagement. Page 101 of 166
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Communications and Engagement Strategy 8 Responsive – our work listens to communities and individuals, providing or signposting to the right information they’re looking for. Often, that information will be served up organically through data analysis and other times, that will through collaboration and two-way communication methods. Page 102 of 166
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Communications and Engagement Strategy 9 Live Here North Lanarkshire has is a welcoming, vibrant place where people want to live. We acknowledge our history but we recognise we have a much bigger future. We have a great mix of housing, facilities, services and transport links. We’re transforming our town centres and helping people to live longer in high quality housing. We are creating hubs in towns and communities which meet the needs of residents able to access schools as well as community facilities and partner services. People in communities will build resilience and we will engage with them to ensure their needs can be met. Learn Here All young people in North Lanarkshire can achieve their full potential. They will be equipped to make their way in life through quality, exciting and challenging learning. We will work to close the poverty-related attainment gap and improve attendance at school. Learners of all ages will have the skills to take advantage of the employment opportunities our growing economy brings, and we will have a flexible, resilient and skilled workforce. Our schools are inclusive, energetic places which take into account the needs of all young people and provide them with the learning, teaching, facilities and technology to ensure they have experiences which last a lifetime. Work Here We have a dynamic, diverse and growing economy with a great mix of small, medium-sized and large businesses. People in North Lanarkshire are connected to employment and have the support they need to access jobs. They have skills appropriate to the needs of employers and are supported, no matter their background, needs of economic circumstances. We provide great places to work, with engaged, ambitious people who are ambassadors for the services they provide. Invest Here North Lanarkshire is the best location for business. We have excellent transport links, a strong employment market, a skilled workforce and flexible land and premises, with an outstanding digital infrastructure. Businesses have the support to establish, grow and succeed, and are able to develop new products and markets to create and sustain quality jobs. Our services are aligned to help businesses locate, grow and succeed and we make it easy for businesses to talk to us. Visit Here North Lanarkshire is a great place to visit and play. Our tourism sector is growing, with improved opportunities and attractions. We offer distinctive experiences which provide value for money and are accessible to all. This is a place for active, healthy lives, where the right facilities are developed in the places they are needed and can be enjoyed the most. Page 103 of 166
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Communications and Engagement Strategy 10 The Programme of Work to 2028 and beyond The council has approved its Programme of Work to 2028 and beyond. The programme is managed through seven strategic boards, each with a delivery plan approved by the council in March 2024. We will align our work priorities with those in the delivery plans, ensuring that good and effective communication is incorporated in the delivery of each programme board’s priorities and making a measurable contribution to those deliverables. Transforming Places To plan and coordinate public and private sector investment to deliver transformational change across town centres and local communities at pace, and to attract more people to live, learn, work, invest and visit within North Lanarkshire, improving economic outcomes and the health and wellbeing of residents. This programme will involve attracting new (and sustaining existing) populations to create sustainable communities and a stable demographic spread that supports economic growth. This will mean enhancing greenspace, place and housing and integrating services to improve health, wellbeing and social outcomes as well as accelerating investment for job creation. We will provide access, physically and digitally, to local and regional opportunities to support business development and survival, as well as enabling urban and rural families to thrive. Invest in North Lanarkshire To support and accelerate investment in North Lanarkshire, and the council’s own investment programme, through a collaborative, streamlined, advisory service to help grow and sustain the local economy and communities. This programme will play a key role in facilitating employment opportunities and the associated infrastructure critical to supporting continued population growth and net inward migration. Sustainable Futures To focus commitments to net zero carbon and climate resilience and the associated energy solutions and investments required to make it a reality. This programme will bring essential momentum to the council’s commitment to achieve net zero by delivering an integrated approach to carbon reduction through more innovative energy generation and efficiency. This will be delivered along with a programme of climate adaptation, in partnership with local communities, to ensure local infrastructure and lifestyles are ready for the impacts already embedded due to climate change. Brighter Futures To support and improve educational attainment, employment opportunities, entrepreneurship and volunteering, and prepare young people and the wider community for the future through specialised education, voluntary work and enterprise. This programme will give people the skills, knowledge and confidence to successfully transition to further education, training or employment. We will shape innovative employment pathways and maximise key industry growth sectors to boost economic growth, providing opportunities to develop real-world job skills that add value and pathways to specific industries. We will help to offer choice and inclusive access to jobs and training. Resilient People To deliver whole family support locally, when families need it, in a way that addresses the impacts of poverty and reduces inequality. This programme will provide an integrated approach, Page 104 of 166
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Communications and Engagement Strategy 11 working with partners, to an earlier and more effective response to need. This includes promoting the strengths and skills of individuals and families increasing economic activity and providing practical and emotional support. This will integrate family support with the town and community hubs to maximise opportunities for community-led and strengths-based approaches, and ensure families receive the right support when they ask for it and in their own community. This approach will break down referral pathways built around the needs of systems rather than people, which are at best confusing and at worst stigmatising. Digital North Lanarkshire To develop a skilled digital workforce, promote an innovative, sustainable culture, and be the digital leader for North Lanarkshire. This programme will be a key enabler in delivering the other programme of work priorities and driving economic growth, as well as transforming the education and abilities of learners of all ages. One Service To ensure services are delivered, regardless of owner, in a streamlined, efficient and supportive model. This programme will be a key enabler in delivering the other programme of work priorities and ensuring the council delivers services (regardless of structures of the alignment of functions) in line with the overall vision of growth and prosperity for all. Page 105 of 166
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Communications and Engagement Strategy 12 Internal communication We recognise that most of the council’s staff not only work for the council but are also residents of North Lanarkshire. We want our staff to be ambassadors for the services we provide, and we commit to keeping them informed about issues that affect them directly as well as telling them about the council’s ambition, policies, the Plan for North Lanarkshire and the Programme of Work. As part of our work, we will celebrate our employees’ successes and achievements in a way which best represents the services of the council. Seldom-heard voices We recognise that some people and groups of people are at risk of their voices being seldom- heard by public bodies. It is essential that we target appropriate engagement activities for these groups. Groups of people can be seldom-heard due to, for example: • disability • ethnicity • sexuality • difficulty with communication • mental health problems • homelessness • geographical isolation • experience of living in poverty • being offenders or ex-offenders • being victims of domestic abuse • being part of the traveller community This list is not exhaustive. It is important to understand that, while some people and sectors could be characterised as seldom-heard, it is not necessarily true for everyone in a broader group. Consideration always needs to be given to characteristics within a group for each piece of engagement. We will always ensure that our engagement work considers the particular needs of people who are at risk of be seldom-hard, for example by considering where and when we engage, what methods are most appropriate, and what additional support may be required. Measuring success We will measure all communications and engagement activity to ensure alignment with the Programme of Work and to demonstrate positive outcomes. For corporate communications, we will report annually in June to the Policy and Strategy Committee about our work and its outcomes and impacts, linking this to both our key themes and to the Programme of Work. For community partnership and engagement, we will report annually in June to the Communities Committee about the number of individuals and community organisations participating in the delivery of the local outcome improvement plans. We will measure the engagement we have with equalities groups and those whose voices are at risk of being seldom-heard, and levels of participation in community events and local activities. Page 106 of 166
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Communications and Engagement Strategy 13 We will report on the outcomes of activity aimed at community use of council assets and the number of groups being supported to increase resilience in communities. While many of these areas will be routinely reported to committee, we will incorporate all of these in an annual report to demonstrate the progress we make. Page 107 of 166
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North Lanarkshire Council Report Policy & Strategy Committee Does this report require to be approved? ☒ Yes ☐ No Ref SP/ST Date 06/06/24 Leadership and operating model – One Service POW From Stephen Penman, Chief Officer, Strategic Communication and Engagement E-mail tennants@northlan.gov.uk Telephone 07973 726 159 Executive Summary This report sets out the progress made to date against the Leadership and Operating Model phased transition plan previously approved by Policy and Strategy Committee on 16th March 2023. It outlines key learnings to date and sets out future planned activity in line with delivery of the plan for NL programme of work to 2028. The report demonstrates clear dependencies across all seven programmes of work and also illustrates the joined up working across services and teams to deliver improved outcomes for our communities. The report makes reference to the ongoing economic challenges and uncertainties ahead. It confirms our plan to conduct a sensitivity analysis to re-examine these uncertainties that undoubtedly have an impact on the operating model transition plan. The analysis will also help guide and inform future investment decisions as part of the current and future Strategic Capital Investment Programme. Recommendations It is recommended that Policy & Strategy Committee: 1) Recognise and acknowledge the progress made to date against the approved leadership and operating model transition plan 2) Approve the direction of the programme in phase 2 aligned to the Plan for NL programme of work as summarised in next steps and illustrated in Appendix 3 3) Note the robust alignment, joined up working and collective effort to deliver improved outcomes across the plan for NL programmes of work as we transition The Plan for North Lanarkshire Priority All priorities Ambition statement (24) Review and design services around people, communities, and shared resources Programme of Work One Service Item 8 Page 109 of 166
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1. Background 1.1 Policy and Strategy Committee approved the strategy, guiding principles, and prioritisation matrix linked to the Town and Community Hub Programme at the meeting held on 19th March 2020. 1.2 The Leadership and Operating Model programme of work and phased approach was also approved at Policy and Strategy Committee at the meeting held on 16th March 2023. 1.3 Both programmes are now incorporated into the Plan for North Lanarkshire programme of work delivery plans under Transforming Places and One Service and all projects therein are delivered in line with awarded capital funding. The current position following the outcome of the Strategic Capital Investment programme 24/25 to 28/29 allocates £250 million to continue investment in the town and community hub programme and c.£2.4 million to deliver the approved asset rationalisation programme through asset reconfiguration. 1.4 No specific funding has been allocated to carry out adaptations to the current education estate to grow the number of integrated community hubs across communities as we transition towards a fully integrated operating model for new town and community hubs. 1.5 It is fundamental therefore that through the hubs that have been delivered to date, those planned, and the delivery of the ongoing approved asset rationalisation, that our focus continues to ensure the investment delivers facilities that will effectively enable supports and services to be delivered in ways that meet the needs of the whole community while continuing to work across services to identify need and opportunity to adapt the existing estate where possible. 1.6 To maintain this focus during phase 2 of the programme over the next three years we will continue our effort to co-design supports and services from the bottom up with communities and we will use this critical phase to work with services to look at how they will transition their future workforce to hubs as our vehicle for the delivery of community services. We will also prioritise the deliverables within the Digital NL programme to provide the underpinning digital infrastructure and technology required to facilitate new ways of working with residents across communities. 1.7 Given the degree of ongoing economic uncertainty ahead in relation to issues such as interest rates, house building, and government funding, which impacts our ability to grow the number of community hubs as the vehicle for delivery of community services, a sensitivity analysis to re-examine these uncertainties will be undertaken in December 2024. 2. Report Town and Community Hub strategy and development - progress to date 2.1 The council has made good progress in the delivery of new community hubs with three new hubs (Newmains/St Brigid’s, Riverbank, and Chryston) opening in 2023. Contractors are in the process of building the new hub at Orbiston in Bellshill, and two new hubs (St Kevin’s and Gartcosh) received planning approval in April 2024. These hubs are progressing well and should be on site in the coming months. Further projects Page 110 of 166
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are at design or planning stage (Chryston High extension, and St Stephen’s) with construction anticipated to commence towards the end of 2024. 2.2 Further funding, as stated in section 1.3, has been provided to continue the creation of new hubs within the current five year Strategic Capital Investment programme (2024- 2029) and it is expected that an update will be presented to the September Policy and Strategy Committee, on the funding allocation, the priority projects, and the associated assessments and rationale linked to proposals. Leadership and operating model and asset rationalisation – phase 2 progress to date 2.3 The Leadership and Operating model programme of work and its three phased transition approach was approved at Policy and Strategy Committee on 2nd December 2021. The phase 2 high level plan for 2023-25 and the seven key pillars of work were approved at Policy and Strategy Committee on 16th March 2023. 2.4 Since then, in line with the Programme of Work (POW) to 2028 the governance of the programme has been incorporated into the One Service POW that also incorporates the One workforce priorities approved at Policy and Strategy Committee on 7th December 2023 and has clear interdependencies with the Digital NL POW. High level achievements to date were reported to Policy and Strategy Committee on 14th March 2024. The following sections of the report set out more detail on these achievements and progress against each of the seven pillars within phase 2: Extending the use of hub spaces to public sector partners 2.5 The North Lanarkshire Partnership Strategic Leadership Board on 9th February 2024 approved a memorandum of understanding, developed with the Council’s legal team, to ensure the objectives of shared access to hub spaces are clear and everyone knows what is expected, it also firms up arrangements and a route for escalation should it be required. This is a key step forward to enable closer working together and enhance our ability to reach people in the local communities, particularly those at risk of poor outcomes. There are also clear financial benefits to this asset partnership approach with savings made through asset rationalisation, co-location and sharing of spaces. 2.6 Partners are now beginning to access the hubs for their community based staff and are raising awareness of the hubs and their facilities by holding team and multi-agency meetings. NHS Neurodevelopmental team are co-located from Newmains, Riverbank and Chryston hubs some of the week to build presence, relationships and support early prevention. Barnardo’s as the Commissioned Service approved to deliver our model for early and inclusive whole family support will be co-located from a small number of hubs, as the model is introduced between April and July 2024. We expect demand to rise in the coming year across partners and increased use by community and voluntary organisations as our work on whole family support progresses under the Resilient People POW. Furthermore, work is underway by our Facilities Support service to strengthen our marketing plan to promote community facilities on the Council’s website and build on the team’s existing relationships with local community and voluntary organisations. 2.7 A Community Engagement Event supported by the Council’s Community Partnership Team was held at Newmains & St Brigid’s Community Hub on 27th March 2024. The event brought together community and voluntary sector organisations from the Wishaw area with the aim of building presence of the hub to encourage use of its modern and well equipped spaces, as well as improve signposting to local supports and services for the organisations themselves and the local community. Feedback from the event is Page 111 of 166
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currently being reviewed and will be taken forward in the first instance by our Community Learning and Development team with their parent voice focus group, and through the Health and Social Care partnership group leading the national co-design work on ‘Getting it Right for Everyone’ (GIRFE). Similar events are taking place at both Riverbank and Chryston Community hubs in the coming months. Alignment with the hub strategy and development programme 2.8 The approved guiding principles adopted to inform the hub strategy programme are in place to ensure that each new development hub delivers spaces in which new ways of working can be facilitated and enabled as part of the design and build (i.e. the zones that will be provided). 2.9 As each hub moves into operation, overseen by the operating model delivery team, key learnings continue to guide future design as well as promote the value of co-location of services, partners, and the shared use of facilities within each hub. A lessons learned exercise using the Council’s Project Management framework is conducted for each new development hub and shared through ongoing liaison with the hub strategy team. 2.10 Some early lessons have been applied to existing and future projects such as; extending the reach of co-design with communities, improving the marketing plan and communications strategy around promotion and booking of community spaces with the workforce and community and voluntary organisations, improved signage and wayfaring for hub users, providing greater privacy in line with trauma design principles to glass partitioned meeting rooms, installation of cycle parking racks and storage to support the Council’s Active Travel strategy, progressing with plans to install out of hours access control for community based staff to get access to welfare facilities, and providing staff development relative to the vision for community hubs as they transition into their new facility to encourage and promote the behaviours needed to make the model a success. 2.11 Specifically in line with the hub guiding principle of ‘Designing with rather than for the community’ the operating model team have been working with Council Services and partners to extend our reach of engagement with residents to inform the future design of supports and services. Since February 2023 more than 500 people have been engaged in workshops or individual journey mapping to capture their experiences of our services, asking them what they need, how this could be improved or delivered differently and mapping their journey’s through different pathways of support. Much of the feedback to date emphasises the importance of place-based approaches and how important local assets and the physical environment is for people accessing supports and services so that they feel welcome, confident, secure, and safe as they engage with Council, partner agency and community and voluntary sector organisations. 2.12 Appendix 1 provides an overview of the level of engagement undertaken thus far, the key themes that have emerged and how this relates to moments throughout people’s lives and the possible zones required in community hubs as the vehicle for delivery of community services. This co-design approach will continue through phase 2 as we operationalise our model for early help and family support through the community hubs as part of the Resilient People POW delivery plan approved at Education, Children and Families Committee on 12th September 2023, and the recent approval to award the contract to Barnardo’s as the commissioned service by Education, Children and Families Committee on 27th February 2024. The learnings will continue to inform the design and build of future town and community hubs in parallel with any required service redesign that will be undertaken. Page 112 of 166
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Asset place based approach to maximise use of current assets 2.13 Taking an asset place based approach to the programme is key to realising the full potential of assets across North Lanarkshire. Bringing together resources through integrated service delivery is fundamental given the challenging economic and financial landscape we continue to face as we seek to improve outcomes for North Lanarkshire residents. 2.14 Ongoing service redesign is driving and informing the design and reconfiguration of Council assets and future design of new development community hubs. As we deliver the approved asset rationalisation programme teams are co-locating and implementing more integrated models of services delivery that will over time improve our citizen experience from first point of contact through improving pathways to support and providing a more holistic offering of supports and services, including those delivered by partner agencies. 2.15 Examples of this can be seen through the capital investment made to reconfigure Coatbridge Community Centre, Buchanan Centre in Coatbridge as the town hub, the redesign and refresh of Bron Way to enable the demolition of Fleming House as part of the Cumbernauld transition plan, redesign of Dalziel Building to accommodate teams who relocated with the closure of Scott House, continued investment in the Civic Campus to support the revised hybrid model, and optimising the use of space at the new Bellshill Transport Hub. Teams from Housing, Social Work, Home Support, Libraries and Legal and Democratic are working together to agree and implement new ways of working, informed by input from residents. This will see improved systems and processes introduced and the implementation of more integrated digital technologies in the coming 12-24 months to strengthen pathways to support and improve the overall customer experience. 2.16 Our commitment to being a trauma informed organisation approved at Wellbeing and Tackling Poverty Committee on 26th April 2024, and the trauma informed design approach to these projects is seeing improved design and organisation of spaces within the facilities particularly around entrances, front facing reception spaces and their connection to staff areas and private spaces. This offers improved interaction with staff, more flexibility around how spaces are used and over time will create environments that provide a sense of empowerment and reduce stress and tension for residents. 2.17 We will push forward with plans to identify where future integrated community hubs will be feasible and viable through an options appraisal process in readiness for future capital investment should the opportunity be presented for re-prioritisation within this five-year programme and for a potential bid in the next five-year cycle. Implementing early adopter hubs 2.18 With the recent investment decisions approved as part of the Strategic Capital Investment programme 24/25 to 28/29 and the continued uncertainty ahead due to the economic and financial challenges we face, it is important that we learn and gain confidence as to what works with communities, ensuring that we design and develop our hub provision to better meets their needs and will have a greater impact on outcomes due to the involvement of individuals who will access them. This is key to inform any reprioritisation of projects and investment in future years. Page 113 of 166
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2.19 In parallel the Council will continue to transition towards a future operating model which will see greater reach into our communities through more integrated service delivery and community led approaches that will see all services take forward significant transformational change. Following phase 1 delivery to create hubs within the existing estate and as new development hubs have been introduced each hub has been operationalised to test a new approach. 2.20 One specific example is the Newmains & St Brigid’s Community Hub in Wishaw. The project has progressed by establishing a Hub Delivery Group to oversee a plan for the hub, whilst operating within existing management structures, as services continue to redesign and reorganise. A case study example is shown in Appendix 2. Other hubs are moving forward in the same way and the focus will be to direct available resources to deliver whole family support locally as part of the Resilient People POW priorities. 2.21 This will introduce a more integrated approach led by the Commissioned Service and working with partners to take an early and inclusive approach. Contract mobilisation is now underway. Barnardo’s and associated community and voluntary partners will deliver direct support to whole families across North Lanarkshire and reach into the local community through engagement and co-production, to both identify needs and inform the development of a service that is continually responsive to need. Over time, it is intended that the service will develop peer mentoring opportunities so families have the choice to receive support from people with lived experience and will place economic help at the heart of family support, working with our employability services, to ensure families have improved opportunities for work experience, skill building and education. 2.22 Building on the local engagement with the community and partners in the development of the community hub, the service will initially be launched from Newmains and St Brigid’s Community Hub. Barnardo’s has immediate capacity to deliver in Wishaw and has a plan to expand within one month to cover a further location. Recruitment is underway to expand the service so that it can cover across North Lanarkshire within a 6-month period, subject to recruitment and community need, using community hubs and other community bases to ensure accessibility for families. The service will accept self-referrals and referrals from agencies within the GIRFEC approach. Barnardo’s are already engaged in the Children’s Services Planning Partnership to ensure the service works well with existing services and is currently working on publicity and other information materials to maximise accessibility for families. Underpinning systems and processes for the operating model 2.23 Key to the successful implementation and operation of the early adopter hubs, as well as supporting new ways of working and maximising the occupancy and use of our existing assets is the design and delivery of effective ICT solutions and the technical management support around these. Therefore, as we plan for and continue to adapt to new models of service delivery there are a number of areas that continue to feature in this phase. 2.24 These include; working with services to gather requirements and user profiles, pulling together an understanding of existing hardware in meeting, training and conference rooms in the education estate as we seek to maximise and be creative about the use of space in our model, connecting with the business and digital team on the roadmap for digital transformation across services, making sure digital solutions are in place relative to hub operations i.e. business intelligence support around needs and demand, hub space booking, demand analysis and channels for early engagement and customer contact, self-service or assisted self-service technology, referral and assessment systems, user printing and scanning in a hub setting, keyless entry/remote Page 114 of 166
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monitoring and controlled access requirements, public wi-fi prioritisation within the connectivity project, and continued focus on business intelligence, quality control, and performance data, feedback and reporting. 2.25 Through working closely with the Digital NL POW we aim to understand better how technology will enable future service delivery models alongside mapping how staff will best operate to support services within a different future model of delivery, which is likely to require new types of roles, skills and patterns of work which are very different from those we rely on to deliver our services today. One of the first steps has been a digital maturity survey that will help inform service readiness for future change. Through the Digital NL improving customer experience group we will take forward plans to implement digital zones in hubs in support of digital inclusion priorities as we continue to push more service online and provide blended support to residents. Service transition to a future operating model 2.26 As set out in the One Workforce report presented to Policy & Strategy Committee on 7th December 2023 within the context of ongoing challenging workforce pressures, and the Council’s medium term financial challenges, all services across the Council are thinking creatively about their future operating models and how they redesign to deliver services that meet the needs of our communities in the future. 2.27 Between April and November 2024 all Chief Officers with their nominated service lead will present their plans to progress their own workforce transition to our future operating model through the One Service Board. This will enable support and challenge on proposals set out and further opportunities to be discussed or proposed. Through this process all services are considering which of their functions could be operated in a more streamlined, integrated and placed based model and which should remain within a more corporate or North Lanarkshire wide service delivery footprint to maximise economies of scale and efficiency of service delivery. Further thought will also need to be given to the opportunity for shared services in line with ongoing financial challenges and planned public reform. 2.28 Aligned to all of this, our workforce plans will form a key pillar of this ongoing process of realignment and transition and as we define revised structures and new roles and structures to support our revised delivery model. This will be fundamental as we design the operating model for town and community hubs from the bottom up, with greater focus on the required workforce roles, skills, and behaviours we will need to deliver prevention and early intervention within a more universal service delivery offering for our residents who need support at a community level. 2.29 A critical element to service redesign and linked to the Digital North Lanarkshire programme of work, is establishing how digital technologies will advance future service delivery models and mapping how teams and individuals will best operate to deliver services within a future model of delivery. This is likely to see new types of roles, skills and patterns of work being introduced meaning a transformational shift in what we rely on to deliver our services today. 2.30 The Council through the governance of the One Service Board will maintain an updated rolling One Workforce plan of work to support the delivery of our priorities and strategic aims to 2028. Updated reports will be presented to CMT twice yearly. 2.31 Workforce change deliverables that may emerge as a consequence of the operating model will be managed within each service area through existing processes and HR/Finance support routes. Chief Officers and their management teams are Page 115 of 166
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responsible for ensuring that all workforce change and any matters arising are managed appropriately in line with emerging plans Delivering for the community 2.32 To support planning for the provision in our future hubs one of our guiding principles is to ‘design with rather than for communities’. Within this work, it has also been key to build a coherent and wide understanding of local organisations, recognise their contribution and prepare to involve them in our plans. Working in partnership with the Community Partnership Team, we have established a database of organisations by Community Board area and continue to review stakeholder maps that set the foundations for closer working in line with the direction of the recently launched CommUnity agreement. 2.33 Building on the work of the community ownership working group we are developing a more coherent policy for community use and strengthening our marketing strategy and communications plan to better promote community facilities and the spaces therein. Work is currently underway with the Facilities Support service and Active and Creative communities colleagues to improve the Council website in support of this and to augment the implementation of a new corporate booking system approved at the Communities committee on 5th February 2024. As this work progresses, Community Hub pages will be created on the website and we will make better use of the ‘My Town’ social media pages to create stronger identities for the hubs to build presence, promote their offer and encourage communities to be involved in both accessing and delivering a provision that meets local needs. Next steps 1. Ongoing delivery of the hub strategy programme applying learnings from current projects and community co-design and operationalise new development hubs as they are introduced. 2. Deliver approved asset rationalisation through reconfiguration of existing assets to maximise the use of our asset portfolio and optimise utilisation of all space in line with allocated funding from the strategic capital investment programme 2024/25- 2029/30. 3. Services present their Workforce transition plans to the One Service Board between April and November to demonstrate plans and progress of service redesign underway or planned that will enable the transition towards our future operating model. 4. Work in partnership with services to progress targeted proof of concepts to deliver early help and inclusive family support by testing and learning through the community hubs to inform future model service delivery of a more community led approach. 5. Embed the principles of trauma design within the built environment by 2028, starting with the development of a trauma design framework aligned to the place principles, and through the creative design of our hubs, assets and their spaces and town centre plans. 6. Continue to support the ambitions of the active travel strategy by identifying needs and behaviours and investing in appropriate solutions on our projects. Page 116 of 166
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7. Take a phased approach to implementing smart technologies in our hubs in support of digital inclusion priorities through the introduction of digital zones as we continue to push more service online and provide blended support to residents. 8. Conduct a sensitivity analysis tied to the strategic capital investment programme and planned review process to guide future investment decisions including linked to the options appraisal process to guide options for adaptation of the existing education estate to grow the number of integrated community hubs across our towns. 3. Measures of success 3.3.1 A number of measures are outlined in the project brief against the three phases of delivery to show how we are delivering for communities through improved outcomes and support the management of risk/mitigate impacts of adverse events. Each test of change hub project will develop its own impact framework given the local context. Examples are: • Hub usage data and user feedback • Level of integrated working/partnerships evidenced in hub delivery plan • Access and engagement by target groups • No. of contacts/people supported relative to general advice, financial inclusion/debt money advice, literacy/language skills/qualifications, employability, digital inclusion etc. • Social media reach/user feedback • Occupancy and usage of hub spaces • Reduction in demand for additional/intensive statutory services • Number of organisations applying for/receiving grant funding contributing to delivery • Number of people accessing assisted self-service in the hubs • Number of volunteering or placement opportunities available in hubs • Number of hub volunteers who achieve accreditations/qualifications/employment • Comparison of usage across buildings within NLC (will feed into development of new builds and potential future use) • Progress of LOIP’s and outcomes agreed as part of future hub delivery plans that contribute to the outcomes set in the plan for North Lanarkshire The programme overall: • Provide an operational focus point for other projects and programmes to realise their financial and non-financial benefits e.g., shared asset rationalisation, service reconfiguration, service re-design proposals for integrated provision 4. Supporting documentation Appendix 1- Overview of Community Co-design linked to the operating model to get it right for everyone (GIRFE) and improve health outcomes Appendix 2- Newmains & St Brigid’s - One year of operation case study Appendix 3- High level plan for phase 2 delivery of the Leadership and Operating Model programme Page 117 of 166
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Stephen Penman Chief Officer, Strategic Communications and Engagement Page 118 of 166
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5. Impacts 5.1 Public Sector Equality Duty and Fairer Scotland Duty Does the report contain information that has an impact as a result of the Public Sector Equality Duty and/or Fairer Scotland Duty? Yes ☒ No ☐ If Yes, please provide a brief summary of the impact? The implementation of town and community hubs and ambitions to reduce the inequalities caused by socio economic disadvantage align with the requirements of the Fairer Scotland Duty. The EQIA for phase 2 has been completed and EQIA’s are completed for required projects and in partnership with services. 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? The strategic capital investment programme allocation is a key factor, investment in town and community hub programme and towards delivery of approved asset rationalisation is critical to ensure hubs are designed or reconfigured as the vehicle for delivery of community services. 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? The impact of any workforce changes emerging during phases of the programme will be dealt with in line with the council’s Managing Workforce Change - Framework Guidance. We must ensure that any changes to approaches as our future workplace model matures are reviewed and supported by policies and guidance. Full engagement with Trade Unions will be taken forward as required. Safety and wellbeing implications around access, safety and security and also safeguarding. Safety and security guidance is continually updated and made available on the future workplace section of myNL. The safety and wellbeing team will continue to work with local teams to advise appropriate measures are in place at a local level around safety, security, fire safety and first aid. Communications and engagement with management teams of key workforce groups will also take place as appropriate, and toolbox talks encouraged with staff as necessary. Furthermore, Page 119 of 166
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the approach taken is intended to have a positive impact on mental health and wellbeing and TU’s will be engaged as appropriate through existing channels. The safety and wellbeing team are engaged on the POW steering group and continue to advise and guide through phases. 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 been discussed and agreed with Legal and Democratic? Yes ☒ No ☐ If Yes, please provide a brief summary of the impact? Extending our use of hub spaces to public sector partners in phase 2 required a Memorandum of Understanding to be in place to support objectives of this agreement and to ensure consideration towards insurance liabilities and statutory requirements around safeguarding. This was supported by legal colleagues who will continue to be engaged through delivery phases – particularly relative to the impacts of public sector reform . 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? There is a specific set of digital requirements if the operating model is to achieve its ambitions. A number of these are already in place and need to be maintained or are in development. There is currently work to pull together emerging requirements and detailed work with the business and digital team on this additional capability and digital infrastructure will be required in support of the model – plans for this are underway and the appropriate governance structures will be applied. Where the impact identifies a requirement for significant technology change, has an assessment been carried out (or is scheduled to be carried out) by the Enterprise Architecture Governance Group (EAGG)? Yes ☐ No ☒ 5.7 Environmental / Carbon impact Does the report / project / practice contain information that has an impact on any environmental or carbon matters? Page 120 of 166
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Yes ☒ No ☐ If Yes, please provide a brief summary of the impact? Enabling staff to work locally has a positive impact on the environment and an individual’s carbon footprint around commuting, as well as potential positive health impacts by enabling greater choice and flexibility to how people work. The shift side to that is the utility use/office energy consumption through a work local approach (although within the wider context of shared assets, asset rationalisation and investment in more energy efficient buildings and hubs positive benefits should be realised over time) 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? There is significant impact around communication and engagement with communities and with staff – the programme continually has a requirement to align with the emerging direction of our approaches. Communication and engagement plans are developed throughout each stage of the POW and colleagues from Strategic Communications and Community partnership team continue to be involved throughout phases of delivery 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? The project risks are captured in the project risk register and managed through the programme and projects, as well as linked POW’s own risk registers and actions. The main risks at present are around: • Finance – capital review and ability to deliver against ambitions, risk to savings not being realised through service redesign for a new model • Digital – ability to meet the infrastructure and technical support needs either through lack of resources, lack of funds, or alignment of pace • Political unknowns – implications of savings decisions and public sector reform • People – challenge of culture change to underpin the success of the model • Communities – ensuring full involvement of communities and realising the ambition of the Community Boards. 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 residents in the provision of public services. Page 121 of 166
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• Our approach to participation planning to ensure that all residents with lived experience are included in co-design/co-creation of services, and we engage with relevant organisations • Completion of the EQIA 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). Approach to early help and inclusive support outlined in the report. An overarching CRWIA has been completed as part of the preparation for the new Children’s Services Plan 23-26. The Children’s Services Plan 23-26 includes priorities and actions on how the Children’s Services Partnership will further children’s rights and UNCRC in NL. If Yes, has a Children’s Rights and Wellbeing Impact Assessment (CRWIA) been carried out? Yes ☒ No ☐ Page 122 of 166
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Appendix 1 Getting it right for everyone (GIRFE) co-design with communities overview Page 123 of 166
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Appendix 1 continued… Page 124 of 166
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Appendix 2 - Newmains & St Brigid’s Community Hub – First year of operation Background Newmains & St Brigid’s Community Hub opened its doors in February 2023 bringing together Newmains and St Brigid’s primary schools and Newmains Family Learning Centre. Located in the heart of Newmains, the hub aims to become the focal point for community engagement and support in the area and has embarked on a transformative journey to address the community’s needs and promote social inclusion, moving beyond the traditional learning and teaching curriculum. In strategically aligning its vision and initiatives to the overarching plan for North Lanarkshire and Local Outcome Improvement Plans, the Council is committed to strengthening the impact of the hub to the local community. The first 12-months of the hub in operation has laid a solid foundation to build on delivering for our communities. Establishment of a Hub Delivery Board The establishment of the Hub Delivery Board in January 2023 laid the foundation for a collaborative approach, bringing together representatives from Council Services, Scottish Fire and Rescue, NHS Lanarkshire, University Health and Social Care Partnership, Health Improvement, Routes to Work and VANL. The boards inception set the stage for strategic decision making and the development of a hub delivery plan. Community Engagement Hosting the first community engagement event in March 2023 provided an opportunity for local services, partners, and voluntary organisations to highlight their offerings to the community. The event garnered valuable feedback from parents. They identified and prioritised concerns such as poverty, health and wellbeing, loneliness, anti-social behaviour, and support for families. This feedback played a crucial role in shaping hub delivery plan and future activities and services offered from the hub. Additionally, two newsletters providing information on the hub have been issued to the community using social media pages and using Group call text messaging service. Expansion of Service Offerings In April 2023, Active and Creative communities started delivering Zumba classes every Wednesday evening, which was well received by the community. This was followed by the introduction of yoga classes in November 23, demonstrating commitment to promoting health and well-being through exercise. In addition, the Tackling Poverty Team offered monthly drop-in surgeries, providing vital support and resources to those in need. These sessions offered opportunities for individuals to access financial assistance, as well as receiving empathetic guidance on navigating challenging circumstances. Partnerships and Collaborations Established partnerships with NHS Lanarkshire, New College Lanarkshire, Routes to Work and Voluntary Action North Lanarkshire seen collaboration to deliver programs and support the community. • NHS Lanarkshire’s Health Improvement Team delivered a breastfeeding event which seen the collaboration of services and brought together local breastfeeding groups to promote early intervention, and provided an educational opportunity for P7 pupils, fostering understanding and normalisation of breastfeeding within the community – another event is in planning for June 2024. • Routes to Work delivered the SPF 31 program, a place-based project funded by the Shared Prosperity Fund which aimed to engage with people in Newmains who were economically inactive. The program offered peer mentors recruited from the local area and intense engagement offering pre-employability and personal development activities with a dedicated case worker. Page 125 of 166
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Appendix 2 continued… • North Lanarkshire Council, NHS Lanarkshire, and New college Lanarkshire offered a ‘Care Academy’ learning experience for P6 and P7 pupils from the hub to take part an innovative and certified micro course represented a pivotal collaboration aimed at equipping young learners with practical skills and essential knowledge in the dynamic fields of health and social care. Through immersive half-day sessions, pupils were immersed in subjects designed to ignite their curiosity and passion for caregiving professions. From exploring STEM applications to delving into the intricacies of digital healthcare and dementia care, the course offered a comprehensive overview of critical aspects of the healthcare sector. The pilot placed a strong emphasis on fostering an inclusive and diverse learning environment, with sessions dedicated to understanding gender equality within health and social care roles. Young people also experienced the whole graduation experience at New College Lanarkshire. Use of the hub spaces The availability of spaces has facilitated diverse community activities and services, with the football pitch being particularly popular among local football clubs. Additionally, services and partners have actively used the meeting spaces, fostering collaborative efforts and constructive engagement. These spaces have facilitated discussions, planning sessions and joint initiatives. A recent development is the facilitation of a family support group for those affected with drug and alcohol addiction. This collective use underscores the hub’s pivotal role as a venue for multi-stakeholder collaboration and the delivery of essential community services and support. Key Learnings Multi-stakeholder collaboration and community engagement is key in establishing the hub delivery plan to provide a diverse range of services and activities to meet the needs of the local community. Addressing the challenge of transforming the perception of the hub from school to a multi-functional community resource, requires ongoing commitment to foster the culture shift and maximise the hubs potential as a central community resource. Staff awareness sessions and roadshows will continue to deliver the message of the plan for North Lanarkshire. In addition, our One Workforce plan and work local approach should continue to encourage more staff towards the hub and see more frontline staff using it for rest and welfare purposes as well as to deliver in reach and outreach supports and services. Future Plans The focus for the next 12-24 months is the mobilisation of the commissioned service for early help and inclusive family support funded by the Whole Family and Wellbeing Fund and the introduction of housing surgeries signifies the commitment to sustained community empowerment and support. Concurrently we will continue to build presence of the hub, aiming to optimise the use of available space in the evening and at weekends, this will be supported by an improved marketing strategy and communication plan and development of the Council’s website. Page 126 of 166
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Appendix 2 continued - A visual illustration of how hub zones have been used beyond learning and teaching Working together to promote and link offer Newmains & St Brigid’s Community Hub Tenant’s par�cipa�on conference Breas�eeding event Shared use of conference room & mee�ng spaces across partners Care Academy Pilot School into College partnership P6/7 pupils Cost of living surgeries Housing support drop ins Zumba classes Yoga classes Addic�ons support Neurodevelopmental team co-located part �me Routes to work & CLD employability and skills / cooking on a budget Parent Council Private events and func�ons Intergenera�onal mentoring programme Feb 24 - 8 clubs 375 football pitch & main hall bookings NCT Sco�sh Govt Guiding Coali�on mee�ng Page 127 of 166
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Appendix 3 – Delivering phase 2 of the Leadership and operating model and asset rationalisation plans Page 128 of 166
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North Lanarkshire Council Report Policy & Strategy Committee Does this report require to be approved? ☐ Yes ☒ No Ref FW/PMcC Date 06/06/24 One Workforce - Summer Placement Programme From Fiona Whittaker, Chief Officer People Resources E-mail mccaffertypa@northlan.gov.uk Telephone 07973 729532 Executive Summary The development of a next generation workforce for the Council is a key priority set out in our One Workforce Plan, agreed by Policy & Strategy in December 2023. As part of this, in July 2023, the Talent and OD team (TOD) commenced a pilot summer placement programme offering Council Services the opportunity to employ a young person for six weeks over the school summer break. The purpose of this placement was to give young people valuable work experience and to introduce them to the different types of rewarding work available in Local Government, particularly in areas which have traditionally been hard to attract young people into. The first year of the programme saw 23 young people successfully placed across Chief Executives, Adult Health and Social Care and Enterprise and Communities, with all 23 young people finishing the programme and securing a positive destination at the end. Following on from the success of this pilot, approval was given at CMT in November 2023 to repeat the programme in the summer of 2024 with an initial proposal for 40 paid placements. This report seeks to update Policy & Strategy Committee on the progress that has been made both with the very successful 2023 pilot, and our plans to extend the programme in 2024 for placements both across the Council, and in other sectors where there is known future workforce demand with placements due to start in June for six weeks. We are delighted to report that to date, both Council services and local businesses have come forward and offered a total of 112 paid placements for young people to secure work experience through the summer break of 2024. Given the success of the programme over the last two years, our intention for future years will be to maintain a summer placement programme to support both our One Workforce Plan and our broader commitments within the wider Brighter Futures Programme of Work which aims to support and improve attainment and employment opportunities, entrepreneurship and volunteering across North Lanarkshire and in key employment sectors. Recommendations It is recommended that Policy & Strategy Committee: 1) Recognise and acknowledge the success of the pilot programme in 2023 and its contribution to building the Council's next generation workforce. 2) Support the summer placement programme for 2024 which will offer 112 paid placements to young people in North Lanarkshire. Item 9 Page 129 of 166
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1. Background 1.1 During the summer of 2023, 23 young people gained work placements across the Council through the pilot Summer Placement Programme. The purpose of this programme was to recruit young people into a variety of service areas within the Council to introduce them to areas of work they may not have previously considered as part of their future career planning. 1.2 To facilitate the programme, all Chief Officers were asked to return a demand proforma indicating whether they could accommodate a paid work placement (grade NLC3) in their service. All services responded offering the following placements: • Adult Health and Social Care – 9 places in the Joint Equipment Store and 9 Administrative placements • Enterprise and Communities – 1 place in Waste and Fleet • Chief Executive’s – 1 place in Business and Digital, 3 places in the Employee Service Centre 1.3 The placement opportunities were sent to all North Lanarkshire school establishments, the Pathways Programme, the Promise Team, New College Lanarkshire and Senior Education and Families Managers to gauge interest and encourage young people to consider the opportunity. All those interested were given job descriptions and employee specifications for the placements and asked to complete an expression of interest form highlighting their skills, experience and suitability for the programme. In total 53 applications were received which were then shortlisted and interviewed with 23 young people successfully achieving a placement. 1.4 The young people started their placement on 3rd July following a short induction and remained on placement until 11th August. Throughout the programme, they had weekly contact with the TOD team to review progress. One of the most notable outcomes of the programme was the enthusiasm with which the young people undertook their placement. They completed all tasks assigned to them and performed at a consistently high level. 1.5 Importantly, and in terms of the real tangible benefits of this programme, 21 young people have secured a sessional contract with the Council, one gained employment as a Home Support Worker and the final young person accepted a place on our MA in Housing programme. At the end of the placement, there was a celebration event for the young people to recognise completion of the programme. 1.6 Based on the success of this programme, a proposal was submitted to CMT to implement this on an annual basis. The proposal was based on offering potentially up to 40 paid placements each summer across all services of the council, however based on feedback from the services and an appetite to provide greater opportunities for our young people, we have now secured 112 paid placements. The Plan for North Lanarkshire Priority Support all children and young people to realise their full potential Ambition statement (6) Raise attainment and skills for learning, life, and work to enhance opportunities and choices Programme of Work Brighter Futures Page 130 of 166
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2. Report Programme for July 2024 2.1 Building on the success of our 2023 programme we have incorporated several learnings, which will be included in the roll out of our 2024 programme, and these include: - Increasing the lead in time for recruitment and organising IT equipment. - Recognising what worked well including having in place a robust recruitment and selection process. - Enhancing support from colleagues across Education to fully promote the opportunities. - Having a structured induction process for the young people to ensure they feel supported from day 1. 2.2 Based on the lessons learned a number of adjustments have been made to the programme including a revised timeline for implementation by starting the recruitment process earlier. We also approached schools earlier and interviewed applicants in March prior to study leave in April ensuring it did not interfere with exam preparation. The induction week will take place in June prior to the placements starting in July. 2.3 We have also provided access to a broader spectrum of placements by linking with the services in areas which are particularly hard to recruit to or areas where young people may not consider as a future career choice. We also extended the induction programme to cover all essential areas before the young person starts in placement. 2.4 The new timeline for implementation is detailed below. By starting the process in November/December we have given the team time to work with all stakeholders ensuring placements were identified and secured well in advance of expressions of interest going out. It also gave the team time to ensure all HR processes were in place and adhered to. Recruitment and progress to date 2.5 As detailed in the timeline above, Services were approached in November 2023 via a demand pro-forma to indicate interest in providing placements for the summer programme 2024. All services responded and a total of 92 placements were offered initially. This increased to 112 with local businesses in the Built Environment sector offering additional opportunities. The breakdown of placements is detailed below: Built Environment based roles 20 Clerical/Corporate based roles 38 Assistant Sport Coach 9 Care based roles 45 Total 112 Nov - Dec Demand Planning Jan HR processes eg job descriptions created, Jan Communi- cations out to promote opportuni- ties Feb Applications received Mar Shortlisting and interviews June Induction week July–Aug Placement Page 131 of 166
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2.6 Throughout the month of January, all HR administrative processes were completed including creating job descriptions, agreeing grades for posts and planning the recruitment process. With those in place, adverts were created and information on all opportunities were sent to all school establishments, the Pathways programme, the Promise team and Senior Education and Families Managers to raise awareness of the programme. Pupils who responded were issued with an expression of interest form which they had to complete, get endorsed by their teacher and send to TOD for consideration. In total we received 249 applications from pupils across our Secondary Schools and local Colleges. The breakdown of applications and the numbers who secured a place across all establishments is detailed below: Establishment Number of applicants Successful following interview Airdrie Academy 5 2 Bellshill Academy 1 1 Brannock High School 13 6 Calderhead HS Shotts 4 2 Cardinal Newman High School 23 11 Chryston High School 2 1 Clyde Valley High School 2 2 Coatbridge High School 7 5 Coltness High School 26 9 Cumbernauld Academy 2 1 Dalziel High School 3 2 Greenfaulds Academy 11 7 Kilsyth Academy 12 7 New College Lanarkshire 3 0 Our Lady’s High School Cumbernauld 22 5 Our Lady’s High School Motherwell 26 11 St Aidens High School 13 7 St Ambrose High School 15 6 St Andrews High School 27 13 St Margarets High School 8 6 St Maurices High School 1 0 Taylor High School 21 7 Uddingston Grammar 1 0 West Lothian College 1 1 2.7 Of the 249 applications received, after shortlisting and eligibility checks, 154 were interviewed, with 112 successfully matched to a placement. In addition, 17 have been placed on a reserve list should any of the successful candidates withdraw. 2.8 Work is now underway to ensure everything is in place for the 112 candidates starting at the end of June. the programme will run for six weeks during the summer. Managing the Programme 2.9 The programme will be managed by the Early Careers team which sits within the Talent and OD team. As well as a line manager for their placement, each young person has been allocated a link person from TOD who will meet with them weekly to review Page 132 of 166
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progress on their placement and act as a support/mentor throughout the duration of their placement. 2.10 As mentioned above, there will be an induction at the start of the programme which will be extended to 3 days as opposed to 1. This will allow the young people to meet each other and network, meet their line manager and TOD link person, complete mandatory learning and complete any outstanding paperwork before commencement of the placement. This should ensure that they feel adequately supported before going out to placement. 2.11 Throughout the placement, they will be managed on a day-to-day basis by their line manager who will allocate tasks and support them to learn how to do those tasks. The roles have been designed to give each young person as full an experience as possible to help inform future career options. The link person within TOD will check in with them weekly to review the tasks they have been assigned, provide pastoral support and help them resolve any issues or challenges they may be experiencing. 2.12 At the end of their placement, they will all be asked to complete an evaluation about their time on placement. Where possible and in line with the pilot programme, they will be invited to apply for opportunities within the Council including vacancies and opportunities on the sessional register. 2.13 As with the previous programme, on completion there will be a short celebration of achievement ceremony which all young people will attend with their line manager and link person. Senior managers will also be invited from across the Services to celebrate with the young people. 2.14 The summer placement programme is an exciting opportunity for our young people to gain valuable work experience. With the success of the pilot programme and the increase in numbers for the 2024 programme, it is hoped we will see an increase in the number of young people applying for our MA programmes, vacancies within the Council and consider careers they may not have thought of before. The enthusiasm that the young people brought last year to the programme had a positive impact on our staff and we hope to see that again this year. 3. Measures of success 3.1 The measures of success for this programme will include: - Positive experience for our young people. - Positive destinations for participants on the programme including opportunity to apply for jobs/sessional contracts. - Confirmation from services of a commitment to the 2025 programme. 4. Supporting documentation 4.1 Appendix 1 – Programme process map Fiona Whittaker Chief Officer (People Resources) Page 133 of 166
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5. Impacts 5.1 Public Sector Equality Duty and Fairer Scotland Duty Does the report contain information that has an impact as a result of the Public Sector Equality Duty and/or Fairer Scotland Duty? Yes ☒ No ☐ If Yes, please provide a brief summary of the impact? The programme will target all young people in our school establishments and those under employability programmes or currently in first year of college. The programme has the ability to reach young people who may be affected by poverty or unable to access similar opportunities. 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? The financial impact is related to existing budgets. All placements are paid for from the Service budget or existing vacancies. Where a Service decides to offer a paid placement relevant budget discussions have taken place with Finance. 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? Placements will be employees for the duration of their placement therefore will require to follow all relevant HR policies and procedures. 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 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 Page 134 of 166
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Does the report / project / practice contain or involve the processing of personal data? Yes ☒ No ☐ If Yes, is the processing of this personal data likely to result in a high risk to the data subject? Yes ☐ No ☒ If Yes, has a Data Protection Impact Assessment (DPIA) been carried out and e- mailed to dataprotection@northlan.gov.uk Yes ☐ No ☐ 5.6 Technology / Digital impact Does the report contain information that has an impact on either technology, digital transformation, service redesign / business change processes, data management, or connectivity / broadband / Wi-Fi? Yes ☐ No ☒ If Yes, please provide a brief summary of the impact? Where the impact identifies a requirement for significant technology change, has an assessment been carried out (or is scheduled to be carried out) by the Enterprise Architecture Governance Group (EAGG)? Yes ☐ No ☐ 5.7 Environmental / Carbon impact Does the report / project / practice contain information that has an impact on any environmental or carbon matters? Yes ☐ No ☒ If Yes, please provide a brief summary of the impact? 5.8 Communications impact Does the report contain any information that has an impact on the council’s communications activities? Yes ☒ No ☐ If Yes, please provide a brief summary of the impact? Work may be required involving corporate communications to support a suitable comms campaign to advertise opportunities going forward. 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? 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 Page 135 of 166
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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). This programme has the potential to offer opportunities to young people up to the age of 18. If Yes, has a Children’s Rights and Wellbeing Impact Assessment (CRWIA) been carried out? Yes ☐ No ☒ Page 136 of 166
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Appendix 1 – Summer Placement Programme Process Map Page 137 of 166
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North Lanarkshire Council Report Policy and Strategy Committee Does this report require to be approved? ☐ Yes ☒ No Ref AA/REB Date 06/06/24 Annual Review of Whistleblowing Procedure From Archie Aitken, Chief Officer (Legal and Democratic) E-mail aitkena@northlan.gov.uk Telephone 07939 280 102 Executive Summary North Lanarkshire Council’s Whistleblowing Procedure provides a mechanism for employees and other workers in the Council to report a concern about serious wrongdoing within the Council and to do so with security and in confidence. The annual review of the Whistleblowing Procedure has been undertaken on the use of the Whistleblowing Procedure and on any amendments required to the Procedure. Recommendations It is recommended that Policy and Strategy Committee: (1) Gives consideration to the contents of the report. The Plan for North Lanarkshire Priority Improve North Lanarkshire's resource base Ambition statement (14) Ensure the highest standards of public protection Programme of Work Statutory/corporate/service requirement Item 10 Page 139 of 166
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1. Background 1.1 The act of reporting concerns or wrongdoing in the public interest either within an organisation or externally, for example to a regulator or the press, is known as “whistleblowing”. The Employment Rights Act 1996 as amended by the Public Interest Disclosures Act 1998 provides the legal framework for whistleblowing. 1.2 If a disclosure meets statutory requirements, workers who have blown the whistle are protected by the Public Interest Disclosures Act 1998. This legislation provides the legal baseline, but there are other steps, not mandated by the law, that an employer can take to encourage effective internal whistleblowing and to protect whistleblowers. The most important of these is to develop and implement an effective and appropriate whistleblowing policy. Whistleblowing policies are important and should comply with best practice in regard to content and procedure. 2. Report 2.1 The whistleblowing legislation imposes no positive obligation on an employer to encourage whistleblowing, implement a whistleblowing policy or in relation to what an employer is required to do if a disclosure is received. The law does, however, provide that an employer should refrain from dismissing workers or subjecting them to any other detriment because they have made a protected disclosure. 2.2 North Lanarkshire Council, as a public body, is expected to have a whistleblowing policy as our whistleblowing arrangements are considered as part of our annual audit process. Whistleblowing plays an important role in safeguarding effective delivery of public services and ensuring best value. North Lanarkshire Council is committed to a culture which views raising concerns of malpractice as a valuable contribution towards its efficiency and effectiveness and assuring workers that they will be treated fairly and that their concerns will be properly addressed. Annual Review of the Whistleblowing Procedure 2.3 North Lanarkshire Council’s Whistleblowing Procedure (attached as Appendix 1) has been reviewed and no amendments requiring approval are considered necessary at this time. This is on the basis that the principal objectives of the policy and procedure remain: 2.3.1 to convey the seriousness and importance that North Lanarkshire Council attaches to identifying and remedying wrongdoing; 2.3.2 to encourage workers to raise concerns internally as soon as possible and to give them the confidence to do so; 2.3.3 to remind workers of the standards of behaviour expected of them; 2.3.4 to ensure workers know who to approach with a concern, and to enable them to bypass the person, management level or part of the organisation to which the concern relates; 2.3.5 to outline the procedures for investigating disclosures and what steps might be taken if wrongdoing is uncovered; and 2.3.6. to make it clear what will happen to those who victimise genuine whistleblowers or abuse the system by making malicious allegations. Page 140 of 166
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2.4 North Lanarkshire Council’s Whistleblowing procedure sets out the legal protections available to whistleblowers. There are further sources of help and guidance; 2.4.1 Chief Officers are designated as advisers to whistleblowers in identifying whether the concern falls under one or more of the categories or should be better dealt with under a different procedure; 2.4.2 There is access to an external counselling hotline in terms of the Employee Assistance Programme; and 2.4.3 Protect, the whistleblowing charity who provide a confidential independent helpline for whistleblowers is referred to in the procedure. Annual Review of the use of the Whistleblowing Procedure 2.5 Since the last review in 2023, Education and Families received one whistleblowing report. 2.6 A thorough and comprehensive investigation into the matters raised concluded that there was no substance to the allegations made. 3. Measures of success 3.1 Further review of the application of the Whistleblowing Procedure will ensure that the Council’s resources and reputation are being safeguarded and that the Council’s good governance standards are being maintained. 4. Supporting documentation Appendix 1 - Whistleblowing Procedure. Archie Aitken Chief Officer (Legal and Democratic) Page 141 of 166
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5. Impacts ( http://connect/report-template-guidance ) 5.1 Public Sector Equality Duty and Fairer Scotland Duty Does the report contain information that has an impact as a result of the Public Sector Equality Duty and/or Fairer Scotland Duty? Yes ☐ No ☒ If Yes, please provide a brief summary of the impact? If Yes, has an assessment been carried out and published on the council’s website? https://www.northlanarkshire.gov.uk/your-community/equalities/equality- and-fairer-scotland-duty-impact-assessments Yes ☐ No ☐ 5.2 Financial impact Does the report contain any financial impacts? Yes ☐ No ☒ If Yes, have all relevant financial impacts have been discussed and agreed with Finance? Yes ☐ No ☐ If Yes, please provide a brief summary of the impact? 5.3 HR policy impact Does the report contain any HR policy or procedure impacts? Yes ☐ No ☒ If Yes, have all relevant HR impacts have been discussed and agreed with People Resources? Yes ☐ No ☐ If Yes, please provide a brief summary of the impact? 5.4 Legal impact Does the report contain any legal impacts (such as general legal matters, statutory considerations (including employment law considerations), or new legislation)? Yes ☐ No ☒ If Yes, have all relevant legal impacts have been discussed and agreed with Legal and Democratic? Yes ☐ No ☐ If Yes, please provide a brief summary of the impact? 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 ☐ Page 142 of 166
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5.6 Technology / Digital impact Does the report contain information that has an impact on either technology, digital transformation, service redesign / business change processes, data management, or connectivity / broadband / Wi-Fi? Yes ☐ No ☒ If Yes, please provide a brief summary of the impact? Where the impact identifies a requirement for significant technology change, has an assessment been carried out (or is scheduled to be carried out) by the Enterprise Architecture Governance Group (EAGG)? Yes ☐ No ☐ 5.7 Environmental / Carbon impact Does the report / project / practice contain information that has an impact on any environmental or carbon matters? Yes ☐ No ☒ If Yes, please provide a brief summary of the impact? 5.8 Communications impact Does the report contain any information that has an impact on the council’s communications activities? Yes ☐ No ☒ If Yes, please provide a brief summary of the impact? 5.9 Risk impact Is there a risk impact? Yes ☐ No ☒ If Yes, please provide a brief summary of the key risks and potential impacts, highlighting where the risk(s) are assessed and recorded (e.g. Corporate or Service or Project Risk Registers), and how they are managed? 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. Page 143 of 166
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Appendix 1 Public Interest Disclosure Whistleblowing Page 144 of 166
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Whistleblowing 2 Document control Title Whistleblowing Owner Archie Aitken Contact aitkena@northlan.gov.uk Governance Group Policy Strategy Author Archie Aitken Contact aitkena@northlan.gov.uk Revision History Number Originator Date Review Commenced Revision description/record of change 1 May 2024 Updated to reflect staffing changes Document Approvals Number Governance Group Date approval granted Date approval to be requested (if document still draft) 1 Policy and Strategy Committee 6 June 2024 Consultation Record (for most recent update) Status of document consulted upon Consultation with Stakeholders carried out February 2022 Stakeholders consulted/date Joint Trade Unions JNC for Teaching Staff Strategic Alignment Improving the Council’s Resource Base – Ensure the highest standards of public protection. Next review date Review Date May 2025 Page 145 of 166
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Whistleblowing 3 Preamble The purpose of this procedure is to provide a mechanism for employees, officers, consultants contractors and workers to report to the Council a concern which they have that there is serious wrongdoing within the Council – and to do so with both security and confidence. It draws on the rights and obligations contained within the Employment Rights Act 1996, the Public Interest Disclosure Act 1998, and the Enterprise and Regulatory Reform Act 2013. This procedure for reporting concerns at work is based on the following principles: • fair and reasonable treatment at work; • the right to report concerns reasonably believed to be in the public interest; • confidentiality; • openness and accountability, and • honesty and integrity. Page 146 of 166
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Whistleblowing 4 1. Introduction 1.1 In the course of your employment you may become aware of serious wrongdoing in the Council or you may have information regarding malpractice. This procedure outlines the steps you should take to bring serious situations to the attention of the Council, and has been designed to provide guidance to employees on reporting incidents of malpractice or wrongdoing. It indicates how matters can be expedited thoroughly, discreetly and, so far as possible, in a confidential way if that is necessary. This procedure outlines:- • what sort of concerns may be reported; • the employees covered by this procedure; • the nominated individuals in the Council who can be contacted regarding your concerns; • the appropriate steps to be taken to report serious wrongdoing or malpractice; • how a matter may be raised in confidence when that is appropriate; • the rights of employees who are the subject of disclosures; • any obligations placed on an employee in terms of bearing witness; • the interest of the Council; • the right to raise matters of concern and not be subject to any detriment; and • the protection which is available to an employee. 1.2 The disclosure of information in the public interest involves the reporting of serious concerns about illegal or unethical conduct or behaviour which could be described as serious malpractice in the workplace. The kinds of concerns are those set out at paragraph 2.2 of this procedure. 1.3 The principles and guidance outlined in this procedure have been developed against the background of the Council’s wish to be open and honest, to encourage high standards of conduct in the workplace and to develop the statutory protections available to employees. 1.4 Any employee who has a concern over what they consider is serious wrongdoing within the Council may wish to seek support and advice from their trade union which may be in a position to assist the employee in preparing and making a disclosure report under this procedure. 1.5 The title given to this procedure is Public Interest Disclosures. It may also be referred to as the “Whistleblowing” Procedure. Page 147 of 166
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Whistleblowing 5 2. Reporting Concerns 2.1 Most personal concerns at work can be adequately dealt with using other procedures or mechanisms. For instance, if there is an issue about your working conditions which you cannot resolve through other means, you may wish to use the Council’s Grievance Procedure. The procedure outlined in this document is designed to deal with issues of illegality or serious malpractice. 2.2 The public has a right to expect high standards of service. However, there may be occasions when, due to individual acts, omissions or failings, it may be necessary to bring certain matters which give cause for serious concern to the attention of your employer. If you are concerned about an aspect of individual behaviour or Council practice it may fall under one (or more) of the following categories: • a criminal offence; • a failure to comply with a legal obligation; • a miscarriage of justice; • danger to the health and safety of an individual; • damage to the environment, and • the deliberate concealment of information tending to show any of the matters above is being deliberately concealed. 2.3 Under the terms of this procedure an employee can report a matter which they reasonably believe to be in the public interest, on a confidential basis to their employer regarding any of these six categories. The categories are by no means mutually exclusive. For instance, you may be aware of a health and safety failure that is also a criminal offence. If you are not sure whether the concern you wish to raise falls into one of the above categories then you may contact one of several Council Officers who will try to assist you in identifying whether the concern which you have falls under one or more of these categories or whether your concern should be better dealt with under a different procedure or route. The officers available to advise on this are the Council’s Chief Officer (Legal and Democratic), Chief Officer (Finance) and Chief Officer (People Resources). 2.4 An employee may also be a resident in the Council’s area or have other good reason to approach a local councillor. Such an employee is free to raise an issue with their councillor. However, advising a local councillor of a concern over serious wrongdoing is not a substitute for advising the Council formally by following the Disclosure Report Procedure set out in Section 4. The onus rests on the employee to make the Public Interest Disclosure by following the defined reporting procedure. This will ensure that the Council deals with the matter formally, and in terms of both the legislation and this Procedure. 3. Confidentiality and Anonymity 3.1 One of the principles of this procedure is that an employee has the right to report a matter they consider to be in the public interest and the report will be treated on a confidential basis. For the reporting process to have credibility, employees must have confidence that any matter they draw to the attention of their employer will be handled with discretion and tact. Page 148 of 166
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Whistleblowing 6 3.2 The Council hopes that all staff will be able to voice whistleblowing concerns openly under this policy. If an employee wishes to raise their concern confidentially, the Council will make every effort to ensure the employee’s identity is kept a secret. If it is necessary for anyone investigating the employee’s concern to know their identity, this will be discussed with the employee. 3.3 The Council does not encourage staff to make disclosures anonymously. Proper investigations may be more difficult or impossible if the Council cannot obtain further information. It is also more difficult to establish whether any allegations are credible. Whistleblowers who are concerned about possible reprisals if their identity is revealed should come forward to the officers identified at 2.3 and appropriate measures can then be taken to preserve confidentiality. If an employee is any doubt, they can seek advice from Protect (https://protect-advice.org.uk/), the independent whistleblowing charity, who offer a confidential helpline. 3.4 It has to be recognised, however, that in some cases it may not always be possible to preserve total confidentiality, for instance, if the matter reported has to involve agencies such as the police or the Health and Safety Executive. If, in such a situation, the Council can no longer preserve total confidentiality, the employee will be advised of that fact. 4. Reporting Procedure 4.1 An employee wishing to report a matter that is covered by the categories covered in this procedure should contact the appropriate designated officer in the employing Service in the Council. The designated officers are those identified in Annex 1 to this document. This report should, preferably, be in writing and in order to avoid any doubt, should be described as a “Public Interest Disclosure”. 4.2 This procedure requires that disclosure reports should be made to the designated officers. Those designated offers are required to be alert to such disclosures and ensure that, as far as it is possible, the confidentiality of such reports is maintained. This will normally involve the report having the personal attention of the designated officer. 4.3 If a disclosure report is made which alleges wrongdoing by the Depute Chief Executive or Chief Officer that report should be made directly to the Chief Executive. 4.4 Once a report has been submitted the appropriate officer will advise you of the next steps and any expected timescale. This will be done within five working days. 4.5 At this stage of the process it is important that confidentiality is maintained by both parties where that is required to ensure that the matter can be dealt with in the appropriate way, avoid prejudice and protect individual rights. 4.6 The report will then be considered and a decision taken as to whether, and in what way, the matter should proceed. 4.7 Should the appropriate officer decide not to take any action you will be notified and given the reason(s) for this decision. Page 149 of 166
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Whistleblowing 7 4.8 If the appropriate officer decides that further action is required on the basis of your report, then you will be notified of the decision, subject to the appropriate investigation and the likely timescale, if possible, to do so. 4.9 Once the matter has been concluded and the appropriate action taken in response to your report, you will be notified of the outcome. However, sometimes the need for confidentiality may prevent the Council from giving you specific details or any disciplinary action taken as a result. You should treat any information about the investigation as confidential. 4.10 Under the terms of this procedure, you may seek a progress update from the appropriate officer regarding the status of your report, although it has to be understood that the response may have to be qualified in order to protect other interests. 4.11 While the Council cannot guarantee the outcome you are seeking, the Council will try to deal with your concern fairly and in an appropriate way. By using this procedure, you can help the Council achieve this. 4.12 If you are not satisfied with the way your report has been dealt with, you can raise this with the Chief Executive. 5. Safeguards 5.1 Under the terms of this procedure, any employee making a Public Interest Disclosure report is safeguarded against any detriment in the course of their employment, provided that the report is made in the reasonable belief that it is in the public interest. 5.2 For the purpose of this procedure, detriment is defined as any act or omission that penalises the employee for submitting the report. For example, dismissal, harassment, victimisation or any other form of punitive sanction which would not have arisen were it not for the report having been made are prohibited under the terms of this procedure. If you believe that you have been subjected to a detriment, you should immediately report that to the officer who received your disclosure report. If the matter is not remedied, you should raise it formally through the Council’s Dignity at Work procedure. 5.3 An employee must not threaten or retaliate against another employee making a Public Interest Disclosure Report. Any employee involved in such conduct, may be subject to the Councils’ disciplinary procedure. In addition, if an employee is subjected to such detriment by another employee then that other employee could be personally liable. 6. Wrong Reports 6.1 There may be instances when a report is submitted, based on a genuine belief by the employee that something is wrong at a particular time, which is subsequently demonstrated to be false or inaccurate. In such circumstances, employees will be informed of the discrepancy between their report and the facts at hand. Provided that the Council is satisfied that the employee acted in good faith and had a genuine belief that such a situation should be reported and no personal gain was involved, no further action will be taken against the reporting employee. Page 150 of 166
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Whistleblowing 8 6.2 If an employee has deliberately submitted a report that they know to be not true or unfounded or with a view to personal gain then they may be subject to the Council’s disciplinary procedure. 7. Reporting Outwith the Council 7.1 The aim of this procedure is to provide an internal mechanism for reporting, investigating and remedying any wrongdoing in the workplace. In most cases you should not find it necessary to alert anyone externally. 7.2 The law recognises that in some circumstances it may be appropriate for you to report your concerns to an external body such as a regulator. It will very rarely if ever be appropriate to alert the media. You are strongly encouraged to seek advice before reporting a concern to anyone external. Protect’s confidential helpline is available for this. In addition, Protect has a list of prescribed regulators for reporting certain types of concern. 7.3 Whistleblowing concerns usually relate to the conduct of our staff, but they may sometimes relate to the actions of a third party, such as a supplier or service provider. In some circumstances the law will protect you if you raise the matter with the third party directly. However, you are encouraged to report such concerns internally first. You should contact one of the other key contacts set out in paragraph 2.3 for guidance. 7.4 Employees within Health and Social Care can access the National Whistleblowing Standards in relation to NHS Services. Further information can be obtained from the Chief Accountable Officer or accessed here. Page 151 of 166
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Whistleblowing 9 ANNEX 1 CHIEF OFFICERS TO WHOM PUBLIC INTEREST DISCLOSURES MAY BE REPORTED – WHISTLEBLOWING PROCEDURE 1. Chief Executive’s Service Des Murray Chief Executive 2. Enterprise and Communities Service Andrew McPherson Depute Chief Executive 3. Education and Families Service Gerard McLaughlin Chief Officer (Education – North) 4. Adult Health and Social Care Services Ross McGuffie Chief Officer (Health and Social Care) Page 152 of 166
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North Lanarkshire Council Report Policy and Strategy Committee Does this report require to be approved? ☒ Yes ☐ No Ref AA/ Date 06/06/24 Code of Conduct for Chief Officers From Archie Aitken, Chief Officer (Legal & Democratic) Email aitkena@northlan.gov.uk Telephone 07939 280 102 Executive Summary This report seeks approval of the updated and revised Code of Conduct for Chief Officers (“the Code”). Recommendations It is recommended that the Policy and Strategy Committee: (1) Approves the revised Code of Conduct for Chief Officers. The Plan for North Lanarkshire Priority Enhance participation, capacity, and empowerment across our communities Ambition statement (24) Review and design services around people, communities, and shared resources Programme of Work Statutory/corporate/service requirement Item 11 Page 153 of 166
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1. Background 1.1 The Code of Conduct for Chief Officers, attached as an appendix to this report provides a framework within which the Chief Officers of the Council are expected to undertake their duties and responsibilities in a manner which meets the required standards for good governance. 2. Report 2.1 Recognising that most enquiries received from MPs and MSPs relate to more complex matters which, in some cases, have been escalated from elsewhere, it is proposed that written responses to such enquiries be made within a period of no more than 20 working days. 2.2 Accordingly, it is proposed that the following sentence be added at the end of paragraph 7.5 of the Code:- “Notwithstanding the general rule set out in paragraph 7.3 above, written responses to all MP and MSP enquiries must be provided no later than 20 working days from the date of receipt of the enquiry.” For ease of reference, this has been added in bold to the appendix. 3. Measures of success 3.1 Implementation of the revised Code of Conduct for Chief Officers will assist the Council in meeting the high standards of good governance. 4. Supporting documentation Appendix – Code of Conduct for Chief Officers. Archie Aitken Chief Officer (Legal & Democratic) Page 154 of 166
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5. Impacts ( http://connect/report-template-guidance ) 5.1 Public Sector Equality Duty and Fairer Scotland Duty Does the report contain information that has an impact as a result of the Public Sector Equality Duty and/or Fairer Scotland Duty? Yes ☐ No ☒ If Yes, please provide a brief summary of the impact? If Yes, has an assessment been carried out and published on the council’s website? https://www.northlanarkshire.gov.uk/your-community/equalities/equality- and-fairer-scotland-duty-impact-assessments Yes ☐ No ☐ 5.2 Financial impact Does the report contain any financial impacts? Yes ☐ No ☒ If Yes, have all relevant financial impacts have been discussed and agreed with Finance? Yes ☐ No ☐ If Yes, please provide a brief summary of the impact? 5.3 HR policy impact Does the report contain any HR policy or procedure impacts? Yes ☐ No ☒ If Yes, have all relevant HR impacts have been discussed and agreed with People Resources? Yes ☐ No ☐ If Yes, please provide a brief summary of the impact? 5.4 Legal impact Does the report contain any legal impacts (such as general legal matters, statutory considerations (including employment law considerations), or new legislation)? Yes ☐ No ☒ If Yes, have all relevant legal impacts have been discussed and agreed with Legal and Democratic? Yes ☐ No ☐ If Yes, please provide a brief summary of the impact? 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 ☐ Page 155 of 166
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5.6 Technology / Digital impact Does the report contain information that has an impact on either technology, digital transformation, service redesign / business change processes, data management, or connectivity / broadband / Wi-Fi? Yes ☐ No ☒ If Yes, please provide a brief summary of the impact? Where the impact identifies a requirement for significant technology change, has an assessment been carried out (or scheduled) by the Enterprise Architecture Governance Group (EAGG)? Yes ☐ No ☐ 5.7 Environmental / Carbon impact Does the report / project / practice contain information that has an impact on any environmental or carbon matters? Yes ☐ No ☒ If Yes, please provide a brief summary of the impact? 5.8 Communications impact Does the report contain any information that has an impact on the council’s communications activities? Yes ☐ No ☒ If Yes, please provide a brief summary of the impact? 5.9 Risk impact Is there a risk impact? Yes ☐ No ☒ If Yes, please provide a brief summary of the key risks and potential impacts, highlighting where the risk(s) are assessed and recorded (e.g. Corporate or Service or Project Risk Registers), and how they are managed? 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. Page 156 of 166
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1 Appendix NORTH LANARKSHIRE COUNCIL CODE OF CONDUCT FOR CHIEF OFFICERS Introduction The provisions of this Code apply to all Chief Officers of the Council, including the Chief Executive, Depute Chief Executive and Chief Accountable Officer. As Chief Officers of the Council you are already subject to certain rules and obligations such as those defined by law or prescribed in your Conditions of Employment, the Council's Standing Orders, Financial Regulations and Contract Standing Orders. You may also be subject to certain obligations of a professional organisation to which you belong as a necessary or appropriate part of your employment. This Code is not intended in any way as a substitute for such rules or obligations but rather to supplement them. The Code is prescribed for the purposes of guidance but should not be departed from without good reason, which you may be called upon to justify. In particular any breach of this Code may be taken into account in any disciplinary or other proceedings or in any mechanism by which your performance as a Chief Officer may be assessed for any purpose. Although this Code is designed primarily for Chief Officers, there is an expectation that those officers who regularly attend meetings of the Business and Corporate Management Teams will also comply with it. 1. Corporate Working 1.1 All Chief Officers are expected to work together in the best interests of the Council. This means that Services should not be seen as independent, autonomous organisations. While a Chief Officer will have an operational responsibility for the management of their Service, the work and role of the Service must be set within the corporate context of the Council's objectives and policies. 1.2 The principal strategic focus for corporate working is The Plan for North Lanarkshire. Corporate management is concerned primarily with issues of strategic importance. All major policy issues will therefore require to be reviewed from a corporate standpoint to allow an assessment to be made of their strategic significance. 1.3 In the interests of corporate working all major policy issues or projects and matters requiring corporate attention must be brought to the attention of the Chief Executive at the earliest possible opportunity for his consideration and any advice as to how such issues should be dealt with. Chief Officers should not attempt to put strategic policy issues through the Committee system by direct approach to a Committee Convener or a Member Level Forum before such issues have been brought to the attention of the Chief Executive and consideration given as to the appropriate approach to the matter. 1.4 The principal operational focus for corporate working by Chief Officers is the Corporate Management and Business Management Teams at which any inter-Service difficulties should be aired and potential issues anticipated. Attendance at these meetings, as Page 157 of 166
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2 required, must be regarded as being as important as attendance at Council or Committee meetings. Except as authorised by the Chief Executive, Chief Officers must attend these meetings, as required, other than due to illness, leave or other approved absence, in which cases a member of the Service Senior Management Team will attend in the absence of the Chief Officer. 1.5 All Chief Officers are also expected to participate fully in the community planning process under the North Lanarkshire Partnership Strategic Leadership Board and its supporting community planning structures. 2. Relationships with Councillors 2.1 Councillors should be afforded the respect of their office. They should be addressed as Provost, Convener, Chair or Councillor as appropriate although it is accepted that on a one-to-one basis in private other forms of address may be used depending on how long and how well the Chief Officer and Councillor have known each other. It is the responsibility of all Chief Officers to convey the concept of respect for the elected office of Councillor among Council staff. 2.2 Mutual respect between Councillors and Officers is essential to the proper conduct of the Council. Close personal familiarity between individual Chief Officers and Councillors can damage both this relationship and the belief that Chief Officers give objective and professional advice and commitment to the Council. 3. Relationships with Committee Conveners 3.1 Chief Officers are responsible for the management of Services and the provision of professional advice to the Chief Executive and to the whole Council. Formal advice is normally given at committee and is most often in written report form. 3.2 Committee Conveners are responsible for chairing committees and act as Council spokespersons for particular Services. They will normally be members of the Council Administration and will be seeking to ensure that Chief Officers are taking account of the political priorities of the Administration, often expressed as manifesto commitments, and considering any controversial issues before they become public. They have to report back to their political group and will often recommend ideas to the group, and group proposals to Chief Officers. In this respect it is important to ensure that a Convener is properly briefed on subjects or issues concerning which they may be asked to speak, whether to their political group, a section of the media or, most importantly, a Committee or the Council. 3.3 Chief Officers must not take instructions from Conveners, as their instructions come from the Council as a whole and from the Chief Executive. Chief Officers should keep Conveners appraised of matters of significance likely to affect their Service or the functions of their Service Committee, from impending legislation through to local concerns being raised by local groups, MPs or MSPs. From time to time a Convener may request a background note or policy options paper. These should be seen as extensions of the normal briefing provided to Conveners and assistance given for that purpose, although care should be taken to ensure that Service resources are not committed to an undue extent in the preparation of such documents. 3.4 The relationship between a Chief Officer and Convener is one which develops with time and should be based on mutual respect and understanding of the roles and Page 158 of 166
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3 contributions of each to the work of the Council. Differences of view will occur, but this is only to be expected from time to time. If differences are regular and persistent, the Chief Officer should consult the Chief Executive. 3.5 The Chief Executive should be advised when Conveners are seeking inter-Service meetings with other Conveners and their Chief Officers, in case any policy or management difficulties are being encountered, and to ensure the Leader of the Council is made aware of any new initiatives or issues. 4. Attendance at Political Party Group Meetings 4.1 Taking account of the guidance contained in the Protocol for Relations between Councillors and Employees in Annex A to the Councillors’ Code of Conduct it can sometimes be of benefit for a Chief Officer to attend meetings of political groups to give advice on a particular issue, but these occasions should be seen as the exception rather than the rule. Requests for such attendance should be made to the Chief Executive by the appropriate political group Leader or Secretary/Business Manager. 4.2 Officers may attend meetings of political groups to give background or briefing information on committee items or matters of current concern but may only do so when such attendance has been sanctioned by the Chief Executive. The Chief Executive may decide that attendance is inappropriate or that attendance by himself, the Depute Chief Executive and/or a Chief Officer is appropriate and may request that a Chief Officer attend such a meeting. Following the agreement of the Chief Executive, a Chief Officer may decline a request from a political group to attend in person or may request that an appropriate member of staff attend. 4.3 In keeping with the concept that professional advice from Chief Officers should be available to all political parties represented on the Council, the Chief Executive will keep a record of all requests for the attendance of Officers at political group meetings and the outcome of such requests and such records will be available for inspection by the Secretary/Business Manager of the political groups. 5. Public or Professional Meetings 5.1 Unless carrying out a general or specific instruction from the Council or the Chief Executive, Chief Officers should not accept invitations to address Community Councils, Tenants' Associations or other forms of public meetings without first advising the Convener responsible. Where the subject matter is particular to an individual area or Ward it would also be appropriate to advise the local Ward Members. 5.2 Where the invitation concerns addressing a meeting of professional officers or similar gathering concerned with your professional duty, such activities will generally be encouraged. 6. Statements to the Media 6.1 Where Council procedures so require, all statements to the media must be made by an officer designated for this purpose or by way of the Council's Chief Officer responsible for media relations. In other respects it is the responsibility of each Chief Officer to ensure that Council policy and procedures for dealing with the media are complied with. Page 159 of 166
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4 6.2 Chief Officers should not agree to appear on the broadcast media such as television programmes without first notifying the Chief Officer (Strategic Communication and Engagement). 6.3 Any questions of controversy or which involve departure from Council policy should be the subject of consultation with the Chief Executive prior to any comment to the media being made. 6.4 In all cases where Council procedures so require, reference should be made to the Chief Officer (Strategic Communication and Engagement) who may advise on lines of approach or comment. 6.5 It is the responsibility of each Chief Officer to identify whether any potential legal issue may be involved in comment to the media and to seek advice from the Chief Officer (Legal & Democratic) as appropriate. 7. Written Communications 7.1 Written communications, whether to Councillors, other Officers or to organisations or individuals having business with the Council, represent the most important means of communication. If a person writes to a Service or the Council they should receive a prompt, courteous and coherent reply. It is impossible to satisfy all senders of correspondence, but Chief Officers should make themselves and their staff aware of the importance of written communication. 7.2 Chief Officers are responsible for ensuring that incoming mail addressed to the Service is examined at an appropriate level and that they are familiar with significant issues being raised in correspondence. Correspondence should be addressed to Chief Officers who are responsible for ensuring that there are adequate arrangements for mail to be satisfactorily dealt with. Staff should be made aware of the fact that all mail is to be examined so that they can ensure that no personal or private mail is addressed to them at their work place. 7.3 As a general rule, if it is not possible to provide a full response to a written enquiry within two weeks, arrangements must be made to ensure that at least an interim response is made. In the case of written enquiries by Councillors a response should be provided within five working days, and reference is made to the “Procedure for Dealing with Enquiries from Elected Members” which is appended to this Code. If a request by a Councillor would result in significant Council resources being used for the purposes of complying with the request, the request should be discussed with the Chief Executive. 7.4 Chief Officers are responsible for ensuring that outgoing mail is signed at an appropriate level within their Service, recognising that important correspondence may require their personal attention. 7.5 Correspondence to Councillors, MPs, and MSPs should be signed by a Chief Officer or a member of their senior management team, it is accepted that, because of the volume of requests, waiting list positions, etc may be supplied directly to elected members by Area Managers in the Housing Service and obviously some straight-forward requests for information would be dealt with by senior managers. However, it is important that Chief Officers are aware of correspondence received from elected members and Chief Officers should keep some convenient record of enquiries received from Councillors, MSPs and MPs. Notwithstanding the general rule set out in paragraph 7.3 above, Page 160 of 166
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5 written responses to all MP and MSP enquiries must be provided no later than 20 working days from the date of receipt of the enquiry. 7.6 The Chief Executive will normally receive correspondence from MSPs, and MPs and may ask Chief Officers for information to inform his response or to arrange for a reply to be sent on his behalf. All correspondence with MSPs, and MPs and must be copied to the Chief Executive for his information. 7.7 Most written correspondence, both within and outwith the Council, is undertaken by email, which raises issues as to the authority of staff to represent or commit the Council. Chief Officers are responsible for ensuring that staff conform to appropriate Service guidelines on the use of email, including keeping more senior officers advised and copied in, against the background of any Council-wide procedures and protocol. 8. Committee Reports and Agenda Items 8.1 All reports to Committees, Sub-Committees or similar bodies shall be in name of a Chief Officer. Such reports are understood to represent the proper professional opinion and advice of the Chief Officer of the appropriate Service. 8.2 Elected members may in Committee or Council ask for reports to be prepared but the preparation of reports shall generally be the sole province of officers. Chief Officers may submit reports on new items of business as they consider appropriate, within the context of corporate working as outlined above. 8.3 All items for inclusion on an agenda should be with Democratic Services not later than noon on the day determined in accordance with the timetable fixed by the Chief Officer (Legal & Democratic) for that purpose. 8.4 In accordance with the spirit of corporate working, the preparation of reports should take cognisance of the fact that other Services, require to be consulted on matters which affect them. Similarly, reports require to be prepared taking into account appropriate legal, financial, human resources, property, technical and other advice as required. The system of Conveners meetings is no substitute for prior consultation. 8.5 If any report criticises another Service such a report should be the subject of specific consultation between the Chief Officers concerned and the Chief Executive prior to its inclusion on any agenda. 8.6 An agenda for any Committee, Council or similar member level meeting shall be prepared by the Chief Officer (Legal & Democratic) in consultation as necessary with the Chief Officers of the appropriate Services. If the Convener so requires, this shall be discussed with the Convener of the appropriate Committee at an agenda meeting. A Chief Officer will have the right to submit a report for inclusion on an agenda on an item which they feel requires a professional submission by them at that time. The Convener may instruct that an item be added to the agenda or that any item not be placed on the agenda at this time. Where a report put forward by a Chief Officer has not reached the agenda proper after a reasonable period of time, or earlier where there is considered to be some urgency, this should be taken up with the Chief Executive. No item may be removed if it was remitted or continued to the particular meeting being called or if it is an item requested to be placed on the agenda by an elected member in terms of Standing Orders. Similarly, the removal of an item from an agenda must be based on a Council decision to that effect. Subject to the above points Page 161 of 166
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6 the composition of the agenda and the addition or removal of any items shall be at the discretion of the Chief Officer (Legal & Democratic). 8.7 While Officers' reports, including recommendations, must be submitted as written to the appropriate Committee or the Council, the Convener has the right, if they wish to exercise it, to make a different recommendation to their Committee or Council Meeting. 8.8 Where for any reason there is no Convener or Vice Convener of a particular committee, a draft agenda shall still be produced at the usual time. This will be subject to consideration by the Chief Executive who will discuss it with the Chief Officer (Legal & Democratic) and such other officer as he thinks fit and give instructions to the Chief Officer (Legal & Democratic) as to any items which should or should not be placed on the agenda and any other instructions he considers appropriate. 9. Financial Regulations and Contract Standing Orders 9.1 It is the duty of a Chief Officer that at least once a year you should read the council's Financial Regulations and Contract Standing Orders and ensure that at all times staff under their supervision are aware of the detailed requirements of these orders and regulations insofar as they relate to the duties being performed. 9.2 Chief Officers are required to ensure that all senior management and all officers who are designated as authorised signatories for the approval of expenditure on any goods or services, or commitment on the part of the Council to any contractual obligations, familiarise themselves with the Financial Regulations and Contract Standing Orders within two weeks of joining the Service, and thereafter with such amendments as may be issued. 9.3 Chief Officers are further required to ensure that all those abovementioned members of staff in their Service read these documents and return an acknowledgement form to that effect when required. 9.4 Chief Officers should ensure that all goods and services are purchased in accordance with the appropriate Regulations and should source services from the appropriate part of the Council charged with the provision of such services. 10. Budgets 10.1 Chief Officers will be held accountable for expenditure on revenue and capital budgets under their control. 10.2 Chief Officers must go over their revenue and capital budgets at least once each accounting period to check progress. Significant deviations from budget must be reported in accordance with the requirements of the Financial Regulations, and appropriate conveners advised accordingly. 11. Delegated Powers 11.1 Chief Officers should ensure that they comply with the terms of any powers delegated to them and that staff under their control do likewise. Page 162 of 166
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7 11.2 Chief Officers should review from time to time the nature, scope and need for delegation. 12. Leave, Sickness or Other Absence 12.1 The Council’s scheme for notification by staff to their supervising officers of unavoidable absence from work due to sickness, and the arrangements for taking annual leave apply equally to Chief Officers, subject to the requirement that in the case of those Chief Officers who report directly to the Chief Executive the appropriate supervising Officer to whom notification of absence should be intimated and permission for leave sought is the Chief Executive, who should also be updated on any significant periods of absence. 12.2 In addition to absence arrangements due to sickness or leave, any Chief Officer who wishes to be absent from there office on business outwith the UK shall first seek the agreement of the Chief Executive. Chief Officers should also seek the agreement of the Chief Executive prior to approving attendance at conferences or business outwith the UK by any other member of their Service. 12.3 Chief Officers should not be on leave at the same time as their Senior Management Team and this cover arrangement applies also to absence from the office due to attendance at conference, courses, etc. 12.4 Chief Officers are responsible for ensuring that adequate arrangements are made for proper continuance of the work of their Service in determining arrangements for staff leave. Pre-planning of arrangements for leave requests at popular periods such as peak holiday periods and at Christmas/New Year is essential to ensure that the proper functioning of the Service is maintained. 13. Police Enquiries 13.1 Chief Officers must inform the Chief Executive immediately of any police involvement outwith routine contacts in any activity affecting your Service or involvement with any current or former member of your staff. Chief Officers must similarly advise the Chief Executive immediately of any irregularity affecting their Service which may involve the commission of any criminal act. 13.2 In terms of arrangements put in place by the Chief Constable, Police Scotland, concerning bribery, corruption, defalcation, embezzlement, and fraud reporting procedures, such reports shall be made to the Police by the Chief Executive or on his authority. Where appropriate, Chief Officers should refer to the Council’s Counter-Fraud Policy which sets out the detail how the Chief Officers should deal with any such matters including referral of relevant issues with the Chief Officer (Audit and Risk) for consideration, advice and possible internal investigation. 14. Council Decisions 14.1 Notwithstanding any arrangement whereby the Chief Officer (Legal & Democratic) advises Services of Council decisions, it is the responsibility of each Chief Officer to read Council Minutes and to take all necessary steps to implement Council decisions. 15. Safety Policies & Procedures Page 163 of 166
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8 15.1 Each Chief Officer is responsible for ensuring that the working practices in their Service conform with all legislative requirements and this requirement similarly affects sites or contracts under their control. Chief Officers must arrange for the production and review of appropriate Safety Policies and Procedures and ensure that these are brought to the attention of staff and others under their supervision. This obligation involves the undertaking of risk assessment as appropriate. 16. Confidentiality 16.1 Chief Officers will, of necessity, come across much information dealing with a wide range of material, some of which may be confidential but most of which may be of a routine nature. While ensuring at all times that the requirements of legislation such as the Freedom of Information and Access to Information regimes are complied with, it is important that information on Council business is restricted to those who have legitimate business to know it. Accordingly, care should be taken to ensure that Council business is not divulged without legitimate reason. 17. Potential Conflicts of Interest 17.1 Conflicts of Interest occur where there is a divergence between your responsibilities to the Council as a Chief Officer and your personal interests, which will also include those of family members and friends/acquaintance. These could include financial interests in respect of an individual or organisation undertaking business with the Council, the recruitment by the Council of a family member or friend/acquaintance or your engagement in employment or other work out with the Council. It is your responsibility as a Chief Officer to maintain your Register of Interests and to ensure that this is updated on at least an annual basis and, otherwise, within one month of any change occurring, and to notify the Chief Executive, in writing, of any matter arising which amounts to a conflict of interest. 17.2 Your attention is drawn to the statutory requirement that if it comes to a Chief Officer’s knowledge that a contract in which they have a pecuniary interest, whether direct or indirect, (not being a contract to which they themselves are a party) has been or is proposed to be entered into by the Council, then the Council, through the Chief Executive, must be advised of their interest immediately and in writing. In addition, the attention of Chief Officers is drawn to the statutory requirement that an Officer shall not, under colour of their office or employment, accept any fee or reward whatsoever other than their proper remuneration nor should they use their position with the Council for personal gain. 17.3 Chief Officers will not undertake any other employment or outside or private work whether for payment or reward or otherwise, except with the prior consent of the Council, which consent shall not be unreasonably withheld providing always, however, that:- (i) such consent shall not normally be given for work that is in any way associated with official duties, and (ii) Chief Officers shall not engage in work for any individual, firm or body where the Council is, or could be, involved in the transaction or other business or where the work in any way conflicts or is likely to conflict with or impinge upon the Council's interest. 17.4 If any other circumstances come to a Chief Officer’s attention whereby a conflict of interest may arise in relation to the performance of their duties with the Council it is their Page 164 of 166
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9 responsibility to notify the Chief Executive accordingly and to make appropriate arrangements to avoid that conflict of interest. 17.5 Failure to comply with these obligations, as set out above, may result in disciplinary action and/or legal action being taken if deemed appropriate. 18. Staff Recruitment, Training and Development 18.1 The principal resource of the Council is its staff. As a professional and as a manager, Chief Officers have a responsibility to ensure that the practices followed in their Service in relation to recruitment conform to statutory and Council requirements and that proper arrangements exist for training and staff development. Particular attention should be paid to Council policies, including Equality and Diversity policies. Reference is also made to the obligations set out in Section 17 above with regard to the recruitment of family members or friends/acquaintances and the duty to notify the Chief Executive accordingly. 19. Conduct and Example 19.1 Chief Officers should at all times conduct themselves in a manner befitting that post and seek to uphold the good name and reputation of North Lanarkshire Council. 19.2 Chief Officers have a particular responsibility in terms of conduct and example for their staff. Chief Officers cannot expect commitment or enthusiasm from staff unless they show, by example, proper standards of conduct and diligence. This applies across the board to issues such as loyalty to the Council, commitment to achieving Council policy (including work outwith normal office hours as required from time to time), timekeeping, appearance and leadership. 19.3 Chief Officers should treat with extreme caution any offer of gift, favour or hospitality which is made to them. It is difficult to make definitive rules about hospitality or tokens of goodwill. For example, a working lunch may be a proper way of doing business provided that no extravagance is involved. As a general guide it is safer to refuse offers except (a) isolated gifts of a trivial character or inexpensive seasonal gifts, such as a calendar, diary or other simple items of office equipment of modest value, or (b) normal hospitality directly associated with a Chief Officer’s duties and which a Chief Officer would not be embarrassed for others to be aware of. Chief Officers are personally responsible for all decisions connected with the acceptance of the offer of gifts or hospitality and for avoiding the risk of damage to public confidence in them or the Council. Each Chief Officer also has responsibility for maintaining a register of gifts and hospitality which should be updated with the relevant details of any offers which are offered and whether or not accepted by employees in their Service. Chief Officers require to advise every employee in terms of the Employee Code of Conduct, to report details of any offer of gifts or hospitality received for the purpose of the register with the exceptions of those described at (a) and (b) above. Employees should be made aware of the fact that their decisions on these issues may be subject to scrutiny and justification. Des Murray Chief Executive Revised – May 2023 Page 165 of 166
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10 Procedure for Dealing with enquiries from Elected Members 1. What is an enquiry? Enquiries can relate to a request for service or information, or they may seek clarification of circumstances for a particular situation, constituent, or ward. Enquiries can be made in person, by phone, by letter, or through email to officers across the council. 2. What to do when a service receives an enquiry Co-ordinating arrangements and recording systems differ in each service, but services should ensure each enquiry is logged on receipt. 3. Response timescales Services should ensure Elected Members receive a full response within 5 working days following receipt of the enquiry. The timescale clock starts on the first full working day after receipt, i.e. this counts as day one. If the enquiry will take more than 5 working days to investigate, the service must issue a holding response (within the initial 5 working day period). Provide an update on the status of the enquiry and the new expected response date. 4. What to do when the Chief Executive or a Chief Officer receives an enquiry If an Elected Member makes a verbal enquiry, the Executive Support will record the details on the enquiry form and forward to the relevant officer identified in the Service Directory. If an Elected Member makes an enquiry by email, the Executive Support will forward the email to the officer identified in the Service Directory and acknowledge the Elected Member’s email. Refer below: Acknowledgement Text Thank you for your enquiry regarding the above named subject. In accordance with agreed protocols, this enquiry has been forwarded to [name of relevant service]. This will ensure your enquiry is properly recorded and a formal record kept. You will receive a response to your enquiry no later than five working days from receipt of your enquiry. I have attached a copy of the protocol for your information. Your co-operation and understanding in adhering to these arrangements would be very much appreciated so that enquiries can be dealt with as efficiently as possible. Page 166 of 166