Agenda pack
North Lanarkshire Council · 8 June 2023
Back to Policy and Strategy Committee — 8 June 2023 and its agenda
Text extracted from the council's PDF. Layout and reading order may differ from the original.
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Our Ref: Your Ref: Contact: Tel: Fax: E-Mail: Date: Lesley Dysart dysartl@northlan.gov.uk 30 May 2023 Members of the Policy and Strategy Committee Chief Executive’s Office Archie Aitken Chief Officer (Legal and Democratic) Civic Centre, Windmillhill Street Motherwell ML1 1AB DX 571701, Motherwell 2 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, Motherwell, on Thursday, 8 June 2023 at 2p.m. which you are requested to attend. The agenda of business is attached. Chief Officer (Legal and Democratic) Members : Councillors: C Barclay, A Beveridge, H Brannan-McVey, A Campbell, T Carragher, K Duffy, W Goldie, J Jones, P Kelly, K Larson, J Leckie, J Logue, H Loughran, A Masterton, M McBride, L Nolan, L Roarty, G Robinson, K Stevenson, A Smith, A Stubbs, R Sullivan, and S Watson. Page 1 of 342
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AGENDA (1) Declarations of Interest in terms of the Ethical Standards in Public Life Etc. (Scotland) Act 2000 (2) Minute - Audit and Scrutiny Panel of 16 February 2023 (page 5 - 12) Submit Minute of the Meeting of the Audit and Scrutiny Panel of 16 February 2023 (copy herewith) FINANCIAL (3) 5 Year Medium Term Financial Plan 2024/25 to 2028/29 (page 13 - 28) Submit report by the Chief Officer (Finance) (1) providing an interim update on the five-year financial forecast, and (2) outlining the challenges faced by the Council in maintaining medium term financial stability, whilst achieving the strategic priorities of the Council (copy herewith) OPERATIONAL (4) Code of Conduct of Chief Officers (page 29 - 42) Submit report by the Chief Officer (Legal and Democratic) seeking approval of the updated and revised Code of Conduct for Chief Officers (copy herewith) (5) Regulation of Investigatory Powers (Scotland) Act 2000 - Update (page 43 - 76) Submit report by the Chief Officer (Legal and Democratic) (1) seeking approval of the Council's Policy and Procedure on Directed Surveillance, Use of Covert Human Intelligence Sources and Obtaining Communications Data, which has been updated to ensure continued compliance with the Council's obligations under the Regulation of Investigatory Powers (Scotland) Act 2000, and associated statutory guidance (copy herewith) (6) Strategic Commisioning Plan 2023-26 (page 77 - 218) Submit report by the Chief Officer (Performance, Planning and Quality Assurance) (1) setting out how the Integration Joint Board plans and delivers services for North Lanarkshire over the medium term, and how these arrangements are intended to achieve and contribute towards achieving the national health and wellbeing outcomes, and (2) hear Presentation in this regard (copy herewith) (7) Information Governance Policies and Guidance: Biennial Review and Update 2023 (page 219 - 286) Submit report by the Chief Officer (Business and Digital) seeking (1) to endorse the introduction of the Payment Card Industry Data Security Standard policy for inclusion in the suite of information governance policies, and (2) approval of the revised information governance policies (copy herewith) Page 3 of 342
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2 (8) Changes to Mileage Limits for Mainstream Home to School Transport - Consultation Outcome (page 287 - 312) Submit report by the Chief Officer (Education - North) seeking approval that, following conclusion of the statutory consultation, the decision made by the Council at its meeting on 23 February 2023, that mileage limits for mainstream home to school transport are changed to better reflect the legislative position, to protect other services by reducing cost from an unpredictable transport market and to encourage participation in more active, cleaner and greener travel to be implemented (copy herewith) (9) Club 365 - Review and Summer Proposal Report (2023) (page 313 - 330) Submit report by the Chief Officer (Education - North) seeking approval of the pilot to increase the ASN offer (copy herewith) (10) Early Years Sustainable Rate Submit report by the Chief Officer (Education - North) (copy to follow) CONTRACTS (11) Contract Award for Postal Services (page 331 - 336) Submit report by the Chief Officer (Strategic Communication and Engagement) seeking approval of the contract award proposals: for Lot 1- Physical Mail Services to Royal Mail Group Ltd for 2.5 years, with a contract value of £601,771.70 exclusive of VAT, and for Lot 2 - Hybrid Scheduled Bulk/Planned to Critiqom (now trading as Adare SEC) for 2.5 years with a contract value of £1,678,511.05 exclusive of VAT (copy herewith) (12) Contract Variation - Carnbroe and Sikeside Community Hub (page 337 - 342) Submit report by the Chief Officer (Asset and Procurement) informing of a variation in costs against the tender contract price incurred on contract for the construction of Carnbroe and Sikeside Community Hub (copy herewith) Page 4 of 342
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AUDIT AND SCRUTINY PANEL - 16 FEBRUARY 2023 1 16 February 2023 at 2 pm. A Meeting of the AUDIT AND SCRUTINY PANEL PRESENT Councillor Watson, Convener; Councillor Dunbar, Vice-Convener; Councillors Hume, D. Johnston, T. Johnston, Loughran, McNally, Robinson and Stevenson. CHAIR Councillor Watson (Convener) presided. IN ATTENDANCE Chief Officer (Business and Digital); Chief Officer (Audit and Risk); Chief Social Work Officer (Education, Families, Justice and Integrated Practice); Business Finance Manager (Resource Solutions); Business Partnership Manager; Strategy and Performance Manager; Business Strategy Managers; Information Risk Manager, and Democratic Services Manager. ALSO IN ATTENDANCE J. Boyd, Audit Director and P. Murray, Senior Audit Manager, Audit Scotland. APOLOGIES Councillors Fisher and Sullivan. DECLARATIONS OF INTEREST IN TERMS OF THE ETHICAL STANDARDS IN PUBLIC LIFE ETC. (SCOTLAND) ACT 2000 1. Councillor Watson, by virtue of being a Director of North Lanarkshire Properties, declared a connection in respect of paragraph 13 – POW: 075.1 – Arm’s Length External Organisations: Governance and Risk Management Oversight and Assurance Report 2022/23 – and further declared that he considered the connection so sufficiently remote that it did not preclude his participation in that item. REMIT FROM ADULT CARE AND SOCIAL WORK COMMITTEE – QUALITY ASSURANCE ANNUAL REPORT 2. There was submitted a report by the Head of Planning, Performance and Quality Assurance which had been remitted to the Audit and Scrutiny Panel by the Adult Care and Social Work Committee at its meeting held on 15 November 2022 providing an update to that Committee on the Council’s Quality Assurance Activity over the period 1 April 2021 to 31 March 2022. Decided: that the contents of the report be noted. AUDIT AND RISK-RELATED ITEMS: ACTION LOG 3. 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 Audit and Risk related items in the previous 18 months, with the action log, attached as an Appendix to the report, recording AGENDA ITEM 2 Page 5 of 342
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AUDIT AND SCRUTINY PANEL - 16 FEBRUARY 2023 2 those requests and recommendations made by the Panel when these had been addressed and/or were expected to be addressed. Decided: that the content of the report be noted. INTERNAL AUDIT PROGRESS REPORT 4. 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 Internal Audit outputs finalised since the last update to the Panel in November 2022; (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. During consideration of the report the Panel requested that a report be brought back to a future meeting regarding progress made by management regarding controls for the use of supply teachers. Decided: (1) that the findings, conclusions and recommendations of completed Internal Audit reports, together with the associated management responses, be noted; (2) that a further report be brought back to the Panel on progress made by management in respect of how the Council might address the issue relating to the re-employment of staff highlighted in the Internal Audit report “Investigation – Primary School A”; (3) that a further report be brought back to the Panel on progress made by management in respect of controls relating to the use and payment of supply teachers; (4) that Internal Audit provide a report to future meetings of the Panel reporting progress made by management in implementing the agreed management actions in relation to all audit recommendations categorised as “High” or “Medium”, and (5) that, otherwise, the contents of the report be noted. INTERNAL AUDIT: FOLLOW UP OF ACTIONS PREVIOUSLY AGREED BY MANAGEMENT IN RESPONSE TO AUDIT RECOMMENDATIONS 5. 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 in Internal Audit reports, where those actions were due to be completed by the end of December 2022; (2) advising that Internal Audit had concluded that, of the 21 outstanding Internal Audit recommendations, five had been completed and 16 partially implemented; (3) explaining that of the 12 outstanding recommendations made by External Audit, seven had been completed, four were not yet due and one was considered no longer relevant, and (4) attaching, as an Appendix to the report, commentary from management and details of proposed management actions, together with revised target dates for completion of those outstanding audit recommendations where Internal Audit had assessed the residual risk as High or Medium. Decided: (1) that the contents of the report be noted, and Page 6 of 342
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AUDIT AND SCRUTINY PANEL - 16 FEBRUARY 2023 3 (2) that the recommendations made by Internal Audit, attached as Appendix 1 to the report, be noted. AUDIT SCOTLAND – AUDIT STRATEGY LETTER 2022-23 6. There was submitted a report by the Chief Officer (Audit and Risk) providing Members with information from Audit Scotland, the Council's appointed external auditors, on the status of its 2022-23 audit planning (1) detailing that, as outlined by Audit Scotland in its letter attached at Appendix 1 to the report, Covid 19 had continued to impact on the completion of audits with ongoing extensions to statutory deadlines continuing to remain in place and that, along with the changeover in the appointed auditor, there had been an impact on the timing of Audit Scotland's work on the 2022-23 audit, and (2) indicating that Appendix 1 to the report provides an overview of key aspects arising from the audit planning process, including a timetable for key audit outputs and the finalisation of the 2022-23 audit plan, which was expected to be completed by 31 March 2023, with that document to be circulated to members of the Panel on receipt and to be tabled formally at the next Panel meeting. Thereon J. Boyd, Audit Director, Audit Scotland provided an oral summary of the letter from Audit Scotland, attached as an Appendix to the report. Decided: that the letter from Audit Scotland, together with the oral update provided at the meeting in relation to the planned audit approach by Audit Scotland to the 2022-23 audit of the Council, be noted. CHANGES TO THE CODE OF PRACTICE ON LOCAL AUTHORITY ACCOUNTING 2022/23 7. There was submitted a report by the Chief Officer (Finance) (1) explaining that the Council's Financial Statements are compiled in accordance with the Code of Practice on Local Authority Accounting in the United Kingdom, which is based on International Financial Reporting Standards (IFRS) and also the requirements of the accounting and statutory guidance of the UK Government and that, further, the Code requires appointed auditors to pay due attention to quarterly bulletins published by Audit Scotland; (2) highlighting any significant changes to the Code, or guidance in the technical bulletins, which might impact on the accounting requirements and presentation of the Council's 2022/23 Annual Accounts, and (3) indicating that the 2022/23 Unaudited Annual Accounts were due to be submitted to External Audit by 30 June 2023. Decided: (1) that the contents of the report be acknowledged, and (2) that the actions being taken to ensure that the Council submits a fully compliant set of Annual Accounts to External Audit be recognised. RISK MANAGEMENT UPDATE 8. There was submitted a report by the Chief Officer (Audit and Risk) providing an update to the Panel on key risk management developments since the most recent report in November 2022; (2) highlighting a selection of the more significant issues which are of current focus from a risk perspective, and (3) confirming that risk issues continue to be addressed in relation to a number of significant projects and programmes of work. Page 7 of 342
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AUDIT AND SCRUTINY PANEL - 16 FEBRUARY 2023 4 Decided: (1) that the current residual scores for those risks agreed for inclusion in the Corporate Risk Register for 2022/23, attached at Appendix 1 to the report, be noted; (2) that the references to other topical risk issues highlighted in the report be noted, and (3) that the work ongoing to further strengthen and embed risk management arrangements be noted. NATIONAL CARE SERVICE PROPOSALS 9. There was submitted a report by the Chief Social Work Officer (Education, Families, Justice and Integrated Practice) (1) confirming that, to mitigate risks and uncertainty, the Council operates risk management arrangements which identify, evaluate, manage and control a range of key corporate risks with all risks identified and agreed as meriting inclusion in the Corporate Risk Register being subject to regular monitoring and review by relevant senior management and periodic review/consideration of individual risks by both the Corporate Management Team and the Audit and Scrutiny Panel in line with the Council's Risk Management Strategy and their respective governance roles; (2) providing a focus on a new risk within the Council's Corporate Risk Register relating to proposals for a National Care Service as set out within the National Care Service (Scotland) Bill introduced in the Scottish Parliament on 21 June 2022; (3) providing an overview of the current risk environment as set out and assessed within the draft Deep Dive document attached as Appendix 1 to the report; (4) noting that the Deep Dive document is in development with further work required to fully analyse risk impacts and to reflect and develop mitigating actions and controls which may be exercised by the Council; (5) advising that this work will form part of the agenda for the newly created Member/Officer Group, and (6) advising that the level of uncertainty with respect both to the Bill process, alongside the scale and complexity of the reorganisation likely to arise from the proposals, is reflected in an indicative inherent and residual risk scoring of 25. Decided: (1) that the draft Deep Dive document, attached as Appendix 1 to the report, and the indicative risk scoring which reflects both the very high level of uncertainty and potential high and wide-ranging impacts for the Council associated with this risk, be noted; (2) that it be noted that this risk document remains in development and will be regularly reviewed in keeping with both the high indicative scoring and the fluid risk environment, and (3) that it be noted that core structures for the management and mitigation of this risk have been enhanced through the establishment of the National Care Service Member/Officer Group, which met for the first time in February 2023. NEW APPROACH TO AUDITING BEST VALUE 10. There was submitted a report by the Chief Officer (Business and Digital) (1) reminding the Panel of the Best Value duty which requires the Council to ensure arrangements are in place to secure continuous improvement in the performance of all functions and activities undertaken to deliver services and improve outcomes; (2) explaining that, since implementation of the duty, all local authorities in Scotland had been subject to ongoing national and local audit processes to ensure they continue to be able to demonstrate Best Value in practice; (3) indicating that, from 2022/23 onwards, a new approach to the National Audit Programme is being rolled out in line with the five-year external audit appointments and that the new approach involves more frequent arrangements that integrate the process of auditing Best Value within each individual Council's External Auditors Annual Audit Report activity; (4) informing the Panel that this means that the Council will, in effect, undergo an Page 8 of 342
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AUDIT AND SCRUTINY PANEL - 16 FEBRUARY 2023 5 annual assessment in terms of particular aspects of Best Value in order to provide the Accounts Commission with the relevant assurances in terms of the performance of the Council and the quality of services to the public.; (5) providing an overview of the new national approach to auditing Best Value, and (6) indicating that Elected Members have a key role to play to ensure that the Council continues to demonstrate Best Value and providing information to assist the Members of the Audit and Scrutiny Panel to fulfil that role. Decided: (1) that the new national approach to auditing Best Value, and the implications for the Council in this respect, be noted, and (2) that the role of the Panel, in terms of ensuring that the Council continues to secure Best Value in line with the statutory duty, be endorsed. ANNUAL SCRUTINY PROGRAMME 11. There was submitted a report by the Chief Officer (Business and Digital) (1) setting out the annual programme for the scrutiny function of the Panel; (2) outlining the process by which members of the Panel are able to submit items, functions or activities requiring scrutiny and the subsequent assessment and prioritisation mechanism, and (3) advising that a composite programme listing all scrutiny related reports is scheduled to be presented to the Panel during each cycle of 2023/24. Decided: (1) that the composite programme and reporting timetable, as set out in the report and Appendix 1 to the report, in order to establish an annual programme for the scrutiny function of the Panel be endorsed, and (2) that the role of Panel members in identifying, assessing and prioritising items for inclusion in the scrutiny work programme, in line with the updated process, be endorsed. STRATEGIC PERFORMANCE FRAMEWORK – PERFORMANCE REPORTING SCHEDULE 2023 TO 2024 12. There was submitted a report by the Chief Officer (Business and Digital) (1) explaining that the Strategic Performance Framework sets out performance measurement at three levels in order to collectively provide an overview of performance to help understand the impact of Council activities on improving services and outcomes for people and communities; (2) reiterating that from 2022/23, demonstrating Best Value moves to a more frequent annual audit assessment which will be undertaken as part of the External Auditor's existing Annual Audit Report process and that, therefore, it is important to ensure that the Council continues to be able to demonstrate Best Value and evidence this in practice, in particular through robust scrutiny and performance reporting; (3) providing an update on the performance reporting schedule initially established in 2021 setting out the service specific, statutory, corporate and strategic performance reporting arrangements for the period 2023/24, and (4) reminding the Panel that consideration of the performance reporting schedule at its meetings 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. Decided: (1) that the Panel maintain an awareness of the reports within the performance reporting schedule for 2023 to 2024 in line with the Panel’s remit, and Page 9 of 342
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AUDIT AND SCRUTINY PANEL - 16 FEBRUARY 2023 6 (2) that it be noted that the performance reporting schedule forms a key part of the scrutiny work programme that 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. Councillor Watson, prior to consideration of the following item of business, having declared a connection by virtue of being a director of North Lanarkshire Properties, had further declared that he considered the matter so sufficiently remote that it did not preclude his participation in this item. POW: 075.1 – ARM’S LENGTH EXTERNAL ORGANISATIONS: GOVERNANCE AND RISK MANAGEMENT OVERSIGHT AND ASSURANCE REPORT 2022/23 13. There was submitted a report by the Chief Officer (Business and Digital) (1) reminding the panel that a number of Council services are delivered on behalf of the Council by Arm’s Length Bodies and Partnership Agreements and that these have developed over a significant number of years; (2) confirming that, given the importance of these services and the levels of investment, it is imperative that the Council has robust oversight of governance, financial stewardship and management arrangements within each of these companies and that it can assure itself that they are all delivering services on the Council’s behalf that meet the contractual requirements, and satisfy the Council and customers’ needs and that expectations are delivered to a high standard; (3) intimating that consideration of this report by the Panel is a key element in the Council’s strategic performance framework as it provides the mechanism for Elected Members to scrutinise Arm’s Length Organisations’ effectiveness, value for money, governance and risk management arrangements, and (4) providing the six monthly overview of Arm’s Length Organisations’ governance, financial governance, risk management and service delivery arrangements. During consideration of the report, and following an oral summary of that report by the appropriate officer, the Panel requested that further information be provided to Members of the Panel in relation to contingent liabilities and unrestricted reserves. Decided: (1) that it be acknowledged that Arm’s Length External Organisation governance, performance reporting and financial monitoring arrangements are progressing satisfactorily; (2) that it be confirmed that the Performance Monitoring and Oversight arrangements are suitably robust and provide assurance that service delivery reflects Best Value; (3) that a full report on Routes to Work’s performance, as at year end 2021/22 and year to date in 2022/23, should be submitted to the Enterprise and Fair Work Committee at its meeting in May 2023, and (4) that the potential for liaison and engagement between the Council and External Organisations to explore where current labour shortage is an opportunity for employment and training and may be developed as part of the workforce for the future strategy be endorsed. CYBER SECURITY ASSESSMENT – SUPPLEMENTARY REPORT 14. There was submitted a joint report by the Chief Officer (Audit and Risk) and the Chief Officer (Business and Digital) (1) reporting that during financial year 2022/23, Internal Audit had worked alongside Business and Digital to review and assess Cyber Security practice within the Council and that the assessment (categorised as reasonable assurance) had determined that the Council had robust and effective information governance arrangements, duly recognised the risks associated with cyber security threats and operated practices commensurate with the good practice recommended by bodies such as the National Audit Office; (2) seeking to supplement Internal Audit’s findings and Page 10 of 342
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AUDIT AND SCRUTINY PANEL - 16 FEBRUARY 2023 7 recommendations through providing the Panel with additional details of cyber security activities performed by the Council; (3) noting that the Council seeks to guard against common cyber security threats and/or attacks through a range of cyber security arrangements, controls and activities; (4) highlighting that the Council endeavours to follow good practice guidelines and recommendations in terms of cyber security and that the Council’s Security and Risk Management function actively monitors how such changes in the threat landscape affect the Council’s security position and the adequacy of existing controls, and (5) reporting on the format and structure of the assessment. Decided: that the contents of the report be noted. SENIOR INFORMATION RISK OWNER (SIRO) - INFORMATION GOVERNANCE - ASSURANCE AND PERFORMANCE REPORT 2021/22 15. There was submitted a report by the Chief Officer (Business and Digital) (1) providing assurances that information risks are being effectively managed to ultimately enable the Council to comply with legislative requirements and good practice, and (2) outlining activity and performance related to information governance in respect of financial year 2021/22 and detailing improvement actions which the Data Management Team aims to progress to further improve awareness, understanding and compliance. During consideration of the report, and following an oral summary of it by the appropriate officer, the Panel requested that it receive a report to a future meeting in respect of proposals by management to ensure that mandatory training by staff is completed. The Chief Officer (Audit and Risk) advised that this matter would be included within the Audit and Scrutiny Panel action log. Decided: (1) that the activities which had been undertaken, or are underway, to enable the SIRO to provide assurances that information risks are being effectively managed be noted; (2) that the activities and next steps planned to further improve the Council’s Information Governance arrangements be noted, and (3) that a further report be provided by management outlining how the Council, more generally, monitors and ensures that staff periodically undertake all mandatory training relevant to their individual posts. PO003.2: DIGITAL NL QUANTIFYING AND REPORTING ON NON-FINANCIAL BENEFITS 16. There was submitted a report by the Chief Officer (Business and Digital) (1) explaining that the Digital NL Programme is subject to a series of audits aimed at providing levels of assurance that the overall programme is progressing against pre-determined targets, that governance is robust and that benefits are being realised; (2) reporting that, to date, the Digital NL Programme has been subject to four audits with each making a small number of recommendations with regards to suggested improvements and that, on each occasion, management within Business and Digital have viewed the outcome of such reports and the recommendations contained therein as valuable feedback for improving processes within the overall programme; (3) providing a focus on the recommendation made within the most recent Internal Audit report in November 2021 with regard to the identification, calculation, monitoring and tracking of non-financial benefits, and (4) highlighting a number of next steps to be developed in order to finalise and fully deploy the non-financial benefits element of the Benefits Tracker. Page 11 of 342
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AUDIT AND SCRUTINY PANEL - 16 FEBRUARY 2023 8 Decided: (1) that the development and implementation of a bespoke Benefits Tracker to capture financial and non-financial benefits for the Digital NL Programme be recognised; (2) that the robust process in place for capturing non-financial benefits be acknowledged; (3) that the commitment to the continued development of non-financial benefits through the deployment of the approved Year 4 Roadmap be recognised, and (4) that the next steps as outlined in the report be supported. UPDATE ON THE IMPLEMENTATION OF THE REFRESHED PROJECT MANAGEMENT FRAMEWORK 17. There was submitted a report by the Chief Officer (Business and Digital) (1) reminding the Panel of work undertaken in 2022 to review and refresh the Council's corporate project arrangements, with the review culminating in the launch of the refreshed Project Management Framework on 16 December 2022; (2) clarifying that the review of this Framework followed recommendations arising from Internal Audit reports, which both reported a reasonable assurance audit opinion but considered that further action was required for improvement in five specific areas; (3) intimating that the review and refresh exercise was also considered necessary in light of the changes in the Council's operating environment since implementation of the Model in 2018 and that these changes have led to a rapid evolution of programmes and projects across the Council, as well as increasing complexities in the delivery of many of these, and a greater need to be certain of the range of inter connections and inter dependencies across an increasing number of related areas of work; (4) narrating that this resulted in a growing need for a flexible framework that facilitates good governance and good project management in the set up and delivery of a wider range of projects at pace and scale; (5) providing a focus on two recommendations arising from the governance of Capital Projects and Managing Strategic Change audits and, specifically, providing information on reporting to all stakeholders on key projects and the arrangements for monitoring compliance with the Project Management Framework through a review programme. Decided: (1) that it be noted that information in respect of reporting to all stakeholders on key projects, and the arrangements for monitoring compliance with the Project Management Framework through a review programme, is contained within the refreshed Project Management Framework, as attached in the Appendices to the report; (2) that the work underway to establish the quality assurance process and the review programme for the Project Management Framework for implementation in 2023/24 be acknowledged; (3) that the commitment to ensuring that the programme of activity is implemented to its full and final conclusion, with ongoing monitoring and strategic oversight in place thereafter, be recognised; (4) that the Elected Member oversight role in terms of the quality assurance process and the review programme for the Project Management Framework be noted, and (5) that, otherwise, the contents of the report be noted. Page 12 of 342
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North Lanarkshire Council Report Policy and Strategy Committee Does this report require to be approved? ☒ Yes ☐ No Ref EK/KS/VR Date 08/06/23 5 Year Medium Term Financial Plan 2024/25 to 2028/29 From Elaine Kemp, Chief Officer (Finance) E-mail kempe@northlan.gov.uk Telephone 07939 280601 Executive Summary This report provides an interim update on the five-year financial forecast. It outlines the challenges faced by the Council in maintaining medium term financial stability, whilst achieving the strategic priorities of the Council. Taking the approved 2023/24 budget as the new baseline, this plan updates 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 Council envisaged position, indicates a budget gap of £108.138 million over the planning period and £63.878 million for the three-year budget period, 2024/25 to 2026/27. Reflecting the other planning scenarios, the budget gap is estimated to range between £54.426 million and £231.261 million over the five-year period, and £32.582 million and £135.763 million over three years. Financial Year Budget Gap Optimistic (£000) Budget Gap Envisaged (£000) Budget Gap Pessimistic (£000) 2024/25 20,537 30,458 54,263 2025/26 3,995 14,660 38,154 2026/27 8,050 18,760 43,346 2027/28 12,292 23,320 48,458 2028/29 9,552 20,940 47,040 Total 54,426 108,138 231,261 3 Year Gap 32,582 63,878 135,763 General Fund Table 1 AGENDA ITEM 3 Page 13 of 342
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Background 1.1. Longer term planning is integral to the Council’s Financial Strategy and the strategic approach to budgeting. The key principles and framework of the approved Revenue Resources Budget Strategy underpin the financial plan and facilitate a robust and strategic approach to financial planning. 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 and that the Programme of Work is affordable and sustainable. Elected Members require robust information to support decision making to ensure medium term financial sustainability for the Council. 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. 1.2. This plan continues to consider a range of scenarios and highlights the associated forecast budget position. Taking the 2023/24 approved budget position as the new baseline, updates to financial planning assumptions, mainly in relation to future funding and increased cost pressures arising from pay and non-pay inflation, are reflected in this plan. A range of risk-based outcomes are modelled highlighting optimistic, envisaged and pessimistic scenarios. In previous years, the two main variables with the greatest potential to impact financial plans and the Council’s ability to set a balanced budget have been the level of funding provided by the Scottish Government and pay inflation. However, with more recent material adverse impacts of non-pay inflation and rising energy costs, this plan continues to recognise the risks and volatility, to forecast the potential financial implications. Therefore, whilst the envisaged scenario remains In line with the principles of the Revenue Resources Budget Strategy, the Council will work towards finding solutions to address the potential budget gap and ensure its statutory obligation to set balanced budgets are met. As outlined at 2.29 part of the solution may include a £4.500 million saving arising from a review of the PPP affordability model, which will reduce the 2024/25 gap to £25.958m, and the five year gap to £103.638 million (£59.378 million over the three year budget period), prior to any consideration of Council Tax increases, additional savings actions or other potential solutions to manage the budget gaps. Recommendations It is recommended that the Policy Strategy Committee: (1) Acknowledges the updated Medium Term Financial Plan 2024/25 to 2028/29. (2) Acknowledges that this plan will be subject to ongoing review with an update reported to the Policy and Strategy Committee in September 2023. (3) Recognises, as per paragraph 2.31, engagement with elected members is required to ensure options to address the budget gap in each financial year are identified, to enable the Council to set a balanced budget. (4) Approves the PPP affordability review saving identified at paragraph 2.29. 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 Page 14 of 342
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the most appropriate for planning purposes, it is important to note the budget gap range, reflecting the other potential scenarios the Council may face. The envisaged, pessimistic and optimistic scenarios are shown in Appendices 1, 2 and 3, respectively, demonstrating the volatility and the extent of the fluctuation possible over the period of this plan. 1.3. The 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 identified a flat lining of resource funding for Local Government at 2022/23 levels, over the next three financial years, with a small increase forecast in 2026/27. However, the 2023/24 Scottish Budget provided some additional resources for local government on top of funding for additional responsibilities and policy commitments. This plan continues to assume a flat lining of funding resource, as indicated in Scottish Government’s Resource Spending Review 2022. It is, however, anticipated that an updated Resources Spending Review will be published in May 2023. 1.4. In addition, the Scottish Government’s commitment to establishing a National Care Service has resulted in further financial uncertainty in respect of Adult Social Care services and local government as a whole. Continuing the approach taken in 2023/24, it has been agreed through collaborative working that financial pressures facing adult social care services provided to the IJB will be managed by the IJB through use of reserves or implementation of savings where necessary. Therefore, the Council’s MTFP continues to exclude any potential future financial impacts of providing Adult Social Care Services in the overall Council financial planning position. Members should, however, note that finance teams across both the Council and IJB will continue to work closely to monitor this position. 1.5 It is considered that a five year medium term plan remains reasonable and appropriate for financial planning purposes. 1. Report 2.1 The previous MTFP approved by this Committee in September 2022 indicated a three year gap for the period 2024/25 to 2026/27 of £53.800 million (2024/25, £20.620 million, 2025/26 £16.300 million and 2026/27 £16.880 million). This plan is updated for the approved 2023/24 budget decisions along with other relevant key changes, 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 2024/25 to 2026/27. 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 contained within sections 3 and 4 below, with a summary of the movements since the previous plan provided at Appendix 4. 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 UK Autumn Statement 2022 was published in November 2022 when inflation had recached its highest level since 1981, the statement announced £1.5bn of additional funding for Page 15 of 342
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the Scottish Budget. However, the Spring Statement in March 2023 provided an update on the economy, OBR forecasts and progress since the Autumn budget, highlighting an overall expected fall in inflation over the medium term. The next spending review is anticipated in the Autumn. Therefore, it should be noted that there is the potential for adjustments to both UK and Scottish Government budgets, potentially impacting this plan. 2.4 As outlined in 1.3 above, whilst the Scottish Government’s Resources Spending Review indicates flat cash settlements for Local Government for 2024/25 and 2025/26, with a minor increase in 2026/27, there is insufficient detail to give clarity and certainty over funding at individual Council level and whether this funding will come with additional spending commitments. In addition, other variables and uncertainties may impact on this position including the Scottish Government’s commitment to support priority areas such as health, care, education and children, with the potential to impact on funding levels for Local Government. Aggregate External Finance (AEF) 2.5 The Council’s revenue funding consists largely of government funding, Aggregate External Finance (AEF), which equates to approximately 81% of the total funding, and is made up of General Revenue Grant, Specific Grant and Non Domestic Rates Income, based on the Scottish Government’s assessment of overall spending needs. 2.6 As previously noted, estimating future years’ funding with any degree of certainty is challenging, and a slight variation on funding level can have a significant impact on the Council’s forecast financial position (1% equates to c. £8.000 million). 2.7 All three scenarios have been re-baselined to reflect the 2023/24 AEF as reported in the approved 2023/24 budget. The envisaged scenario assumes no movement in the re-baselined 2023/24 core grant for the duration of this plan i.e. flat cash, as indicated in the Scottish Government’s Resource Spending Review. The optimistic and pessimistic scenarios have been flexed to 1% increase/decrease respectively. Council Tax 2.8 Income from Council Tax accounts for around 17% 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. 2.9 In setting the 2023/24 budget, the Council approved a 5% increase increasing a Band D charge to £1,320.78. 2.10 This plan continues to reflect increased Council Tax income from growth in the number of households. However, it should be noted the Community Investment Fund is made up of funding from ring-fencing future growth in Council Tax income 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 £9.110 million of additional resources over the five year planning period and £5.310 million over the 3 year budget period. Further increases in Council Tax rates will be a decision for Elected Members and will be considered as part of the budget setting process. Sales, Fees and Charges Page 16 of 342
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2.11 One of the key principles of the Revenue Resources Budget Strategy is that future charging models for services will 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 sales, fees and charges of £0.500 million in 2024/25, uplifted by 3% each subsequent year. The optimistic and pessimistic scenarios assume a slightly adjusted base for 2024/25 of £0.750 million in 2024/25 and £0.250 million, respectively. 2.12 As previously advised a Sales, Fees and Charges policy is under development to assist in setting appropriate charges for services provided. This policy will be informed by a review by Services to analyse discretionary fees and charges and the extent to which full cost recovery is being achieved. The output of this review will be reported to the next meeting of this Committee, together with a recommended policy in respect of future fee uplifts and will inform income generation forecasts to be reflected in future iterations of this plan. Use of Reserves / Resources 2.13 The Revenue Resources Budget Strategy allows for prudent and controlled use of balances, with the Change Management Fund supporting the one-off costs of approved budget savings. In recent years, and in line with the Reserves Policy, Council has utilised one-off resources to support multi-year budgeting as well as allowing time to develop and implement savings over time, or to resource one-off service enhancements. This plan recognises the reversal of the 2023/24 one-off use of reserves of £10.700 million in 2024/25, which was approved to manage the forecast energy burden, due to the real uncertainty in respect of the recurring cost to the Council. Further details in respect of this are provided in 2.17 and 2.24 below. Forecast Expenditure Requirements Employee Cost Pressures 2.14 Employee costs remain the largest single element of the General Fund budget, accounting for around 54% of General Fund budgeted expenditure in 2023/24. 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 relating to recent and ongoing pay awards, as well forecast future employee cost pressures is outlined below. 2.14.1 Pay Award – Single Status The 2022/23 pay award for non-teaching staff increased the baseline budget from 2023/24 and therefore the cost of future years’ pay. The negotiations on the 2023/24 pay award are ongoing. At this stage, the Scottish Government has committed to provide local authorities with £155.000 million in recurring funding to support the pay award for 2023/24. This plan currently assumes that the Council’s previous provision for pay awards will be sufficient to meet the cost of the 2023/24 award. However, this will be kept under review as the negotiations progress. Should there be a shortfall in funding this will be considered in the next update to the plan. 2.14.2 Pay Award – Teachers Page 17 of 342
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The negotiation for the 2022/23 teachers’ pay resulted in a 28 month deal, to the 31 July 2024, with the pay year moving to an academic year thereafter. The pay agreement is fully funded through a combination of Council resources and additional Scottish Government funding. The impact of adjusting the baseline to reflect this settlement has increased the forecast cost of pay awards in future years. However, as a result of the change to an academic year, there is a one- off reduction in the cost to the Council in financial year 2024/25, as the cost for the period 1 April to 31 July 2024 is already met from the previous award and funding package. 2.14.3 Pay Award – Future Years Summary For the period of this plan, future pay awards are based on the Scottish Fiscal Commission’s forecast average earnings increases, as at December 2022. This is deemed to reflect the element of pay expected to be funded by the Council. Reflecting these forecasts uplifts and the impact of re-baselining, a total of £11.500 million pay award provision is estimated for 2024/25. Total provision over the next 3 years is anticipated to be £38.300 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 £9.200 million to £23.000 million in 2024/25 or between £30.300 million and £79.700 million over the next 3 years. Pay award assumptions will remain under review as negotiations continue, and financial outlooks will be updated, as appropriate. Non Pay Inflationary Pressures 2.15 Historically a non-pay inflationary uplift has generally only been provided where it was deemed material and contractual in nature, based on forecast relevant inflationary indices. This continues to be the case in this update to the MTFP. However, it was previously acknowledged that the challenging financial economic climate, with high inflation and significant increases in energy costs, would result in Services being unable to manage within budgets for which no inflationary uplift was provided. Therefore, additional budgetary provision of £8.127 million has been provided to Services to reflect inflationary pressures anticipated during 2023/24, along with the £5.885 million in-year contract inflationary provision. 2.16 As a result of the above, this five year forecast is based on a higher baseline position, with the projections for this planning period based on most recent forecasts by the OBR and Bank of England (BoE), which show inflation levels falling significantly over the five years. Therefore, this plan provides for contract inflationary pressures of £1.390 million in 2024/25 and £11.200 million in total over the period of the plan. 2.17 As previously reported the significant rise in energy costs has resulted in increased cost pressures for the Council. Committee will recall a further provision of £10.700 million was provided for 2023/24 in the previous MTFP. However, the budget report to the Council on 23 February recognised the real uncertainty in respect of the recurring cost to the Council. Therefore, it was agreed to use one-off balances to manage this position in 2023/24, but there was an assumption a recurring budgetary provision would be required from 2024/25 onwards. Following further analysis of costs and consumption it is deemed reasonable to assume this additional burden is indeed recurring. In addition, projections indicate there are further upward pressures on energy budgets into 2024/25 and beyond. This plan, therefore, provides for additional costs of £2.300 Page 18 of 342
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million in 2024/25. The budgetary requirements for future years will be kept under review with an update provided in future MTFP updates. 2.18 Other inflationary pressures in respect of non-domestic rates increases from 2024/25 onwards have also been reflected totalling £1.670 million across the five years. Other Cost Pressures 2.19 Other cost pressures totalling £8.370 million over the five years are also provided for in this plan. This predominantly relates to previously reported burdens within Education, Children & Families, which are subject to ongoing review. Also included are anticipated increased costs of the Council Tax Reduction Scheme. Other Commitments 2.20 There is provision for loan debt costs in relation to the Community Investment Programme, including City Deal, which equates to £2.490 million in year 1 of the plan and £14.850 million across the planning period. 2.21 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 2024/25, mainly as a result of previously approved non-recurring loan debt re-profiling savings and increased interest rate costs. However, the plan also recognises the uncertainty in forecasting precisely when the budget will be required due to a number of factors, including the spend profile of the capital programme. Therefore, the plan smooths the overall increased budgetary requirement over a longer period. As a result, there may be a requirement to draw on unallocated balances in the event that there is insufficient budget in any one year of the plan. An earmarked reserve will be established for this purpose as part of the 2023/24 year-end closedown. Thus, an additional recurring £1.000 million has been provided for in 2024/25 and a total of £8.700 million over the planning period. Updated Medium Term Financial Forecast Approved Savings / Advance Action 2.22 In line with the Revenue Resources Budget Strategy and the commitment 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 £0.472 million for 2024/25 and £0.210 million for 2025/26. 2.23 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 2.24 Members will recall the approved budget set in February 2023 agreed savings of £7.614 million, with £0.639 million to be achieved in 2023/24, and £3.575 million and £3.400 million to be delivered in 2024/25 and 2025/26 respectively. The timing and delivery of the savings required one-off use of balances of £10.375 million across 2023/24 and 2024/25, which is recognised in this plan. Page 19 of 342
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2.25 The Council’s unallocated balances will continue to be closely monitored and may be made available to support and manage unresolved budget gaps in this five-year planning period, in line with the Council’s Reserves Policy. The call on these balances is unknown at this time and will be given due consideration as part of the ongoing budget process. Summary – Medium Term Financial Forecasts 2.26 The envisaged scenario indicates a budget gap of £108.138 million over the five year planning period and £63.878 million for the three year budget period 2024/25 to 2026/27. Further details are contained within Appendix 1. Appendices 2 and 3, summarise the forecast pessimistic and optimistic scenarios indicating the gap could range between £54.426 million and £231.261 million, over the five years. 2.27 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 2.28 The Accounting for Service Concessions report to the Council on 23 February 2023 sought agreement to change the accounting methodology in respect of existing service concessions (PPP arrangements), which resulted in a budget saving of £4.000 million. However, as indicated in the report, this change in accounting methodology does not represent a saving over the life of the asset. The total charges to the general fund revenue over the asset lives remain unchanged, which means the Council will have to ensure there is adequate budgetary provision in the future to meet all costs. Thus, requiring consideration as part of the Council’s future financial plans. Hence the report advised that detailed modelling was required to forecast future costs and funding to assess the affordability and sustainability of the saving. 2.29 The review of the PPP financial model has been undertaken to demonstrate affordability and sustainability. The updated model also reflects the future changes previously highlighted in respect of implementing the new accounting standard, IFRS16, which the Council currently plans to adopt in 2024/2025. The review confirms the robustness of the model and the funding in place to meet the future financial obligations of these establishments. As anticipated, there is a short to medium term financial benefit arising from implementing IFRS16. Therefore, it is reasonable to assume a saving of £4.500 million for the five years of this plan. Thereafter, additional budgetary provision will have to be incorporated into future MTFPs or through additional one-off earmarked reserve provision, to reflect the fact that both the £4.000 million previously approved saving and the further £4.500 million proposed are not recurring. 2.30 The £4.500 million saving described above would reduce the 2024/25 gap to £25.958m, and the five year gap to £103.638 million, prior to any consideration of Council Tax increases, additional savings actions or other potential solutions to manage the budget gaps. 2.31 In line with the principles of the Revenue Resources Budget Strategy, 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. The newly formed Financial Planning Advisory Group, with cross party membership, will give full consideration to this position. Members decisions will also be informed by the results of engagement with Community Boards. Page 20 of 342
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Risks and Uncertainties 2.32 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, volatility in assumed inflationary uplifts including those in relation to 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. 2.33 Other current notable risks previously reported include; 2.33.1 Ash tree dieback linked to a disease which could cause significant damage to the UK’s ash population. As has been previously reported to Committee, there may be a significant financial cost to managing the diseased species, including identifying ash trees, assessing their condition and where necessary removal of trees and a programme of replanting. The Council has engaged a contractor to build a proposed action plan to manage the position, which will include an estimate of the financial implications. It is anticipated that an update will be reported to the Environment and Climate Change Committee in August. 2.33.2 Committee should also be aware that the Scottish Government has delayed the review of Capital Accounting arrangements and statutory mitigations in respect of such. Statutory interventions override the CIPFA Code of Practice for Local Authority Accounting, and the Scottish Government has decided to review them to make sure they remain fit for purpose. The independent review will build upon the work taken forward by Directors of Finance in March 2022 but will also consider the statutory framework for capital accounting. There is growing concern among Directors of Finance that the aim is to remove the statutory mitigations, leaving councils exposed to the financial consequences on revenue budgets and ultimately potentially impacting on capital investment programmes or create volatility which would have implications for Council Taxpayers. Should any such changes be proposed, indications are that these will be applied going forward with transition arrangements put in place. The review will now commence in September 2023 for conclusion in April 2025. This should give much needed certainty for local authorities, as we manage the already significant challenging forecast budget gaps. Community Empowerment (Scotland) Act 2015 2.34 This Act 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. In line with previous financial years the Council will engage in a budget consultation exercise. The outcome of the consultation will inform members’ decisions around the solutions to ensure the Council meets its statutory requirement to set a balanced budget. Page 21 of 342
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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 2024/25 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 Elaine Kemp Chief Officer (Finance) Page 22 of 342
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5. Impacts ( http://connect/report-template-guidance ) 5.1 Public Sector Equality Duty and Fairer Scotland Duty Does the report contain information that has an impact as a result of the Public Sector Equality Duty and/or Fairer Scotland Duty? Yes ☐ No ☒ If Yes, please provide a brief summary of the impact? If Yes, has an assessment been carried out and published on the council’s website? https://www.northlanarkshire.gov.uk/your-community/equalities/equality-and-fairer- scotland-duty-impact-assessments Yes ☐ No ☐ 5.2 Financial impact Does the report contain any financial impacts? Yes ☐ No ☒ If Yes, have all relevant financial impacts have been discussed and agreed with Financial Solutions? Yes ☐ No ☐ If Yes, please provide a brief summary of the impact? 5.3 HR policy impact Does the report contain any HR policy or procedure impacts? Yes ☐ No ☒ If Yes, have all relevant HR impacts have been discussed and agreed with People and Organisational Development? Yes ☐ No ☐ If Yes, please provide a brief summary of the impact? 5.4 Legal impact Does the report contain any legal impacts (such as general legal matters, statutory considerations (including employment law considerations), or new legislation)? Yes ☐ No ☒ If Yes, have all relevant legal impacts have been discussed and agreed with Legal and Democratic Solutions? Yes ☐ No ☐ If Yes, please provide a brief summary of the impact? 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 23 of 342
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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 technology, has an assessment been carried out (or scheduled) by the Enterprise Architecture Governance Group (EAGG)? Yes ☐ No ☐ 5.7 Environmental / Carbon impact Does the report / project / practice contain information that has an impact on any environmental or carbon matters? Yes ☐ No ☒ If Yes, please provide a brief summary of the impact? 5.8 Communications impact Does the report contain any information that has an impact on the council’s communications activities? Yes ☐ No ☒ If Yes, please provide a brief summary of the impact? 5.9 Risk impact Is there a risk impact? Yes ☐ No ☒ If Yes, please provide a brief summary of the key risks and potential impacts, highlighting where the risk(s) are assessed and recorded (e.g. Corporate or Service or Project Risk Registers), and how they are managed? Page 24 of 342
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Envisaged Scenario Appendix 1 2024/25 2025/26 2026/27 2027/28 2028/29 £000 £000 £000 £000 £000 Anticipated Cost Pressures 20,560 14,270 18,220 22,550 20,140 Pay Award 11,500 12,000 14,800 18,200 15,700 Contract Inflation 1,390 1,150 2,250 3,160 3,250 Energy Costs 2,300 0 0 0 0 NDR Costs 260 330 360 360 360 Other Cost Pressures 5,110 790 810 830 830 Other Commitments 3,490 4,590 4,790 5,290 5,390 Community Investment Fund inc. City Deal 2,490 2,790 2,990 3,290 3,290 Loan charges reprofiling 1,000 1,800 1,800 2,000 2,100 Total Cost Pressures 24,050 18,860 23,010 27,840 25,530 Less: Resource Forecasts (6,880) 3,990 4,251 4,520 4,590 AEF adjustments - Core 0 0 0 0 0 Reversal of Use of Reserves/Resources in previous year (10,700) 0 0 0 0 1% Council Tax Increase; CIF 1,720 1,770 1,820 1,870 1,930 Net Council Tax Growth 1,600 1,700 1,900 2,100 2,100 Income Generation - Sales, Fees & Charges 500 520 530 550 560 Budget Gap before advanced action 30,930 14,870 18,759 23,320 20,941 Approved Advance Action (472) (210) 0 0 0 Approved Savings 0 0 0 0 0 Approved Base Budget Adjustments (472) (210) 0 0 0 2023/24 Approved Savings now applied (3,575) (3,400) 0 0 0 Use of Reserves for 2023/24 approved savings (3,400) 0 0 0 0 Reversal of use of reserves for 23/24 saving 6,975 3,400 0 0 0 Budget Gap after approved advanced action 30,458 14,660 18,759 23,320 20,941 3 year total (24/25 to 26/27) 63,878 Proposed Advanced Action (4,500) 0 0 0 0 Review of PPP Affordability (4,500) 0 0 0 0 Revised Budget Gap after proposed advanced action 25,958 14,660 18,759 23,320 20,941 3 year total (24/25 to 26/27) 59,378 Page 25 of 342
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Pessimistic Scenario Appendix 2 2024/25 2025/26 2026/27 2027/28 2028/29 £000 £000 £000 £000 £000 Anticipated Cost Pressures 35,830 29,550 34,640 39,650 38,230 Pay Award 23,000 26,400 30,300 35,100 33,600 Pension Costs 3,900 0 0 0 0 Contract Inflation 2,050 1,840 2,970 3,130 3,210 Energy Costs 2,300 0 0 0 0 NDR Costs 400 450 490 510 510 Other Cost Pressures 4,180 860 880 910 910 Other Commitments 3,880 4,780 4,980 5,380 5,480 Community Investment Fund inc. City Deal 2,880 2,980 3,180 3,380 3,380 Loan charges 1,000 1,800 1,800 2,000 2,100 Total Cost Pressures 39,710 34,330 39,620 45,030 43,710 Less: Resource Forecasts (15,025) (4,035) (3,726) (3,427) (3,329) AEF adjustments - Core (7,865) (7,704) (7,626) (7,558) (7,480) Reversal of Use of Reserves/Resources in previous year (10,700) 0 0 0 0 1% Council Tax Increase; CIF 1,690 1,710 1,730 1,750 1,770 Net Council Tax Growth inc. rebaselining adj in year 1 1,600 1,700 1,900 2,100 2,100 Income Generation - Sales, Fees & Charges 250 260 270 280 280 Budget Gap before advanced action 54,735 38,365 43,346 48,457 47,040 Approved Advance Action (472) (210) 0 0 0 Approved Savings 0 0 0 0 0 Approved Base Budget Adjustments (472) (210) 0 0 0 2023/24 Approved Savings now applied (3,575) (3,400) 0 0 0 Use of Reserves for 2023/24 approved savings (3,400) 0 0 0 0 Reversal of use of reserves for 23/24 saving 6,975 3,400 0 0 0 Budget Gap after approved advanced action 54,263 38,155 43,346 48,457 47,040 3 year total (24/25 to 26/27) 135,763 Proposed Advanced Action (4,500) 0 0 0 0 Review of PPP Affordability (4,500) 0 0 0 0 Revised Budget Gap after proposed advanced action 49,763 38,155 43,346 48,457 47,040 3 year total (24/25 to 26/27) 131,263 Page 26 of 342
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Optimistic Scenario Appendix 3 2024/25 2025/26 2026/27 2027/28 2028/29 £000 £000 £000 £000 £000 Anticipated Cost Pressures 17,890 11,060 14,910 19,060 16,420 Pay Award 9,200 9,200 11,900 15,100 12,400 Contract Inflation 720 470 1,550 2,430 2,490 Energy Costs 1,300 0 0 0 0 NDR Costs 0 0 0 0 0 Other Cost Pressures 6,670 1,390 1,460 1,530 1,530 Other Commitments 4,390 5,490 5,890 6,390 6,490 Community Investment Fund inc. City Deal 3,390 3,690 4,090 4,390 4,390 Loan charges 1,000 1,800 1,800 2,000 2,100 Total Cost Pressures 22,280 16,550 20,800 25,450 22,910 Less: Resource Forecasts 1,271 12,345 12,750 13,158 13,358 AEF adjustments - Core 7,861 8,026 8,100 8,189 8,267 Reversal of Use of Reserves/Resources in previous year (10,700) 0 0 0 0 1% Council Tax Increase; CIF 1,760 1,850 1,950 2,050 2,150 Net Council Tax Growth inc. rebaselining adj in year 1 1,600 1,700 1,900 2,100 2,100 Income Generation - Sales, Fees & Charges 750 770 800 820 840 Budget Gap before advanced action 21,009 4,205 8,050 12,292 9,552 Approved Advance Action (472) (210) 0 0 0 Approved Savings 0 0 0 0 0 Approved Base Budget Adjustments (472) (210) 0 0 0 2023/24 Approved Savings now applied (3,575) (3,400) 0 0 0 Use of Reserves for 2023/24 approved savings (3,400) 0 0 0 0 Reversal of use of reserves for 23/24 saving 6,975 3,400 0 0 0 Budget Gap after approved advanced action 20,537 3,995 8,050 12,292 9,552 3 year total (24/25 to 26/27) 32,582 Proposed Advanced Action (4,500) 0 0 0 0 Review of PPP Affordability (4,500) 0 0 0 0 Revised Budget Gap after proposed advanced action 16,037 3,995 8,050 12,292 9,552 3 year total (24/25 to 26/27) 28,082 Page 27 of 342
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Appendix 4 Summary Movements from Previous MTFP 2024/25 £000 2025/26 £000 2026/27 £000 Total £000 Gap per approved MTFP September 2022 20,620 16,300 16,880 53,800 Action Approved Base Budget Adjustments (472) (210) 0 (682) Use of Balances (reversal) 10,700 0 0 10,700 10,228 (210) 0 10,018 Revised Gap February 2023 30,848 16,090 16,880 63,818 Updated assumptions April 2023 Cost Pressures Pay Award (800) (600) 1,900 500 Contract Inflation (1,260) (1,660) (850) (3,770) Energy 1,940 (380) (420) 1,140 Other Cost Pressures (650) 0 0 (650) Other Commitments 1,000 1,800 1,800 4,600 Resources Estimated Council Tax Income (120) (70) (20) (210) Income Generation - Sales, Fees & Charges (500) (520) (530) (1,550) Revised MTFP Gap 30,458 14,660 18,760 63,878 Proposed Advance Action Review of PPP Affordability (4,500) 0 0 (4,500) Revised Gap after proposed advanced actions 25,958 14,660 18,760 59,378 Page 28 of 342
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North Lanarkshire Council Report Policy and Strategy Committee Does this report require to be approved? ☒ Yes ☐ No Ref AA/ Date 08/06/23 Code of Conduct for Chief Officers From Archie Aitken, Chief Officer (Legal & Democratic) Email aitkena@northlan.gov.uk Telephone 07939 280 102 1. Background 1.1 The Code of Conduct for Chief Officers 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 In order to bring the Code of Conduct for Chief Officers up to date and to reflect the current organisational arrangements, the monitoring officer, following consultation with the Chief Executive, has reviewed the Code and made a number of revisions. The revised code is attached as an Appendix to this report. Committee is asked to agree the contents of the revised Code of Conduct for Chief Officers. 2.2 In addition to the updating of the Code to reflect organisational changes, sections 13 (Police Enquiries) and 17 (Potential Conflicts of Interest) have been expanded to include more explicit wording in respect of the particular requirements in those areas. Executive Summary This report seeks approval of the updated and revised Code of Conduct for Chief Officers. 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 AGENDA ITEM 4 Page 29 of 342
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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 30 of 342
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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 ☐ 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 31 of 342
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Where the impact identifies a requirement for significant technology change, has an assessment been carried out (or scheduled) by the Enterprise Architecture Governance Group (EAGG)? Yes ☐ No ☐ 5.7 Environmental / Carbon impact Does the report / project / practice contain information that has an impact on any environmental or carbon matters? Yes ☐ No ☒ If Yes, please provide a brief summary of the impact? 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 32 of 342
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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 33 of 342
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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 34 of 342
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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 35 of 342
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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. Page 36 of 342
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5 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 the composition of the agenda and the addition or removal of any items shall be at the discretion of the Chief Officer (Legal & Democratic). Page 37 of 342
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6 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. 11.2 Chief Officers should review from time to time the nature, scope and need for delegation. Page 38 of 342
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7 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 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 Page 39 of 342
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8 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 responsibility to notify the Chief Executive accordingly and to make appropriate arrangements to avoid that conflict of interest. Page 40 of 342
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9 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 41 of 342
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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 42 of 342
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Regulation of Investigatory Powers (Scotland) Act 2000 - Update North Lanarkshire Council Report Does this report require to be approved? ☒ Yes ☐ No Ref AA/ER/PC Date 08/06/23 From Archie Aitken, Chief Officer (Legal and Democratic) E-mail rossev@northlan.gov.uk Telephone 07903 354852 Executive Summary This report is seeking approval of the Council’s Policy and Procedure on Directed Surveillance, Use of Covert Human Intelligence Sources and Obtaining Communications Data (“the Policy”) which has been updated to ensure continued compliance with the Council’s obligations under the Regulation of Investigatory Powers (Scotland) Act 2000 (“RIPSA”) and associated statutory guidance. It also informs Committee of the extent of the use by the Council of powers under this legislation during the last five years, as well as summarising actions taken by the Chief Officer (Legal and Democratic) to ensure continued compliance and increased awareness across Services. Recommendations It is recommended that the Policy and Strategy Committee: (1) Approve the updated Policy and Procedure on Directed Surveillance, Use of Covert Human Intelligence Sources and Obtaining Communications Data as required by paragraph 4.43 of the Scottish Government’s Covert surveillance and property interference: Code of Practice and paragraph 3.27 of the Scottish Government’s Covert human intelligence sources: Code of Practice. (2) Review the Council’s use of its powers under RIPSA as required by paragraph 4.43 of the Scottish Government’s Covert surveillance and property interference: Code of Practice and paragraph 3.27 of the Scottish Government’s Covert human intelligence sources: Code of Practice. The Plan for North Lanarkshire Priority Improve North Lanarkshire's resource base Ambition statement (25) Ensure intelligent use of data and information to support fully evidence based decision making and future planning Policy and Strategy Committee AGENDA ITEM 5 Page 43 of 342
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1. Background
1.1 The Council is required to have policies and procedures in place to manage covert
surveillance activities carried out under the Regulation of Investigatory Powers
(Scotland) Act 2000 ("RIPSA").
1.2 The Scottish Government's “Covert surveillance and property interference: Code of
Practice” and “Covert human intelligence sources: Code of Practice” (“the Codes of
Practice”) require that Elected Members should review the Council's use of RIPSA and
set the policy annually.
2. Report
2.1 The Council's policy and procedure on Directed Surveillance, Use of Covert Human
Intelligence Sources and Obtaining Communications Data (“the Policy”) sets out how
the Council complies with its obligations when conducting surveillance under RIPSA.
Surveillance of individuals in a covert manner is potentially intrusive and could interfere
with a person's right to respect for private and family life provided by Article 8 of the
European Convention on Human Rights. Compliance with the legal framework set out
in RIPSA and the Policy ensures that any covert surveillance undertaken by the Council
does not unlawfully interfere with an individual's right to privacy i.e. it is in accordance
with law, it is necessary to pursue a legitimate aim and is proportionate.
2.2 The Council's use of its powers under RIPSA is overseen by the Investigatory Powers
Commissioner's Office (“IPCO”), with inspections carried out approximately every three
years. The Council was last inspected in June 2020, the outcome of which was
reported to this Committee in October 2020. No formal recommendations were made
by IPCO, however, some observations were made relating to how the Council could
raise awareness of its responsibilities under RIPSA and ensure continued compliance
with the legal framework and the Codes of Practice.
2.3 The Chief Officer (Legal and Democratic) is the Council’s Senior Responsible Officer
for RIPSA with responsibility for: -
• ensuring proper processes are in place for the authorisations of directed
surveillance and CHIS activities;
• compliance with the legislation and codes of practice;
• engagement with IPCO and inspectors during inspections;
• ensuring authorising officers are of an appropriate standard in light of
any recommendations made by IPCO.
2.4 A summary of the action taken by the SRO in relation to these observations is
provided below:
Online Investigations
In the IPCO Inspection Report from 2020, IPCO made specific reference to the potential
use of social media accounts by services. It was made clear that monitoring or
surveillance of such accounts, irrespective of privacy settings, can potentially constitute
directed surveillance as defined by RIPSA. In order to assess the extent of any such
potential surveillance, an audit of Services' use of the internet to gather information on
individuals was carried out. This revealed that use of the internet as an investigative
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technique is carried out in several service areas, however, it is not extensive. That being the case, more detailed guidance for services explaining considerations which should be taken into account prior to commencing any online investigations will be issued to staff. This should ensure any such activity is necessary, proportionate and compliant with RIPSA and the Policy. Authorising Officers There are currently 10 Officers named as Authorising Officers under the Policy. These are: - Head of Regulatory Services and Waste Solutions, Business Manager (Environmental Health), Business Manager (Trading Standards), Head of Housing Solutions, Head of Planning and Regeneration, Business Manager, Development Solutions, Head of Children, Families and Justice Social Work Services, Head of Adult Social Work Services, Head of Audit and Inspection, Head of Revenue and E-Government Solutions. It has been recognised that the volume of directed surveillance operations carried out by the Council is very low. It is, therefore, proposed that the number of Authorising Officers is reduced to seven. This is in line with previous observations and recommendations made by IPCO. Accordingly, it is recommended that Authorising Officers are now named as the following: Chief Officer (Legal and Democratic) Chief Officer (Audit and Risk) Chief Officer (Community Operations) Chief Officer (Adult Social Work Services) Business Manager (Protective Services) Planning and Place Manager (Enterprise & Communities) Senior Education & Families Manager (Social Work) (Justice) This reduced number will allow for a more operationally competent pool of Authorising Officers, with each officer having a correspondingly higher rate of exposure to RIPSA authorisations. Refresher training for these officers and those involved in directed surveillance activities will be arranged during 2023. Policy An updated Policy is contained in Appendix 1. The two main changes that have been made to the Policy since it was previously reported to this Committee in October 2020 relate to (1) the designation of Authorised Officers referred to above and which are contained within Appendix 1 of the Policy and (2) an Appendix 2 which sets out the new arrangements for the central recording of all authorisations, reviews, cancellations and refusals on a designated Microsoft Teams channel. The other changes are minor consequential references to officers names given the recent changes to Chief Officer titles. No changes to the legislation or the Codes of Practice have been made since the last policy review. It is recommended that Committee approve the updated Policy contained in Appendix 1. Page 45 of 342
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Use of RIPSA Powers 2.5 The Council’s use of its powers under RIPSA is very low, as has been the case for a number of years. Below is a table showing the number of directed surveillance authorisations that have been granted to date this calendar year, and the total authorisations granted for the previous five years. Year No. of directed surveillance authorisations 2018 8 2019 7 2020 1 2021 2 2022 4 2023 (to date) 2 2.6 These authorisations relate to surveillance activity carried out by the Trading Standards team within Protective Services to tackle the sale of counterfeit goods and the sale of age restricted items to underage buyers, such as tobacco and vaping products. 2.7 The Council has not used its powers to deploy Covert Human Intelligence Sources (CHIS) since 2016. 3. Measures of success 3.1 IPCO continuing to find that there are suitably strong governance processes in place within the Council to ensure compliance with the legislation and codes of practice. 4. Supporting documentation 4.1 Updated Policy and Procedure on Directed Surveillance, Use of Covert Human Intelligence Sources and Obtaining Communications Data Archie Aitken Chief Officer (Legal and Democratic) Page 46 of 342
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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? This report forms part of the duties of the Senior Responsible Officer to ensure compliance with the requirements of RIPSA and statutory codes of practice. 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 47 of 342
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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? This report contains information about steps identified to ensure the Council remains compliant with the requirements of RIPSA. This will help to reduce the likelihood of human rights challenges in relation to individuals’ Article 8 privacy rights, any associated impact on the Council’s reputation, potential financial loss resulting from such claims. Continued compliance will also serve to reduce the likelihood of any evidence recovered through covert surveillance activities undertaken by the Council being deemed inadmissible in any subsequent criminal proceedings. 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 48 of 342
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Appendix NORTH LANARKSHIRE COUNCIL POLICY AND PROCEDURE on DIRECTED SURVEILLANCE, USE OF COVERT HUMAN INTELLIGENCE SOURCES AND OBTAINING COMMUNICATIONS DATA Page 49 of 342
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NORTH LANARKSHIRE COUNCIL POLICY AND GUIDELINES ON SURVEILLANCE (1) INTRODUCTION In some circumstances it may be necessary for Council employees, in the course of their duties, to make observations of a person(s) in a covert manner, i.e. without that person’s knowledge, or to instruct third parties to do so on the Council’s behalf. Actions of this sort are potentially intrusive. The Human Rights Act 1998 obliges all public authorities to act in a manner compatible with the rights contained in the European Convention of Human Rights (“the Convention”). Article 8 of the Convention affords everyone the right to respect for private and family life including home and correspondence. Surveillance activities by public authorities may therefore result in a legal challenge in terms of Article 8. Article 8 of the Convention is not however an absolute right. Interference with this right of privacy may be justified if this is: • in accordance with law; • necessary to pursue a legitimate aim, for example, the public interest; and • the interference is proportionate to the legitimate aim, i.e. the interference with the right is not greater than is necessary to achieve the aim. The Regulation of Investigatory Powers (Scotland) Act 2000 (“RIPSA”) provides, for the first time, a legal framework for covert surveillance by public authorities and an independent inspection regime to monitor these activities. If RIPSA is properly complied with, any interference with the right to privacy will be in accordance with law. In order to put forward a robust defence to any claim by an individual of wrongful interference with their right to privacy under Article 8 of the European Convention on Human Rights, any surveillance type activities undertaken by a local authority must be both necessary and proportionate. (2) OBJECTIVES The objective of this policy is to ensure that all covert surveillance by Council employees is carried out appropriately and on a lawful basis. This policy should be read in conjunction with the Scottish Government’s Covert Surveillance and Property Interference Code of Practice 2017 which is covered in Part One of this Policy and Covert Human Intelligence Sources Code of Practice 2017 which is covered in Part Two. If the procedures outlined in this policy are not followed, any evidence acquired as a result of surveillance activities may be susceptible to a human rights challenge. It may therefore not be admissible in Court, and the Procurator Fiscal is unlikely to take proceedings on the basis of such evidence. The Council may also be exposed to legal action by individuals who claim that their human rights to privacy and respect for family will have been abused. (3) SCOPE OF THE POLICY The policy only applies where surveillance is covert i.e. where the individual or individuals are not aware at the time of surveillance that surveillance is being carried out. It does not apply to observations or surveillance which are not carried out covertly, e.g., use of overt CCTV cameras or unplanned observations made as an immediate response to events. The Information Commissioner has issued separate guidance of the use of CCTV surveillance. Page 50 of 342
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(4) REVIEW OF POLICY This policy shall be reviewed and set annually by elected members. PART 1 - DIRECTED SURVEILLANCE 1.1 DEFINITION OF DIRECTED SURVEILLANCE The Regulation of Investigatory Powers (Scotland) Act 2000 defines directed surveillance as surveillance which is covert but not intrusive and is undertaken - (a) for the purposes of a specific investigation or a specific operation; (b) in such a manner as is likely to result in the obtaining of private information about a person (whether or not one specifically identified for the purposes of the investigation or operation); and (c) otherwise than by way of an immediate response to events or circumstances the nature of which is such that it would not be reasonably practicable for an authorisation under this Act to be sought for the carrying out of the surveillance. The terms of this Policy apply in all cases where “directed surveillance” is being planned or carried out by Council Officers. 1.2 EXPLANATION OF INTRUSIVE SURVEILLANCE The Regulation of Investigatory Powers (Scotland) Act 2000 does not permit the authorisation by Council officers of intrusive surveillance. Surveillance is intrusive where it is covert and - (a) is carried out in relation to anything taking place on any residential premises or in any private vehicle; and (b) involves the presence of an individual on the premises or in the vehicle or as carried out by means of a surveillance device. Some additional points should be made about intrusive surveillance. Residential premises are not thought to include common areas such as common stairs and closes. Surveillance is not intrusive if directed into a home or private vehicle from outside unless the information is consistently of the same quality as would be produced by a device actually sited in the home or vehicle in question. Advice from the Office of Surveillance Commissioners suggests that the sort of surveillance undertaken by the Council is unlikely to reach this level of sophistication, however, this will clearly be subject to review in the future. Thus, activities such as filming goods being sold from the back of a car or monitoring the level of noise (but not the actual words) generated by an anti social person are unlikely to be classified as intrusive, and so, those activities can be safely carried out subject to appropriate authorisation. Furthermore, devices carried into a home or a private vehicle by a covert human intelligence source (see Part 2 of this Policy) do not constitute intrusive surveillance as long as the CHIS has been invited in. However, the device must not be left behind when CHIS leaves the premises or vehicle. 1.3 PRINCIPLES OF DIRECTED SURVEILLANCE In planning and carrying out directed surveillance, Council employees must comply with the following principles: Page 51 of 342
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• lawful purposes - directed surveillance shall only be carried out where necessary to achieve one or more of the permitted purposes (as defined in RIPSA) i.e., it must be:- (a) for the purpose of preventing or detecting crime or the prevention of disorder; (b) in the interest of public safety; or (c) for the purpose of protecting public health. Employees carrying out surveillance should not cause damage to any property or harass any person. • necessity - directed surveillance should only be undertaken where there is no reasonable and effective alternative way of achieving the required objective. • effectiveness - planned directed surveillance should be undertaken only by, or under the supervision of, suitably trained or experienced employees. • proportionality - the use and extent of directed surveillance should not be excessive, i.e. it shall be in proportion to the significance of the matter being investigated. • intrusive surveillance - no surveillance should be undertaken which comes within the definition of “intrusive surveillance”. • collateral intrusion - specific consideration should be given at both the application and authorisation stages, to the extent of any risk of intrusion into the privacy of persons other than those who are directly the subjects of the investigation or operation. Measures should be taken, wherever practicable, to avoid or minimise unnecessary intrusion into the lives of those not directly connected with the investigation or operation. • authorisation - all directed surveillance must be authorised in accordance with the procedures described below. • confidentiality - all directed surveillance should be undertaken in such a way as to minimise, wherever possible, the acquisition of confidential material. 1.4 MAKING AN APPLICATION FOR DIRECTED SURVEILLANCE Any officer whose duties involve directed surveillance who wishes to carry out directed surveillance must make an application seeking authorisation to do so. Services may require in the course of their operation or of directed surveillance duties from time to time, to make and consider applications for authorisations. (a) When is Directed Surveillance Appropriate? By its very nature, directed surveillance intrudes on people’s privacy. It should therefore be regarded as a final option, only to be considered when all other methods have either been tried and failed, or where the nature of the activity to which the surveillance relates is such that it can be reasonably concluded that no alternative action will yield the information sought. For example, if a vending machine is regularly being broken into, consideration should be given to installing overt CCTV cameras with appropriate signage before installing hidden cameras. Any use of covert surveillance must be proportionate to the objective being pursued. Page 52 of 342
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(b) Directed Surveillance Authorisation levels are prescribed by the Regulation of Investigatory Powers (Prescription of Officers, etc. and Specification of Public Authorities) (Scotland) Order, SS1 2010/350. In relation to local authorities, the Regulations refer to Assistant Head of Service and Investigation Manager, titles which are little used within local authorities. The Council’s equivalent to an “assistant Head of Service” is a third tier Council officer, for example, a Legal Manager within Legal and Democratic Solutions. Third tier officers are graded usually between NLC15 and NLC16 depending upon the Service in which they work. It is felt that the most likely local authority equivalent to an “Investigation Manager” would be the Council’s Trading Standards Manager or an equivalent post within another Council Service. Such a post would be likely to be graded at NLC15. If in any doubt about the level of seniority of a proposed authorising officer in any particular case specific advice should be sought from the Head of Legal and Democratic Solutions. Applications must be made in writing using the approved forms, copies of which are available on Connect. In urgent cases, however, an oral application may be approved by an Authorising Officer. Where an urgent application is made this should be supplemented by a normal written application as soon as practicable and in any event within 72 hours failing which the oral authorisation will expire. Before the application can be granted, the authorising officer must be satisfied that the surveillance is necessary, that the action is proportionate with what it seeks to achieve and that the aim could not have reasonably been achieved by any other means. The Authorising Officer should note the time and date of the grant/refusal of the application on the relevant form. A Schedule of the Council’s designated Authorising Officers is included at Appendix 1. Authorising officers should not normally be responsible for authorising operations in which they are directly involved. Where an authorising officer authorises such an investigation or operation this should be recorded in the Central Record of Surveillance Activities. 1.5 GRANTING AND RECORDING AUTHORISATIONS AND REFUSALS The Authorising Officer’s job is to be satisfied that the directed surveillance is necessary and that applicant has correctly identified the lawful purpose for the proposed surveillance, has planned the operation properly so as to minimise collateral intrusion (invasion of privacy of individuals who are not the subject(s) of the surveillance being carried out) and the collection of confidential information, is not proposing to stray beyond permissible bounds of directives and has correctly applied the proportionality test. The authorisation should be granted only if the Authorising Officer is satisfied that these issues have been properly considered, that surveillance is justified and that the application conforms with the Statutory Code of Practice. Any restrictions imposed on the authorisation should be noted as authorising officer comments. 1.6 RECEIPT AND LOGGING OF APPLICATIONS All Services carrying out surveillance activities must forward all relevant documentation to the Chief Officer (Legal and Democratic) so that the Central Register of Surveillance Activities carried out by the Council can be maintained. This confidential register will be open Page 53 of 342
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to inspection by the Investigatory Powers Commissioner’s Office and provides evidence of
the Council’s compliance with the law and the Scottish Government’s Codes of Practice. The
arrangements for updating the Central Register are set out in Appendix 2 of this Policy.
1.7 DURATION, RENEWAL AND CANCELLATION OF AUTHORISATIONS
An authorisation for directed surveillance is valid for a period of three months or in the case
of urgent oral applications 72 hours. However, if the reasons justifying carrying out the
surveillance cease to apply prior to the expiry of a three month period or a 72 hour period
whichever is applicable, then the authorisation should be cancelled and the cancellation form
forwarded to the Chief Officer (Legal and Democratic) for filing in the Central Register.
On approving the authorisation, a planned review date shall be fixed to monitor the
effectiveness of the surveillance and its continuing necessity and proportionality.
If surveillance is to be continued for longer than the original period authorised, it is necessary
to have a renewal authorised. The tests applicable to renewals are identical to those for initial
applications (Forms for cancellation and renewal of surveillance are available).
1.8 NECESSITY AND PROPORTIONALITY
Obtaining an authorisation under RIPSA will only ensure that there is a justifiable interference
with an individual’s Article 8 rights if it is necessary and proportionate for these activities to
take place. RIPSA first requires that the person granting an authorisation is satisfied that the
authorisation is necessary in the circumstances of the particular case for one or more of the
statutory grounds in Section 6.3 of RIPSA for directed surveillance. Section 6.3 provides that
an authorisation is necessary on the following grounds:-
(a) for the purpose of preventing or detecting crime or preventing disorder;
(b) in the interest of public safety; or
(c) for the purpose of protecting public health.
Then, if the activities are necessary, the person granting the authorisation must be satisfied
that they are proportionate to what is sought to be achieved by carrying them out. This
involves balancing the intrusiveness of the activity on the target and others who might be
affected by it against the need for the activity in operational terms. The activity will not be
proportionate if it is excessive in the circumstances of the case or if the information which is
sought could reasonably be obtained by other less intrusive means. All such activities should
be carefully managed to meet the objective in question and must not be arbitrary or unfair.
1.9 CONFIDENTIAL MATERIAL AND COLLATERAL INTRUSION
Confidential material covers a number of areas: professional legal advice, health information,
spiritual counselling and material held under an obligation of confidentiality. So far as
possible, surveillance operations should be designed so as to minimise or eliminate the
possibility of confidential information being acquired. If confidential information is in fact
acquired, special care should be taken to avoid unnecessary disclosure.
Before authorising surveillance the Authorising Officer should also take into account the risk
of intrusion into the privacy of persons other than those who are directly the subjects of the
investigation or operation ("collateral intrusion"). Operations should be planned so as to
minimise or eliminate as far as possible the risk of collateral intrusion, and the extent to which
it remains is a factor to consider when determining the proportionality of the operation. Where
recovery of such material is anticipated and unavoidable, it is a requirement that
authorisation for surveillance must be sought from the Chief Executive or, in his absence,
the Chief Officer (Legal and Democratic).
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1.10 SURVEILLANCE BY OTHER PUBLIC AUTHORITIES AND COMBINED AUTHORISATIONS Council officers are occasionally asked to assist in surveillance operations being conducted by other public authorities such as the police, the Department for Work and Pensions, other local authorities, HMRC etc. In cases where the Council is acting on behalf of another agency, it is normally for the tasking agency to obtain or provide authorisation. In such cases it is for the tasking agency (who are seeking assistance from the Council) to ensure that it has appropriate authorisations in place. Written confirmation should be obtained from the tasking agency and exhibited to the Council’s appropriate authorising officer confirming that such authorisations have been duly granted. 1.11 USE OF SOUND RECORDING EQUIPMENT Where it is considered necessary for an investigating officer to record levels of noise as part of directed surveillance activity this may involve the use of noise recording equipment. When using such technical equipment investigating officers must ensure that the equipment is activated in such a way as to record only the level of the noise in question and not the actual content of any conversation between the subject of directed surveillance and any other party. 1.12 USE OF THE INTERNET Use of the internet for investigative or research purposes can constitute surveillance and may require an authorisation if such use falls within the definition of directed surveillance at para 1.1. above. If an officer is going to engage with others online without disclosing their identity as an officer of the Council, acting in that capacity, then a CHIS authorisation may be needed (see Part 2 of this policy). Such online surveillance will be considered covert if the individuals are unlikely to know that the surveillance is or may be taking place. Using the internet to carry out surveillance could be considered covert just by its very nature, in that individuals will not know it is being carried out, unless they have been informed that it will, or may be carried out by the Council in certain circumstances. If they have been informed, or reasonable steps have been taken to inform them, then it is unlikely that an authorisation is required. Individuals may have an expectation of privacy in regards to their information on the internet, even in publicly accessible areas – particularly social media sites where it is likely their information will constitute private information. This is regardless of any privacy settings which may have been used by the individual. However, where an individual’s information is accessible via a publicly available database e.g. Companies House, it is unlikely they would have any reasonable expectation of privacy in regards to that information. Similarly, if an individual uses social media or a website as a platform to deliberately communicate to a wide audience, they are less likely to have a reasonable expectation of privacy compared to someone who uses a social media site where they only communicate with a smaller group of individuals personally known to them. The nature of the surveillance activity is also relevant in considering if an authorisation is required. Looking at a website to identify if it is of interest is unlikely to interfere with an individual’s reasonable expectation of privacy, however, if information is being routinely collected and stored about an individual or group of individuals then an authorisation should be considered. The following is an example from the Covert Surveillance and Property Interference Code of Practice 2017 which demonstrates the above considerations: A simple internet search on a name, address or telephone number to find out whether a subject of interest has an online presence is unlikely to need an authorisation. If, however, Page 55 of 342
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having found an individual’s social media profile or identity it is decided to monitor it or extract information from it for retention in a record because it is relevant to an investigation or operation, authorisation should then be considered. Visiting a website would not normally amount to surveillance, but if during that visit it is intended to extract and record information to establish a profile including information such as identity, pattern of life, habits, intentions or associations, it may be advisable to have in place an authorisation even for that single visit. Factors that should be considered in establishing whether a directed surveillance authorisation is required include whether:- - the investigation or research is directed towards an individual or group of people; - it is likely to result in obtaining private information about a person or group of people (taking account of the guidance at paragraph 3.14 of the Code of Practice); - it is likely to involve visiting internet sites to build up an intelligence picture or profile; - the information obtained will be recorded and stored; - the information is likely to provide an observer with a pattern of lifestyle; - the information is being combined with other sources of information or intelligence, which amounts to information relating to a person’s private life; - the investigation or research is part of an ongoing piece of work involving repeated viewing of the subject(s); - it is likely to involve identifying and recording information about third parties such as friends and family members of the subject of interest, or information posted by third parties such as friends or family members, which may include private information and therefore constitute collateral intrusion. If there is any dubiety over whether an authorisation is required in respect of the intended use of the Internet for investigative purposes, advice should be sought from an Authorising Officer or Legal Solutions prior to the investigation commencing. 1.13 SAFEGUARDS Information obtained under a directed surveillance authorisation must be handled in accordance with the safeguards set out below and elsewhere in this policy and the Code of Practice. Dissemination, copying and retention of information must only be carried out where necessary for the authorised purposes. The authorised purposes are that the material:- - is, or is likely to become, necessary for any of the statutory purposes set out in RIPSA; - is necessary for facilitating the carrying out of the functions of public authorities under RIPSA; - is necessary for the facilitating the carrying out of any functions of the IPC or IPT; - in necessary for legal proceedings; - is necessary for the performance of any person by or under any enactment. Page 56 of 342
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The information should only be copied and/or disclosed to the minimum people necessary (including internally within the Council) and to the minimum extent necessary for the authorised purposes i.e. if a summary or extract of the information can be disclosed instead of the entirety of the information, then this should be all that is disclosed. Similarly, information should only be copied to the minimum extent necessary for the authorised purposes. When material is to be used, or may need to be used, as evidence in criminal proceedings, consideration should be given to evidential integrity, the rules of evidence and disclosure, and it should be borne in mind that the Council will need to show how the material was obtained. Authorisations should be reviewed regularly to assess necessity and proportionality – this is particularly important where the directed surveillance is likely to involve a high level of intrusion into a person’s private life, a high degree of collateral intrusion or where sensitive information is likely to be obtained. The Council’s Data Protection policy must be complied with in respect of any personal data or special category data obtained as part of the investigation. The information should be stored securely to minimise the risk of loss and theft and should only be accessible to those authorised to access it. Information should be destroyed securely and in accordance with the Council’s Retention Schedule. The Investigatory Powers Commissioner’s Office has statutory powers of inspection and all records (applications, authorisations, cancellations and refusals) must be available for inspection. No records should be destroyed until an inspector has had the opportunity to see them. The Chief Officer (Legal and Democratic) shall ensure that the Central Register is kept secure and shall make proper arrangements for the retention and destruction of documentation in accordance with the requirements of the UK GDPR, the Data Protection Act 2018 and the Code of Practice. It should be noted that refusals as well as approved applications must be retained. The Code of Practice recommends retention of authorisations for five years or longer, if required for ongoing proceedings. Consult the Code of Practice and Legal Solutions if the information likely to be obtained is likely to be subject to legal privilege. 1.14 TRAINING Each Service is responsible for ensuring that their staff receive adequate training to deal with the authorisation process and any enquiries, guidance to relevant employees and legal advice will be available as required from the Chief Officer (Legal and Democratic). 1.15 COMPLAINTS In the event of any member of the public being unhappy or dissatisfied with the conduct of any covert surveillance, in addition to the Council’s complaints procedure, they have the right to complain to the Investigatory Powers Tribunal. Details of the complaints procedure are available for public reference from Legal and Democratic Solutions. Copies of the Complaints Procedure will be made available to the public by post or e-mail if requested. Page 57 of 342
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PART 2 - COVERT HUMAN INTELLIGENCE SOURCES (CHIS) 2.1 DEFINITION OF COVERT HUMAN INTELLIGENCE SOURCE RIP(S)A 2000 defines a covert human intelligence source as a person who- (a) establishes or maintains a personal or other relationship with another person for the covert purpose of facilitating the doing of anything following within paragraph (b) or (c) below; (b) covertly uses such a relationship to obtain information or to provide access to any information to another person; or (c) covertly discloses information obtained by the use of such a relationship or as a consequence of the existence of such a relationship. The Scottish Government Code of Practice confirms that a source may include individuals referred to as agents, informants and officers working under cover. A purpose is covert in relation to the establishment and or maintenance of a personal or other relationship only if the relationship is conducted in a manner that is calculated to ensure that one of the parties to the relationship is unaware of the purpose. By virtue of Section 1(8)(c) of RIP(S)A, a relationship is used covertly, and information obtained as above is disclosed covertly, if and only if it is used or, as the case may be, disclosed in a manner that is calculated to ensure that one of the parties to the relationship is unaware of the use or disclosure in question. The use of a source involves inducing, asking or assisting a person to engage in the conduct of a source or to obtain information by means of the conduct of such a source. Conduct of a source will include any activities involving the use of or actions of a covert human intelligence source (CHIS) specified in any authorisation. It includes conduct by the CHIS or in relation to the CHIS and where it is carried out for the purposes of or in connection with the specific investigation in question. Any surveillance which is carried out by means of a surveillance device in relation to anything taking place on any residential premises or in private vehicle; but is carried out without that device being present on the premises or in the vehicle (i.e. from a different location) is not intrusive unless that device is such that it consistently provides information of the same quality and detail as might be expected to be obtained from a device actually present on the premises or in the vehicle (Section 1(5) of the Act). 2.2 THE PRINCIPLES OF USE OF COVERT HUMAN INTELLIGENCE SOURCES When using or seeking to use covert human intelligence sources Council employees must comply with the following principles:- (a) Lawful purposes - use of covert human intelligence sources shall only be carried out where necessary to achieve one or more of the permitted purposes (as defined in RIP(S)A) which are:- • preventing or detecting crime or preventing disorder; • in the interest of public safety; or • for the purpose of protecting public health. (b) No authorisation for the conduct or use of a covert human intelligence source should be granted unless one of the three grounds specified above are established. Page 58 of 342
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2.3 AUTHORISATION OF COVERT HUMAN INTELLIGENCE SOURCE The process for granting authorisations for the use or conduct of CHIS is the same as for directed surveillance although there is a specific form of application. Copies of the relevant application, renewal and calculation of covert human intelligence source forms are attached at Appendix 2. In addition, however, authorisations for use of a CHIS can only be granted if sufficient arrangements have been in place for handling the source’s case. The arrangements therefore considered necessary are that:- (a) there will at all times be an appropriate officer within the Council who will have day to day responsibility for dealing with the source on behalf of the Council, and for the security and welfare of the source (“the handler”). (b) there will at all times be another appropriate person within the Council who will have general oversight of the use made of that source (“the controller”). (c) there will at all times be an appropriate person within the Council who will have responsibility for maintaining a record of the use made of the source. (d) the records relating to the source are maintained by an appropriate person within the Council and such records will always contain particulars of all such matters as may be specified by regulations made from time to time by the Scottish Ministers (clearly, this requirement should be reviewed on a corporate basis at regular intervals). (e) records maintained by the Council which disclose the identity of the source will not be available to persons except to the extent that there is a need for access to them to be made available to those persons. It is best practice that the officers identified as the handler and controller are named in authorisations. 2.4 GRANTING AND RECORDING AUTHORISATIONS AND REFUSALS The Authorising Officer’s job is to be satisfied that the use or conduct of a covert human intelligence source is necessary and that the applicant has correctly identified the lawful purpose for the proposed use, has planned the operation properly so as to minimise collateral intrusion and the collection of confidential information. Where the collection of such information is considered likely the application should be authorised by the Council’s Chief Executive. The proportionality test must clearly be satisfied. The authorisation should be granted only if the Authorising Officer is satisfied that these issues have been properly considered and that the application conforms with the Statutory Code of Practice and that use of a CHIS is justified. Any restrictions imposed on the authorisation should be noted as authorising officer comments. A risk assessment must be carried out before a CHIS is authorised to identify the risks to the CHIS and the likely consequences if the identity of the CHIS becomes known. This should consider the risks specific to each authorisation and be updated to reflect developments during the course of the deployment (and after if contact is maintained). The ongoing security and welfare of the CHIS after the deployment should be considered as part of the risk assessment and throughout the deployment. If there is likely to be a requirement to disclose information which may require the identity of the CHIS to be disclosed, this should also be considered. 2.5 RECEIPT AND LOGGING OF APPLICATIONS All Services carrying out CHIS activities must forward all relevant documentation to the Chief Officer (Legal and Democratic) so that the Central Register of CHIS activities Page 59 of 342
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carried out by the Council can be maintained. This confidential register will be open to inspection by the Investigatory Powers Commissioner’s Office and provides evidence of the Council’s compliance with the law and the Scottish Government’s Codes of Practice. The arrangements for updating the Central Register are set out in Appendix 2 of this Policy. 2.6 DURATION, RENEWAL AND CANCELLATION OF AUTHORISATIONS Authorisation for the conduct and use of a CHIS is valid for 12 months or 72 hours in the course of an urgent oral authorisation. Applications for the renewal of the conduct or use of a CHIS should not be granted unless the authorising officer is satisfied that a review has been carried out of the use made of the source and the period since the grant, the task given to the source during the period and the information obtained from the conduct or use of the source and unless he or she has considered the results of such a review. The authorisation should be cancelled if the person who granted or last renewed an authorisation is satisfied that the authorised conduct is no longer required or no longer satisfies the purpose for which it is granted. *However, if the reasons justifying carrying out the use of a CHIS cease to apply then the authorisation should be cancelled and the cancellation form forwarded to the Chief Officer (Legal and Democratic) for filing on the Central Register. On approving the authorisation a planned review date should be fixed to monitor the effectiveness of the use or conduct of the CHIS and its continuing necessity and proportionality. If surveillance is to be continued for longer than the original period authorised, it is necessary to have a renewal authorised. The tests applicable to renewals are identical to those for initial applications (Forms for cancellation and renewal of use or conduct of CHIS are attached at Appendix 2). 2.7 WHEN IS THE USE OF A CHIS APPROPRIATE? By its very nature the use of a CHIS intrudes on the privacy of individuals, perhaps even more so than in the case of directed surveillance. It must be regarded as the final option to recover information only to be considered when all other methods have either been tried and failed or where the nature of the activity to which the surveillance relates is such that it can be reasonably concluded that no alternative action will yield the information sought. Any use of a covert human intelligence source must be proportionate to the objective being pursued. 2.8 ONLINE COVERT ACTIVITY Where Council officers are interacting with individuals online, either via publicly open websites or more private communications, where those individuals are not reasonably likely to know the true identity of the Council officer, consideration should be given to whether a CHIS authorisation is required. If an investigation or operation requires a covert relationship with an individual or a group of people online to be established in order to gain access to information, a CHIS authorisation will likely be required e.g. using the internet to engage with an individual in order to facilitate a meeting in person. If no relationship is being established, then a CHIS authorisation may not be required immediately e.g. if a false identity needs to be set up to access a website (consideration should be given to whether a directed surveillance authorisation is required) or “liking” or “following” someone. It would only be once that interaction increased so as to start obtaining or accessing information that a CHIS authorisation would be required. If there is any dubiety over whether an authorisation is required, advice should be sought from Legal Solutions prior to the investigation commencing. Page 60 of 342
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Any risk assessment carried out in accordance with section 6.13 of the Covert Human Intelligence Source Code of Practice should include consideration of the risks arising from the online activity including the length of time spent online and the material to which the CHIS may be exposed. If an online persona is going to be used by multiple officers, separate risk assessments for each officer should be carried out (as well as separate authorisations sought). 2.9 NECESSITY AND PROPORTIONALITY Obtaining an authorisation under RIP(S)A will only ensure that there is a justifiable interference with an individual’s Article 8 rights if it is necessary and proportionate for these activities to take place. RIP(S)A first requires that the person granting an authorisation is satisfied that the authorisation is necessary in the circumstances of the particular case for one or more of the statutory grounds in Section 6.3 of RIP(S)A in the use of a CHIS. Section 6.3 provides that an authorisation is necessary on the following grounds:- • for the purpose of preventing or detecting crime or preventing disorder; • in the interest of public safety; or • for the purpose of protecting public health. Then, if the activities are necessary, the person granting the authorisation must be satisfied that they are proportionate to what is sought to be achieved by carrying them out. This involves balancing the intrusiveness of the activity on the target and others who might be affected by it against the need for the activity in operational terms. The activity will not be proportionate if it is excessive in the circumstances of the case or if the information which is sought could reasonably be obtained by other less intrusive means. All such activities should be carefully managed to meet the objective in question and must not be arbitrary or unfair. 2.10 CONFIDENTIAL MATERIAL AND COLLATERAL INTRUSION Confidential material covers a number of areas: professional legal advice, health information, spiritual counselling and material held under an obligation of confidentiality. So far as possible, use or conduct of a CHIS operations should be designed so as to minimise or eliminate the possibility of confidential information being acquired. If confidential information is in fact acquired, special care should be taken to avoid unnecessary disclosure. Before authorising use or conduct of a CHIS the authorising officer should also take into account the risk of intrusion into the privacy of persons other than those who are directly the subjects of the investigation or operation (collateral intrusion). Operations should be planned so as to minimise or eliminate as far as possible the risk of collateral intrusion, and the extent to which it remains is a factor to consider when determining the proportionality of the operation. Where recovery of such material is anticipated and unavoidable, it is a requirement that authorisation for use or conduct of a CHIS must be sought from the Chief Executive or, in his absence, the Chief Officer (Legal and Democratic). 2.11 SAFEGUARDS Material obtained by a CHIS must be handled in accordance with the safeguards set out below and elsewhere in this policy and the Code of Practice. Dissemination, copying and retention of material must only be carried out where necessary for the authorised purposes. The authorised purposes are that the material:- Page 61 of 342
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- is, or is likely to become, necessary for any of the statutory purposes set out in RIPSA; - is necessary for facilitating the carrying out of the functions of public authorities under RIPSA; - is necessary for the facilitating the carrying out of any functions of the IPC or IPT; - in necessary for legal proceedings; - is necessary for the performance of any person by or under any enactment. The material should only be copied and/or disclosed to the minimum people necessary (including internally within the Council) and to the minimum extent necessary for the authorised purposes i.e. if a summary or extract of the material can be disclosed instead of the entirety of the information, then this should be all that is disclosed. Similarly, information should only be copied to the minimum extent necessary for the authorised purposes. If material is disclosed to third parties, consideration should be given to what appropriate safeguards should be applied to those third parties. When material is to be used, or may need to be used, as evidence in criminal proceedings, consideration should be given to evidential integrity, the rules of evidence and disclosure, and it should be borne in mind that the Council will need to show how the material was obtained. Authorisations should be reviewed regularly to assess necessity and proportionality – this is particularly important where the directed surveillance is likely to involve a high level of intrusion into a person’s private life, a high degree of collateral intrusion or where sensitive information is likely to be obtained. The Council’s Data Protection policy must be complied with in respect of any personal data or special category data obtained as part of the investigation. The material should be stored securely to minimise the risk of loss and theft and should only be accessible to those authorised to access it. Information should be destroyed securely and in accordance with the Council’s Retention Schedule. The Investigatory Powers Commissioner’s Office has statutory powers of inspection and all records (applications, authorisations, cancellations and refusals) must be available for inspection. No records should be destroyed until an inspector has had the opportunity to see them. Documents created under this procedure are highly confidential and shall be treated as such. The Chief Officer (Legal and Democratic) shall ensure that the Central Register is kept secure and shall make proper arrangements for the retention and destruction of documentation in accordance with the requirements of the UK GDPR, the Data Protection Act 2018 and the Covert Human Intelligence Source Code of Practice 2017. It should be noted that refusals as well as approved applications must be retained. The Code of Practice recommends retention of authorisations for five years or longer, if required for ongoing proceedings. In accordance with guidance issued by the Office of Surveillance Commissioners, documents will be inspected periodically by a senior officer to ensure that a consistent approach is being adopted by different Council Departments. The Investigatory Powers Commissioner’s Office has statutory powers of inspection and all records (applications, Page 62 of 342
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authorisations, cancellations and refusals) must be available for inspection. No records should be destroyed until a Surveillance Commissioner has had the opportunity to see them. 2.11 TRAINING Each service is responsible for ensuring that their staff receive adequate training to deal with the authorisation process and any enquiries. Guidance to relevant employees will be issued by the Corporate Working Group and legal advice will be available as required from the Council's Legal and Democratic Solutions. 2.12 COMPLAINTS In the event of any member of the public being unhappy or dissatisfied with the conduct of any covert surveillance, in addition to the Council’s complaints procedure, they have the right to complain to the Investigatory Powers Tribunal. Details of the complaints procedure are available from the Council's Legal and Democratic Solutions. Copies of the Complaints Procedure will be made available to the public by post or e-mail if requested. Page 63 of 342
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APPENDIX 1 SCHEDULE OF DESIGNATED AUTHORISING OFFICERS FOR DIRECTED SURVEILLANCE AND COVERT HUMAN INTELLIGENCE SOURCE (“CHIS”) APPLICATIONS Chief Officer (Legal and Democratic) Chief Officer (Audit and Risk) Chief Officer (Community Operations) Chief Officer (Adult Social Work Services) Business Manager (Protective Services) Planning and Place Manager (Enterprise & Communities) Senior Education & Families Manager (Social Work) (Justice) APPENDIX 2 The Chief Officer (Legal and Democratic) is responsible for maintaining the Central Register of Directed Surveillance activities and Central Record of CHIS activities. Both central registers are stored on the RIPSA/RIPA Authorisations Microsoft Teams channel. Services must ensure that all authorisations, reviews, renewals, cancellations and refusals are uploaded to the designated Microsoft Teams channel as soon as they have been granted. The Information Governance team within Legal Solutions should also be notified of any additions to the central registers by email to DataProtection@northlan.gov.uk. Page 64 of 342
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PART 3 - COMMUNICATIONS DATA
This part sets out the Council’s policy and procedures in relation to the use of obtaining
communications data about a person.
3.1 THE PROTOCOL’S PURPOSE AND PRINCIPLES
3.1.1 Why do we have a Protocol?
The objective of this Part is to ensure that the obtaining of communications data
about a person by council employees on behalf of the Council is carried out
effectively, while remaining in accordance with the law. It should be read in
conjunction with the Acquisition and Disclosure of Communications Data Code
of Practice issued by the Home Office. The latest version was issued in 2007
and is available on the Home Office web site.
In some circumstances, it may be necessary for council employees, in the
course of their duties, to obtain or ask others to obtain communications data
about a person. By their nature, actions of this sort are potentially intrusive (in
the ordinary sense of the word) on someone’s privacy and may give rise to legal
challenge as a potential breach of Article 8 of the European Convention on
Human Rights and the Human Rights Act 1998 ('the right to respect for private
and family life').
The Regulation of Investigatory Powers Act (2000) [RIPA] provides a legal
framework for authorising public authorities to obtain this information and an
independent inspection regime to monitor these activities within the United
Kingdom.
The following procedures apply in all cases where communications data is to be
obtained.
3.1.2 What is “Communications Data”?
Communications data is defined in the Regulation of Investigatory Powers Act
2000 and in plain terms embraces the “who”, “when” and “where” of a
communication but not the content, for example a call from a mobile phone.
Communications data can comprise the telephone numbers involved, and the
time and place of the call, but not what was said.
3.1.3 What can the Council Access?
The Council do not have the same powers as for example the police. The table
on the next page details what information the Council can access and refers to
the relevant section in the Act in which the definition was given.
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S21(4)(b) SERVICE USE INFORMATION (Service Data) Itemised telephone call records (numbers called) Itemised records of connections to internet services Itemised timing and duration of service usage ( calls and/or connections) Information about amounts of data downloaded and /or uploaded Information about the use made of services which the user is allocated or has subscribed to (or may have subscribed to) including conference calling, call messaging, call waiting and call barring telecommunications services Information about the use of forwarding/ redirection services Information about the selection of preferential numbers or discount calls Records of postal items, such as records of registered post, recorded or special delivery postal items, records of parcel consignment, delivery and collection S21(4)(c) SUBSCRIBER INFORMATION (Customer Data) “Subscriber checks” (also known as “reverse look ups”) such as “who is the subscriber of phone number 01698 45xx?”, “who is the account holder of e-mail account abc@abc.isp.co.uk?” or “who is entitled to post to web space www.example.co.uk?” Subscribers’ or account holders’ account information, including names and addresses for installation, and billing including payment method(s), details of payments Information about the subscriber to a PO Box number or a Postage Paid Impression used on bulk mailings Information about the provision to a subscriber or account holder of forwarding / redirection services, including delivery and forwarding addresses Subscribers or account holders account information including names and addresses for installation and billing including payment method(s), details of payments Information about the connection, disconnection and reconnection of services to which the subscriber or account holder is allocated or has subscribed to (or may have subscribed to) including conference calling, call messaging, call waiting and call barring telecommunications services Information about apparatus used by, or made available to, the subscriber or account holder, including the manufacturer, model, serial numbers and apparatus codes 3.1.4 What information is the Council not allowed to obtain? The Council is not allowed to obtain information which is defined as “traffic data” and examples are:- • information tracing the origin or destination of a communication that is, or has been, in transmission (including incoming call records); • information identifying the location of equipment when a communication is, has been or may be made or received (such as the location of a mobile phone); • information identifying the sender or recipient (including copy recipients) of a communication from data comprised in or attached to the communication; Page 66 of 342
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• routing information identifying equipment through which a communication is or has been transmitted (for example, dynamic IP address allocation, file transfer logs and e-mail headers - to the extent that content of a - communication, such as the subject line of an e-mail, is not disclosed; • web browsing information to the extent that only a host machine, server, domain name or IP address is disclosed; • anything, such as addresses or markings, written on the outside of a postal item (such as a letter, packet or parcel) that is in transmission and which shows the item’s postal routing; • record of correspondence checks comprising details of traffic data from postal items in transmission to a specific address, and online tracking of communications (including postal items and parcels). 3.1.5 How do these procedures affect communications made by Council staff? In short, they do not. The Council are empowered to monitor the content of e-mails etc. to ensure that there is no abuse of their system. The details of how and when any monitoring is carried out are contained within the Council is Telecommunications Policy, to which all employees using that that particular equipment or service (i.e. e- mail) have consented. 3.1.6 What are the Principles of Obtaining Communications Data? In obtaining communications data, employees of North Lanarkshire Council and investigators acting on behalf of the Council must comply with the following principles. (a) Lawful purposes - covert obtaining of communications data shall only be carried out where necessary to achieve the purpose of preventing or detecting crime or the prevention of disorder; Only if that purpose is met can there be any consideration of obtaining communications data. (b) Necessity - obtaining communications data shall only be undertaken where there is no reasonable and effective alternative way of achieving the desired objective(s). (c) Proportionality - the obtaining of communications data shall not be excessive i.e. it shall be in proportion to the significance of the matter being investigated and, for instance, shall take proper account of the possibility and extent of collateral intrusion. (d) Approval - all obtaining of communications data must be approved and supported by either a formal authorisation for officers of the Council to obtain the information or a notice requiring the Communications Service Provider to provide the information in accordance with the procedures described below. 3.1.7 What of statutory powers and processes to obtain Communications Data separate from the Regulation of Investigatory Powers Act 2000? It is always recommended that these procedures are similarly followed when obtaining communications data. However, provided that there is authorisation process undertaken before obtaining the Information taking into account the Page 67 of 342
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issues arising in terms of the Human Rights Act 1998, such a process can be followed. 3.2 HOW TO OBTAIN APPROVAL 3.2.1 Who prepares an application? As with the Procedures for Covert Surveillance, an application for approval to allow communications data to be obtained (“an application”) should be completed by the investigator who is involved in the operation in question. It is important to remember that it will be for the investigator to justify any information contained within an application, so extreme care should be taken. Further guidance on completing an application is available when completing an application on the NAFN website (see below). The investigator will have to provide the following information:- • The name or designation of the investigator; • The operation and person (if known) to which the requested information relates; • A description, in as much detail as possible, of the information requested (and whether the information is Service Use or Subscriber information); • The reason why obtaining the requested data is considered to be necessary for the prevention and detection of crime or prevention of disorder; • An explanation of why the information constitutes conduct proportionate to what it seeks to achieve; • Where appropriate, a consideration of collateral intrusion, the extent to which the privacy of others may be affected and why that intrusion (collateral intrusion) is justified; and • The timescale within which the information is required and why this is justified. Unlike the Procedures for Covert Surveillance, the application will be considered by the SPOC who can reject it, request further information from the investigator or pass it to the designated person for approval. 3.2.2 What and who is a Single Point of Contact (SPOC)? The Council has decided to utilise the National Anti-Fraud Network (NAFN) Telecommunications services to carry out the SPOC role. This is an on-line service using the NAFN website and will require all applicants and designated persons to be registered users, along with the Senior Responsible Officer. This is a reflection of the relatively low level of acquisition of communications data and means that the Council will not be required to retain trained officers for this role. The Home Office will deactivate those personal identification numbers held by existing council SPOCs as they will not be required. These SPOC details will remain on the Home Office system so that they can be reactivated at any point should the council cease to rely on the NAFN service. Page 68 of 342
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The officers concerned are the Trading Standards Manager, within Environmental Services, and the Audit Manager, within Finance & Customer Services. 3.2.3 What are the role and responsibilities of the Single Point of Contact? The SPOC has a regulatory role in connection with the applications for Authorisations. He/she will assess an application to make sure that there is sufficient information contained within it to allow the Designated Person to come to a decision on whether the application should be approved. If there is insufficient information contained within the application to allow the application to proceed to the Designated Person, the SPOC will at this stage refuse the application and return it, together with an explanatory report to the investigator. The SPOC is not considering the application on its merits as if he/she was a Designated Person but only the sufficiency of the information being provided by the investigator. If there is sufficient information, the SPOC will, before the application is forwarded to the Designated Person. • where appropriate assess whether access to communications data is reasonably practical for the Communications Service Provider; • advise investigators and Designated Persons on the practicalities of assessing different types of communications data from different postal or Communications Service Providers; • advise investigators and Designated Persons on whether the data falls within the classes to which the Council can have access; • provide safeguards for authentication; • assess any cost and resource implications to both the Council and the Communications Service Provider. The SPOC will prepare any comments that he/she might have on the application (such as cost etc.) and complete and forward the request for authorisation via the website to the Designated Person. The SPOC will not however be expected to justify any information contained in, or the approval of, any application. This will be a matter for the investigator and the Designated Person respectively. 3.2.4 Who is a Designated Person? The Act requires that only officers who have a high degree of responsibility within the Council may approve applications and grant authorisations/notices. An Order made under the Act refers to these officers as “Designated Persons” and sets minimum levels of responsibility of these officers. The levels specified within the statutory Order refer to “Director, Head of Service, Service Manager or equivalent”. Taking into account service needs and other criteria, the Designated Persons for the Council are the Trading Standards Manager and the Audit Manager, and in addition the Head of Protective Services and the Executive Director of Finance & Customer Services. Details of these officers will need to be confirmed and registered with NAFN. Page 69 of 342
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3.2.5 What are the duties of a Designated Person? On receiving an application, the Designated Person must ensure that the requirements of the law are met. Therefore he/she must be satisfied that:- • the permitted purpose exists; and • the obtaining of communications data is absolutely necessary; and • the obtaining of communications data is proportionate; and • any urgent timescale is justified. If the Designated Person is not satisfied that all of these conditions are met, he/she is under a duty to refuse the application. Remember that on any challenge it will be the Designated Person who will be required to justify the approval of the application. The Designated Person is not bound to accept any comments made by the SPOC in relation to the application but should consider them. A Guide to assist Designated Persons has been prepared and forms Appendix 1. Further information and guidance for the designated person will be available when considering applications on the NAFN website. 3.2.6 What about proportionality? Proportionality will be the most likely area for challenge. The Designated Person should not merely consider the investigation itself but its wider possible effects. So not only must he/she be satisfied that the need for the obtaining of communications data outweighs the individual’s expectation of privacy, but should also consider whether there is, for instance, any unnecessary or excessive collateral intrusion and the possibility of disclosure of confidential information. 3.2.7 What is Collateral Intrusion? Collateral Intrusion is the risk of intrusion into the privacy of someone other than the direct subjects to whom the communications data relates. Measures must be taken, wherever practicable, to avoid unnecessary intrusion into the lives of those not directly connected with the operation or investigation. 3.2.8 What if an Approval is required urgently? Unlike the procedures for covert surveillance there is no fast track system for obtaining Approvals and Authorisations/Notices for obtaining Communications Data. Therefore the above procedures must be followed regardless of urgency. 3.2.9 What if a Designated Person in unavailable? Sometimes a Designated Person, who would normally deal with applications, will not be available. In those circumstances, application may be approved by another officer of a similar grade/level as the Service Manager or of the grade(s)/level(s) above. The SPOC will forward any application to another Designated Person within the line management structure of the investigator unless other arrangements have been laid down by the Council. Page 70 of 342
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3.2.10 The application is refused, what next? If the Designated Person decides that an application should be refused, he/she will reject the application on the NAFN website, and the SPOC will notify the investigator accordingly. 3.3 PART (iii): HOW TO ACTION AN AUTHORISATION 3.3.1 When would an Authorisation be used? An Authorisation allows for the collection or retrieval of data. An Authorisation is granted by the Designated Person, but administered by the SPOC. The Designated Person will approve the conduct required to facilitate an Authorisation. An Authorisation allowing the NAFN SPOC to retrieve the data will only be issued where the Designated Person believes that one or more of the following apply:- • if a Notice is issued and the Communications Service Provider is incapable of complying with it; • if a Notice is served but the enquiry is likely to be prejudiced; or • there is an existing arrangement in place between NAFN and the Communications Service Provider for the exchange of data. 3.3.2 The application is approved, what next? The Designated Person will at the same time as approving the application grant the Authorisation completed by the SPOC. This will be done online using the NAFN website. 3.3.2.1 if the authorisation is approved, the designated person will follow the authorisation on to the Council’s Legal Services. The authorisation will be sent to the Sheriff Court for approval by the Sheriff of the authorisation; 3.3.2.2 the investigating officer who made the initial application for authorisation will attend a hearing in private at the Sheriff Court to support the Council’s request for approval. This appearance may also be made by the Council’s Legal Services staff. 3.3.2.3 The Sheriff can approve, refuse to approve or quash the authorisation, and this decision will be contained in a court order. If the Sheriff approves the authorisation then communications data can be obtained. If the Sheriff rejects the authorisation the Council can amend the application and re-submit for approval at a later date. If the Sheriff quashes the order, then no modified request for approval of an authorisation may be made. 3.3.2.4 The investigating officer will acquire a copy of the court order referred to in 3.3.2.3 above, and will refer this to the SPOC. This is required in the event of orders approving, refusing to approve and quashing the authorisation. Page 71 of 342
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3.3.3 How long does the Authorisation last? Authorisations will last for one month from the date of granting of the Authorisation. 3.3.4 Can an Authorisation be renewed? Prior to (but not after) expiry, officers can apply to have the Authorisation renewed using the same procedure as before. A Designated Person can only renew an approval if the renewal meets the same criteria as the original approval, i.e. if obtaining of communications data has become disproportionate the renewal must be refused. If an approval is renewed then the Designated Person must grant a new Authorisation. The new Authorisation will commence from the date of expiry of the previous Authorisation/Notice. The procedure is the same as seeking the original authorisation and must progress through the SPOC as normal. 3.3.5 Must an Authorisation be cancelled and, if so who cancels the authorisation? If it becomes obvious that the obtaining of communications data has not been fruitful or has expired without being renewed then the authorisation must be cancelled by the Designated Person. However if the original Designated Person is no longer available (for instance, having left the Council’s employment) the authorisation must be cancelled by his/ her replacement or a more senior officer. If the post of the Designated Person is not filled then the authorisation must be cancelled by an officer of the same level, or higher who has taken over the responsibilities of the original Designated Person. If for some reason that person is not available then the authorisation may be cancelled by any officer of the Council who could have granted that level of authorisation. Notification of the cancellation must be sent to the SPOC who will immediately contact the Communications Service Provider and advise them accordingly. 3.3.6 What if there is a cost? It is highly likely that the Communications Service Provider will incur costs in complying with the Authorisations. In that case the Council (i.e. the Service requesting the information) will be expected to meet those costs. Where the cost is greater than £10 then NAFN will seek approval beforehand. 3.4 DOCUMENTATION 3.4.1 What Documents are required? By using the NAFN RIPA Telecommunications service, all applications and authorisations are made on line. There is no requirement for the Council to hold copies of these documents. Statistics for the annual return for the Interception of Communications Commissioner’s Office (IOCCO) are provided by NAFN, and the Council is required to confirm that these authorisations were processed by NAFN. Inspections by IOCCO are conducted at NAFN. Page 72 of 342
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3.5 WHAT IF A PERSON WANTS TO MAKE A COMPLAINT? Anyone who is unhappy about the way the Council has obtained or is obtaining communications data may make a complaint by use of either internal or external procedures. The decision as to which procedure should be used lies with the individual concerned. 3.5.1 How to use the Internal Procedure If the person wishes to complain using the Council’s internal procedures, the complaint should be, in the first instance, addressed to the Executive Director of the Service carrying out or having carried out the obtaining of communications data. If this is unknown then the complaint should be made to the Executive Director of Corporate Services, the Council’s Monitoring Officer. The complaint should be in writing and give details of who is making the complaint. All Executive Directors may be contacted through the following address:- North Lanarkshire Council Civic Centre Windmillhill Street Motherwell ML1 1AB The Council will then investigate using officers who were not involved in the obtaining of communications data. Where possible the applicant will be advised of the outcome of the investigation, however, this might not be possible e.g. where the Council is unable to do so without prejudicing their regulatory functions. 3.5.2 How to use the External Procedure If a person wishes to complain directly to an independent body or has used the Council’s internal procedures and is still dissatisfied, then he/she may complain to the Investigatory Powers Tribunal. Complaints should be made in writing to:- The Investigatory Powers Tribunal PO Box 33220 London SW1H 9ZQ Notices and explanatory information on how to make a complaint, copies of this Protocol and any Council Policies, together with copies of the relevant forms, Code of Practice (if any) and the Regulation of Investigatory Powers Act 2000 must be made available in the public offices of Council Services which may be involved in obtaining of communications data. Page 73 of 342
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APPENDIX 1 Regulation of Investigatory Powers Act 2000 Guidance for Designated Persons APPLICATIONS FOR COMMUNICATIONS DATA 1. Background 1.1 The Council are empowered in terms of RIPA to obtain the “communications data” in respect of an individual. SERVICE USE INFORMATION (Service Data) Itemised telephone call records (numbers called) Itemised records of connections to internet services Itemised timing and duration of service usage ( calls and/or connections) Information about amounts of data downloaded and /or uploaded Information about the use made of services which the user is allocated or has subscribed to (or may have subscribed to) including conference calling, call messaging, call waiting and call barring telecommunications services Information about the use of forwarding/ redirection services Information about the selection of preferential numbers or discount calls Records of postal items, such as records of registered post, recorded or special delivery postal items, records of parcel consignment, delivery and collection SUBSCRIBER INFORMATION (Customer Data) “Subscriber checks” (also known as “reverse look ups”) such as “who is the subscriber of phone number 01698 45xx?”, “who is the account holder of e-mail account abc@abc.isp.co.uk?” or “who is entitled to post to web space www.example.co.uk?” Subscribers’ or account holders’ account information, including names and addresses for installation, and billing including payment method(s), details of payments Information about the subscriber to a PO Box number or a Postage Paid Impression used on bulk mailings Information about the provision to a subscriber or account holder of forwarding / redirection services, including delivery and forwarding addresses Subscribers or account holders account information including names and addresses for installation and billing including payment method(s), details of payments Information about the connection, disconnection and reconnection of services to which the subscriber or account holder is allocated or has subscribed to (or may have subscribed to) including conference calling, call messaging, call waiting and call barring telecommunications services Information about apparatus used by, or made available to, the subscriber or account holder, including the manufacturer, model, serial numbers and apparatus codes Page 74 of 342
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1.2 All of these examples fall into the category of private information about an individual and so obtaining the data would amount to an interference with an individual’s Convention rights. Consequently to obtain the information the Council must ensure that there is no improper interference with someone’s rights. In order to do so, the Council have created an approval system, where a Designated Person must give approval for the information to be obtained. 2. The Human Rights Test 2.1 In order to approve the obtaining of communications data, a Designated Person (“DP”) must be satisfied that the application complies with the following principles. 2.2 Lawful purposes - obtaining of communications data shall only be carried out where necessary to achieve the purpose of preventing or detecting crime or the prevention of disorder. Only if that purpose is met can there be any consideration of obtaining communications data. 2.3 Necessity - obtaining communications data shall only be undertaken where there is no reasonable and effective alternative way of achieving the desired objective(s). 2.4 Proportionality - the obtaining of communications data shall not be excessive i.e. it shall be in proportion to the significance of the matter being investigated and, for instance, the possibility and extent of collateral intrusion. 2.5 These criteria can be called “the Human Rights Test”. This Guide has been prepared to provide DPs assistance in assessing applications against each of the criteria. The determining of whether the Human Rights Test has been met will depend upon the merits and circumstances of each particular case. Consequently only rather general advice can be provided. If a DP wishes to obtain further advice on an application then he or she may contact one of the officers appointed by the Council to act as Single Points of Contact (“SPOC”) in terms of the Regulation of Investigatory Powers Act 2000 (“RIPA”). These officers are at present. 3. Lawful Purpose 3.1 The Council can only obtain communications data if it is required in connection with one or both of the following:- • The prevention and detection of crime; and • The prevention of public disorder. 3.2 If the DP is not satisfied that application substantiates one of these grounds then the application fails and must be rejected. It is not appropriate for the DP to automatically agree with the views of the investigator making the application. He/she must come to his or her own conclusions based solely on the information contained within the application. 3.3 Some matters on which the DP must be satisfied on are:- • Identification of either the crime which is being prevented or detected or disorder which is being prevented. This must be ascertainable from the application. A general suspicion of someone being involved in something illegal without knowing what in particular is unlikely to meet this test. Page 75 of 342
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• The clear linkage of the crime or disorder to the subject in respect of which the communications data is being sought. This does not mean that the subject must be the perpetrator of the crime or disorder, but where the subject is not the perpetrator then there could be issues in relation to “Necessity” and “Proportionality” (see later). • The crime must be something that the Council is investigating as a public law enforcement agency (“LEA”) similar to the police in relation to criminal law and so would not include a civil law matter. • Further it must be a matter which would fall or be expected to fall within the Council’s remit as a LEA. For example, while the Council are a LEA, they would not be expected to investigate crimes such as theft or assault. It may be that the Council wish to investigate the actions of their employees - but they are doing so as an employer not as a LEA - the criminal investigation is often being carried out by the police in tandem or in conjunction with the Council’s own investigation. 4. Necessity 4.1 This requires that the proposed action is “necessary in a democratic society”. Necessary does not mean “beneficial”, “useful”, “reasonable” or “desirable”. There must be a pressing social need for the obtaining of the communications data. The question arises as to what a “democratic society” encompasses. The “hallmarks” of such a society are “tolerance”, “pluralism” and “broadmindedness”. Consequently the interference can only be permitted if it is in accordance with those principles. 4.2 Therefore the obtaining of the information must be an absolute last resort. The DP must be satisfied that the information cannot be obtained without the interference with the Convention right. The investigator must show to the satisfaction of the DP that there are no alternative avenues or that the available avenues would be inappropriate (in exceptional circumstances). If in the view of the DP there are further steps which can be taken before the obtaining of the information through the Council’s RIPA powers, the application must be refused. 5. Proportionality 5.1 The DP must also be satisfied that the action proposed is proportionate i.e. is the exercise of the statutory power in balance with the matter being investigated. In looking at this issue the DP must balance the extent of the interference with the individual’s right to respect to his/her privacy and whether and to what extent it will interfere with the lives of others not connected with the investigation (“Collateral Intrusion”). The more intimate the interference, the more significant reasons for the interference are required. 5.2 Also where the subject is not the perpetrator of the alleged crime or disorder then, given their innocence, the matters justifying the interference must be particularly serious. 6. Conclusion 6.1 This guidance has been prepared to assist DPs in coming to a view on applications before them in respect of RIPA powers. As mentioned previously each case will depend upon its own circumstances. It will be for the DP to justify his/her decision in respect of each of these matters if the decision to approve the application is challenged. Consequently such decisions should not be taken lightly. Page 76 of 342
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North Lanarkshire Council Report Policy and Strategy Committee Does this report require to be approved? ☒ Yes ☐ No Ref MD/GC Date 08/06/23 Strategic Commissioning Plan 2023-26 From Morag Dendy, Chief Officer (Planning, Performance and Quality Assurance) E-mail Dendym@northlan.gov.uk Telephone 01698 332075 1. Background 1.1 The Public Bodies (Joint Working) (Scotland) Act 2014 requires the Integration Joint Board to publish a Strategic Plan. 1.2 Health and Social Care North Lanarkshire published its ten-year strategy “Safer, Healthier, Independent Lives” in 2016 with annual Strategic Commissioning Plans produced between 2016 and 2020, and a three-year plan covering the period 2020-23. The Strategic Commissioning Plans outline the key intentions to be delivered. 2. Report Strategic Commissioning Plan 2.1 An engagement and consultation process has been undertaken to ensure a wide range of staff, people who use services, carers and partner organisations have had an Executive Summary The Strategic Commissioning Plan sets out how the Integration Joint Board plans and delivers services for North Lanarkshire over the medium term and how these arrangements are intended to achieve and contribute towards achieving the national health and wellbeing outcomes. Recommendations It is recommended that the Policy and Strategy Committee: (1) Recognises the final version of the Strategic Commissioning Plan 2023-26. The Plan for North Lanarkshire Priority Improve the health and wellbeing of our communities Ambition statement (12) Ensure our residents are able to achieve, maintain, and recover their independence through appropriate supports at home and in their communities AGENDA ITEM 6 Page 77 of 342
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opportunity to participate in shaping the next three-year commissioning plan which will run from 2023-2026. A number of events have taken place to facilitate discussion in localities as well as targeted groups, Community Board members, elected members, Integration Joint Board members, and the Strategic Planning Group. The programme of all engagement activities is detailed as an appendix to the final Strategic Commissioning Plan. 2.2 The Board approved the draft version of the Strategic Commissioning Plan at its meeting on 30 November 2022, subject to final consultation during the months of December, January, and February. The draft plan was published online in early December, alongside a survey questionnaire which allowed members of the public and any other interested parties to give their feedback on the draft plan. Feedback was generally positive and additional suggestions have been incorporated into the final draft. The feedback from the survey is published as an appendix to the final Strategic Commissioning Plan. 2.3 A programme of work is set out within the plan outlining the key work programmes that will be undertaken over the three-year period to meet the key priorities within the Strategic Commissioning Plan. Key deliverables and timescales will be further developed, with regular reports on progress to be made to the Board and its Committee. 2.4 The approach to the development of the plan and the completion of the process has been overseen by internal audit. 2.5 The final version of the plan, once approved, will be graphically designed, and published online. 2.6 Health and Social Care North Lanarkshire has held extensive engagement in the development of the Strategic Commissioning Plan 2023-26. 2.7 A first draft of the plan was published for consultation in February and feedback has been incorporated within the final draft version of the plan attached to this report. 3. Measures of success 3.1 The Strategic Commissioning Plan is relevant to all National Outcomes. 3.2 The detail on the delivery of the Strategic Commissioning Plan will be set out in a separate Programme of Work which will be presented to the North Lanarkshire IJB in the summer of 2023. 3.3 A performance plan setting out the strategic measures and associated trajectories for delivery that the North Lanarkshire IJB is required to deliver will also be presented once the Programme of Work is finalised. Page 78 of 342
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4. Supporting documentation Appendix 1 – Strategic Commissioning Plan 2023-26 Appendix 2 – Strategic Needs Analysis Appendix 3 – Survey Feedback Appendix 4 – Equality Impact Assessment Morag Dendy Chief Officer (Planning, Performance and Quality Assurance) Page 79 of 342
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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 has been undertaken to complement the Commissioning Plan and will ensure the priorities that are set out in the plan are compliant with the Equality Act 2010. If Yes, has an assessment been carried out and published on the council’s website? On HSCP website in the key documents section. https://hscnl.org.uk/about-us/ 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? The priorities within the Strategic Commissioning Plan have been considered within the IJBs medium term financial plan. att100330.pdf (northlanarkshire.gov.uk) 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 ☒ Page 80 of 342
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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? The completion of the Strategic Commissioning Plan is supported by a communications plan to share the content capitalising on the refresh of the North Lanarkshire HSCP website. 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 Programme of Work will detail the assessment of risk overall and as it relates to individual preammes. 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 81 of 342
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Appendix 1 Strategic Commissioning Plan 2023‐26 Health & Social Care North Lanarkshire Page 82 of 342
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Contents 1. Introduction 3 2. Strategic Context 4 3. Developing the Plan 7 4. Strategic Needs Analysis 9 5. What We’ve Heard 12 6. Our Priorities & Ambitions 2023 ‐ 2026 15 7. Enabling The Plan 18 8. Measuring Performance 21 Page 83 of 342
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Introduction Welcome to our Strategic Commissioning Plan for Health & Social Care North Lanarkshire. This plan will cover the period 2023‐26 and will cover the final period of our long term Strategic Plan 2016‐2026. In developing this plan we have built on the work established in our previous Strategic Commissioning Plan 2020‐23, and through engagement and collaboration with local people, service users, members of staff and other key stakeholders this plan sets out our ambitions for improving the health and wellbeing of North Lanarkshire’s population. This plan sets out how community health, social care and social work functions delegated to the Integration Joint Board by North Lanarkshire Council and NHS Lanarkshire will be planned and delivered over the medium term. Despite the many challenges we have all faced since March 2020, we have made significant achievement and progress in the last three years. This plan gives an overview of some of these achievements and how they have helped to shape our priorities for the next three years. We have set out these priorities for further consultation with you to ensure we are focusing on the right things. We will develop a more detailed implementation plan to support our priorities in the coming months. We continue to experience the long‐term and lasting impact of the COVID‐19 pandemic, working with people to ensure they can access the support and treatment they require following a sustained period of disruption and restriction. We recognise the strength and resilience of our communities, workforce and partners as we move forward with our plans for recovery and renewal. The next three years will undoubtedly present further challenges and uncertainty as we continue our recovery from the pandemic‐related disruptions, and also in how we prepare for the establishment of a National Care Service. However, it is clear that we have strong foundations to build upon, working with service users, patients, carers, families and partner organisations to improve the health and wellbeing of North Lanarkshire residents. Page 84 of 342
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Strategic Context While North Lanarkshire’s Integration Joint Board has overall responsibility for planning health and social care services within the area, we have to consider the range of other national and local strategies, plans and policies to ensure our plan is consistent and aligned with the priorities of North Lanarkshire Council, NHS Lanarkshire, other community planning partners, and national priorities. National policies, legislation, strategies and plans Public Bodies (Scotland) Act 2014 Carers (Scotland) Act 2016 Community Empowerment (Scotland) Act 2015 Equalities (Scotland) Act 2010 Fairer Scotland Duty National Care Service Scotland’s Digital Health and Care Strategy Scotland’s Public Health Priorities Primary Care Improvement Programme Social Care (Self Directed Support) (Scotland) Act 2013 (and Framework of Standards) Page 85 of 342
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The strategic planning landscape is complex, as outlined above and we have put in place a number of strategies and plans which will be taken forward during the lifetime of this overarching Strategic Commissioning Plan. However, through our Strategic Commissioning Plan we are seeking to provide a clarity of direction for the Health & Social Care Partnership, while ensuring the appropriate linkages are made and due attention is given to our other planning commitments. We are fully committed to working in partnership with our statutory partners and the third and independent sectors. We will continue to work within the community planning structure within North Lanarkshire, recognising that through The Plan for North Lanarkshire, the Health & Social Care Partnership makes a vital contribution to realising the vision of making North Lanarkshire the place to Live, Learn, Work, Invest and Visit. We are also closely engaged in the development of the new, emergent strategy for NHS Lanarkshire, Our Health Together. This new strategy will seek to ensure maximum impact across our whole health and care system with due consideration afforded to recovering services and building resilience and dovetails neatly with the priorities set out in this plan. In working to deliver our priorities, the partnership will support both North Lanarkshire Council’s and NHS Lanarkshire’s roles as Anchor Organisations. That is, using their resources and influence to effect change to the social, economic and environmental conditions that Local Strategies & Plans The Plan for North Lanarkshire Our Health Together Lanarkshire Mental Health & Wellbeing Strategy Local Housing Strategy 2021‐26 Tackling Poverty Strategy Equality Strategies (NHSL and NLC) Children’s Services Plan Community Solutions Strategic Commissioning Plan North Lanarkshire Alcohol & Drugs Partnership Strategy Community Justice Partnership Improvement Plan Carers Strategy Page 86 of 342
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determine the health and wellbeing of local people. Anchor Organisations are defined by the Joseph Rowntree Foundation as: “…big and locally rooted organisations including the NHS, local authorities, colleges and universities, and private businesses with local HQs. Because they employ many people, spend substantial amounts of money, own and manage land and assets and often deliver crucial services, they have a considerable impact on local communities and economies. Further, they are historically rooted in the physical area, intrinsically connected to the local community and are pivotal to wellbeing.” Crucially, all of our delivery and implementation will be local and our plans are also closely aligned with the new Local Outcome Improvement Plans for each of the nine Community Board areas. Our overall structure for delivery remains with six localities, with three each aligned to a sector (North East and North West), which allows for closer relationship with the two acute hospitals located within North Lanarkshire. The diagram below outlines how our teams and relationships are structured, also including the hosting relationship with South Lanarkshire, and where we deliver services on an area‐wide basis. The outcomes that pull all of the strategic and planning strands together are reflected in an agreed set of nine national Health and Wellbeing Outcomes which the Health & Social Care Partnership has a duty to deliver. These are: Outcome 1 People are able to look after and improve their own health and wellbeing and live in good health for longer. Outcome 2 People, including those with disabilities or long‐term conditions, or who are frail, are able to live, as far as reasonably practicable, independently and at home or in a homely setting in their community. Page 87 of 342
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Outcome 3 People who use health and social care services have positive experiences of those services and have their dignity respected. Outcome 4 Health and social care services are centred on helping to maintain or improve the quality of life of people who use those services. Outcome 5 Health and social care services contribute to reducing health inequalities. Outcome 6 People who provide unpaid care are supported to look after their own health and wellbeing, including to reduce any negative impact of their caring role on their own health and wellbeing. Outcome 7 People using health and social care services are safe from harm. Outcome 8 People who work in health and social care services feel engaged with the work they do and are supported to continuously improve the information, support, care and treatment they provide. Outcome 9 Resources are used effectively and efficiently in the provision of health and social care services. Developing the Plan We value the input and contribution from all our stakeholders in all the work we do. In developing the Strategic Commissioning Plan 2023‐26 we have been committed to ensuring we engage as widely and as meaningfully as possible across and within our communities, workforce and partner organisations. During 2022, the relaxation of many COVID‐19 restrictions offered us the opportunity to have many more in‐person events than we had originally anticipated. Through a variety of workshops and local events we have been able to engage with a range of stakeholders through physical, face‐to‐face meetings. Our ability to use technology to supplement these events and meetings with online workshops has allowed us to offer a wide range of engagement opportunities. To support the development of this plan we engaged with a range of stakeholder groups, including people who use our services, carers of people who use our services, local residents, people who work in health and social care, local community groups and organisations, local elected members, and people who work for partner organisations and other service providers. Members of the IJB have been involved in discussions and have been kept advised throughout the development of the plan. Page 88 of 342
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In each of the events that took place we reviewed the achievements and challenges of the past three years and used a range of information and intelligence to guide our conversations into the opportunities and challenges facing the partnership in the future. The following provides an overview of the types of events and discussions which have taken place in the preparation of this plan. Strategic Planning Group Our Strategic Planning Group has the overall responsibility for producing, monitoring and reviewing our Strategic Commissioning Plan. The Group is chaired by our Chief Officer and has a wide‐ranging membership, including representation from: senior leaders and managers within the partnership, service user and carer representatives, Voluntary Action North Lanarkshire (VANL, the Third Sector Interface for community and voluntary organisations in North Lanarkshire), and a range of other partner organisations. Consultation and engagement with the group took place via an online workshop and the group met in December 2022 to review the draft plan and met in March 2023 to agree the final plan and next steps engagement in the Programme of Work. Sector and Locality Engagement Our North‐East and North‐West sectors brought their locality teams and local stakeholders together across two in‐person engagement events: one in Cumbernauld New Town Hall and one in Dalziel Park, Motherwell. These events allowed for a large attendance from each of the six localities, with dedicated inputs and workshop sessions on the development of this plan. Staff Roadshows Two staff roadshow sessions were dedicated to engagement on the development of future priorities and reviewing current achievements and challenges. These took place online allowing for a wide range of staff from across a large number of disciplines and services to take part. Community Boards – Strategic Engagement A Strategic Engagement event took place with members from each of the nine Community Boards in North Lanarkshire with a range of questions and discussion topics focusing on many local issues and priorities. Operational Leads We engaged with senior leaders and managers across our delivery areas, including: Adult Health Services Specialist Children’s Health Services Addiction, Learning Disability & Mental Health Services These sessions provided an opportunity for more tailored discussions and engagement in relation to the specific delivery areas. Page 89 of 342
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Online Consultation During December 2022 – January 2023, HSCNL published an online questionnaire to gain feedback from the public and employees on the ambition statements that underpin the partnership’s new Strategic Commissioning Plan 2023‐ 2026. The survey was circulated and available for completion for a five‐week period in December 2022 and January 2023. It was promoted to employees and the public through the social media channels of North Lanarkshire Council and NHS Lanarkshire. A total of 196 respondents completed the survey, consisting of 192 individuals and 4 organisations. Almost half of the respondents to the unpaid carers and over 60% of respondents are currently receiving or have a received a service from Health & Social Care North Lanarkshire for themselves or a family member. The summary of feedback from the survey is included as an appendix of the plan. Page 90 of 342
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Timeline of Engagement & Consultation Strategic Needs Analysis A comprehensive needs analysis has been developed with expert support from the Local Intelligence Support Team (Public Health Scotland). The full document analysis is attached as appendix 2. Key messages from this detailed work include the following: Population change By mid‐2043, it is projected that the overall population of North Lanarkshire will be very slightly lower than current levels (‐1.1%), while the overall Scottish population is projected to increase by 1.4%. It projected that by 2043, in North Lanarkshire: the number of people aged 0‐15 to shrink by 11% those aged 75 and over to increase by 53.5% Page 91 of 342
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In relation to the forecasted increase in an older population, people will be living longer, and we recognise the positive contribution older people make to their communities and society in general. However, it is anticipated that with the significant change over time in the proportion of older people we will witness an increase in the number of people with long term conditions, and an increase in the number of older people with multiple conditions. As these changes are in addition to current, long standing public health issues such as obesity, physical inactivity, smoking, alcohol, and substance misuse – it is expected these changes associated with an ageing population will increase demand for Health and Social care services. There will be an increasing number of older family carers and older people within our workforce ‐ many of whom will have their own health needs. The overall impact will be a steadily increasing demand for health and social care. On the one hand, we must ensure that we are able to manage and mitigate the levels of demand from an ageing population on our health and care services. First and foremost, extending the number of years that our population spends living in good health is vital. If people in Scotland live longer, but not healthier lives, then more people will spend a greater proportion of their lives in some kind of ill‐health. This is not a positive outcome at a personal level and could increase demand on health and care services for a longer period of time across the lifespan. Life expectancy Life expectancy and healthy life expectancy trends in Scotland have not improved since around 2012, and this is also this case for North Lanarkshire. These life expectancy trends indicate the urgency of addressing their underlying causes – the social and economic circumstances such as poverty, housing, and education that together influence health throughout the life course. Poverty and deprivation North Lanarkshire has a higher proportion of its population living in the 20% most deprived datazones compared to the Scottish position – 33% of North Lanarkshire’s population live in the 20% most deprived datazones compared with 19% of Scotland’s population living in the 20% most deprived datazones. This has increased since the 2016 SIMD. Page 92 of 342
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Across North Lanarkshire, 50,897 (15%) people are income deprived, the Scottish average is 12%. Of this 50,897 income deprived population – 28,234 live in the 20% most deprived datazones and 21,655 live in the 15% most deprived datazones therefore, 22,663 income deprived people live outside the 20% most deprived datazones and 29,242 income deprived people live outside the 15% most deprived datazones – this highlights the fact that people who are on low incomes live across the whole of North Lanarkshire and not just the areas we usually understand to be the most economically deprived. There are 24,796 working age people in North Lanarkshire experiencing employment deprivation. This is 11% of the working age population. In Scotland this is 9%. 13,415 people are employment deprived in the 20% most deprived datazones and 11,205 people are employment deprived in the 15% most deprived datazones, This means 11,381 employment deprived people live outside the 20% most deprived datazones The number of people experiencing income and/or employment deprivation in North Lanarkshire has fallen since the 2016 SIMD. Drugs death rate The drug related death rate for North Lanarkshire is slightly higher than the Scottish average for the most recent figures (2017‐21). In North Lanarkshire the drug misuse death rate per 100,000 population was 23.4, compared to the Scottish rate of 22.9. Alcohol related deaths The age‐standardised death rates for alcohol‐specific deaths in North Lanarkshire are higher than the Scottish average and fourth highest in Scotland. The age‐standardised death rates for alcohol‐specific deaths in the most deprived 20% of areas in Scotland has been consistently higher than the rest. The death rate in the most deprived areas is 4.3 times the rate in the least deprived areas in 2020 (41 deaths per 100,000 compared to 10). Since 2001 the death rate in the most deprived areas has remained the highest of all five SIMD quintiles although the gap has narrowed slightly. Locality Profiles We have developed profiles for each of our six localities: Airdrie Bellshill Coatbridge Motherwell North Wishaw Page 93 of 342
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What We’ve Heard The conversations which took place across the range of engagement activities highlighted in section above generated a richness of views, experience, and intelligence from a range of individuals and stakeholders. Much of engagement focused on reviewing where we thought things were working well and where we felt there were ongoing challenges, or indeed, anticipated challenges in the future. The achievements and challenges highlighted below are a distillation of these conversations and represent some of the common themes which emerged in our engagement activities. Achievements Resilience within the system – staff, carers, service users A common thread through all our engagement activity was the recognition of the efforts and resilience of members of staff from across the health and social care sector, volunteers, carers, service users and family members in dealing with the many challenges of the COVID‐ 19 pandemic. Focus on staff health, wellbeing and connectedness Training, practical and psychological supports have been developed for staff wellbeing across the Health and Social Care partnership over the past two to three years. These initiatives are now aligned and incorporated within the major strategic workplans of both North Lanarkshire Council, NHSL and Health and Social Care NL which will inform and shape the way we work going forward, engaging with staff, embedding good practice in our ways of working and improving our methods of supporting staff in the longer term. Use of technology – within a variety of settings The use of technology has expanded considerably over the past three years, and the experience of the COVID‐19 restrictions resulted in the acceleration of our plans to use technology more in relation to online appointments and consultations, technology‐enabled care and also as a key element of our communication and day‐to‐day management. Mental Health Recovery and Renewal The recovery and renewal of our mental health services continues to progress and the importance of linking these efforts with our new priorities was reflected in engagement discussions and feedback. Care Academy The Health and Social Care Academy provides curriculum opportunities linked to the health and social care sector. These are targeted at young people in the senior phase of learning. It is focused on assisting pupils to gain qualifications as well as work related learning experiences which will help them in gaining employment and assist in meeting the workforce requirements of this sector. The main areas are health and social care, general nursing and allied health professions. Page 94 of 342
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Community Solutions ‐ community capacity building Community Solutions is the community led, health and social care investment programme operating across North Lanarkshire focused on building communities where people can have full, independent lives. The programme, which has been in place since 2013, is a partnership between HSCNL, Voluntary Action North Lanarkshire (VANL), and the community and voluntary sector of North Lanarkshire. Its latest Strategy and Investment Plan 2022‐25 was agreed in March 2022, setting out investment plans within the programme to strengthen community capacity and resilience and deliver person‐centred, community‐based support and services to priority groups. Enhanced Capacity & Resilience In February 2022, the Integration Joint Board approved a £20m business case, utilising both recurring and non‐recurring resources to transform the whole health and social care system and build capacity and resilience within it. Building on the wider approach to recovery and renewal across the sector, investment is being made in supports and approaches which: Maximise capacity through new staffing, resources and services; Ensure staff wellbeing; Ensure system flow by improving planned discharge from hospital and increasing access to care in a range of community settings; Improve outcomes through collective investment in people, systems, services and supports which deliver the right care in the right setting. Challenges Increasing demand for services, with increasingly complex needs and limited capacity for response With an ageing population, the projected growth in demand for health and social care services over the next 15‐20 years is considerable. However, there was also a common view from those who engaged in our discussions that demand for services and support is increasing now and in the short‐term and that individuals’ needs are becoming increasingly complex. Cost of living crisis and widening inequalities Given current challenges in relation to the cost of living crisis, the wider issues of poverty and income deprivation were highly prevalent in the discussions and engagement activity that took place. There are significant and persistent inequalities in outcomes across the North Lanarkshire population that have a significant impact on people’s life opportunities and life chances. There is strong evidence to suggest the experience of the COVID‐19 pandemic has widened some inequalities with some sectors of society disproportionately affected by the disruption and restrictions. The current cost of living crisis will also disproportionately affect those with lower incomes. Staff recruitment and retention The wider health and social care sector has experienced challenges related to the recruitment and retention of staff for some time, with the recent experiences of COVID‐19 and the United Kingdom leaving the European Union placing further pressure on challenging Page 95 of 342
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situation. There is a need to invest in the workforce through training and development, and clear career pathways allied to ensuring we make employment within the sector as attractive as possible. Through a values‐based approach we should be offering flexible and positive working environments with an embedded culture of staff wellbeing. National Care Service The Scottish Government has committed to establishing a functioning National Care Service (NCS) by the end of the parliamentary term in 2026. The aims of the service are centred around early interventions that prevent or delay the development of care needs and reduce care needs that already exist; and the proposed service aspires to design services collaboratively with the people to whom they are provided and their carers’. These aims are reasonable and consistent with the priorities set out in this plan. However, social work and social care staff may transfer to a new organisation as part of the proposals, but this is unclear at this point. Over the next 2‐3 years, proposed changes will have a direct impact on colleagues working in health and social care and there will be a significant work to prepare for the implementation of the NCS. Our Priorities and Ambitions for 2023 – 2026 The long term vision for the Health and Social Care partnership which was set out in the original Strategic Plan 2016‐2026 remains relevant and will continue as the over‐arching vision of this plan. The vision set out in 2016 was that the people of North Lanarkshire will achieve their full potential through: Living safe, healthy and independent lives in their communities. Receiving the information, support and care they need, efficiently and effectively, at the right time, in the right place and in the right way. Ensuring North Lanarkshire is the best place in Scotland to grow up. In 2020, we identified six key ambitions that helped to prioritise our areas for action: Do the right thing first time Provide a range of community services to support people to live well in connected communities Focus on what matters to people (outcomes) Be at the forefront of technical and sustainable solutions Promote prevention and early intervention Ensure North Lanarkshire is the best place to work, volunteer and care Following our engagement with stakeholders, taking into account the experience of the past three years and the current and future challenges facing the partnership, it has been agreed to revise our ambitions to the following: Do the right thing first time Increased focus on prevention, early intervention and tackling inequalities by working with communities and people Page 96 of 342
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Develop and support a workforce for the future Improve mental health and wellbeing Support people through a whole family approach Do the right thing first time Overarching the whole system is the work to ensure that when people make contact with our services that the response is quick and effective, with a focus on helping people to help themselves first. The continued development of First Point of Contact incorporating good conversations across the Health and Social Care Partnership (HSCP) and embedding the approach with a whole system focus remains a priority and will ultimately support getting it right first time. Increased focus on prevention, early intervention and tackling inequalities by working with communities and people The population and needs analysis within this Plan highlights the need to do things differently, to understand the demographic challenges facing North Lanarkshire and to harness the opportunities of people living healthier lives for longer. Changing the way we deliver services and support people includes acknowledging that in some cases the way we do things attracts higher costs because we focus more on managing crises and late interventions. We need to focus more on prevention, early intervention and empowering people to live fulfilling lives. By providing ‘upstream’ support at an early stage, we can reduce the demand on intensive health and care service and re‐invest in more community focused support services. However, we recognise that early and effective support is not always best provided through health and social care services. Through working with our partners in the Third Sector, we can identify, support and develop local community‐based programmes, run by voluntary and independent organisations that focus on the health and care needs of local communities. Work will take place to support and empower people to continue to live healthy, meaningful and more personally satisfying lives as active members of their community for as long as possible. To do this we will show ambition and be innovative to develop and try new ways of providing services. We value and recognise the vital role local people and communities play and through our Engagement and Participation structures we will continue to ensure we provide a voice for local people, service users, patients and carers and ensure we listen to their needs and aspirations. Our strategic planning arrangements don’t stop with publication of a plan, and so engagement and participation from local people will extend into the delivery of our partnership priorities. Page 97 of 342
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Develop and support a workforce for the future The increase in the ageing population of North Lanarkshire is broadly mirrored within the workforce of the health and social care sector, therefore it is important for us to be cognisant of this and ensure mechanisms are put in place to allow flexibility and support to our workforce throughout each career level from entry level to ensure their physical and mental health is nurtured. There are also continuing challenges with regards to resourcing, attracting, recruiting and retaining staff. There is an increasing need to support a ‘pipeline’ of workers coming into the profession, for example through highlighting the sector in schools, through other opportunities in developing the young workforce, through wider employability routes, or from career changers. Whole system planning requires further development to better understand the needs and demands of communities including their public health challenges, the types of roles needed to support different health and social care needs, and the availability of different types of workers over time as well as the relationships and influences between all parts of the system. Improve mental health and wellbeing We know, through our service information and through speaking to our local communities, that mental health concerns are increasing in the population. This means potentially a greater demand for mental health services and community supports. There is a need for a refreshed and reinvigorated approach to mental health improvement and the delivery of the Lanarkshire Mental Health & Wellbeing Strategy, continuing to focus on the four core areas: Good mental health for all Improving access to mental health supports and services Children and young people’s mental health and wellbeing Specialist mental health services All work must be underpinned by a collective effort to challenge mental health stigma and discrimination to ensure that those who require support are encouraged to access it. Page 98 of 342
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Supporting people through a whole family approach Our aspiration is to support adults and children of all ages with the tools to set, plan for and achieve their goals together. This puts wellbeing at the heart of our approach and considers the situation that adults and children live in, who they live with and family relationships. This may include helping an adult and their family to think about what may happen in the future, and plan for those possible changes, when the adult needs more care or if a carer becomes unwell; supporting carers of all ages within their caring role and as equal partners in care; and supporting families where substance use and other challenges exist. This means in practice understanding each person as an individual, as well as recognising the part they play in their family and community. The approach builds on everyone’s strengths and develops their resilience. Clearly, these priorities are interlinked and we expect them to influence and shape each other as we progress our implementation. Implementation Plan Under each priority area we will develop an agreed set of shorter‐ and medium‐term goals (Programme of Work) that we plan to address between 2023 and 2026. The Programme of Work will set out in detail the programmes that will be progressed over the next three years. We will update these on an annual basis to ensure that we stay on track and, at the same time, be able to respond to any new or emerging issues that we need to address. We will closely monitor our progress and continue to seek out feedback from service users, carers, and families on the impact we are making. The Programme of Work is outlined in the two diagrams below and will evolve over time as we learn from practice what works and what doesn’t. Diagram 1 The Programme of Work outlined against the 5 key priorities Page 99 of 342
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Diagram 2 The Programme Management approach to the Programme of Work The programme of work consists of a range of evolving workstreams linked to each of the five strategic priorities. In the delivery and implementation of our programme, we will ensure appropriate governance arrangements are in place in relation to quality standards, staffing levels, financial management and outcome delivery. There are a range of supporting pillars in place which will support our programme, e.g. medium term financial plan, workforce plans, Engagement & Participation Strategy, which are described in more detail later in this plan. Page 100 of 342
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Enabling Our Plan Medium Term Financial Plan A medium term financial plan will sit alongside the Strategic Commissioning Plan for the period 2023‐26. The financial outlook for the public sector is extremely challenging and so it is essential that our strategic ambitions are set against the financial resources we anticipate will be available. The IJB financial strategy must ensure sustainability for the current and future years whilst recognising the current significant challenges for both partners. Efficient, effective and affordable services fit for the future will need to be developed as part of the integration and transformational change activities. The IJB Medium to Long Term Financial Plan was prepared in March 2020 and underpins strong financial planning and management, the achievement of best value and the allocation of resources to support sustainable models of service delivery from a whole system perspective, ensuring our limited resources are targeted to achieve our outcomes. This plan however was prepared before the impact of the emergency response to the COVID‐19 pandemic was known. As part of the recovery plan to the pandemic, the IJB Medium to Long Term Financial Plan is being reviewed to reflect the operational and financial challenges. The IJB Chief Finance Officer will continue to consult with both partners about the options available to address all 2022/2023 recurring and non‐recurring health and social care cost pressures. Cost reduction options will be explored however this is not expected to release sufficient funding to meet the total increase in all health and social care cost pressures going forward. Reliance will therefore require to be placed on non‐recurring funding and reserves. Our joint focus with all our partners and stakeholders will continue to be ensuring that all resources in scope are maximised, health and social care services are remobilised and a whole system approach across North Lanarkshire is adopted which is sustainable and operates efficiently and effectively. Page 101 of 342
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Market Facilitation Plan The Plan outlines our approach, sets out our commitment to working in partnership and outlines how we will communicate key messages, enabling a basis for early engagement and consultation with the market on how best to respond to supporting social care and support need. Engagement will take place through existing communication channels and provider forums, with the aim of developing a joint action plan to support the delivery of the Market Facilitation Plan, which will also reflect the Strategic Plan objectives. We need providers to consider these key messages if they wish to be best placed to respond to future market requirements. Developing a Market Facilitation Plan is an evolving process and we will involve all our partner organisations on an on‐going basis to help make sure that the changes we wish to make can be delivered and sustained. Workforce Plan Our workforce planning arrangements are integrated with the Lanarkshire Health and Social Care Integrated Workforce Plan 2022‐25 and the Workforce for the Future Strategy. Through our combined efforts with NHS Lanarkshire and North Lanarkshire Council we are seeking to build a flexible, resilient and skilled workforce for the future across the health and social care sector and we will continue to expand and develop the Care Academy model that has already proved successful. Housing Contribution Statement A warm, accessible and affordable home is the foundation on which to build good health and wellbeing. By providing access to homes that are energy efficient, affordable, accessible and adaptable over the life course, North Lanarkshire’s housing sector is well placed to influence a number of key areas that improve health and wellbeing and reduce health inequalities. The sector also makes a vital contribution by boosting the local economy through the creation of employment, attracting investment and supporting sustainable economic growth, which has consequential positive impact on health outcomes. Shared outcomes have been identified which are aligned with both the LHS and this plan. 1. Reduce health inequalities experienced by people who face the most disadvantage in our communities 2. Reduce hospital admissions, length of stay, delayed discharge and readmission rates 3. Support people to live safely and well for longer in their own home through a range of home interventions and early prevention activities 4. Prevent and resolve homelessness effectively, providing wrap around support where necessary Page 102 of 342
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Housing is a key partner on North Lanarkshire’s Integration Joint Board and both local authority and registered social landlords are represented on the Strategic Planning Group. Key successes achieved include: Increased the number of affordable and accessible homes in North Lanarkshire helping to meet a broad range of needs, delivering 3,167 new build homes since 2010/11 and a further 611 homes through the Open Market and Empty Homes Purchase Scheme.0F 1 Enhanced the design of new build homes to improve accessibility and ensure future sustainability. Improved the energy efficiency of our new and existing housing, employing low carbon technologies designed to reduce energy costs, helping keep carbon‐emissions low and tackle fuel poverty. Implemented a revised allocations policy for sheltered housing which better meets the broad and changing needs of older households. Implemented a downsizing scheme to support older people to downsize to more suitable housing that better suits their needs. Developed and implemented new policies for tackling domestic abuse and improving tenancy sustainment, helping prevent homelessness and ensure timeous access to support. Delivered dedicated housing support, reducing the need for intensive support. Improved digital connectivity infrastructure installed in retirement complexes and in council new build homes, helping to support independence and promote social inclusion. Provided resource flats to help aid hospital discharge and key partner in established weekly discharge meetings to prevent housing‐related hospital delays. Delivered income maximisation services and administered grant funding to those experiencing financial hardship who are at risk of homelessness, helping to combat the cost‐of‐living crisis and tackle fuel poverty. Implemented the Rapid Rehousing Transition Plan, providing settled accommodation first and foremost where possible, minimising time spent in temporary accommodation and providing flexible strength based support for those with complex and multiple support needs. The negative health consequences of homelessness are well documented. Those experiencing homelessness are at higher risk of morbidity, mortality as well as mental health and addictions issues. Our Rapid Rehousing Transition Plan (RRTP), which aims to provide settled housing options to those experiencing homelessness as quickly as possible to avoid lengthy stays in temporary accommodation, is now in its fourth year. We have made good progress. Our Housing First Team is well established, providing intensive support to those with the most complex needs. We have developed multi‐disciplinary practice which continues to evolve. It is essential that we continue to strengthen this partnership approach to preventing and addressing homelessness, considering the wide‐ranging impact on health and wellbeing. 1 As at 20th Feb 2023, includes both Council and Registered Social Landlord new build homes. Page 103 of 342
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We are investing in our Town Centres, re‐purposing and renovating buildings for residential use; helping to create sustainable mixed‐use centres that are attractive and appealing. We are employing greener technologies, making our homes more energy efficient, reducing fuel poverty and boosting the local economy by creating employment opportunities. We are encouraging active transport links, providing access to high quality, accessible open space and promoting the role that placemaking can have on generating positive health outcomes. Current Challenges: Homelessness is increasing across Scotland and is expected to increase in North Lanarkshire over the coming years due to the current cost‐of‐living crisis. This is particularly important since evidence suggests that homeless people also experience the worst health outcomes, including mental health issues, addictions and self‐harm. Implementation of Prevention of Homelessness duty is expected at end of 2023 which will require considerable resource and collaboration. Our older population is increasing, particularly in the 75+ and 90+ age groups. This will present significant housing and support challenges and will increase the need for accessible and adaptable housing, and for equipment and adaptations. There is a shortage of wheelchair liveable homes and homes for older people across tenures with a need to increase provision particularly in the private sector. The cost‐of‐living crisis will exacerbate existing inequalities, forcing more residents into fuel poverty and rent/ mortgage arrears, and reduce capacity to fund repairs and maintenance. In recognition of these challenges, we have developed the following set of shared priorities to be addressed going forward, all of which will contribute towards meeting the priorities outlined in the SCP and achieving our shared outcomes. Our Shared Priorities: Implement the RRTP to effectively address homelessness, preventing people from becoming homeless in the first instance and where people do become homeless enable them to access permanent housing faster. Strengthen collaboration and joint care planning to effectively meet needs of homeless people with complex needs and reduce repeat homelessness. Identify and develop appropriate actions to deliver the Prevention of Homelessness duties when enacted. Work in partnership to identify earlier, effective interventions and responses to those experiencing domestic abuse. Provide an effective response to the housing and health needs of children and young people with a specific focus on those who are care experienced. Improve our understanding of the impact of inequality on specific protected groups. Increase the supply of accessible housing, including working with the private sector to increase awareness of the need for wheelchair housing and encourage development. Continue to adapt and install equipment and technology to help people live for longer in their own home. Ensure effective allocation of adapted properties to make best use of our housing stock in meeting the needs of people with disabilities. Page 104 of 342
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Enable swifter discharge from hospital and reduce delayed discharge. Provide person‐centred support to help people develop the skills to live independently and thereby reduce the risk of a more acute crisis or intervention. Provide high quality, tailored housing options advice to meet the needs of individual households. These shared priorities although funded primarily by housing budgets, some will require pooled budgets/resourcing in the longer‐term to ensure sustainability and continued progress towards improving outcomes for people, particularly those with complex, enduring or multiple needs, who have been involved with health, social care and housing services. This mainly relates to the actions and priorities set out in the RRTP. Engagement and Participation Strategy Health and Social Care North Lanarkshire (HSCNL) has a firm commitment to ensuring ongoing meaningful involvement with the communities it serves. This engagement and participation strategy sets out how we will achieve this. This will ensure we have the right systems and supports in place to enable effective engagement between stakeholders and HSCNL and the strategy and approach is a key supporting pillar of the overall Strategic Commissioning Plan. Transformation Plan This Strategic Commissioning Plan seeks to address the need to act now and have a lasting and sustainable impact and build resilience in the whole system supporting people and communities in North Lanarkshire. Investment across the sector must strengthen services and supports in creating additional capacity across our health and care system as well as targeting our efforts to transform and redesign to ensure people can access the right support from the right person at the right time. Recognising that more of the same will not sustain robust services and supports into the future, a Strategic Commissioning Plan Programme Board (SCP PB) has been established to ensure a whole system approach is adopted to support transformational change which capitalises on the availability and use of all of our resources and will drive forward the transformation agenda emanating from this plan. A key element of our Transformation Plan will be an Organisational Development Strategy focusing on our leadership values, culture and behaviours. We will look to build on our strengths to develop a compassionate leadership model which encourages and sustains behaviours of understanding, empathising, and helping create inclusive, effective and collective cultures within our teams. We will seek to take a Human Learning Systems (HLS) approach to understand what makes a difference in people’s lives. We will seek to co‐design integrated solutions based on people’s strengths and assets in the context of a whole system. Our workforce will be empowered to test new approaches and report what works. We will capture and use data and intelligence Page 105 of 342
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in a different way to support learning, bringing professionals and people together to reflect regularly and share learning. We will work creatively and continue to develop a realistic medicine approach. In developing a culture of empowering practitioners across our whole system to work differently to achieve desired outcomes, we will apply a trauma‐informed lens to our services and undertake a self‐assessment to recognise the current impacts of the last three years, in particular the impact of the pandemic. We will also apply this approach across our staff teams and ensure our staff health and wellbeing programmes provide the most appropriate support. We will also further develop our programme management approach to the delivery and implementation of this plan and its programme of work, with identified training and development resources available to leaders and managers to effectively deliver a shared transformation and improvement agenda. Support, Care & Clinical Governance – quality and standards of care and support A Support, Care & Clinical Governance framework is in place for integrated services, built upon the national clinical and care governance framework. The framework encompasses the following: Professional regulation, workload and workforce development; Information assurance; Service user experience and safety and quality of integrated service delivery and personal outcomes; Person‐centred care; Management of clinical risks; and Learning from adverse event Measuring our Performance The Health and Social Care Partnership has long been committed to a whole system approach, recognising the co‐dependencies that exist across the entire health and social care system. Ensuring we have a performance framework that reflects the whole system requires continued engagement with partners and stakeholders from across the whole system, including but not limited to: HSCP services, Acute services, NLC services, third sector, carers, people with lived experience, etc. We have robust performance monitoring processes in place which allow us to assess how well we are delivering health and care services to the people of North Lanarkshire. As part of our annual performance reporting arrangements, we are required to demonstrate how we perform against the nine national health and wellbeing outcomes. These are: 1. People are able to look after and improve their own health and wellbeing and live in good health for longer. Page 106 of 342
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2. People, including those with disabilities or long‐term conditions, or who are frail, are able to live, as far as reasonably practicable, independently and at home or in a homely setting in their community. 3. People who use health and social care services have positive experiences of those services, and have their dignity respected. 4. Health and social care services are centred on helping to maintain or improve the quality of life of people who use those services. 5. Health and social care services contribute to reducing health inequalities. 6. People who provide unpaid care are supported to look after their own health and wellbeing, including to reduce any negative impact of their caring role on their own health and well‐being. 7. People who use health and social care services are safe from harm. 8. People who work in health and social care services feel engaged with the work they do and are supported to continuously improve the information, support, care and treatment they provide. 9. Resources are used effectively and efficiently in the provision of health and social care services. These nine national health and wellbeing outcomes are underpinned by 23 performance measures which are reported through our Annual Performance Reports. In addition to the reporting on the 23 national indicators, we also publish information a further suite of six indicators set out by the Scottish Governments Ministerial Strategic Group for Health and Community Care. Page 107 of 342
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Appendix 1 List of engagement events and activities Date Forum Type of engagement 7 June 2022 Strategic Planning Group Online event, via MS Teams 9 June 2022 Locality Planning Group Chairs event In person event 4 August 2022 Staff Roadshow Online event, via MS Teams 31 August 2022 North East Sector – Motherwell, Bellshill and Wishaw Localities (staff, stakeholders, elected members and carer/service user representatives) In person event 7 September 2022 North West Sector – North, Coatbridge and Airdrie Localities (staff, stakeholders, elected members and carer/service user representatives) In person event 13 September 2022 Strategic Planning Group Online event, via MS Teams 29 September 2022 Community Board Strategic Engagement Event Online event, via MS Teams 30 September 2022 Session with Public Partnership Forum North In person event 7 October 2022 Adult Health Services Event In person event 7 October 2022 Specialist Children’s Health Services Event In person event 20 October 2022 Session with Access Panel In person meeting 27 October 2022 Staff Roadshow Online event, via MS Teams 2 November 2022 Integration Joint Board Liaison Session Online event, via MS Teams 30 November 2022 Integration Joint Board meeting Online meeting, via MS Teams 6 December 2022 Strategic Planning Group Online meeting, via MS Teams 16 December 2022 – 20 January 2023 Online Survey Online feedback questionnaire, hosted on NLC website 18 January 2023 Population Health & Primary and Community Services Governance Committee, NHS Lanarkshire Online meeting, via MS Teams 1 February 2023 North Lanarkshire Council Elected Members Briefing Session Online event, via MS Teams Page 108 of 342
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Appendix 2 Health & Social Care North Lanarkshire Strategic Needs Analysis February 2023 Page 109 of 342
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Contents 1 Introduction .....................................................................................................................................................................35 2 Demographics ..................................................................................................................................................................36 3 Population Projections ....................................................................................................................................................42 4 Life Expectancy ................................................................................................................................................................45 5 Care at Home ...................................................................................................................................................................47 6 Care Home ......................................................................................................................................................................55 7 Self‐Directed Support (SDS) .............................................................................................................................................62 8 Unscheduled Care ............................................................................................................................................................68 9 Delayed Discharges ..........................................................................................................................................................86 10 Long Term Conditions ......................................................................................................................................................88 11 Children and Young People..............................................................................................................................................93 12 Mental Health ................................................................................................................................................................101 13 Last 6 months of life ......................................................................................................................................................102 14 Outpatient Appointments .............................................................................................................................................103 15 Cancer ............................................................................................................................................................................107 16 Births and Deaths ..........................................................................................................................................................109 17 Smoking .........................................................................................................................................................................113 18 Primary Care ..................................................................................................................................................................114 19 Health Inequalities .........................................................................................................................................................115 Page 110 of 342
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Introduction In preparing the previous SCP, a comprehensive needs analysis was completed to support planning decisions and assumptions. This work has continued and also been supplemented by the Local Intelligence Support Team (LIST) from Public Health Scotland who provide specific and expert analysis of current and future demand on health and social care services. To support the planning assumptions, a revised and updated needs assessment was completed as detailed below. However, the information shown represents a small snapshot of the information available in a planning context. Therefore, the needs profiling work will continue as the plan is being implemented, particularly with regards to further information profiling on inequalities and early intervention and prevention data as well as the longer‐term impacts of COVID‐19. A summary of the needs analysis is provided below. The long‐term impact of the Covid‐19 pandemic is not yet clear. All projections presented in this report, which assume that pre‐pandemic levels and trends will continue post‐pandemic, should be interpreted with caution. Between now and 2043, the population of North Lanarkshire is projected to decrease by 1% however the population aged 75+ is projected to increase substantially – by around 54%. In 2018‐2020 the average life expectancy in North Lanarkshire was 74.5 years old for men, and 79.2 years old for women: both below the average life expectancy for Scotland overall. North Lanarkshire is more deprived than Scotland as a whole, with all localities apart from North having a higher proportion of the population in the most deprived quintile compared to Scotland. North Lanarkshire has a higher rate per 1,000 population compared to Scotland for several health indicators including: A&E attendances, acute emergency hospital admissions, readmissions, alcohol and drug related hospital admissions, NHS 24 calls North Lanarkshire has a higher percentage of children with a concern compared to Scotland at the 13‐15 month, 27‐30 month and 4‐5 years child health reviews North Lanarkshire has generally had a higher uptake percentage for child vaccinations compared with Scotland North Lanarkshire has a lower rate per 1,000 population compared to Scotland for several health indicators including: delayed discharges bed days, Mental Health (psychiatric) emergency bed days, CAMHS referrals In 2021/22, 13.5% of the North Lanarkshire population had three or more long‐term health conditions (LTCs). Anxiety/Depression is by far the most prevalent long‐term conditions amongst the North Lanarkshire population. Page 111 of 342
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The percentage of the last 6 months of life spent in the community has increased in North Lanarkshire since 2013/14. North Lanarkshire has higher age/sex standardised rates for all deaths, deaths by suicide and deaths by alcohol, compared to Scotland North Lanarkshire has a lower number of GPs and GP practices per practice list size compared with Scotland, with North Lanarkshire having lowest number of GPs per practice list size of all HSCPs in Scotland North Lanarkshire populations in the most deprived SIMD quintiles have much higher rates per 1,000 population than those in least deprived quintiles for many health indicators, and trends over time show this disparity has remained fairly consistent over the last 5 years with no signs of this inequality reducing. Demographics Chart 1: North Lanarkshire 2021 population by locality Source: National Records of Scotland population estimates Table 1: North Lanarkshire 2021 population by locality Area of Residence Mid‐2021 population estimate Percentage of North Lanarkshire population Airdrie 56,357 17% Bellshill 41,377 12% Coatbridge 50,330 15% Motherwell 54,205 16% North Lanarkshire North 87,695 26% Wishaw 51,436 15% North Lanarkshire 341,400 100% Source: National Records of Scotland population estimates Page 112 of 342
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As of 2021, North Lanarkshire has a total population of 341, 400, with North Lanarkshire North being the most populous locality making up around a quarter the total North Lanarkshire population. Airdrie is the next biggest locality, followed by Motherwell, Wishaw, Coatbridge and then Bellshill. Chart 2: Percentage of 2021 population by area of residence and age group Source: National Records of Scotland population estimates Table 2: Count of 2021 population by area of residence and age group Age Group Area of Residence 0 to 17 18 to 44 45 to 64 65 to 74 75 Plus Total Airdrie 11,758 19,091 15,840 5,641 4,027 56,357 Bellshill 8,002 13,924 11,879 4,541 3,031 41,377 Coatbridge 10,253 17,019 14,421 4,832 3,805 50,330 Motherwell 11,787 18,812 14,837 4,939 3,830 54,205 North Lanarkshire North 17,984 28,972 24,585 9,437 6,717 87,695 Wishaw 9,967 16,862 14,791 5,476 4,340 51,436 North Lanarkshire 69,751 114,680 96,353 34,866 25,750 341,400 Scotland 1,024,981 1,890,933 1,490,125 595,578 478,283 5,479,900 Source: National Records of Scotland population estimates When compared to Scotland, North Lanarkshire has a higher percentage of its population in the younger age groups – 0 to 17, 18‐44 and 45‐64 and a lower percentage of its population the older age groups 75Plus age groups. Page 113 of 342
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ff 3: Percentage of 2021 population by area of residence and gender Source: National Records of Scotland population estimates Table 3: Count and percentage of 2021 population by area of residence and gender Gender Female Male Area of Residence Count Percentage Count Percentage Airdrie 29,095 52% 27,262 48% Bellshill 21,298 51% 20,079 49% Coatbridge 26,017 52% 24,313 48% Motherwell 27,749 51% 26,456 49% North Lanarkshire North 45,581 52% 42,114 48% Wishaw 26,331 51% 25,105 49% North Lanarkshire 176,071 52% 165,329 48% Scotland 2,807,338 51% 2,672,562 49% Source: National Records of Scotland population estimates There is a slightly higher proportion of females compared to males in North Lanarkshire, with a similar pattern being shown across the six localities. North Lanarkshire has a slightly higher proportion (52%) of females than Scotland as a whole (51%). Chart 4: Percentage of 2021 population by area of residence and SIMD quintile Page 114 of 342
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Source: National Records of Scotland population estimates, combined with Public Health Scotland population weighted Scottish Index of Multiple Deprivation 2020, which is based on Scottish Government Scottish Index of Multiple Deprivation Table 4: Count of 2021 population by area of residence and SIMD quintile SIMD Quintile Area of Residence Q1 (Most deprived) Q2 Q3 Q4 Q5 (Least deprived) Airdrie 23,279 12,009 10,032 9,335 1,702 Bellshill 17,197 10,569 4,667 5,042 3,902 Coatbridge 20,211 13,991 7,043 7,285 1,800 Motherwell 21,418 9,715 4,197 10,651 8,224 North Lanarkshire North 10,394 27,688 15,116 15,657 18,840 Wishaw 16,919 18,542 7,526 7,273 1,176 North Lanarkshire 109,418 92,514 48,581 55,243 35,644 Scotland 1,077,716 1,082,490 1,097,605 1,129,841 1,092,248 Source: National Records of Scotland population estimates, combined with Public Health Scotland population weighted Scottish Index of Multiple Deprivation 2020, which is based on Scottish Government Scottish Index of Multiple Deprivation North Lanarkshire is more deprived than Scotland as a whole. There is variation across North Lanarkshire for deprivation, with Airdrie having the highest proportion of the population living in most deprived areas (quintile 1) and North Lanarkshire North with the lowest. All localities apart from North Lanarkshire North have a higher proportion of the population living in the most deprives areas. Airdrie, Bellshill, Coatbridge and Motherwell have around double the proportion of the population living in the most deprived areas compared to Scotland. North Lanarkshire has 10% fewer residents living in the least deprived quintile as compared to the national deprivation distribution and 12% more residents living in the most deprived quintile as compared to the national distribution. Chart 5: Percentage of population who are income deprived, comparing SIMD 2016 and SIMD 2020 Source: Scottish Government (SIMD), via ScotPHO Online Profiles Tool Page 115 of 342
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Table 5: Percentage of population who are income deprived, comparing SIMD 2016 and SIMD 2020 Geography SIMD 2016 SIMD 2020 Airdrie 16% 16% Bellshill 16% 16% Coatbridge 17% 17% Motherwell 17% 17% North Lanarkshire North 12% 11% Wishaw 16% 16% North Lanarkshire 15% 15% Scotland 12% 12% Source: Scottish Government (SIMD), ScotPHO Online Profiles Tool North Lanarkshire have a higher percentage of the population who are income deprived compared with Scotland. All North Lanarkshire localities are above the Scotland percentage apart from North Lanarkshire North, with Coatbridge having the highest percentage of all the North Lanarkshire localities. Generally there has been a decrease for all areas when comparing SIMD 2016 (based on 2014 population) compared with SIMD 2020 (based on 2017 population). Note this data is from several years ago and does not reflect the current cost of living crisis. Chart 6: Percentage of working age population who are employment deprived, comparing SIMD 2016 and SIMD 2020 Source: Source: Scottish Government (SIMD), via ScotPHO Online Profiles Tool Page 116 of 342
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Table 6: Percentage of working age population who are employment deprived, comparing SIMD 2016 and SIMD 2020 Geography SIMD 2016 SIMD 2020 Airdrie 14% 12% Bellshill 14% 12% Coatbridge 15% 13% Motherwell 15% 13% North Lanarkshire North 10% 9% Wishaw 14% 12% North Lanarkshire 13% 11% Scotland 11% 9% Source: Source: Scottish Government (SIMD), ScotPHO Online Profiles Tool North Lanarkshire has a higher percentage of the working age population who are employment deprived compared with Scotland. All North Lanarkshire localities are above the Scotland percentage apart from North Lanarkshire North, with Motherwell having the highest percentage of all the North Lanarkshire localities. Generally there has been a decrease for all areas when comparing SIMD 2016 (based on 2014 population) compared with SIMD 2020 (based on 2017 population). Note this data is from several years ago and does not reflect the current cost of living crisis. Chart 7: Percentage of 2021 population Urban Rural Classification and area of residence Source: National Records of Scotland population estimates combined with Scottish Government Urban Rural Classification Page 117 of 342
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Table 7: Count and percentage of 2021 population Urban Rural Classification and area of residence Urban Rural Classification (2‐fold) Urban Rural Area of Residence n % n % Airdrie 42,186 75% 14,171 25% Bellshill 41,377 100% 0 0% Coatbridge 46,336 92% 3,994 8% Motherwell 54,205 100% 0 0% North Lanarkshire North 79,139 90% 8,556 10% Wishaw 43,596 85% 7,840 15% North Lanarkshire 306,839 90% 34,561 10% Scotland 4,519,884 82% 960,016 18% Source: National Records of Scotland population estimates combined with Scottish Government Urban Rural Classification The vast majority (90%) of the North Lanarkshire population reside in urban areas; this is higher than Scotland as a whole (82%). There is some variation across the six localities with Airdrie having the largest proportion of its population living in rural areas (25%) whereas Bellshill and Motherwell’s population resides in urban areas only. Population Projections Chart 8: North Lanarkshire population projections for all ages for 2022‐2043 Source: National Records of Scotland population projections Page 118 of 342
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Table 8: North Lanarkshire population projections for all ages for 2022‐2043 Calendar Year Projected Population Calendar Year Projected Population 2022 340,882 2033 340,516 2023 341,013 2034 340,294 2024 341,134 2035 340,046 2025 341,204 2036 339,770 2026 341,224 2037 339,474 2027 341,242 2038 339,164 2028 341,174 2039 338,824 2029 341,101 2040 338,453 2030 341,008 2041 338,079 2031 340,900 2042 337,646 2032 340,738 2043 337,166 Source: National Records of Scotland population projections The North Lanarkshire population is projected to decrease from around 341,000 in 2022 to around 337,000 in 2043, which is around a 1% decrease from the current population. Chart 9: North Lanarkshire population projection for 2022‐2043 for 75+ age group Source: National Records of Scotland population projections Page 119 of 342
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Table 9: North Lanarkshire population projection for 75+ for 2022‐2043 Calendar Year Projected Population (75+) Calendar Year Projected Population (75+) 2022 26,705 2033 33,006 2023 27,439 2034 33,733 2024 28,101 2035 34,543 2025 28,661 2036 35,409 2026 29,014 2037 36,478 2027 29,431 2038 37,482 2028 29,925 2039 38,463 2029 30,426 2040 39,540 2030 30,951 2041 40,432 2031 31,571 2042 41,313 2032 32,248 2043 42,131 Source: National Records of Scotland population projections The North Lanarkshire population for people aged 75 or over is projected to increase from 27,439 in 2023 to 42,131 in 2043, which is an increase of around 54%. Chart 10: North Lanarkshire population projections by age group, comparing 2023 and 2026 Source: National Records of Scotland population projections Table 10: North Lanarkshire population projections by age group, comparing 2023 and 2026 Calendar Year Age Group 2023 2026 0‐17 56,089 53,967 18‐44 127,019 126,755 45‐64 94,913 93,966 65‐74 35,553 37,522 75+ 27,439 29,014 Page 120 of 342
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Source: National Records of Scotland population projections NRS population projections show an ageing population between years 2022 and 2026, with the proportion of the population made up by the 60‐74 and 75 plus age groups projected to increase and the proportion of the 0‐17 age group projected to decrease. Chart 11: North Lanarkshire population projection, 2020‐2040, with under/over 75 years age breakdown Source: National Records of Scotland population estimates and projections Table 11: North Lanarkshire population projection, 2020‐2040, with under/over 75 years age breakdown Age Group Calendar Year 0‐74 75 plus 2020 315,191 25,353 2025 312,543 28,661 2030 310,057 30,951 2035 305,503 34,543 2040 298,913 39,540 Source: National Records of Scotland population estimates and projections Further inspection of the NRS population projections give further evidence about an ageing population with the proportion of the North Lanarkshire population made up by 75 plus age group increasing steadily from 7% in 2020 to 12% in 2040. Life Expectancy Estimated life expectancy at birth in years, multi‐year average over 3 years. Mortality data are based on year of registration. They also include non‐Scottish residence so the number of deaths match those produced by NRS. Page 121 of 342
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Chart 12: Life expectancy by gender, comparing North Lanarkshire and Scotland Source: Public Health Scotland/National Records of Scotland (NRS), via ScotPHO Online Profiles Tool Table 12: Life expectancy by gender, comparing North Lanarkshire and Scotland Average Male Life Expectancy Average Female Life Expectancy Average Male Life Expectancy Average Female Life Expectancy 3‐year period North Lanarkshire Scotland North Lanarkshire Scotland 3‐year period North Lanarkshire Scotland North Lanarkshire Scotland 2001‐2003 71.9 73.5 77.4 78.8 2010‐2012 74.9 76.5 79.1 80.7 2002‐2004 72.4 73.8 77.4 79.0 2011‐2013 75.1 76.8 79.4 80.9 2003‐2005 72.8 74.2 77.6 79.2 2012‐2014 75.4 77.1 79.7 81.1 2004‐2006 73.1 74.6 78.2 79.5 2013‐2015 75.3 77.1 79.6 81.1 2005‐2007 72.8 74.8 78.4 79.7 2014‐2016 75.4 77.1 79.6 81.1 2006‐2008 73.3 75.0 78.4 79.8 2015‐2017 75.3 77.0 79.4 81.1 2007‐2009 73.9 75.3 78.5 80.0 2016‐2018 75.2 77.1 79.6 81.1 2008‐2010 74.5 75.8 78.8 80.3 2017‐2019 75.2 77.2 79.6 81.1 2009‐2011 74.8 76.2 79.0 80.6 2018‐2020 74.5 76.8 79.2 81.0 Source: Public Health Scotland/National Records of Scotland (NRS), via ScotPHO Online Profiles Tool Life expectancy in North Lanarkshire is lower than Scotland, for both males and females. Life expectancy of males in North Lanarkshire has been levelling off over the last few years since 2012, approximately 75 years of age, with now signs that this is decreasing since 2019. Life expectancy for North Lanarkshire females follows roughly the same trend as the males, also with first signs of a decrease in life expectancy following 2019. Females in North Lanarkshire, on average, live approximately 4 years longer than males. Page 122 of 342
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Care at Home The care at home analysis below is counting all service users in receipt of services across the financial year and the hours are the total hours that were delivered across the financial year unless otherwise stated. Care at home is delivered to service users via "packages of care". A user's package of care may change over time and could be withdrawn if no longer needed and restarted later if need be. One characterisation of a package of care is the total number of hours required to deliver it over a week. Chart 13: Number of North Lanarkshire care at home users by financial year Data Source: mySWIS, North Lanarkshire council Table 13: Number of North Lanarkshire care at home users by financial year Financial Year Number of care at home users 2017/18 5,277 2018/19 5,179 2019/20 5,356 2020/21 5,551 2021/22 5,328 Data Source: mySWIS, North Lanarkshire council The number of North Lanarkshire care at home users has continually increased over the 3‐year period 2018/19 to 2020/21, increasing from 5,179 to 5,551 in 2020/21. However a decrease has been observed in 2021/22, decreasing down to 5,328. This is likely to be linked to the transition from “traditional” care at home towards Self‐Directed Support. See SDS section below. Page 123 of 342
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Chart 14: Average annual number of care at home hours supplied per user by financial year for North Lanarkshire Data Source: mySWIS, North Lanarkshire council Table 14: Average annual number of care at home hours supplied per user by financial year for North Lanarkshire Financial Year Average annual care at home hours supplied per user 2017/18 350 2018/19 366 2019/20 354 2020/21 338 2021/22 357 Data Source: mySWIS, North Lanarkshire council The average annual number of care at home hours supplied per user has remained at a steady rate over the last 5 years. Lowest average hours seen in 2020/21 of 338 and the highest being in 2018/19 at 366 hours. Chart 15: Average weekly care at home package of care (POC) hours as at 31st March for North Lanarkshire Data Source: mySWIS, North Lanarkshire council Page 124 of 342
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Table 15: Average weekly care at home package of care (POC) hours as at 31st March for North Lanarkshire Financial Year Average weekly care at home package of care hours 2017/18 11.1 2018/19 11.2 2019/20 11.3 2020/21 12.0 2021/22 11.9 Data Source: mySWIS, North Lanarkshire council The average weekly package of care as at 31st March has increased continuously from 2017/18 to 2020/21, increasing from 11.1 hours per user per week in 2016/17 to 12.0 hours per user per week. 2021/22 has shown a very slight decrease, with the average hours going down to 11.9 per week. Chart 16: Number of North Lanarkshire care at home users by age group and financial year Data Source: mySWIS, North Lanarkshire council Table 16: Number of North Lanarkshire care at home users by age group and financial year Financial Year Age Group 2017/18 2018/19 2019/20 2020/21 2021/22 Under 65 571 537 603 608 591 65 ‐ 74 931 918 948 1010 978 75 ‐ 84 2,016 1,965 1,958 2,134 1,982 85 plus 1,759 1,759 1,847 1,799 1,777 Total 5,277 5,179 5,356 5,551 5,328 Data Source: mySWIS, North Lanarkshire council The age group with the highest number of care at home users is the 75‐84 age group. Over 70% of North Lanarkshire care at home users are aged 75 or above. Page 125 of 342
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Chart 17: Rate per 1,000 population of North Lanarkshire care at home users by age group and financial year Data Source: mySWIS, North Lanarkshire council Table 17: Rate per 1,000 population of North Lanarkshire care at home users by age group and financial year Financial Year Age Group 2017/18 2018/19 2019/20 2020/21 2021/22 Under 65 2.0 1.9 2.1 2.2 2.1 65 ‐ 74 28.2 27.5 28.0 29.4 28.1 75 ‐ 84 108.6 104.4 101.8 110.1 101.7 85 plus 310.9 305.3 309.5 296.2 283.8 Total 15.5 15.2 15.7 16.3 15.6 Data Source: mySWIS, North Lanarkshire council The older the age group, the higher the rate of care at home users per 1,000 population. The rate per 1,000 population for the 85 plus age group is around 3 times higher than the rate for the 75‐84 age group. Chart 18: Average annual number of care at home hours supplied per user for North Lanarkshire by age group and financial year Data Source: mySWIS, North Lanarkshire council Page 126 of 342
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Table 18: Average annual number of care at home hours supplied per user for North Lanarkshire by age group and financial year Financial Year Age Group 2017/18 2018/19 2019/20 2020/21 2021/22 Under 65 354.8 383.5 357.0 375.2 394.5 65 ‐ 74 346.2 376.3 359.4 344.5 361.3 75 ‐ 84 327.7 342.5 336.1 308.9 338.0 85 plus 376.2 382.9 368.1 356.7 363.2 Total 350.1 366.5 353.6 338.1 357.0 Data Source: mySWIS, North Lanarkshire council Over the last 2 years, the average number of care at home hours supplied per user is highest for the under 65 age group. With the 75‐84 age group being consistently the lowest. Chart 19: Average weekly care at home package of care (POC) hours for North Lanarkshire as at 31st March by financial year and age group Data Source: mySWIS, North Lanarkshire council Table 19: Average weekly care at home package of care (POC) hours for North Lanarkshire as at 31st March by financial year and age group Financial Year Age Group 2017/18 2018/19 2019/20 2020/21 2021/22 Under 65 11.9 12.2 12.4 13.0 12.0 65 ‐ 74 11.1 11.4 11.6 12.8 12.9 75 ‐ 84 10.5 10.7 10.8 11.4 11.6 85 plus 11.7 11.4 11.3 11.8 11.5 Total 11.1 11.2 11.3 12.0 11.9 Data Source: mySWIS, North Lanarkshire council The younger the age group, the greater the average weekly package of care size. From 2017/18 to 2020/21 the average weekly package of care per user is highest for the under 65 age group. However in 2021/22 the highest can be observed now in the 65‐74 age group. Page 127 of 342
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Chart 20: Rate per 1,000 population of care at home users by financial year and locality Data Source: mySWIS, North Lanarkshire council Table 20: Rate per 1,000 population of care at home users by financial year and locality Financial Year Locality 2017/18 2018/19 2019/20 2020/21 2021/22 Airdrie 15.5 15.7 16.3 17.2 16.8 Bellshill 16.2 15.2 15.7 16.5 16.2 Coatbridge 15.9 15.3 16.9 16.6 16.0 Motherwell 14.6 13.8 14.3 15.0 15.0 North Lanarkshire North 12.4 12.9 12.6 13.5 12.2 Wishaw 20.7 19.9 20.5 20.7 19.9 Data Source: mySWIS, North Lanarkshire council In 2021/22 of the North Lanarkshire localities, Wishaw has the highest rate of care at home users per 1,000 population, with North Lanarkshire North being the lowest. This has consistently been the same pattern for the last 5 years. Chart 21: Average annual number of care at home hours supplied per user by financial year and locality Data Source: mySWIS, North Lanarkshire council Page 128 of 342
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Table 21: Average annual number of care at home hours supplied per user by financial year and locality Financial Year Locality 2017/18 2018/19 2019/20 2020/21 2021/22 Airdrie 369.5 369.4 363.9 351.6 374.2 Bellshill 369.9 397.2 372.8 354.0 348.9 Coatbridge 376.9 408.1 349.1 341.6 396.1 Motherwell 371.0 396.5 390.8 379.2 377.5 North Lanarkshire North 288.1 289.4 294.3 268.4 297.6 Wishaw 347.9 375.4 370.3 358.6 361.6 Data Source: mySWIS, North Lanarkshire council Of the North Lanarkshire localities, Coatbridge has the highest average home care hours supplied by home care user, with North Lanarkshire North consistently being the lowest. Chart 22: Average weekly care at home package of care (POC) hours as at 31st March by financial year and locality Data Source: mySWIS, North Lanarkshire council Table 22: Average weekly care at home package of care (POC) hours as at 31st March by financial year and locality Financial Year Locality 2017/18 2018/19 2019/20 2020/21 2021/22 Airdrie 11.3 11.4 11.6 12.4 12.4 Bellshill 12.1 12.1 12.2 12.7 11.8 Coatbridge 11.7 11.7 11.2 12.4 12.6 Motherwell 12.5 11.7 12.3 12.6 11.8 North Lanarkshire North 9.4 9.3 10.0 10.3 10.2 Wishaw 10.9 11.7 11.0 12.0 12.4 Data Source: mySWIS, North Lanarkshire council Of the North Lanarkshire localities, Coatbridge has the highest average home care hours weekly package of care as at 31st March, with North Lanarkshire North consistently being the lowest. Page 129 of 342
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Chart 23: A&E Attendances per 1,000 people all ages receiving home care, by quarter Source: Insights in social care: statistics for Scotland ‐ Support provided or funded by health and social care partnerships in Scotland 2019/20 ‐ 2020/21 ‐ Insights in social care: statistics for Scotland ‐ Publications ‐ Public Health Scotland North Lanarkshire have consistently had higher rates than Scotland over the period 2017/18 Q4 – 2020/21 Q4. Rates were highest in 2019/20 Q3 and then rates decreased due to the COVID‐19 pandemic. Rates then increased close to pre‐pandemic levels and they have been decreasing in the last few quarters. Chart 24: Emergency admissions rate per 1,000 people all ages receiving home care, by quarter Source: Insights in social care: statistics for Scotland ‐ Support provided or funded by health and social care partnerships in Scotland 2019/20 ‐ 2020/21 ‐ Insights in social care: statistics for Scotland ‐ Publications ‐ Public Health Scotland North Lanarkshire have consistently had higher rates than Scotland over the period 2017/18 Q4 – 2020/21 Q4. Rates for North Lanarkshire and Scotland have followed a similar pattern. There was slight fluctuations for North Lanarkshire in each quarter before COVID‐19 pandemic where the rates decreased, this was followed by an increase in 2020/21 Q2 close to pre‐pandemic levels, with a decrease in 2020/21 Q4. Page 130 of 342
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Chart 25: Emergency admissions bed days rate per 1,000 people all ages receiving home care, by quarter Source: Insights in social care: statistics for Scotland ‐ Support provided or funded by health and social care partnerships in Scotland 2019/20 ‐ 2020/21 ‐ Insights in social care: statistics for Scotland ‐ Publications ‐ Public Health Scotland North Lanarkshire have consistently had higher rates than Scotland over the period 2018/19 Q1 – 2020/21 Q4. Rates for North Lanarkshire and Scotland have followed a similar pattern. Rates had been decreasing between 2018/19 Q3 then increased in 2019/20 Q3, before a sharp decrease the next quarter due to the COVID‐19 pandemic. Rates the increased to pre‐pandemic levels, then have been decreasing in last 2 quarters. Care Home Chart 26: Number of North Lanarkshire care home admissions, discharges and placements at end of period by financial year Data Source: mySWIS, North Lanarkshire council Page 131 of 342
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Table 23: Number of North Lanarkshire care home admissions, discharges and placements at end of period by financial year Financial Year Care Home Admissions Care Home Discharges Care Home Placements at end of year 2017/18 656 635 1,349 2018/19 592 538 1,404 2019/20 623 590 1,436 2020/21 557 689 1,304 2021/22 590 548 1,346 Data Source: mySWIS, North Lanarkshire council The number of North Lanarkshire care home admissions has fluctuated over the last 5 years, however remains at around 600 per year. The number of discharges has been slightly lower than the number of admissions for all years apart from 2020/21, where the number of discharges was higher than normal due to the impact of the COVID‐19 pandemic. The number of care home placements at the end of each financial year had been increasing between 2017/18 to 2019/20, there was a decrease in 2020/21 due to COVID‐19 pandemic, followed by an increase in 2021/22. Chart 27: North Lanarkshire care home admissions rate per 10,000 population by financial year and age group Data Source: mySWIS, North Lanarkshire council Table 24: North Lanarkshire care home admissions rate per 10,000 population by financial year and age group Financial Year Age Group 2017/18 2018/19 2019/20 2020/21 2021/22 Under 65 0.9 0.8 0.7 0.8 0.9 65 ‐ 74 23.6 20.3 22.7 22.1 16.3 75 ‐ 84 135.7 120.7 121.1 113.6 123.1 85 plus 530.3 477.3 491.0 391.8 426.4 Data Source: mySWIS, North Lanarkshire council Page 132 of 342
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The rate per 10,000 population for care home admissions is higher in older age groups, with the rate for the 85plus age group being over 3 times higher the rate for the 75‐84 age group. Chart 28: North Lanarkshire care home discharges rate per 10,000 population by financial year and age group Data Source: mySWIS, North Lanarkshire council Table 25: North Lanarkshire care home discharges rate per 10,000 population by financial year and age group Financial Year Age Group 2017/18 2018/19 2019/20 2020/21 2021/22 Under 65 0.5 0.2 0.6 0.5 0.6 65 ‐ 74 12.4 11.7 15.9 19.8 14.1 75 ‐ 84 116.4 97.8 92.5 118.2 90.8 85 plus 645.2 534.6 571.4 620.7 485.5 Data Source: mySWIS, North Lanarkshire council The rate per 10,000 population for care home discharges is higher in older age groups, with the rate for the 85plus age group being over 5 times higher the rate for the 75‐84 age group. Chart 29: North Lanarkshire care home placements at end of year, rate per 10,000 population by financial year and age group Page 133 of 342
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Data Source: mySWIS, North Lanarkshire council Table 26: North Lanarkshire care home placements at end of year, rate per 10,000 population by financial year and age group Financial Year Age Group 2017/18 2018/19 2019/20 2020/21 2021/22 Under 65 1.9 2.2 2.1 2.0 2.1 65 ‐ 74 49.6 54.4 51.3 48.6 44.7 75 ‐ 84 262.9 262.1 266.7 232.3 243.2 85 plus 1134.9 1156.0 1154.5 1038.9 1051.0 Data Source: mySWIS, North Lanarkshire council The rate per 10,000 population for care home placements at the end of year is higher in older age groups, with the rate for the 85plus age group being over 4 times higher the rate for the 75‐84 age group. Chart 30: North Lanarkshire care home admissions rate per 10,000 population by financial year and locality Data Source: mySWIS, North Lanarkshire council Table 27: North Lanarkshire care home admissions rate per 10,000 population by financial year and locality Financial Year Locality 2017/18 2018/19 2019/20 2020/21 2021/22 Airdrie 19.0 17.2 16.5 15.4 19.3 Bellshill 14.5 13.4 15.6 11.5 15.7 Coatbridge 18.0 15.7 19.3 20.6 13.7 Motherwell 24.4 17.3 17.1 16.1 14.6 North Lanarkshire North 16.7 16.3 18.2 16.1 17.2 Wishaw 23.8 24.4 22.4 17.6 22.7 Data Source: mySWIS, North Lanarkshire council The rate per 10,000 population for care home admissions by locality has fluctuated over the last 5 years. In 2021/22 Coatbridge had the lowest rate per 10,000 population wit Wishaw having the highest. Page 134 of 342
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Chart 31: North Lanarkshire care home discharges rate per 10,000 population by financial year and locality Data Source: mySWIS, North Lanarkshire council Table 28: North Lanarkshire care home discharges rate per 10,000 population by financial year and locality Financial Year Locality of Residence 2017/18 2018/19 2019/20 2020/21 2021/22 Airdrie 12.6 15.1 16.8 19.4 16.9 Bellshill 14.5 14.6 14.9 14.7 12.6 Coatbridge 22.2 14.1 14.6 23.4 12.7 Motherwell 20.8 18.2 18.0 19.6 14.2 North Lanarkshire North 15.6 12.3 15.7 20.8 14.5 Wishaw 28.0 22.5 24.2 22.0 25.9 Data Source: mySWIS, North Lanarkshire council The rate per 10,000 population for care home admissions by locality has fluctuated over the last 5 years. In 2021/22 Bellshill had the lowest rate per 10,000 population with Wishaw having the highest. Chart 32: North Lanarkshire care home placements at end of year, rate per 10,000 population by financial year and locality Page 135 of 342
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Data Source: mySWIS, North Lanarkshire council Table 29: North Lanarkshire care home placements at end of year, rate per 10,000 population by financial year and locality Financial Year Locality of Residence 2017/18 2018/19 2019/20 2020/21 2021/22 Airdrie 37.0 39.3 38.8 35.0 37.4 Bellshill 32.9 31.9 32.7 29.6 32.9 Coatbridge 35.1 36.7 41.2 38.6 39.7 Motherwell 43.3 42.1 40.7 37.0 37.3 North Lanarkshire North 36.0 40.0 42.0 37.1 39.6 Wishaw 54.8 56.7 55.4 51.4 48.6 Data Source: mySWIS, North Lanarkshire council Over the last 5 years, Wishaw has consistently been the locality with the highest rate per 10,000 population for care home placements at the end of year, with Bellshill consistently the lowest. Chart 33: A&E Attendances per 1,000 Long Stay Care Home Residents by quarter Source: Insights in social care: statistics for Scotland ‐ Support provided or funded by health and social care partnerships in Scotland 2019/20 ‐ 2020/21 ‐ Insights in social care: statistics for Scotland ‐ Publications ‐ Public Health Scotland North Lanarkshire rates have consistently been higher than Scotland over the period 2017/18 Q4 – 2020/21 Q4. Rates had been fluctuating, with a sharp increase before the COVID‐19 pandemic, followed by a sharp decrease until 2020/21 Q1, another sharp increase until 20/21 Q3, followed by another decrease. Page 136 of 342
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Chart 34: Emergency admissions rate per 1,000 Long Stay Care Home Residents by quarter Source: Insights in social care: statistics for Scotland ‐ Support provided or funded by health and social care partnerships in Scotland 2019/20 ‐ 2020/21 ‐ Insights in social care: statistics for Scotland ‐ Publications ‐ Public Health Scotland The North Lanarkshire rates have fluctuated over the 3 year period, the rates had a sharp decrease from 2019/20 Q3 to 2020/21 Q1, followed by a sharp increase and then another decrease. North Lanarkshire rates were higher than Scotland in the period 2018/19 Q3 – 2019/20 Q3, then lower than Scotland in the period 2019/20 Q4 – 2020/21 Q2, higher in 2020/21 Q3 then lower again in 2020/21 Q4. Chart 35: Emergency admissions bed days rate per 1,000 long stay care home residents by quarter Source: Insights in social care: statistics for Scotland ‐ Support provided or funded by health and social care partnerships in Scotland 2019/20 ‐ 2020/21 ‐ Insights in social care: statistics for Scotland ‐ Publications ‐ Public Health Scotland The North Lanarkshire rate had generally been increasing up to 2019/20 Q1, decreased until 2019/20 Q3, relatively stable until 2020/21 Q1, increased until 2020/21 Q3 followed by a decease. The North Lanarkshire rate has been lower than Scotland for the period 2017/18 Q4 – 2020/21 Q2, higher in 2020/21 Q3 and then lower again in 2020/21 Q4. Page 137 of 342
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Self‐Directed Support (SDS) Self‐directed support was introduced in Scotland on the 1 April 2014 following the Social Care Self‐ directed Support Scotland Act 2013. Its introduction means that people receiving social care support in Scotland have the right of choice, control and flexibility to meet their personal outcomes. Health and Social Care Partnerships are required to ensure that people are offered a range of choices on how they receive their social care support. The self‐directed support options available are: Option 1: Taken as a Direct Payment. Option 2: Allocated to an organisation that the person chooses, and the person is in charge of how it is spent. Option 3: The person chooses to allow the council to arrange and determine their services. Chart 36: Number of North Lanarkshire Self‐Directed Support (SDS) users Data Source: mySWIS, North Lanarkshire council Table 30: Number of North Lanarkshire Self‐Directed Support (SDS) users Financial Year Number of SDS users 2018/19 1,390 2019/20 1,517 2020/21 1,514 2021/22 1,723 Data Source: mySWIS, North Lanarkshire council Over the last 4 years, the number of SDS users in North Lanarkshire has been steadily increasing. There has been an increase of just under 14% over the last year where it has risen from 1,514 in 2020/21 to 1,723 in 2021/22. Page 138 of 342
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Chart 37: Average budget of North Lanarkshire Self‐Directed Support (SDS) users Data Source: mySWIS, North Lanarkshire council Table 31: Average budget of North Lanarkshire Self‐Directed Support (SDS) users Financial Year Average budget per SDS user 2018/19 £36,577 2019/20 £37,974 2020/21 £39,278 2021/22 £37,442 Data Source: mySWIS, North Lanarkshire council From 2018/19 to 2020/21, the average budget of North Lanarkshire SDS users has gradually increased each year. However there has been a decrease in 2021/22, where it has fallen from £39,277 from 202/21 to £37,442 in 2021/22. Chart 38: North Lanarkshire Self‐Directed Support (SDS) users rate per 1,000 population Data Source: mySWIS, North Lanarkshire council Page 139 of 342
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Table 32: North Lanarkshire Self‐Directed Support (SDS) users rate per 1,000 population Financial Year Rate of SDS users per 1,000 population 2018/19 4.1 2019/20 4.4 2020/21 4.4 2021/22 5.0 Data Source: mySWIS, North Lanarkshire council The rate per 1,000 population of North Lanarkshire SDS users has steadily increased each year over the last 4 years. Chart 39: Rate per 1,000 population of North Lanarkshire Self‐Directed Support (SDS) users by age group Data Source: mySWIS, North Lanarkshire council Table 33: Rate per 1,000 population of North Lanarkshire Self‐Directed Support (SDS) users by age group Financial Year Age Group 2018/19 2019/20 2020/21 2021/22 Under 65 4.1 4.3 4.3 4.5 65 ‐ 74 4.2 4.9 4.8 5.3 75 ‐ 84 2.9 4.5 4.1 7.9 85 plus 5.7 10.6 9.2 18.8 Data Source: mySWIS, North Lanarkshire council The rate per 1,000 population of North Lanarkshire SDS users, increases as the age group increases, with the 85 plus age group having the highest rate. There has been a large increase in rate for the 85 plus age group over the last year where it has more than doubled from 9.2 per 1,000 population in 2020/21 to 18.8 per 1,000 population in 2021/22. Page 140 of 342
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Chart 40: Rate per 1,000 population of North Lanarkshire Self‐Directed Support (SDS) users by locality Data Source: mySWIS, North Lanarkshire council Table 34: Rate per 1,000 population of North Lanarkshire Self‐Directed Support (SDS) users by locality Financial Year Locality 2018/19 2019/20 2020/21 2021/22 Airdrie 3.8 5.3 5.1 5.1 Bellshill 4.0 4.3 4.4 4.3 Coatbridge 4.2 4.4 4.6 4.7 Motherwell 3.6 3.5 3.4 4.1 North Lanarkshire North 4.0 4.1 4.2 5.6 Wishaw 5.0 5.2 5.1 6.0 Data Source: mySWIS, North Lanarkshire council Across North Lanarkshire localities, the rate per 1,000 population of SDS users has shown gradual increases over the last 4 years. In 2021/21, the highest rate was found in Wishaw of 6.0 and the lowest in Motherwell at 4.1. Chart 41: Percentage of North Lanarkshire Self‐Directed Support (SDS) budget by SDS Type and financial year Data Source: mySWIS, North Lanarkshire council Page 141 of 342
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Table 35: Percentage of North Lanarkshire Self‐Directed Support (SDS) budget by SDS Type and financial year SDS Type Financial Year SDS 1 SDS 2 SDS 3 2018/19 11% 71% 18% 2019/20 11% 73% 15% 2020/21 12% 73% 15% 2021/22 12% 71% 17% Data Source: mySWIS, North Lanarkshire council SDS 2 (allocated to an organisation that the person chooses and the person is in charge of how it is spent) accounts for over 70% of the North Lanarkshire SDS budget. There has been little change in the percentage breakdowns over the last 4 years. Chart 42: Percentage of Self‐Directed Support budget in 2021/22 by SDS Type, for all North Lanarkshire localities Data Source: mySWIS, North Lanarkshire council Table 36: Percentage of Self‐Directed Support budget in 2021/22 by SDS Type, for all North Lanarkshire localities SDS Type Locality SDS 1 SDS 2 SDS 3 Airdrie 14% 69% 16% Bellshill 10% 72% 18% Coatbridge 10% 63% 27% Motherwell 9% 75% 15% North Lanarkshire North 14% 72% 14% Wishaw 12% 74% 14% Data Source: mySWIS, North Lanarkshire council In 2021/22, SDS 2 accounts for the majority of the SDS budget in all localities, ranging from 75% in Motherwell to 63% in Coatbridge. Coatbridge is the locality with the highest percentage of SDS budget for SDS 3 with 27%, the next highest locality is Bellshill with 18%. Page 142 of 342
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Chart 43: Percentage of Self‐Directed Support budget in 2021/22 by SDS Type per age group Data Source: mySWIS, North Lanarkshire council Table 37: Percentage of Self‐Directed Support budget in 2021/22 by SDS Type per age group SDS Type Age Group SDS 1 SDS 2 SDS 3 Under 65s 13% 69% 18% 65 ‐ 74 6% 77% 16% 75 ‐ 84 9% 83% 8% 85 plus 17% 83% 0% Data Source: mySWIS, North Lanarkshire council The older the age group, the higher the percentage of SDS budget for SDS 2. The percentage for SDS 2 ranges from 69% for under 65s to 83% for 75‐84 and 85 plus age groups. No SDS 3 was provided to the 85 plus age group. Page 143 of 342
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Unscheduled Care Chart 44: Accident and Emergency attendances rate per 1,000 population by financial year Source: A&E Datamart, Public Health Scotland Table 38: Accident and Emergency attendances rate per 1,000 population by financial year Financial Year Area of Residence 2017/18 2018/19 2019/20 2020/21 2021/22 Airdrie 398.7 404.4 399.5 316.7 391.5 Bellshill 350.5 360.0 367.1 284.7 341.6 Coatbridge 416.1 428.7 413.0 327.5 399.3 Motherwell 360.5 366.4 368.1 296.2 364.4 North Lanarkshire North 299.2 320.8 323.5 243.8 311.2 Wishaw 368.0 376.6 374.0 297.4 367.6 North Lanarkshire 359.6 371.2 369.4 289.7 358.1 Scotland 276.3 285.3 285.2 204.1 257.9 Source: A&E Datamart, Public Health Scotland North Lanarkshire have had consistently higher accident and emergency attendance rates rates compared to Scotland over the last 5 years, with both areas following a similar pattern. Both areas had an increasing trend over the period 2017/18 – 2019/20, followed by a considerable decrease in 2020/21 due to fewer people attending A&E departments as a result of the COVID‐19 pandemic. Rates have then increased in 2021/22 but are lower than pre‐pandemic levels. All North Lanarkshire localities remain above the Scotland rate with Coatbridge currently the highest and North Lanarkshire North the lowest. Page 144 of 342
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Chart 45: Accident and Emergency attendances rate per 1,000 population 2017/18 – 2021/22, with projected rates from 2020/21 – 2025/26 Source: A&E Datamart, Public Health Scotland Table 39a: Accident and Emergency attendances rate per 1,000 population Financial Year Area of Residence 2017/18 2018/19 2019/20 2020/21 2021/22 North Lanarkshire 359.6 371.2 369.4 289.7 358.1 Scotland 276.3 285.3 285.2 204.1 257.9 Source: A&E Datamart, Public Health Scotland Table 40b: Projected Accident and Emergency attendances rate per 1,000 population Financial Year Area of Residence 2020/21 2021/22 2022/23 2023/24 2024/25 2025/26 North Lanarkshire 386.9 392.3 386.9 392.3 397.5 402.7 Scotland 300.6 305.4 300.6 305.4 310.1 314.7 Source: A&E Datamart, Public Health Scotland; project rates based on methodology outlined below Methodology: 1) These projections are based on pre‐COVID‐19 pandemic data, showing what could happen if pre‐pandemic rates were projected forward. Please treat this with caution. 2) We calculated historical rates of A&E attendances for the 5 years 2017/18 – 2021/22 using counts from PHS’s A&E datamart and population estimates from NRS. These rates were calculated within six age bands: 0‐17, 18‐ 44, 45‐64, 65‐74, 75 plus; 3) The historical rates obtained in step 1), excluding the rates for 2020/21 and 2021/22, which were deemed to be outliers due to the Covid‐19 pandemic, were used to linearly extrapolate rates for the years 2020/21 – 2025/26; 4) Extrapolated rates calculated in step 2) were combined with population projections (within the same age bands of 0‐17, 18‐44, 45‐64, 65‐74, 75 plus) to compute projected counts. The all‐ages projected rates presented here are based on projected counts within age bands. 5) We show both actual and projected rates for financial years 2020/21 and 2021/22. Page 145 of 342
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Based on the trends for the period 2017/18 to 2019/20, excluding 2020/21 and 2021/22 as being outliers due to the impact of COVID‐19, the rates are projected to continue to increase for both North Lanarkshire and Scotland, with North Lanarkshire rates continuing to increase at a greater rate than Scotland. This is assuming the trends continue in the same way they did before the pandemic. We can see that the actual rates are increasing but are still lower than the projected rates. Chart 46: Accident and Emergency attendances rate per 1,000 populations by month Source: A&E Datamart, Public Health Scotland Table 40: Accident and Emergency attendances rate per 1,000 populations by month Month North Lanarkshire Scotland Month North Lanarkshire Scotland Month North Lanarkshire Scotland Apr‐18 30.6 23.2 Oct‐19 32.1 24.7 Apr‐21 29.5 20.2 May‐18 33.4 25.6 Nov‐19 30.8 24.1 May‐21 32.6 22.4 Jun‐18 31.4 24.4 Dec‐19 31.0 23.9 Jun‐21 33.7 23.6 Jul‐18 31.8 24.1 Jan‐20 30.6 23.6 Jul‐21 32.5 22.8 Aug‐18 30.9 23.9 Feb‐20 28.4 21.8 Aug‐21 32.7 23.3 Sep‐18 30.4 23.6 Mar‐20 22.4 17.3 Sep‐21 31.2 22.8 Oct‐18 30.9 23.4 Apr‐20 16.2 11.3 Oct‐21 29.2 21.6 Nov‐18 30.2 23.1 May‐20 21.9 15.5 Nov‐21 28.3 20.8 Dec‐18 30.1 23.5 Jun‐20 25.7 17.7 Dec‐21 26.1 19.3 Jan‐19 31.2 23.7 Jul‐20 26.8 19.4 Jan‐22 26.4 19.3 Feb‐19 28.8 22.1 Aug‐20 29.4 21.0 Feb‐22 26.2 19.2 Mar‐19 31.9 24.6 Sep‐20 27.8 20.0 Mar‐22 30.0 22.6 Apr‐19 31.8 24.5 Oct‐20 26.3 18.5 Apr‐22 28.2 21.1 May‐19 33.6 25.3 Nov‐20 23.9 17.2 May‐22 31.8 23.9 Jun‐19 31.6 24.7 Dec‐20 22.7 16.2 Jun‐22 30.2 23.2 Jul‐19 32.2 24.9 Jan‐21 22.1 14.9 Jul‐22 29.1 21.9 Aug‐19 33.0 25.2 Feb‐21 20.4 14.1 Aug‐22 30.3 22.9 Sep‐19 32.4 25.3 Mar‐21 26.8 18.2 Source: A&E Datamart, Public Health Scotland A&E Attendance rates per 1,000 population have consistently been higher for North Lanarkshire compared to Scotland, with both following a similar trend. This can be observed with regards to the sharp decrease coinciding with the beginning of the Covid‐19 pandemic, but since then this has been trending up again to match pre‐pandemic levels. Page 146 of 342
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Chart 47: Percentage of A&E attendances resulting in a hospital admission by financial year Source: A&E Datamart, Public Health Scotland Table 41: Percentage of A&E attendances resulting in a hospital admission by financial year Financial Year Area of Residence 2017/18 2018/19 2019/20 2020/21 2021/22 Airdrie 29% 29% 31% 33% 30% Bellshill 31% 30% 32% 35% 33% Coatbridge 31% 30% 32% 34% 31% Motherwell 29% 29% 31% 36% 33% North Lanarkshire North 30% 29% 31% 33% 29% Wishaw 28% 28% 30% 33% 32% North Lanarkshire 30% 29% 31% 34% 31% Scotland 25% 25% 26% 30% 26% Source: A&E Datamart, Public Health Scotland North Lanarkshire have had consistently higher A&E attendances conversion percentage to hospital admissions compared to Scotland over last 5 years with 2020/21 being the year with the highest percentage however decreasing back down again in 2021/22. In 2021/22 Motherwell is the North Lanarkshire locality with the highest percentage and North Lanarkshire North the lowest. Page 147 of 342
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Chart 48: Emergency Admissions average length of stay in days, by financial year Source: SMR01, Public Health Scotland Table 42: Emergency Admissions average length of stay in days, by financial year Financial Year Area of Residence 2017/18 2018/19 2019/20 2020/21 2021/22 Airdrie 4.8 4.7 4.9 5.2 5.0 Bellshill 5.2 4.6 4.6 5.1 5.5 Coatbridge 4.8 4.5 5.0 5.0 5.0 Motherwell 4.8 4.7 4.8 4.9 4.8 North Lanarkshire North 6.4 5.9 6.0 6.6 6.7 Wishaw 5.7 5.4 5.5 5.3 6.0 North Lanarkshire 5.4 5.0 5.2 5.4 5.6 Scotland 6.8 6.7 6.6 6.6 6.8 Source: SMR01, Public Health Scotland Over the last 5 years, North Lanarkshire has consistently had a lower average length of stay for emergency admissions compared to Scotland. Highest levels observed can be seen in 2020/21 for all localities. North Lanarkshire North has consistently had the highest average length of stay out of the 6 North Lanarkshire localities, with Motherwell being the lowest in 2021/22. Page 148 of 342
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Chart 49: Acute emergency hospital admissions rate per 1,000 population by financial year Source: SMR01, Public Health Scotland Table 43: Acute emergency hospital admissions rate per 1,000 population by financial year Financial Year Area of Residence 2017/18 2018/19 2019/20 2020/21 2021/22 Airdrie 138.1 137.4 146.5 121.6 139.0 Bellshill 140.4 138.1 144.2 114.4 127.6 Coatbridge 152.6 151.0 157.6 125.7 138.4 Motherwell 143.8 149.3 150.6 123.9 144.0 North Lanarkshire North 117.0 119.6 125.8 100.1 116.7 Wishaw 138.8 140.6 146.2 113.9 138.0 North Lanarkshire 136.2 137.4 143.2 115.0 132.4 Scotland 108.7 109.5 112.8 93.7 104.3 Source: SMR01, Public Health Scotland North Lanarkshire have had consistently higher acute emergency hospital admissions rates compared to Scotland over the last 5 years, with both areas following a similar pattern. Both areas had an increasing trend over the period 2017/18 – 2019/20, followed by a decrease in 2020/21 due to the COVID‐19 pandemic. Rates have then increased in 2021/22 but are lower than pre‐pandemic levels. All North Lanarkshire localities are above the Scotland rate. In 2021/22 Motherwell is the North Lanarkshire locality with the highest rate, North Lanarkshire North the lowest. Page 149 of 342
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Chart 50: Acute emergency hospital admissions rate per 1,000 population 2017/18 – 2021/22, with projected rates from 2020/21 – 2025/26 Source: SMR01, Public Health Scotland; projected rates based on methodology outlined below Table 44a: Acute emergency hospital admissions rate per 1,000 population Financial Year Area of Residence 2017/18 2018/19 2019/20 2020/21 2021/22 North Lanarkshire 136.2 137.4 143.2 115.0 132.4 Scotland 108.7 109.5 112.8 93.7 104.3 Source: SMR01, Public Health Scotland Table 44b: Projected acute emergency hospital admissions rate per 1,000 population Financial Year Area of Residence 2020/21 2021/22 2022/23 2023/24 2024/25 2025/26 North Lanarkshire 145.8 149.1 153.0 156.6 160.2 163.8 Scotland 114.4 116.4 119.1 121.5 123.8 126.0 Source: SMR01, Public Health Scotland; projected rates based on methodology outlined below Methodology: 1) These projections are based on pre‐COVID‐19 pandemic data, showing what could happen if pre‐pandemic rates were projected forward. Please treat this with caution. 2) We calculated historical rates of acute hospital admissions for the 5 years 2017/18 – 2021/22 using counts from PHS’s SMR01 data set and population estimates from NRS. These rates were calculated within five age bands: 0‐17, 18‐44, 45‐64, 65‐74, 75 plus; 3) The historical rates obtained in step 1), excluding the rates for 2020/21 and 2021/22 which are deemed as outliers due to the Covid‐19 pandemic, were used to linearly extrapolate rates for the years 2020/21 – 2025/26; 4) Extrapolated rates calculated in step 2) were combined with population projections (within the same age bands of 0‐17, 18‐44, 45‐64, 65‐74, 75 plus) to compute projected counts. The all‐ages projected rates presented here are based on projected counts within age bands. 5) We show both actual and projected rates for financial years 2020/21 and 2021/22 Page 150 of 342
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Chart 51: Acute emergency hospital admissions rate per 1,000 populations by month Source: SMR01, Public Health Scotland Table 45: Acute emergency hospital admissions rate per 1,000 populations by month Month North Lanarkshire Scotland Month North Lanarkshire Scotland Month North Lanarkshire Scotland Apr‐18 11.1 8.8 Aug‐19 11.9 9.5 Dec‐20 9.5 8.1 May‐18 11.1 9.2 Sep‐19 11.8 9.4 Jan‐21 9.1 7.6 Jun‐18 10.8 8.9 Oct‐19 12.6 10.0 Feb‐21 9.0 7.2 Jul‐18 10.6 8.8 Nov‐19 12.8 9.8 Mar‐21 11.0 8.7 Aug‐18 11.2 9.1 Dec‐19 12.5 9.9 Apr‐21 11.0 8.7 Sep‐18 10.9 8.6 Jan‐20 12.5 9.6 May‐21 11.5 9.0 Oct‐18 11.8 9.3 Feb‐20 11.4 8.8 Jun‐21 11.8 9.1 Nov‐18 11.8 9.3 Mar‐20 10.4 8.3 Jul‐21 11.7 8.9 Dec‐18 11.9 9.5 Apr‐20 7.1 5.8 Aug‐21 11.5 8.8 Jan‐19 12.4 9.7 May‐20 8.9 7.1 Sep‐21 11.0 8.8 Feb‐19 11.4 8.8 Jun‐20 9.6 7.7 Oct‐21 11.3 8.8 Mar‐19 12.4 9.5 Jul‐20 10.3 8.3 Nov‐21 10.9 8.8 Apr‐19 11.9 9.2 Aug‐20 10.1 8.4 Dec‐21 10.9 8.7 May‐19 12.4 9.8 Sep‐20 10.3 8.5 Jan‐22 10.0 8.1 Jun‐19 11.3 9.1 Oct‐20 10.4 8.4 Feb‐22 9.9 7.8 Jul‐19 11.9 9.5 Nov‐20 9.7 7.8 Mar‐22 11.0 8.6 Source: SMR01, Public Health Scotland North Lanarkshire have consistently had a higher rate of acute emergency hospital admissions per 1,000 population compared to Scotland rate while following a similar trend. Acute emergency admissions declined massively both for North Lanarkshire and nationally in April 2020 at the start of the COVID‐19 pandemic, rates then increased and have some seasonal variation with decreases for both Jan 21 and Jan 22, likely related to lockdown restrictions. More recently rates are again on the increase but are yet to reach pre‐pandemic levels. Page 151 of 342
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Chart 52: Acute emergency hospital admissions bed days rate per 1,000 populations by financial year Source: SMR01, Public Health Scotland Table 46: Acute emergency hospital admissions bed days rate per 1,000 populations by financial year Financial Year Area of Residence 2017/18 2018/19 2019/20 2020/21 2021/22 Airdrie 668.1 645.3 715.5 638.4 692.7 Bellshill 726.6 639.2 670.0 586.2 700.4 Coatbridge 737.5 686.9 787.4 631.5 696.6 Motherwell 692.4 697.7 723.5 606.7 696.8 North Lanarkshire North 752.2 704.4 750.9 662.6 782.4 Wishaw 788.7 753.7 797.0 601.3 828.4 North Lanarkshire 729.2 690.6 743.3 626.5 738.3 Scotland 743.6 729.3 746.9 616.6 704.3 Source: SMR01, Public Health Scotland The North Lanarkshire rate has generally been close to the Scotland rate over the last 5 years, and in more recent years is slightly higher than the Scotland rate. Rates have followed a similar pattern, fluctuating over the years. In 2021/22 of the 6 North Lanarkshire localities, Wishaw has the highest rate, Motherwell has the lowest. Page 152 of 342
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Chart 53: Percentage of 2 plus emergency admissions (all ages) Source: SMR01, Public Health Scotland North Lanarkshire’s percentage of 2 plus emergency admissions has remained above the Scotland average for the last 5 years. Both had shown a slight continual increase before the pandemic and in 2021/22, is showing signs of returning back to pre pandemic levels. For the North Lanarkshire localities, North Lanarkshire North has consistently had the the lowest percentage over the 5 years, with Motherwell the highest in most recent years. Page 153 of 342
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Chart 54: Potentially preventable admissions rate per 1,000 population (all ages) Source: SMR01, Public Health Scotland North Lanarkshire’s potentially preventable admissions rate has remained above the Scotland average for the last 5 years. Both were relatively steady before the COVID‐19 pandemic, with rates now increasing since 2020/21. For the North Lanarkshire localities, North Lanarkshire North has consistently had the lowest rate over the last 5 years, with Wishaw now being the highest in 2021/22. Page 154 of 342
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Chart 55: 7 day emergency readmissions rate per 1,000 population, by financial year Source: SMR01, Public Health Scotland Table 47: 7 day emergency readmissions rate per 1,000 population, by financial year Financial Year Area of Residence 2017/18 2018/19 2019/20 2020/21 2021/22 Airdrie 11.1 11.7 13.4 9.5 11.8 Bellshill 13.1 13.3 13.5 9.0 12.5 Coatbridge 13.8 12.8 14.8 9.8 10.0 Motherwell 13.5 15.4 15.3 10.7 15.9 North Lanarkshire North 10.7 11.6 12.1 8.2 9.6 Wishaw 14.0 14.6 15.7 9.4 14.5 North Lanarkshire 12.4 13.0 13.9 9.4 12.1 Scotland 10.3 10.6 11.2 8.5 9.5 Source: SMR01, Public Health Scotland North Lanarkshire has had a higher rate of 7 day emergency readmissions compared to Scotland over the last 5 years. Rates had been increasing up to 2019/20, followed by a decrease in 2020/21 then an increase in 2021/22, but still below pre‐pandemic levels. Despite North Lanarkshire North generally having the highest average length of stay, they consistently have the lowest 7 day readmission rate each year. For the North Lanarkshire localities, North Lanarkshire North has consistently had the lowest rate over the last 5 years, with Motherwell being the highest in most recent years. Page 155 of 342
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Chart 56: 28 day emergency readmissions rate per 1,000 population, by financial year Source: SMR01, Public Health Scotland Table 48: 28 day emergency readmissions rate per 1,000 population, by financial year Financial Year Area of Residence 2017/18 2018/19 2019/20 2020/21 2021/22 Airdrie 26.0 26.6 29.8 22.1 27.1 Bellshill 28.0 29.2 29.4 20.5 25.1 Coatbridge 30.8 29.6 33.9 22.7 25.2 Motherwell 29.5 31.5 32.1 22.6 30.0 North Lanarkshire North 24.3 25.1 26.4 18.4 21.6 Wishaw 30.2 30.5 33.0 21.1 29.5 North Lanarkshire 27.7 28.4 30.4 21.0 26.0 Scotland 22.2 22.6 23.6 18.0 20.3 Source: SMR01, Public Health Scotland North Lanarkshire have had a consistently higher rate of 28 day emergency readmissions compared to Scotland over the last 5 years. North Lanarkshire North locality has consistently had the lowest 28 day readmission rate over the last 5 years, however all localities remain consistently above the Scotland average year on year. Motherwell has the highest rates of all the North Lanarkshire localities in more recent years, with North Lanarkshire North the lowest. Page 156 of 342
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Chart 57: Alcohol related hospital admissions rate per 1,000 population, by financial year Source: SMR01, Public Health Scotland Table 49: Alcohol related hospital admissions rate per 1,000 population, by financial year Financial Year Area of Residence 2017/18 2018/19 2019/20 2020/21 Airdrie 10.2 10.2 10.7 8.9 Bellshill 9.7 8.8 9.8 7.8 Coatbridge 11.5 12.8 12.6 11.4 Motherwell 9.0 8.5 9.7 8.7 North Lanarkshire North 6.7 6.9 6.9 6.3 Wishaw 8.1 8.4 9.4 7.9 North Lanarkshire 8.9 9.1 9.5 8.3 Scotland 6.6 6.6 6.7 6.0 Source: SMR01, Public Health Scotland Alcohol related admission rates have been consistently higher in North Lanarkshire compared with Scotland over the last 4 years. North Lanarkshire rates had been increasing up until 2019/20 and then dropped in 2020/21, likely as a result of the COVID‐19 pandemic. Coatbridge consistently has the highest rates of all the North Lanarkshire localities, with North Lanarkshire North consistently being the lowest. Page 157 of 342
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Chart 58: Drug related hospital admissions rate per 1,000 population, by financial year Source: SMR01, Public Health Scotland Table 50: Drug related hospital admissions rate per 1,000 population, by financial year Financial Year Area of Residence 2017/18 2018/19 2019/20 2020/21 2021/22 Airdrie 1.9 2.0 3.0 2.4 1.9 Bellshill 1.7 1.9 2.2 1.8 1.9 Coatbridge 2.0 2.8 2.6 2.4 2.2 Motherwell 2.3 2.4 3.2 3.5 2.5 North Lanarkshire North 1.3 1.2 1.7 1.5 1.3 Wishaw 1.6 2.0 2.7 2.1 2.4 North Lanarkshire 1.8 2.0 2.5 2.2 2.0 Scotland 1.7 1.9 2.2 2.1 1.8 Source: SMR01, Public Health Scotland North Lanarkshire have had consistently higher rates than Scotland over the last 5 years. Rates has been increasing up to 2019/20, and then decreasing since then. Motherwell has the highest rates of all the North Lanarkshire localities, with North Lanarkshire North the lowest. Page 158 of 342
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Chart 59: NHS24 calls ‐ Rate per 1,000 population by financial year Source: Unscheduled Care Datamart, Public Health Scotland Table 51: NHS24 calls ‐ Rate per 1,000 population by financial year Financial Year Area of Residence 2017/18 2018/19 2019/20 2020/21 2021/22 Airdrie 289.2 275.6 291.7 289.1 308.4 Bellshill 266.3 261.3 277.9 272.3 302.7 Coatbridge 282.8 271.1 274.8 276.1 298.1 Motherwell 279.9 265.7 265.4 253.3 277.1 North Lanarkshire North 221.4 211.3 227.7 230.6 263.6 Wishaw 283.1 306.4 245.0 239.2 277.7 North Lanarkshire 266.2 260.4 260.3 257.2 285.4 Scotland 250.8 238.5 241.6 227.6 261.9 Source: Unscheduled Care Datamart, Public Health Scotland The rate of NHS24 calls per 1,000 population has largely remained steady in North Lanarkshire between 2017/18 and 2020/21, followed by an increase in 2021/22 which would be due to the different way people are now accessing services following the COVID‐19 pandemic. North Lanarkshire has had a higher rate than Scotland over last 5 years. Of the 6 localities, Airdrie tends to have the highest rate per 1,000 population, with North Lanarkshire North the lowest. Chart 60: GP out of hours attendances rate per 1,000 population by financial year Page 159 of 342
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Source: Unscheduled Care Datamart, Public Health Scotland Table 52: GP out of hours attendances rate per 1,000 population by financial year Financial Year Area of Residence 2017/18 2018/19 2019/20 2020/21 2021/22 Airdrie 164.9 158.8 158.0 164.2 171.0 Bellshill 140.1 139.9 140.5 146.6 160.4 Coatbridge 153.3 150.6 142.0 156.8 159.0 Motherwell 137.6 132.4 131.7 134.3 142.4 North Lanarkshire North 124.7 118.0 121.2 125.4 134.6 Wishaw 128.4 126.5 122.6 127.4 142.9 North Lanarkshire 140.3 136.1 134.8 140.8 150.0 Scotland 160.7 154.8 154.2 142.6 158.5 Source: Unscheduled Care Datamart, Public Health Scotland North Lanarkshire has had a lower rate than Scotland over the last 5 years. Of the 6 localities, North Lanarkshire North Wishaw and Motherwell are consistently below the Scotland average rate with the other above. From 2017/18, Airdrie has remained the locality with the highest rate, with North Lanarkshire North being the lowest. Chart 61: Scottish Ambulance Service incidents rate per 1,000 population (all ages) Page 160 of 342
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Source: Unscheduled Care Datamart, Public Health Scotland The North Lanarkshire rate per 1,000 population of Scottish Ambulance Service incidents has been consistently lower than the Scotland rate. The rate was relatively steady up until 2020/21, and then there was an increase in 2021/22. Wishaw has the highest rate of the North Lanarkshire localities, with North Lanarkshire North having the lowest rates consistently over the 5 year period. Page 161 of 342
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Delayed Discharges Chart 62: Delayed Discharges bed days for 18+ age group – Rate per 1,000 population by financial year Source: Delayed Discharges, Public Health Scotland Table 53: Delayed Discharges bed days for 18+ age group – Rate per 1,000 population by financial year Financial Year Area of Residence 2017/18 2018/19 2019/20 2020/21 2021/22 Airdrie 149.0 139.9 154.8 122.3 85.2 Bellshill 116.7 118.1 140.3 95.0 101.8 Coatbridge 135.4 148.1 163.9 119.5 95.8 Motherwell 138.4 134.4 191.7 126.9 134.5 North Lanarkshire North 116.0 100.4 130.3 99.0 147.2 Wishaw 136.7 141.5 139.5 108.9 105.3 North Lanarkshire 131.1 127.8 151.5 111.2 115.5 Scotland 109.6 116.5 120.6 78.3 113.0 Source: Delayed Discharges, Public Health Scotland North Lanarkshire has had higher delayed discharge rates compared to Scotland over the 4 year period 2017/18 – 2020/21, and then in 2021/22 is now lower than the Scotland rate. The rates had been increasing before the start of the COVID‐19 pandemic in 18/19 to 19/20, after which time a decrease can be observed. North Lanarkshire currently has the highest rate of all North Lanarkshire localities and has seen a massive increase in the last year. Airdrie is now the locality with the lowest rate following a substantial decrease in the last year. Page 162 of 342
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Chart 63: Delayed Discharges bed days for 18+ age group – Rate per 1,000 population by month Source: Delayed Discharges, Public Health Scotland Table 54: Delayed Discharges bed days for 18+ age group – Rate per 1,000 population by month Month North Lanarkshire Scotland Month North Lanarkshire Scotland Month North Lanarkshire Scotland Apr‐18 8.3 7.6 Oct‐19 10.4 8.5 Apr‐21 5.8 5.9 May‐18 7.2 7.9 Nov‐19 9.8 8.2 May‐21 6.2 6.4 Jun‐18 7.4 7.8 Dec‐19 10.3 8.3 Jun‐21 6.7 6.8 Jul‐18 8.3 8.0 Jan‐20 10.1 8.7 Jul‐21 8.5 7.7 Aug‐18 7.4 8.0 Feb‐20 10.2 8.6 Aug‐21 8.9 8.4 Sep‐18 8.8 8.4 Mar‐20 10.2 8.2 Sep‐21 8.4 8.8 Oct‐18 9.4 8.7 Apr‐20 4.1 3.7 Oct‐21 7.2 9.2 Nov‐18 9.4 8.1 May‐20 6.5 3.9 Nov‐21 6.7 8.6 Dec‐18 9.0 7.9 Jun‐20 7.6 4.3 Dec‐21 8.3 8.6 Jan‐19 9.4 8.1 Jul‐20 8.4 5.2 Jan‐22 10.1 9.6 Feb‐19 8.4 7.5 Aug‐20 10.1 5.9 Feb‐22 7.7 8.7 Mar‐19 9.0 8.0 Sep‐20 9.5 6.0 Mar‐22 8.3 9.8 Apr‐19 9.3 7.5 Oct‐20 7.5 6.1 Apr‐22 8.7 9.8 May‐19 10.7 8.2 Nov‐20 7.9 6.1 May‐22 8.8 9.7 Jun‐19 9.6 7.7 Dec‐20 7.3 6.1 Jun‐22 7.8 9.2 Jul‐19 11.7 8.3 Jan‐21 7.5 6.4 Jul‐22 8.4 10.2 Aug‐19 10.6 8.6 Feb‐21 5.9 5.6 Aug‐22 8.8 10.2 Sep‐19 10.6 8.4 Mar‐21 6.4 6.2 Source: Delayed Discharges, Public Health Scotland Looking at the delayed discharges bed days rates by month, North Lanarkshire delayed discharge rates tend to be higher than Scotland from April 2018 onwards with the gap widening up until March 2020 where the rates decreased substantially at the start of the COVID‐19 pandemic. North Lanarkshire rates increased between April and October 2020, then remained sporadic until Feb 2021 and have been steadily increasing since then. Most recent Scotland rates now similar to the levels they were at pre‐pandemic, which is also mirrored in North Lanarkshire. Page 163 of 342
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Long Term Conditions Chart 64: Prevalence counts of long term conditions for North Lanarkshire residents in financial year 2021/22 Source: SMR01 and Prescribing Information System (PIS), Public Health Scotland Table 55: Prevalence counts of long term conditions for North Lanarkshire residents in financial year 2021/22 Long Term Condition 2021/22 Prevalence Count Long Term Condition 2021/22 Prevalence Count Anxiety/Depression 91,061 Cerebrovascular Disease 5,632 COPD/Asthma 52,310 Renal Disease 4,300 Hypertension 50,024 Rheumatoid Arthritis 3,811 Chronic Pain 31,214 Heart Failure 2,571 Diabetes 22,951 Chronic Liver Disease 2,416 Gastro‐Oesophageal Reflux 20,239 Dementia 2,276 Coronary Heart Disease 17,243 Epilepsy 2,097 Migraines 14,852 Multiple Sclerosis 567 Osteoarthritis 8,759 Other Neurological Diseases 424 Cancer 8,238 Parkinsons 380 Psychosis 8,218 Liver Failure 289 Atrial Fibrillation 6,581 Source: SMR01 and Prescribing Information System (PIS), Public Health Scotland The Long‐Term Conditions analysis is based on a methodology developed between the PHS Lanarkshire Local Intelligence Support Team (LIST) and NHS Lanarkshire public health, measuring the prevalence of 23 long term conditions based on hospital admissions (SMR data) or community prescribing data from the Prescribing Information System (PIS), with some conditions using data linkage of the 2 datasets. Anxiety/Depression is by far the most prevalent long‐term condition in North Lanarkshire of Page 164 of 342
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the 23 conditions analysed with over a quarter of the North Lanarkshire population identified as having the condition in 2021/22. COPD/asthma and hypertension are the next most prevalent conditions, then followed by Chronic Pain and Diabetes. Chart 65: Prevalence of Anxiety/Depression Rate per 1,000 population by financial year Source: Prescribing Information System (PIS), Public Health Scotland Table 56: Prevalence of Anxiety/Depression Rate per 1,000 population by financial year Financial Year Area of Residence 2017/18 2018/19 2019/20 2020/21 2021/22 Airdrie 263.4 272.2 277.5 273.6 273.0 Bellshill 271.1 278.2 280.3 275.4 274.9 Coatbridge 247.5 257.5 260.6 259.3 262.1 Motherwell 257.6 265.5 271.0 269.6 272.4 North Lanarkshire North 244.4 252.5 257.4 255.8 255.3 Wishaw 248.7 256.9 265.0 269.6 271.3 North Lanarkshire 254.0 262.4 267.3 265.9 266.7 Source: Prescribing Information System (PIS), Public Health Scotland Over the last 5 years, the rate for Anxiety/Depression has increased across all localities and North Lanarkshire as a whole. However, there has been an observed decrease shown from 2019/20 to 2020/21 within the data. It is likely that this reflects changes in the number of people seeking support during the pandemic and therefore data should be treated with caution. Figures generally show an increase between 2020/21 and 2021/22, showing signs of returning back to pre‐pandemic levels and continuing the upward trend. Page 165 of 342
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Chart 66: Prevalence of COPD/Asthma rate per 1,000 population by financial year Source: SMR01 and Prescribing Information System (PIS), Public Health Scotland Table 57: Prevalence of COPD/Asthma rate per 1,000 population by financial year Financial Year Area of Residence 2017/18 2018/19 2019/20 2020/21 2021/22 Airdrie 152.4 153.5 155.7 156.1 155.8 Bellshill 154.2 154.9 156.1 153.5 153.5 Coatbridge 146.3 148.9 152.9 153.0 155.5 Motherwell 144.4 145.8 147.6 146.5 148.7 North Lanarkshire North 144.0 144.6 146.7 146.1 147.4 Wishaw 153.9 155.8 158.1 160.4 162.6 North Lanarkshire 148.6 149.9 152.1 151.9 153.2 Source: SMR01 and Prescribing Information System (PIS), Public Health Scotland Over the last 5 years, the rate for COPD/asthma has increased for North Lanarkshire and for all localities apart from Bellshill. The highest rates are in Wishaw, with the lowest being in North Lanarkshire North. Chart 67: Prevalence of Hypertension rate per 1,000 population by financial year Source: Prescribing Information System (PIS), Public Health Scotland Page 166 of 342
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Table 58: Prevalence of Hypertension rate per 1,000 population by financial year Financial Year Area of Residence 2017/18 2018/19 2019/20 2020/21 2021/22 Airdrie 152.0 152.6 153.1 151.1 152.7 Bellshill 154.9 155.2 154.3 151.3 150.6 Coatbridge 141.3 142.7 143.2 141.2 141.9 Motherwell 132.1 133.1 132.7 130.1 131.4 North Lanarkshire North 150.2 150.5 150.6 147.1 145.7 Wishaw 149.2 151.6 154.6 154.9 158.4 North Lanarkshire 146.8 147.7 148.2 145.9 146.5 Source: Prescribing Information System (PIS), Public Health Scotland The prevalence rate of hypertension in North Lanarkshire had been increasing from 2017/18 to 2019/20, then decreased in 2020/21 likely as a result of the COVID‐19 pandemic followed by an increase in 2021/22. Wishaw is the only North Lanarkshire locality where rates have continuously increased over the 5 year period and has been the locality with highest rates since 2019/20, with Motherwell consistently being the locality with the lowest rates. Chart 68: Prevalence of Chronic Pain rate per 1,000 population by financial year Source: Prescribing Information System (PIS), Public Health Scotland Table 59: Prevalence of Chronic Pain rate per 1,000 population by financial year Financial Year Area of Residence 2017/18 2018/19 2019/20 2020/21 2021/22 Airdrie 92.9 92.7 92.0 90.3 89.1 Bellshill 98.5 98.4 96.0 92.0 89.7 Coatbridge 99.7 98.9 98.9 97.9 99.0 Motherwell 92.7 91.7 90.4 89.1 87.6 North Lanarkshire North 87.2 87.7 86.4 84.1 82.3 Wishaw 111.8 111.4 110.2 108.9 107.6 North Lanarkshire 96.0 95.8 94.6 92.7 91.4 Source: Prescribing Information System (PIS), Public Health Scotland Page 167 of 342
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The prevalence rate of chronic pain has slightly decreased over the last 5 years in North Lanarkshire. The rate has decreased in all North Lanarkshire localities, Wishaw has consistently had the highest rates, with North Lanarkshire North the lowest. Chart 69: Prevalence of Diabetes rate per 1,000 population by financial year Source: SMR01 and Prescribing Information System (PIS), Public Health Scotland Table 60: Prevalence of Diabetes rate per 1,000 population by financial year Financial Year Area of Residence 2017/18 2018/19 2019/20 2020/21 2021/22 Airdrie 58.5 59.9 62.4 63.8 65.9 Bellshill 60.8 62.7 64.8 66.5 69.2 Coatbridge 58.1 59.6 62.4 63.4 67.2 Motherwell 61.0 63.0 63.9 65.6 68.1 North Lanarkshire North 54.8 56.3 57.7 58.5 60.7 Wishaw 67.0 69.2 72.1 74.1 77.5 North Lanarkshire 59.5 61.2 63.2 64.6 67.2 Source: SMR01 and Prescribing Information System (PIS), Public Health Scotland Over the last 5 years, the prevalence rate of Diabetes has increased year on year for North Lanarkshire and all 6 localities. Wishaw has consistently had the highest rates, with North Lanarkshire North the lowest. Chart 70: Percentage of the population with 3 or more long term conditions Source: SMR01 and Prescribing Information System (PIS), Public Health Scotland Page 168 of 342
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Table 61: Percentage of the population with 3 or more long term conditions Financial Year Area of Residence 2017/18 2018/19 2019/20 2020/21 2021/22 Airdrie 13.2% 13.5% 13.6% 13.5% 13.6% Bellshill 14.0% 14.1% 14.1% 13.9% 13.9% Coatbridge 12.9% 13.3% 13.6% 13.5% 13.7% Motherwell 13.2% 13.3% 13.5% 13.1% 13.1% North Lanarkshire North 12.1% 12.4% 12.5% 12.3% 12.3% Wishaw 14.7% 14.8% 15.2% 15.2% 15.3% North Lanarkshire 13.2% 13.4% 13.6% 13.4% 13.5% Source: SMR01 and Prescribing Information System (PIS), Public Health Scotland The percentage of the population with 3 or more long term conditions has gradually increased every year up until 2019/20, then there has been a slight decrease in 2020/21 followed by a slight increase in 2021/22. However, this should be treated with caution as the Covid‐19 pandemic changed how people accessed health care; reduced hospital admissions and/or changes in prescribing may have had an impact on the number of people with long term conditions identified using this methodology. Children and Young People Chart 71: Child and Adolescent Mental Health Service (CAMHS) Referrals rate per 1,000 population by financial year Source: North Lanarkshire data: TrakCare, NHS Lanarkshire; Scotland data: CAMHS Waiting Times database, Public Health Scotland Page 169 of 342
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Table 62: Child and Adolescent Mental Health Service (CAMHS) Referrals rate per 1,000 population by financial year Financial Year Area of Residence 2017/18 2018/19 2019/20 2020/21 2021/22 Airdrie 34.8 39.0 36.6 22.7 28.3 Bellshill 39.9 35.9 40.2 20.3 28.7 Coatbridge 36.2 35.6 36.8 23.0 27.0 Motherwell 24.8 35.7 33.9 22.8 31.7 North Lanarkshire North 32.3 34.7 31.9 22.4 31.0 Wishaw 39.2 38.4 36.1 27.0 28.0 North Lanarkshire 28.0 40.9 38.9 25.1 30.9 Scotland 32.4 34.8 33.9 28.1 36.7 Source: Lanarkshire data: TrakCare, NHS Lanarkshire; Scotland data: CAMHS Waiting Times database, Public Health Scotland CAMHS referral rates across North Lanarkshire has remained at a relatively stable rate over the years from 2017/18 to 2019/20. However, a large decrease in the referral rates has been seen in the year from 2019/20 to 2020/21 and this pattern has also been observed in the Scotland rate. The reduction in referrals may be linked to the Covid‐19 pandemic as opposed to reduced need. Rates have risen again in 2021/22. Chart 72: Child and Adolescent Mental Health Service (CAMHS) DNA’s percentage by financial year Source: Lanarkshire data: TrakCare, NHS Lanarkshire; Scotland data: CAMHS Waiting Times database, Public Health Scotland The percentage of North Lanarkshire’s CAMHS DNA’s has remained fairly steady at around 13%. In 2020/21 North Lanarkshire fell below the Scottish rate, however has crept above again in 2021/22 at just below 14%. In 2021/22, Coatbridge is the North Lanarkshire locality with the highest rate, with Bellshill being the lowest. Page 170 of 342
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Chart 73: Percentage of children with a concern in any domain at 13‐15 month child health review, by financial year Source: CHSP Pre‐School August 2022, Public Health Scotland The percentage of children with concern in any domain at 13‐15 month review for North Lanarkshire as a whole has seen a slight decrease from 2018/19 to 2020/21, however has remained above the Scotland average for each year. For the North Lanarkshire localities, Motherwell have had the highest percentage in most recent years, with North Lanarkshire North the lowest. Page 171 of 342
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Chart 74: Percentage of children with a concern at 27‐30 month child health review by financial year Source: CHSP Pre‐School August 2022, Public Health Scotland Table 63: Percentage of children with a concern at 27‐30 month child health review by financial year Financial Year Area of Residence 2017/18 2018/19 2019/20 2020/21 Airdrie 15% 21% 16% 16% Bellshill 17% 21% 19% 15% Coatbridge 17% 17% 17% 18% Motherwell 13% 16% 20% 18% North Lanarkshire North 17% 16% 14% 17% Wishaw 20% 17% 20% 19% North Lanarkshire 16% 18% 17% 17% Scotland 15% 15% 14% 15% Source: CHSP Pre‐School August 2022, Public Health Scotland North Lanarkshire has a higher percentage of children with a concern at the 27‐30 month child health review compared to Scotland for the last 4 years, and has largely remained steady at just under 18%. In 2020/21 Wishaw had the highest percentage of 19% and Bellshill with the lowest at 15%. Page 172 of 342
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Chart 75: Percentage of children with a concern in any domain at 4‐5 year child health review, by financial year Source: CHSP Pre‐School August 2022, Public Health Scotland The percentage of children with concern in any domain at 4‐5 year child health review has been consistently higher than Scotland over the last 4 years. The North Lanarkshire rate has been relatively steady over the last 3 years, following a decrease between 2017/18 and 2018/19, compared to Scotland rate which had been increasing from 2017/18 to 2019/20 and then decreased slightly in 2020/21. For the North Lanarkshire localities in 2020/21, Bellshill has the highest rate with Motherwell the lowest. Chart 76: Unintentional injuries in under 5s, age/sex standardised rate per 100,000 (3 year aggregate) Source: SMR01, Public Health Scotland, via Online Profiles Tool ‐ ScotPHO Page 173 of 342
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Unintentional injuries for under 5’s in North Lanarkshire has remained below the National figure from 2015 to 2018, however latest data for 2019 has shown this figure to have risen above the Scotland figure to just under 1085 per 100,000. Chart 77: Percentage uptake rate for child vaccinations at 12 months, by financial year Source: Scottish Immunisation and Recall System (SIRS) North Lanarkshire has consistently had a higher uptake percentage for all of the 12 month vaccinations over the last 5 years compared with Scotland. Similar patterns also observed for: 24 months – Hib/MenC, Men B booster, MMR1, PCVB, 6 in 1 5 years – 4 in 1, Hib/MenC, MMR1, MMR2, 6 in 1 6 years – 4 in 1, MMR1, MMR2 Where North Lanarkshire has generally had a higher uptake percentage compared with Scotland over the last 5 years. Page 174 of 342
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Chart 78: Percentage of Primary 1 children receiving a letter 'C' (no obvious decay experience but should continue to see the family dentist on a regular basis) at basic inspection by school year Source: National Dental Inspection Programme Basic Inspection, Public Health Scotland; Online Profiles Tool ‐ ScotPHO *Please note: Data for 2020/21 school year was unavailable due to COVID‐19 pandemic. North Lanarkshire’s Primary 1 child dental health has been consistently slightly below the Scotland percentage over the last 5 years, with both showing a gradual increase over the last 5 years. Of the localities, North Lanarkshire North has had the highest percentage and Wishaw most recently being the lowest. Page 175 of 342
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Chart 79: Percentage of Primary 7 children receiving a letter 'C' (no obvious decay experience but should continue to see the family dentist on a regular basis) at basic inspection by school year Source: National Dental Inspection Programme Basic Inspection, Public Health Scotland; via Online Profiles Tool ‐ ScotPHO Similarly with the Primary 1 dental health percentage, the Primary 7 dental health percentage in North Lanarkshire, has also seen a gradual increase year on year and in 2019/20, North Lanarkshire’s percentage has overtaken the Scotland rate for the first time in 5 years. For the North Lanarkshire localities in 2019/20, Motherwell had the highest rate with Coatbridge being the lowest. Page 176 of 342
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Mental Health Chart 80: Mental Health (psychiatric only) emergency admissions bed days rate per 1,000 population by financial year Source: SMR04, Public Health Scotland Table 64: Mental Health (psychiatric only) emergency admissions bed days rate per 1,000 population by financial year Financial Year Area of Residence 2017/18 2018/19 2019/20 2020/21 Airdrie 88.0 99.8 75.7 58.6 Bellshill 479.4 421.3 414.6 353.7 Coatbridge 155.8 184.2 150.8 130.8 Motherwell 264.7 282.1 284.0 240.8 North Lanarkshire North 135.2 125.4 102.9 79.4 Wishaw 126.7 120.8 102.2 81.6 North Lanarkshire 191.8 190.0 172.0 142.9 Scotland 224.6 219.6 209.6 186.9 Source: SMR04, Public Health Scotland The rate of bed days from psychiatric emergency admissions has been declining steadily for all areas, with the North Lanarkshire rates being lower than the Scottish average. Of the 6 localities, Bellshill has the highest rate and Airdrie the lowest. The reduction in rates in 2020/21 may be as a result of changes to patients accessing services due to the Covid‐19 pandemic. Page 177 of 342
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Chart 81: Estimated number of people on drugs for anxiety, depression, psychosis rate per 1,000 population (all ages) Source: Prescribing Information System (PIS), Public Health Scotland The rate per 1,000 population of estimated number of people on drugs for anxiety, depression, psychosis in North Lanarkshire has been higher than the Scotland rate for the last 5 years and is showing a gradual increasing trend year on year. In 2021/22 the locality with the highest rate was Wishaw with 242 and North Lanarkshire North being the lowest at 209. Last 6 months of life Chart 82: Proportion of the last 6 months of life spent in the community for North Lanarkshire Source: Death records, NRS; SMR01 & SMR04, Public Health Scotland Page 178 of 342
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Table 65: Proportion of the last 6 months of life spent in the community for North Lanarkshire Financial Year Percentage of last 6 months of life spent in the community 2013/14 87.0% 2014/15 88.6% 2015/16 88.3% 2016/17 88.5% 2017/18 89.0% 2018/19 88.9% 2019/20 89.0% 2020/21 90.2% Source: Death records, NRS; SMR01 & SMR04, Public Health Scotland The overall trend for residents’ last 6 months of life spent in the community over the last 8 years, has been continually increasing gradually. Outpatient Appointments Chart 83: Outpatient appointments attended rate per 1,000 population (all ages) Source: SMR00, Public Health Scotland The rate per 1,000 population of outpatient appointments in North Lanarkshire has been lower than the Scotland rate the last 3 years. North Lanarkshire and Scotland rates have followed a very similar pattern, at around 300 before the COVID‐19 pandemic in 2020/21 where there was a decrease and then figures appear to returning back to pre pandemic levels in 2021/22. Page 179 of 342
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Chart 84: Outpatient appointments did not attend (DNA) rate per 1,000 population (all ages) Source: SMR00, Public Health Scotland The rate of outpatient appointment DNA’s for North Lanarkshire has consistently been slightly above the Scotland rate for the last 5 years. There was a decrease from 2017/18 to 2020/21, followed by an increase in 2021/22. For the North Lanarkshire localities, Coatbridge and Motherwell have had the highest rates, with North Lanarkshire having the lowest rate in 2021/22. Page 180 of 342
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Chart 85: Outpatient appointments attended in mental health specialties rate per 1,000 population (all ages) Source: SMR00, Public Health Scotland North Lanarkshire’s rate per 1,000 population for outpatient appointments in mental health specialties has remained below the Scotland rate for the last 5 years. For the North Lanarkshire localities in 2021/22, Motherwell has the highest rate with Airdrie being the lowest. Chart 86: Outpatient appointments did not attend (DNA) in mental health specialties rate per 1,000 population (all ages) Page 181 of 342
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Source: SMR00, Public Health Scotland North Lanarkshire’s rate per 1,000 population for outpatient appointments DNA’s in mental health specialties has consistently been slightly higher than the Scotland rate over the last 5 years. For the North Lanarkshire localities in 2021/22, Coatbridge has the highest rate and Wishaw the lowest. Page 182 of 342
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Cancer Chart 87: Percentage of bowel screening uptake by calendar year (3 year aggregate) Source: Scottish Bowel Screening Database (Public Health Scotland), Online Profiles Tool ‐ ScotPHO North Lanarkshire’s bowel screening uptake rate has shown a continual increase from 2016, however remains below the Scotland percentage. For the North Lanarkshire localities, North Lanarkshire North has the highest uptake percentage, with Motherwell having the lowest. Add in more Cancer screening outputs when we receive IR from PHS Cancer team. Page 183 of 342
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Chart 88: Cancer registrations age/sex standardised rate per 100,000 population by calendar year (3 year aggregate) Source: SMR06, Public Health Scotland, via Online Profiles Tool ‐ ScotPHO North Lanarkshire’s Cancer registrations age/sex standardised rate per 100,000 population has remained at a constant rate around 650; and is slightly higher than the Scotland rate. For the most recent 3 year aggregate calendar years, the North Lanarkshire locality with the highest rate is Airdrie, and Motherwell is the lowest. Page 184 of 342
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Births and Deaths Chart 89: Live births rate per 1,000 population by calendar year Source: ScotPHO Online Profiles Tool Online Profiles Tool ‐ ScotPHO The rate of live births per 1,000 population has been slightly higher in North Lanarkshire compared to Scotland over the last 5 years, with both rates decreasing over the 5 year period. For the North Lanarkshire localities, Motherwell has the highest rate with Bellshill now being the lowest. Page 185 of 342
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Chart 90: Deaths (all ages) age/sex standardised rate per 100,000 population by calendar year (3 year aggregate) Source: National Records of Scotland (NRS), via Online Profiles Tool ‐ ScotPHO The age/sex standardised death rate per 100,000 population has been consistently higher in North Lanarkshire compared to Scotland over the last 5 years, showing a gradual increase from 2018 to 2020. Year on year North Lanarkshire has had a higher rate in comparison to the national rate. Coatbridge has the highest rate of the North Lanarkshire localities, with North Lanarkshire North having the lowest. Page 186 of 342
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Chart 91: Deaths from suicide, age/sex standardised rate per 100,000 population by calendar year (5 year aggregate) Source: National Records of Scotland (NRS), via Online Profiles Tool ‐ ScotPHO North Lanarkshire’s deaths from suicide rate has risen at a higher rate compared to Scotland in more recent years. For the North Lanarkshire localities, Wishaw has consistently had the highest rate, with North Lanarkshire North being the lowest most recently. Page 187 of 342
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Chart 92: Age/sex standardised rate per 100,000 population of alcohol specific deaths by calendar year (5 year aggregate) Source: National Records of Scotland (NRS), via Online Profiles Tool ‐ ScotPHO North Lanarkshire’s age/sex standardised rate per 100,000 alcohol specific deaths has been consistently higher than the Scotland rate. All localities are above the Scotland rate with Coatbridge generally having the highest rate of the 6 localities, with North Lanarkshire North the lowest. Chart 93: Drug related deaths, age/sex standardised rate per 100,000 population by calendar year Source: National Records of Scotland (NRS) via Online Profiles Tool ‐ ScotPHO The age/sex standardised rate per 100,000 population for drug related deaths in North Lanarkshire had been increasing from 2017 to 2019, steady until 2020 and then decreased in 2021 where it is now lower than the Scotland rate. Page 188 of 342
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Smoking Chart 94: Smoking quit rate percentage at 4 week follow up by financial year Source: NHS Smoking Cessation Database, Online Profiles Tool ‐ ScotPHO The percentage of smoking quit rate in North Lanarkshire has remained steady at approximately 40% from 2015/16 to 2019/20 and remains above the Scotland rate. Chart 95: Smoking quit rate percentage at 12 week follow up by financial year Source: ScotPHO Online Profiles Tool Online Profiles Tool ‐ ScotPHO The smoking quit rate percentage at 12 week follow up in North Lanarkshire has generally remained above the Scotland rate over the 5 year period, with 2018/19 being the only year where it fell below the Scotland rate. In 2019/20, the quit rate was just under 25%. Page 189 of 342
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Primary Care Chart 96: Number of GP practices per 100,000 practice list size, as at 1st January 2023 Source: National Primary Care Contractor Database (NPCCD), Public Health Scotland As at 1st January 2023, North Lanarkshire has a slightly lower number of GP practices per 100,000 practice list size compared with Scotland and ranks 17th highest of all HSCPs in Scotland. Wishaw is the North Lanarkshire locality with the highest rate, Airdrie has the lowest. Chart 97: Number of GPs per 100,000 practice list size, as at 1st January 2023 Source: National Primary Care Contractor Database (NPCCD), Public Health Scotland As at 1st January 2023, North Lanarkshire has a considerably lower number of GPs per 100,000 practice list size compared with Scotland and they rank the lowest of all HSCPs in Scotland. Motherwell is the North Lanarkshire locality with the highest rate, Airdrie has the lowest. Notes GPs contracted to work in Scottish General Practices contact details; as at 01/01/2023 Excludes GPs working only on a locum/sessional basis and those working only in Out of Hours service locations Also excludes NHS Board administration practices which have no registered GPs or registered patients. Page 190 of 342
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Health Inequalities Chart 98: Rate per 1,000 population of A&E Attendances for North Lanarkshire residents by SIMD Quintile and financial year Source: A&E Datamart, Public Health Scotland Table 66: Rate per 1,000 population of A&E Attendances for North Lanarkshire residents by SIMD Quintile and financial year Financial Year SIMD Quintile 2017/18 2018/19 2019/20 2020/21 2021/22 Q1 (most deprived) 448.3 457.9 456.9 366.0 441.7 Q2 370.3 381.9 382.9 300.3 372.8 Q3 324.3 334.6 333.0 258.4 324.6 Q4 267.8 287.3 278.3 210.1 271.7 Q5 (least deprived) 231.7 243.2 246.9 188.5 242.6 Source: A&E Datamart, Public Health Scotland The rate per 1,000 population of A&E attendances is higher for North Lanarkshire residents in the most deprived areas compared to the least deprived. The disparity has been consistent over the 5‐year period with rates being around 1.8 times higher for SIMD Quintile 1 (most deprived areas) compared with SIMD Quintile 5 (least deprived areas). The rate of A&E attendances has dropped considerably in 2020/21 across all SIMD quintiles due to fewer people attending A&E departments as a result of the COVID‐19 pandemic. With figures appearing to be returning back to pre‐pandemic levels in 2021/22. Page 191 of 342
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Chart 99: Rate per 1,000 population of acute emergency admissions for North Lanarkshire residents by SIMD Quintile and financial year Source: SMR01, Public Health Scotland Table 67: Rate per 1,000 population of acute emergency admissions for North Lanarkshire residents by SIMD Quintile and financial year Financial Year SIMD Quintile 2017/18 2018/19 2019/20 2020/21 2021/22 Q1 (most deprived) 168.9 168.4 176.4 144.4 162.6 Q2 142.3 143.3 149.8 121.2 140.0 Q3 129.8 127.8 136.6 106.2 124.1 Q4 97.6 104.0 105.1 80.8 97.9 Q5 (least deprived) 81.8 86.3 88.3 72.0 85.1 Source: SMR01, Public Health Scotland From 2017/18 through to 2019/20, emergency admissions for North Lanarkshire across all SIMD quintiles have been generally increasing slowly. With the most deprived quintiles having higher rates of admissions compared to the less deprived quintiles. A decrease was observed over the last year in 2020/21 which may be as a result of changes to patients accessing services due to the Covid‐19 pandemic, with figures again rising in 2021/22. Chart 100: Rate per 1,000 population of acute emergency admissions bed days for North Lanarkshire residents by SIMD Quintile and financial year Page 192 of 342
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Source: SMR01, Public Health Scotland Table 68: Rate per 1,000 population of acute emergency admissions bed days for North Lanarkshire residents by SIMD Quintile and financial year Financial Year SIMD Quintile 2017/18 2018/19 2019/20 2020/21 2021/22 Q1 (most deprived) 853.1 816.9 902.4 752.7 889.3 Q2 853.2 778.1 818.1 708.3 843.5 Q3 682.1 679.7 725.8 577.3 707.5 Q4 503.9 488.7 491.3 457.3 490.9 Q5 (least deprived) 404.7 376.9 453.1 346.8 427.5 Source: SMR01, Public Health Scotland Similar with admissions, the bed days follows a similar pattern with more the more deprived quintiles in North Lanarkshire having higher rates of bed days, decreasing as the quintiles are less deprived. Rates for the most deprived quintile are around double the rates for the least deprived quintile. Chart 101: Rate per 1,000 population of delayed discharge bed days for North Lanarkshire residents (aged 18 plus) by SIMD Quintile and financial year Source: Delayed Discharges, Public Health Scotland Table 69: Rate per 1,000 population of delayed discharge bed days for North Lanarkshire residents (aged 18 plus) by SIMD Quintile and financial year SIMD Quintile Financial Year 2017/18 2018/19 2019/20 2020/21 Q1 (Most Deprived) 162.0 175.1 212.6 138.0 Q2 156.0 132.3 148.5 129.0 Q3 116.8 122.4 134.5 109.0 Q4 78.4 77.1 102.7 76.6 Q5 (Least Deprived) 63.7 50.2 66.0 38.2 Source: Delayed Discharges, Public Health Scotland The rate per 1,000 population of delayed discharge bed days for North Lanarkshire residents as generally higher for more deprived quintiles. From 2017/18 to 2019/20, this has been increasing, more notable for residents who live in the most deprived quintile. 2020/21 has seen a drop in Delayed discharge bed days, however this is will be due to the covid 19 pandemic. Page 193 of 342
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Chart 102: Rate per 1,000 population of Mental Health emergency admission bed days for North Lanarkshire residents by SIMD Quintile and financial year Source: SMR04, Public Health Scotland Table 70: Rate per 1,000 population of Mental Health emergency admission bed days for North Lanarkshire residents by SIMD Quintile and financial year Financial Year SIMD Quintile 2017/18 2018/19 2019/20 2020/21 Q1 (most deprived) 167.2 195.2 171.5 120.8 Q2 166.5 151.8 156.7 137.8 Q3 392.5 363.7 312.6 290.5 Q4 211.9 196.8 163.8 141.0 Q5 (least deprived) 34.2 26.8 35.7 27.5 Source: SMR04, Public Health Scotland The rate of mental health emergency bed days has been steadily decreasing over the years across all SIMD quintiles. SIMD quintile 3 is consistently the quintile with the highest bed day rate, with quintile 5 being the lowest. Chart 103: Percentage of North Lanarkshire population with 1 or more long term conditions by SIMD Quintile and financial year Source: SMR01 and Prescribing Information System (PIS), Public Health Scotland Page 194 of 342
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Table 71: Percentage of North Lanarkshire population with 1 or more long term conditions by SIMD Quintile and financial year Financial Year SIMD Quintile 2017/18 2018/19 2019/20 2020/21 2021/22 Q1 (most deprived) 56.0% 56.8% 57.0% 56.7% 57.0% Q2 54.1% 54.6% 55.0% 54.6% 54.8% Q3 49.2% 49.4% 50.3% 49.9% 50.0% Q4 45.1% 45.4% 45.6% 44.9% 44.7% Q5 (least deprived) 43.1% 43.8% 44.1% 44.0% 44.1% Source: SMR01 and Prescribing Information System (PIS), Public Health Scotland The percentage of the population across North Lanarkshire and its localities with 1 or more Long term condition has been gradually increasing over the last 5 years, with the higher percentages coming from the most deprived quintiles compared to the least deprived. Rates are around 1.3 times higher in most deprived quintile compared to the least deprived. Chart 104: Percentage of North Lanarkshire population with 3 or more long term conditions by SIMD Quintile and financial year Source: SMR01 and Prescribing Information System (PIS), Public Health Scotland Table 72: Percentage of North Lanarkshire population with 3 or more long term conditions by SIMD Quintile and financial year Financial Year SIMD Quintile 2017/18 2018/19 2019/20 2020/21 2021/22 Q1 (most deprived) 16.0% 16.3% 16.5% 16.3% 16.4% Q2 14.5% 14.7% 14.9% 14.9% 15.0% Q3 12.1% 12.4% 12.6% 12.4% 12.4% Q4 9.4% 9.6% 9.6% 9.5% 9.4% Q5 (least deprived) 8.0% 8.2% 8.2% 8.2% 8.5% Source: SMR01 and Prescribing Information System (PIS), Public Health Scotland Over the 5 years, the percentage of population with 3 or more long term conditions has generally remained at consistent levels, however Quintile 2 has observed a gradual increase year on year. Again, least deprived quintiles being much lower in comparison to more deprived quintiles, with rates in the most deprived quintile being around double the rate in the least deprived quintile. Page 195 of 342
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Chart 105: Percentage of North Lanarkshire population with 5 or more long term conditions by SIMD Quintile and financial year Source: SMR01 and Prescribing Information System (PIS), Public Health Scotland Table 73: Percentage of North Lanarkshire population with 5 or more long term conditions by SIMD Quintile and financial year Financial Year SIMD Quintile 2017/18 2018/19 2019/20 2020/21 2021/22 Q1 (most deprived) 4.1% 4.3% 4.3% 4.3% 4.3% Q2 3.5% 3.7% 3.8% 3.7% 3.7% Q3 2.9% 2.9% 3.0% 3.0% 3.0% Q4 2.0% 2.1% 2.1% 2.0% 2.0% Q5 (least deprived) 1.4% 1.5% 1.6% 1.5% 1.5% Source: SMR01 and Prescribing Information System (PIS), Public Health Scotland A similar pattern as with 1 plus and 3 plus long‐term conditions can be seen with 5 plus long term conditions. The rate for the most deprived quintile is nearly 3 times that of the least deprived quintile, showing that the disparity between the most and deprived areas increases as the number of long‐term conditions increases. Chart 106: Rate per 1,000 population of A&E Attendances for North Lanarkshire residents by age group and financial year Source: A&E Datamart, Public Health Scotland Page 196 of 342
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Table 74: Rate per 1,000 population of A&E Attendances for North Lanarkshire residents by age group and financial year Financial Year Age Group 2017/18 2018/19 2019/20 2020/21 2021/22 0 to 17 330.8 338.7 334.3 215.8 342.4 18 to 44 354.9 369.7 365.6 286.4 348.1 45 to 64 315.8 327.2 326.3 279.3 318.9 65 to 74 372.7 379.8 378.6 316.2 357.7 75 plus 622.1 632.7 638.8 511.5 592.0 Source: A&E Datamart, Public Health Scotland A&E Attendance rates is relatively similar across the four lower age groups, with the highest age band (75 Plus) being substantially higher. For the last 5 years, the 45 to 64 age group has consistently had the lowest rate of attendance. Chart 107: Rate per 1,000 population of delayed discharge bed days for North Lanarkshire residents (aged 18 plus) by age group and financial year Source: Delayed Discharges, Public Health Scotland Table 75: Rate per 1,000 population of delayed discharge bed days for North Lanarkshire residents (aged 18 plus) by age group and financial year Financial Year Age Group 2017/18 2018/19 2019/20 2020/21 18 to 44 10.6 10.1 20.4 8.3 45 to 64 45.5 37.1 54.6 37.1 65 to 74 185.1 152.1 179.3 153.6 75 plus 972.5 1,002.2 1,084.4 798.6 Source: Delayed Discharges, Public Health Scotland The rate per 1,000 population of delayed discharge bed days is much higher for older age groups. With an overall increasing trend year on year before the COVID‐19 pandemic in 2020/21. The 75 plus age group is approximately 20 times higher than that of the 45 to 64 year olds and was reaching past 1,000 beds on average before the pandemic. Page 197 of 342
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Chart 108: Rate per 1,000 population of acute emergency admissions for North Lanarkshire residents by age group and financial year Source: SMR01, Public Health Scotland Table 76: Rate per 1,000 population of acute emergency admissions for North Lanarkshire residents by age group and financial year Financial Year Age Group 2017/18 2018/19 2019/20 2020/21 2021/22 0 to 17 84.4 84.2 89.9 47.9 78.0 18 to 44 83.0 86.5 91.9 73.7 82.6 45 to 64 129.1 130.7 135.5 121.1 130.3 65 to 74 227.6 225.3 226.2 193.0 210.5 75 plus 444.9 434.1 444.7 358.3 403.6 Source: SMR01, Public Health Scotland As age groups increase in age, the rate of acute emergency admission also increases with 75 plus age group having the highest rate year on year in comparison to lower age groups – generally 5 times higher than 18 to 44 year olds. All age bands have yet to reach levels seen before the impacts of Covid‐ 19 and may indicate levels will continue to rise over the next year onwards. Chart 109: Rate per 1,000 population of acute emergency admissions bed days for North Lanarkshire residents by age group and financial year Source: SMR01, Public Health Scotland Page 198 of 342
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Table 77: Rate per 1,000 population of acute emergency admissions bed days for North Lanarkshire residents by age group and financial year Financial Year Age Group 2017/18 2018/19 2019/20 2020/21 2021/22 0 to 17 105.9 91.7 105.7 64.7 86.0 18 to 44 221.7 213.5 235.0 180.3 227.5 45 to 64 591.6 576.7 629.0 547.6 661.6 65 to 74 1,621.9 1,482.3 1,540.9 1,326.5 1,478.7 Source: SMR01, Public Health Scotland Chart 110: Rate per 1,000 population of Mental Health emergency admission bed days for North Lanarkshire residents by age group and financial year Source: SMR04, Public Health Scotland Table 78: Rate per 1,000 population of Mental Health emergency admission bed days for North Lanarkshire residents by age group and financial year Financial Year Age Group 2017/18 2018/19 2019/20 2020/21 0 to 17 15.3 14.9 8.1 5.1 18 to 44 112.9 145.0 132.6 102.9 45 to 64 166.9 149.1 150.3 124.2 65 to 74 549.3 522.4 397.3 364.7 75 plus 694.4 612.1 590.5 474.9 Source: SMR04, Public Health Scotland Overall, the rate of mental health emergency bed days for North Lanarkshire residents is higher as the age group increases. With the 65 to 74 and the 75 plus age bands being around 3 times higher than the 45 to 64 year olds. Page 199 of 342
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Chart 111: Percentage of North Lanarkshire population prevalent with 1 or more long term conditions by age group and financial year Source: SMR01 and Prescribing Information System (PIS), Public Health Scotland Table 79: Percentage of North Lanarkshire population prevalent with 1 or more long term conditions by age group and financial year Financial Year Age Group 2017/18 2018/19 2019/20 2020/21 2021/22 0‐34 29.2% 29.3% 29.5% 29.0% 28.9% 35‐49 52.1% 52.5% 53.1% 53.1% 52.8% 50‐64 74.9% 75.8% 76.5% 75.2% 75.2% 65‐74 78.1% 78.4% 78.0% 77.5% 77.4% 75+ 83.9% 85.1% 84.0% 82.5% 84.3% All Ages 51.5% 52.0% 52.4% 52.0% 52.1% Source: SMR01 and Prescribing Information System (PIS), Public Health Scotland The percentage of population with 1 long term condition or more across age groups, as expected, is highest amongst the older age groups in comparison to the younger ones. With approximately 30 percent of individuals in the 0 to 34 age group having one long term condition or more compared to 83% in the 75plus age bracket in 20/21. This trend has remained steady over the last 5 years. Chart 112: Percentage of North Lanarkshire population prevalent with 3 or more long term conditions by age group and financial year Page 200 of 342
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Source: SMR01 and Prescribing Information System (PIS), Public Health Scotland Table 80: Percentage of North Lanarkshire population prevalent with 3 or more long term conditions by age group and financial year Financial Year Age Group 2017/18 2018/19 2019/20 2020/21 2021/22 0‐34 1.9% 2.0% 2.0% 2.0% 2.0% 35‐49 9.1% 9.1% 9.3% 9.4% 9.1% 50‐64 22.0% 22.3% 22.4% 22.0% 22.0% 65‐74 31.7% 31.9% 32.0% 31.1% 30.8% 75+ 44.3% 44.6% 44.1% 42.7% 43.5% All Ages 13.2% 13.4% 13.6% 13.4% 13.5% Source: SMR01 and Prescribing Information System (PIS), Public Health Scotland All age brackets except 0‐34 have seen a slight decrease in the percentage of population recording 3 or more Long term conditions over the last year, whereas the younger age group has remained at a steady rate. Chart 113: Percentage of North Lanarkshire population prevalent with 5 or more long term conditions by age group and financial year Source: SMR01 and Prescribing Information System (PIS), Public Health Scotland Table 81: Percentage of North Lanarkshire population prevalent with 5 or more long term conditions by age group and financial year Financial Year Age Group 2017/18 2018/19 2019/20 2020/21 2021/22 0‐34 0.1% 0.1% 0.1% 0.1% 0.1% 35‐49 1.1% 1.2% 1.3% 1.3% 1.2% 50‐64 4.8% 5.0% 5.1% 5.0% 4.8% 65‐74 8.8% 9.0% 9.2% 8.8% 8.6% 75+ 15.7% 15.8% 15.4% 14.8% 15.0% All Ages 3.2% 3.3% 3.4% 3.3% 3.3% Source: SMR01 and Prescribing Information System (PIS), Public Health Scotland Page 201 of 342
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As seen with three or more long term conditions, a similar pattern is observed when looking at the population percentage with five or more long term conditions by age groups, with the three oldest age groups showing a slight decrease over the last year and the two younger age groups remaining steady. Chart 114: Top 10 Long Term Conditions by financial year and age group Source: SMR01 and Prescribing Information System (PIS), Public Health Scotland Coronary Heart Disease Migraines Osteoarthritis Anxiety/Depression COPD/Asthma Hypertension Chronic Pain Diabetes Gastro‐Oesphaegal Reflux Cancer 0% 5% 10% 15% 20% 25% 30% 35% 40% 2017/18 2018/19 2019/20 2020/21 2021/22 Percentage of population Financial Year 0‐34 35‐49 50‐64 65‐74 75+ 0% 5% 10% 15% 20% 25% 2017/18 2018/19 2019/20 2020/21 2021/22 Percentage of population Financial Year 0‐34 35‐49 50‐64 65‐74 75+ 0% 10% 20% 30% 40% 50% 60% 2017/18 2018/19 2019/20 2020/21 2021/22 Percentage of population Financial Year 0‐34 35‐49 50‐64 65‐74 75+ 0% 5% 10% 15% 20% 25% 2017/18 2018/19 2019/20 2020/21 2021/22 Percentage of population Financial Year 0‐34 35‐49 50‐64 65‐74 75+ 0% 2% 4% 6% 8% 10% 12% 14% 16% 18% 2017/18 2018/19 2019/20 2020/21 2021/22 Percentage of population Financial Year 0‐34 35‐49 50‐64 65‐74 75+ 0% 2% 4% 6% 8% 10% 12% 14% 2017/18 2018/19 2019/20 2020/21 2021/22 Percentage of population Financial Year 0‐34 35‐49 50‐64 65‐74 75+ 0% 5% 10% 15% 20% 25% 30% 2017/18 2018/19 2019/20 2020/21 2021/22 Percentage of population Financial Year 0‐34 35‐49 50‐64 65‐74 75+ 0% 1% 2% 3% 4% 5% 6% 7% 8% 2017/18 2018/19 2019/20 2020/21 2021/22 Percentage of population Financial Year 0‐34 35‐49 50‐64 65‐74 75+ 0% 2% 4% 6% 8% 10% 12% 14% 2017/18 2018/19 2019/20 2020/21 2021/22 Percentage of population Financial Year 0‐34 35‐49 50‐64 65‐74 75+ 0% 1% 2% 3% 4% 5% 6% 7% 8% 9% 10% 2017/18 2018/19 2019/20 2020/21 2021/22 Percentage of population Financial Year 0‐34 35‐49 50‐64 65‐74 75+ Page 202 of 342
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Chart 115: Top 10 Long Term Conditions by financial year and SIMD quintile Source: SMR01 and Prescribing Information System (PIS), Public Health Scotland Coronary Heart Disease Migraines Osteoarthritis Cancer Anxiety/Depression COPD/Asthma Hypertension Chronic Pain Diabetes Gastro‐Oesphaegal Reflux 0% 5% 10% 15% 20% 25% 30% 35% 2017/18 2018/19 2019/20 2020/21 2021/22 Percentage of population Financial Year Q1 (most deprived) Q2 Q3 Q4 Q5 (least deprived) 0% 5% 10% 15% 20% 2017/18 2018/19 2019/20 2020/21 2021/22 Percentage of population Financial Year Q1 (most deprived) Q2 Q3 Q4 Q5 (least deprived) 0% 2% 4% 6% 8% 10% 12% 14% 16% 18% 2017/18 2018/19 2019/20 2020/21 2021/22 Percentage of population Financial Year Q1 (most deprived) Q2 Q3 Q4 Q5 (least deprived) 0% 2% 4% 6% 8% 10% 12% 14% 2017/18 2018/19 2019/20 2020/21 2021/22 Percentage of population Financial Year Q1 (most deprived) Q2 Q3 Q4 Q5 (least deprived) 0% 1% 2% 3% 4% 5% 6% 7% 8% 9% 2017/18 2018/19 2019/20 2020/21 2021/22 Percentage of population Financial Year Q1 (most deprived) Q2 Q3 Q4 Q5 (least deprived) 0% 1% 2% 3% 4% 5% 6% 7% 8% 2017/18 2018/19 2019/20 2020/21 2021/22 Percentage of population Financial Year Q1 (most deprived) Q2 Q3 Q4 Q5 (least deprived) 0% 1% 2% 3% 4% 5% 6% 7% 2017/18 2018/19 2019/20 2020/21 2021/22 Percentage of population Financial Year Q1 (most deprived) Q2 Q3 Q4 Q5 (least deprived) 0% 1% 2% 3% 4% 5% 6% 2017/18 2018/19 2019/20 2020/21 2021/22 Percentage of population Financial Year Q1 (most deprived) Q2 Q3 Q4 Q5 (least deprived) 0% 1% 2% 3% 4% 2017/18 2018/19 2019/20 2020/21 2021/22 Percentage of population Financial Year Q1 (most deprived) Q2 Q3 Q4 Q5 (least deprived) 0% 1% 2% 3% 2017/18 2018/19 2019/20 2020/21 2021/22 Percentage of population Financial Year Q1 (most deprived) Q2 Q3 Q4 Q5 (least deprived) Page 203 of 342
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Chart 116: A selection of health indicators broken down by SIMD quintile comparing North Lanarkshire & Scotland for most recent available data % of children with 6‐8 week review recorded 2020/21 Outpatient appontments attended 2021/21 CAMHS Referrals 2021/22 Mental Health Emergency Bed Days 2020/21 A&E Attendances 2021/22 7 Day Readmissions 2021/22 % coverage of 12 month vaccination ‐ MenB 2021/22 Acute Emergency Admissions 2021/22 % with a concern in any developmental domain (13‐15 month review) 2020/21Estimated patients prescribed anxiolytics, antipsychotics and/or antidepressants, 2021/22 0 50 100 150 200 250 300 350 400 450 500 Q1 (Most Deprived) Q2 Q3 Q4 Q5 (Least Deprived) Rate per 1,000 population North Lanarkshire Scotland 0 20 40 60 80 100 120 140 160 180 Q1 (Most Deprived) Q2 Q3 Q4 Q5 (Least Deprived) Rate per 1,000 population North Lanarkshire Scotland 0 2 4 6 8 10 12 14 16 18 Q1 (Most Deprived) Q2 Q3 Q4 Q5 (Least Deprived) Rate per 1,000 population North Lanarkshire Scotland 91 92 93 94 95 96 97 98 99 100 Q1 (Most Deprived) Q2 Q3 Q4 Q5 (Least Deprived) Percent North Lanarkshire Scotland 0 50 100 150 200 250 300 Q1 (Most Deprived) Q2 Q3 Q4 Q5 (Least Deprived) Rate per 1,000 population North Lanarkshire Scotland 0 2 4 6 8 10 12 14 16 Q1 (Most Deprived) Q2 Q3 Q4 Q5 (Least Deprived) Percent North Lanarkshire Scotland 90 91 92 93 94 95 96 Q1 (Most Deprived) Q2 Q3 Q4 Q5 (Least Deprived) percentage North Lanarkshire Scotland 0 50 100 150 200 250 300 Q1 (Most Deprived) Q2 Q3 Q4 Q5 (Least Deprived) Rate per 1,000 population North Lanarkshire Scotland 0 5 10 15 20 25 30 35 40 45 Q1 (Most Deprived) Q2 Q3 Q4 Q5 (Least Deprived) Rate per 1,000 population North Lanarkshire 0 50 100 150 200 250 300 Q1 (Most Deprived) Q2 Q3 Q4 Q5 (Least Deprived) Rate per 1,000 population North Lanarkshire Scotland Page 204 of 342
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Chart 117: A selection of health indicators broken down by SIMD quintile, comparing North Lanarkshire localities for most recent available data % of children with 6‐8 week review recorded 2020/21 Outpatient appontments attended 2021/21 CAMHS Referrals 2021/22 Mental Health Emergency Bed Days 2020/21 A&E Attendances 2021/22 Acute Emergency Admissions 2021/22 7 Day Readmissions 2021/22 % coverage of 12 month vaccination ‐ MenB 2021/22 Estimated patients prescribed anxiolytics, antipsychotics and/or antidepressants, 2021/22 % with a concern in any developmental domain (13‐15 month review) 2020/21 0 50 100 150 200 250 300 350 400 450 500 Rate per 1,000 population Q1 (Most Deprived) Q2 Q3 Q4 Q5 (Least Deprived) 0 20 40 60 80 100 120 140 160 180 200 Rate per 1,000 population Q1 (Most Deprived) Q2 Q3 Q4 Q5 (Least Deprived) 0 5 10 15 20 25 Rate per 1,000 population Q1 (Most Deprived) Q2 Q3 Q4 Q5 (Least Deprived) 0 10 20 30 40 50 60 70 80 90 100 Percentage Q1 (Most Deprived) Q2 Q3 Q4 Q5 (Least Deprived) 0 50 100 150 200 250 300 Rate per 1,000 population Q1 (Most Deprived) Q2 Q3 Q4 Q5 (Least Deprived) 0 5 10 15 20 25 30 35 40 Percentage Q1 (Most Deprived) Q2 Q3 Q4 Q5 (Least Deprived) 0 10 20 30 40 50 60 70 80 90 100 Percentage Q1 (Most Deprived) Q2 Q3 Q4 Q5 (Least Deprived) 0 50 100 150 200 250 300 Rate per 1,000 population Q1 (Most Deprived) Q2 Q3 Q4 Q5 (Least Deprived) 0 10 20 30 40 50 60 70 80 90 100 Rate per 1,000 population Q1 (Most Deprived) Q2 Q3 Q4 Q5 (Least Deprived) 0 200 400 600 800 1000 1200 1400 1600 1800 2000 Rate per 1,000 population Q1 (Most Deprived) Q2 Q3 Q4 Q5 (Least Deprived) Page 205 of 342
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Chart 118: A selection of health indicators broken down by age group comparing North Lanarkshire & Scotland for most recent available data Page 206 of 342
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Chart 119: A selection of health indicators broken down by age group, comparing North Lanarkshire localities for most recent available data Page 207 of 342
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Appendix 3 Strategic Commissioning Plan 2023‐2026 ‐Your Views and Opinion During December 2022 – January 2023, HSCNL published an online questionnaire to gain feedback from the public and employees on the ambition statements that underpin the partnership’s new Strategic Commissioning Plan 2023‐ 2026. The survey was circulated and available for completion for a five‐week period in December 2022 and January 2023. It was promoted to employees and the public through the social media channels of North Lanarkshire Council and NHS Lanarkshire. Respondent Characteristics A total of 196 respondents completed the survey, consisting of 192 individuals and 4 organisations. The two organisations which gave their name were: Lilac Neighbourhood Watch for Abronhill and North Lanarkshire Recovery Community 49% of the respondents described themselves as a person who provides unpaid care. 34% of the respondents work within the health and social care sector 60% of the respondents are currently receiving or have received a service from health and social care for themselves or a family member. Ambition 1 ‐ Do the right thing first time ‐ ensure that when people make contact with our services the response is quick and effective ‐ a focus on helping people to help themselves first ‐ the continued development of First Point of Contact incorporating good conversations across the Health and Social Care Partnership (HSCP) ‐ embedding this approach with a whole system focus remains a priority Ambition 1 Count % Strongly agree 115 59% Agree 52 27% Neutral 4 2% Disagree 14 7% Strongly disagree 9 5% Total 194 100% 86% of respondents agreed with the statements within this ambition 17% of employees responding disagreed with some of the statements compared to 9% of those who are not employees. There was no difference in the proportion of disagreement in the responses to this ambition between those who have and those who do not have a caring responsibility. The general themes emerging from the comments provided in response to this question are as follows: There needs to be clarity as to what the Strategic Commissioning Plan will achieve, and its aims need to be realistic Helping people to help themselves is important and it needs to be clear what this means in practice Effective and timeous access to and communication with services is essential. Page 208 of 342
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A selection of respondents’ comments have been highlighted below for illustrative purposes. “Helping people to help themselves first is good in theory but we deal with vulnerable services users who are unable to help themselves and they must be given every assistance to help them live in a safe and healthy environment” (unknown) “People need to be able to contact services in a variety of ways not just online as many disadvantaged groups do not have access to digital equipment.” (member of the public) “It is rare for anything to be actioned that the response is quick and effective. Everything needs to be followed up time and time again” (employee) Ambition 2 ‐ Increased focus on prevention, early intervention and tackling inequalities by working with communities and people The population and needs analysis within this Plan highlights the need to do things differently, to understand the demographic challenges facing North Lanarkshire and to harness the opportunities of people living healthier lives for longer. ‐ Changing the way we deliver services and support people includes acknowledging that in some cases the way we do things attracts higher costs because we focus more on managing crises and late interventions. ‐ We need to focus more on prevention, early intervention and empowering people to live fulfilling lives. ‐ By providing ‘upstream’ support at an early stage, we can reduce the demand on intensive health and care service and re‐invest in more community focused support services. ‐ However, we recognise that early and effective support is not always best provided through health and social care services. ‐ Through working with our partners in the Third Sector, we can identify, support and develop local community‐based programmes, run by voluntary and independent organisations that focus on the health and care needs of local communities. ‐ Work will take place to support and empower people to continue to live healthy, meaningful and more personally satisfying lives as active members of their community for as long as possible. ‐ To do this will show ambition and be innovative to develop and try new ways of providing services that haven’t been done before, even that is difficult and sometimes riskier than the easy option. ‐ We value and recognise the vital role local people and communities play and through our Engagement and Participation structures ‐ We will continue to ensure we provide a voice for local people, service users, patients and carers and ensure we listen to their needs and aspirations. ‐ Our strategic planning arrangements don’t stop with publication of a plan, and so engagement and participation from local people will extend into the delivery of our partnership priorities. Ambition 2 Count % Strongly agree 93 48% Agree 60 31% Neutral 9 5% Disagree 16 8% Strongly disagree 14 7% Total 192 100% 79% of respondents agreed with the statements within this ambition 20% of those employed in social care or health disagreed with this ambition as opposed to 14% of the respondents who do not work in the sector. 19% of carers disagreed with this statement compared to 12% of those who do not have caring responsibilities Page 209 of 342
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The general themes emerging from the comments provided in response to this question are as follows: The role and potential of the 3rd sector needs to be recognised and supported A focus on prevention and early intervention is necessary Single sex spaces are important as is the language used in ensuring that women are effectively supported and included The right services and staff are essential with planning reflecting measurable and achievable outcomes Planning and implementation need to include a focus on addressing inequalities A selection of respondents’ comments have been highlighted below for illustrative purposes. “Who wouldn't? However, if underlying ambition is to withdraw services to vulnerable people, that will only serve to exacerbate inequalities.” (employee) “A lot of the time the 3rd sector gets oversubscribed and have to deal with more complex clients because there is not enough council workforce support, or the criteria for input from the council becomes so restrictive that at the end of the day those vulnerable people at most need get no support.” (employee) “It is easy to listen to needs and aspirations ‐ another thing to act upon them, which is what we need urgently.” (employee) “This looks like an excuse to cut costs and reduce services” (current service user) “Effective support is ALWAYS best provided by healthcare professionals!” (current service user) Ambition 3 ‐ Develop and support a workforce for the future ‐ The ageing population of North Lanarkshire is broadly mirrored within the workforce of the health and social care sector; therefore it is important to recognise this and make sure we prepare to allow flexibility and support to both our ageing workforce, and our workforce throughout each career level from entry level to ensure their physical and mental health is nurtured. ‐ There are continuing challenges with regards to resourcing, attracting, recruiting, and retaining staff. ‐ There is an increasing need to support a ‘pipeline’ of workers coming into the profession, for example through highlighting the sector in schools, through other opportunities in developing the young workforce, through wider employability routes, or from career changers. ‐ Whole system planning requires further development to better understand the needs and demands of communities including their public health challenges, ‐ The types of roles needed to support different Health and Social Care needs, and ‐ The availability of different types of workers over time and geographically, as well as the relationships and influences between all parts of the system Ambition 3 Count % Strongly agree 100 52% Agree 59 31% Neutral 8 4% Disagree 15 8% Strongly disagree 10 5% Total 192 100% Page 210 of 342
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83% of respondents agreed with the statements within this ambition. 15% of those providing unpaid care disagreed with the statements compared to 10% of those without caring responsibilities The general themes emerging from the comments provided in response to this question are as follows: Critical to invest in and value home care workers, in terms of competitive salaries, training, and support to retain experienced and talented employees Explore the barriers to young people entering the profession to ensure a new generation of employees are coming through Ensure robust processes in any outsourcing of home care, including satisfactory training and delivery of a quality service A selection of respondents’ comments have been highlighted below for illustrative purposes. “Without an environment where staff feel they are supported and valued the recruitment and retention of the workforce is going to be an issue.” (employee and previous service user) “Home care workers require much better pay and training. It is an expert job looking after elderly dementing clients, who are just, if not more vulnerable than children. Yet inexperienced, low paid staff are asked to do a job that is emotionally and physically challenging. That is why carers are leaving. (employee and current service user) “There is no point in recruiting a new generation of workers who only leave after a few months because of low pay, low job satisfaction because they are not given enough time to do a good job. And sourcing out homecare to private companies who don't seem to have robust processes in place to ensure staff are trained well enough is not a solution.” (employee and current service user) “Pay care staff better, give them more time to do their jobs and treat them like the valuable staff they are. Nurses in hospital get a lot of media coverage of how hard they work, yet carers are forgotten about.” (employee and current service user) “Front line carers need more communication avenues with office‐based staff” (current service user) “As an elderly citizen myself now, I still find myself caring for an elderly family member due to shortages of care workers which is more stressful wand with little respite. Ambition 3 sounds perfect but I don’t think will be achievable in my lifetime, but I do think if the right calibre of workforce it may one day happen. Having experience of care services, I certainly think that emphasis on life experience and good training essential.” (previous service user) “This is needed but the jobs need to attractive and reflective of what is being asked of people.” (employee) Page 211 of 342
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Ambition 4 ‐ Improve mental health and wellbeing We know, through our service information and through speaking to our local communities, that mental health concerns are increasing in the population. This means potentially a greater demand for mental health services and community supports. There is a need for a refreshed and reinvigorated approach to mental health improvement and the delivery of the Lanarkshire Mental Health and Wellbeing Strategy, continuing to focus on the four core areas: ‐ Good mental health for all ‐ Improving access to mental health supports and services ‐ Children and young people’s mental health and wellbeing ‐ Specialist mental health services Ambition 4 Count % Strongly agree 117 60% Agree 47 24% Neutral 6 3% Disagree 17 9% Strongly disagree 7 4% Total 194 100% 84% of respondents agreed with the statements within this ambition. Agreement with this ambition was similar across those who worked for health and social care and carers and respondents in general. The general themes emerging from the comments provided in response to this question are as follows: This sector needs increased investment, staff resource, and continued support to the third sector who provide much of this service Keep the positive conversation around mental health going within our communities Improvements are needed in all mental health care and support services, particularly for young people Educate all generations on mental health to ensure positive and ongoing support in the home, school and communities A selection of respondents’ comments have been highlighted below for illustrative purposes. “Requires investment and other incentives to make this an attractive area to work in. Further consideration of societal issues is also necessary.” (employee) “There should be a focus on mental health outcomes for those most severely affected by poor mental health. Too much effort is spent on dealing with people who have minor temporary mental health issues that can be overcome. Teaching young people about poor mental health can often result in young people self‐diagnosing mental health problems rather than using their own resilience to overcome personal issues.” (member of the public) “priority to be needs based and not strategic tick box use of resources and funding” (employee and service user) Page 212 of 342
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“It is difficult to access mental health wellbeing services without a clinical diagnosis therefore some focus should be on prevention and early intervention. Access to mental health services is very difficult long waiting lists and staff capacity stretched to limit.” (employee and previous service user) “The main help for mental health in NL is third sector and charitable organisations.” (employee and previous service user) Ambition 5 ‐ Supporting people through a whole family approach Our aspiration is to support adults and children of all ages with the tools to set, plan for and achieve their goals together. This puts wellbeing at the heart of our approach and considers the situation that adults and children live in, who they live with and family relationships. This may include: ‐ helping an adult and their family to think about what may happen in the future, and plan for those possible changes ‐ when the adult needs more care or if a carer becomes unwell ‐ supporting carers of all ages within their caring role and as equal partners in care ‐ supporting families where substance use and other challenges exist This means in practice understanding each person as an individual, as well as recognising the part they play in their family and community. The approach builds on everyone’s strengths and develops their resilience. Ambition 5 Count % Strongly agree 107 55% Agree 58 30% Neutral 14 7% Disagree 4 2% Strongly disagree 11 6% Total 194 100% Overall, 85% of respondents agreed with the statements in this ambition. 17% of those who work within health and social care disagreed with this ambition compared to 11% of those who do not. Carers were slightly more in agreement with this ambition (86%) compared to those who do not have caring responsibilities (83%) The general themes emerging from the comments provided in response to this question are as follows: Carers should be at the centre of any conversations around proposed changes to service provision Young carers need to be supported and their burden lifted. They need the opportunity and time to achieve in their own lives Partnership links and whole family support approach is needed alongside individualised support and care provision It is essential to signpost carers to the help and resources available to them Page 213 of 342
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A selection of respondents’ comments have been highlighted below for illustrative purposes. “Ambition laudable ‐ but if this means that families subsume additional unpaid responsibilities, that they're not able to fulfil, that will make life difficult for many.” (employee) “Patient are waiting years to be treated. What kind of support is that?” (employee) “The work of unpaid carers underpins the work of Health & Social Care. This foundation needs greater support and access to services especially as family members grow older and their grown‐up children require help to cope. The lack of care staff within social care and the time it takes to put care packages in place is a major contribution to the lack of beds in hospitals and needs to be addressed quickly.” (service user) “This is an important part of the strategy often families feel let down and struggle to know where to turn.” (employee and service user) “This statement fails to take into consideration the increased responsibility that has already been put on families throughout the pandemic due to lack of appropriate services.” (service user) “From experience carers and their families are not even involved in these conversations and most definitely not at the heart of the approach” (employee and service user) General Comments Respondents were also given the opportunity to contribute general comments on the plan and its content. A selection of these comments are provided below which reflect some of the wider sentiments and responses from the respondents. “This is at best a very broad strategy with no outcomes, accountabilities or measures of success or failure. It is a nice wish list with no real proposals to achieve the aims. The apparent enthusiasm present in the strategy needs to translate into practice and continue to be supported and worked on. I worry that some areas of health and social care will see having a strategy as sufficient, regardless of how well it is implemented. Previous experience of mental health services, most help came from 3rd sector organisations who provided support when healthcare could not. There is a need for adequate funding, greater staffing levels and proper skill‐based training Carers’ workload appears to be haphazard and ‘not joined up’ scheduling. The time given for carers to provide the service is not long enough Elevating social care to a profession would acknowledge the work and encourage recruitment and retention of staff. Page 214 of 342
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Appendix 4 Equality Impact Assessment Health and Social Care North Lanarkshire Strategic Commissioning Plan 2023‐2026 Title of policy Health and Social Care North Lanarkshire Strategic Commissioning Plan 2023‐2026 Responsible body Integration Joint Board – North Lanarkshire Council and NHS Lanarkshire Lead officer Ross McGuffie, Chief Officer, Health and Social Care Lanarkshire What is the purpose of the proposed policy or changes to established policy? This assessment relates to a statutory published plan summarising the purpose and intentions of the Integration Joint Board’s (IJB) Strategic Commissioning Plan (SCP) for Health & Social Care North Lanarkshire. The Public Bodies (Joint Working) (Scotland) Act 2014 puts in place arrangements for integrating health and social care to improve outcomes for patients, service users, carers and their families. The Act requires Health Boards and Local Authorities to work together effectively to agree a model of integration to deliver high quality, sustainable care services. The North Lanarkshire IJB is responsible for the strategic planning of the functions delegated to it and for ensuring the delivery of those functions through the directions issued by it under s25 of the Act. This Strategic Commissioning Plan covers the period 2023‐26, the final phase of North Lanarkshire’s long term Strategic Plan 2016‐2026. The SCP builds on the work established through the previous plan, 2020 ‐ 2023. Following extensive engagement and collaboration with local people, service users, members of staff and other key stakeholders, the SCP sets out the IJB’s ambitions for improving the health and wellbeing of North Lanarkshire’s population over the next 3 years. Who is affected by the policy or who is intended to benefit from the proposed policy and how? All residents of North Lanarkshire including those who use services, carers and providers of health and social care services may benefit from and be affected by this policy. How have you or will you, put the policy into practice? Who will be responsible for delivering it? The IJB has overall responsibility for planning health and social care services within North Lanarkshire, however, the Health and Social Care Partnership has a key role in delivering on the strategic commissioning intentions within the SCP. The IJB’s continued commitment to working in partnership with statutory partners and the third and independent sectors is highlighted in the SCP. The continuation of work within community planning in North Lanarkshire is also acknowledged. The SCP seeks to ensure maximum impact across the whole health and care system. The impact of Covid recovery is given consideration within the plan alongside the need to build resilience in ensuring the priorities set out are met. High level outcomes and priorities that inform how community health, social care and social work functions delegated to the IJB by North Lanarkshire Council and NHS Lanarkshire are detailed within the SCP. A more detailed implementation plan to support the priorities of the IJB will be developed in the coming months. In terms of governance, in implementing the programme of work, further Equality Impact Assessments (EQUIAs) will provide reassurance of compliance with the Equality Act. EQIAs will be undertaken as part of each commissioned service’s delivery plans. Page 215 of 342
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The plan will be monitored on a quarterly and annual basis, as appropriate to the key management and partnership structures within IJB with further reporting on progress through an Annual Performance Report. In stage 1 screening you identified that the policy will impact on one or more of the protected characteristics. What information do you have that tell you how this policy might have an impact? Key Questions: What will the impact of the proposed policy/function be the same or different for each group identified? Is there any indication or evidence of higher or lower participation or uptake of services by different groups? Are there are any groups of people who are not taking up services? Protected Characteristic What evidence do you have that consultation has been undertaken Sex Pregnancy & maternity Disability Race Religion & belief Marriage & civil partnership Gender reassignment Sexual orientation Age A programme of consultation has taken place over the past year, both prior to the construction of a draft plan as well as in relation to the published draft SCP. To ensure that the plan reflects the needs and aspirations of residents of North Lanarkshire and other stakeholders, a comprehensive programme of communication and engagement has been facilitated. With the intention of reaching and involving as many people as possible, community consultation events have taken place alongside online interactive surveys to provide a range of opportunities for stakeholder involvement. This has enabled the IJB to ensure that its intentions are communicated widely and provide an opportunity for the perspectives of different groups to inform the plan. A Strategic Planning Group has met regularly to produce, monitor and review the SCP. The Group is chaired by the Chief Officer and has a wide‐ranging membership. There is representation from senior leaders and managers within the partnership, service user and carer representatives, VANL, and a range of other partner organisations. North Lanarkshire’s North‐East and North‐West sectors brought their locality teams and local stakeholders together across two in‐person engagement events. This allowed a large attendance from each of the six localities, with dedicated inputs and workshop sessions on the development of the SCP. Two staff roadshow sessions were dedicated to engagement on the development of future priorities and reviewing current achievements and challenges. These took place online allowing for a wide range of staff from across a large number of disciplines and services to take part. A Strategic Engagement event took place with members from each of the eight Community Boards in North Lanarkshire with a range of questions and discussion topics focusing on many local issues and priorities. Page 216 of 342
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In addition, there was also engagement with senior leaders and managers across our delivery areas, including: Adult Health Services Specialist Children’s Health Services Addiction, Learning Disability & Mental Health Services These sessions provided an opportunity for more tailored discussions and engagement in relation to the specific delivery areas. What is the impact on the protected characteristics identified? Protected Characteristic Impact (High, Medium Low or Unknown) Description of impact L The principal purpose of the SCP is to set out how community health, social care and social work functions delegated to the IJB by North Lanarkshire Council and NHS Lanarkshire will be planned and delivered over the medium term. The plan itself does not intend to differentially impact on any specific protected characteristic. Data has been gathered in relation to all and a comprehensive needs analysis has been developed with expert support from the Local Intelligence Support Team (Public Health Scotland). The draft analysis is complete with final publication alongside the SCP in March 2023. The SCP covers all residents of North Lanarkshire and the impact on all protected characteristics will be monitored on an ongoing basis, with any required changes made to the implementation plan in consequence. Sex L See above Pregnancy and Maternity L See above Disability L See above Race L See above Religion and belief L See above Marriage and civil partnership L See above Gender reassignment L See above Page 217 of 342
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Sexual orientation L See above Age L See above Does the policy need to be changed? Are there any changes? Protected characteristics Description All No This is a high level plan which details the outcomes for the IJB over the next 3 years. An implementation plan will set out how these will be achieved with performance monitoring and review facilitated on an ongoing basis. Approved by: Name (Chair of partnership) Designation Date Page 218 of 342
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Policy and Strategy Committee Information Governance Policies and Guidance: Biennial Review and Update 2023 North Lanarkshire Council Report Does this report require to be approved? ☒ Yes ☐ No Ref KH/KMacF/JL Date 08/06/23 From Katrina Hassell, Chief Officer, Business and Digital E-mail hassellk@northlan.gov.uk Telephone 07903 096121 Executive Summary In line with the council’s approved Strategic Policy Framework, all Information Governance policies and guidance notes are considered sub-policies of the Digital and IT Strategy, approved by the Policy and Strategy Committee in June 2019. In approving the Digital and IT Strategy 2019 to 2024 and amended iterations thereafter, committee noted the Information Governance Policy Framework would be reviewed every two years. The last review of these policies was approved by the Policy and Strategy Committee in June 2021. The biennial review has now been completed and the revised policies are attached for approval. Guidance and supporting documentation in respect of the overarching framework is continually being reviewed and developed and will be published and communicated as appropriate and required. The report also introduces the proposed Payment Card Industry Data Security Standard (PCI DSS) policy to govern council processing of credit and debit card payments thereby ensuring best practice, compliance with industry standards and heightened safeguards for customers and the council. Recommendations It is recommended that the Policy and Strategy Committee: (1) Endorses introduction of the Payment Card Industry Data Security Standard policy for inclusion in the suite of information governance policies; and thereafter, (2) Approves the revised information governance policies. The Plan for North Lanarkshire Priority All priorities Ambition statement All ambition statements AGENDA ITEM 7 Page 219 of 342
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1. Background 1.1. In June 2019, the Policy and Strategy Committee approved the Digital and IT Strategy 2019 to 2024. This Strategy outlines how technology will be used to transform service delivery and support the council to achieve the priorities contained within The Plan for North Lanarkshire. Recognising the rapid pace of change and advancement within digital technologies, the Digital and IT Strategy is subject to annual review to ensure it remains relevant and reflects the most up to date technological capabilities and opportunities available to the council, in addition to any changes to legislation or statutory guidance. The Strategy has been updated twice, with the former Transformation and Digitisation Committee noting relevant amendments and additions to the Digital and IT Strategy in September 2020 and February 2022 respectively. 1.2. In recognising that council service delivery requires effective management and processing of data, the information governance policies are key sub-policies of the approved Digital and IT Strategy. 1.3. This suite of information governance policies requires to be reviewed regularly by the council to ensure they remain fully reflective of expected good practice and current legislative requirements and in June 2021 the Policy and Strategy Committee approved the biennial review of these policies. The 2023 review is now complete, and the updated policies are attached as Appendices 1 to 4 to this report. 1.4. Guidance and supporting documentation to accompany the policies and ensure consistent understanding and application across all services is continually being reviewed and developed and the most recent iterations, reflecting the revisions within these most recently reviewed policies, will be published and communicated to staff. 2. Report 2.1. The information governance policies have been reviewed for accuracy and updated to reflect the council’s strategic vision outlined in the Data and Information Management Strategic Roadmap. In line with the expectations outlined within the approved Digital and IT Strategy, the review has rationalised and streamlined the policies, incorporating changes in working practices arising from our approved digitisation programme including remote working and the move to Microsoft 365. 2.2. The information governance review was carried out by members of the Data Governance Board (DGB) and the Data Management Team (DMT) with advice and guidance from the council’s subject matter experts. 2.3. Subject matter experts across the council, working alongside members of the DMT, are now reviewing all existing information governance guidance to ensure such accurately and fully reflects the requirements of the revised policies. This allows the council to move towards shorter, sharper policies supported by easy-to-follow guidance and standards which enable and support staff to achieve policy compliance more readily. The development of guidance documents will continue throughout the life of these policies and will be regularly reviewed and updated as the council’s digital journey continues. 2.4. An additional policy has been developed as part of the suite of information governance policies to support the council’s ambition to adhere to the Payment Card Industry Data Security Standard (PCI DSS) for the processing of credit and debit card payments. Page 220 of 342
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2.5. The table below details the documents which have been endorsed by the corporate governance groups, and which are attached for Policy and Strategy Committee consideration. These documents contain hyperlinks to relevant legislation or wider council policies which have a bearing on the governance arrangements. The policies which are subject to approval by this Committee and other associated documents in development have been shaded grey and the hyperlinks will be inserted following members’ consideration at this meeting. 1 Records and Information Management Policy Version 5.0 2 Data Protection Policy Version 7.0 3 Information Security Policy Version 4.0 4 Payment Card Industry Data Security Policy Version 1.0 Summary of Changes to Policies 2.6. All policies reflect the corporate policy template and plain English requirement. The following briefly summarises key revisions for members’ attention and ease of reference. 2.7. Records and Information Management Policy Version 5.0 Inclusion of links to related documentation to assist with understanding, ease of access and dependencies between policies. Paragraphs 1-6: Revised wording updated in line with Records Management Policy of National Records of Scotland with inclusion of Governance paragraph. Paragraph 7-8 and 10: Updated to reflect transition to capture, storage and audit trail within M365 as opposed to on-premise servers. Paragraph 9: ‘Access to Records’ enhanced to reflect importance for requests for information within the council. Paragraph 12: - 'Transfer to Archive' outlines the purpose of the archives and related documentation for paper records and introduces Digital Preservation Framework. Addition of Product Set identifying suite of policies and expanded glossary to assist understanding and consistency. 2.8. Data Protection Policy Version 7.0 The revised Data Protection Policy is now more user friendly. The way in which it is now set out is very concise and easy to understand – for example, the data protection principles have been set out in a table with much clearer descriptions. Wording has been strengthened in Section 9 under the Purpose Limitation sub- heading to provide increased clarity. This is in response to a slight increase in requests from services to the Data Protection Team inquiring if it is permissible to process existing information for a new purpose. Wording has been expanded to more fully explain the position, which is that services can only use information for another purpose if they have the appropriate consents or a clear statutory basis for doing so. The wording has also been expanded in Section 14 to clarify the position on council services sharing information between one another. Again, it has come to the Data Protection Team’s attention that services are often requesting information from another service. Whilst this sharing can be permitted, the Data Protection Team wanted to reiterate that information provided to one council service is not automatically available to all others. Sharing must be in accordance with the Data Protection principles and a lawful basis must first be identified. Page 221 of 342
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Section 16 has been added to cover international transfers in light of the Schrems II judgement in 2020. This section sets out the council’s general position (which is that the council will not transfer outwith the UK) and, where a situation arises which requires the council to transfer information outwith the UK, the requirements which must then be satisfied. All guidance/policies/templates are now linked in the Product Set. The Data Protection Impact Assessment template is currently being updated and the Data Protection Team will consult the Data Governance Board and Data Management Team prior to finalisation and publication of the new template. 2.9. Information Security Policy Version 4.0 Restructured the contents including the introduction of standard sections at the start and end of the policy, as agreed with the policy review team. Added and updated links to related documents to improve ease of access, understanding and dependencies between policies. Additional Information Governance Policy - Payment Card Industry Data Security Policy Version 1.0 2.10. North Lanarkshire Council has a stated ambition to adhere to the Payment Card Industry Data Security Standard (PCI DSS) for the processing of credit and debit card payments which it performs. The PCI DSS consists of a standardised, industry-wide set of requirements and processes for various security controls, ensuring that payment card and cardholder data are protected. At its highest level there are 6 control objectives outlined in the PCI DSS. These are further split into 12 requirements, which in turn are broken into over three hundred sub-requirements. 2.11. To limit the impact of adhering to the PCI DSS, organisations can look to restrict the scope of such payments or even out-source these entirely. However, where an organisation is a card payment merchant account holder and card transactions are processed, PCI DSS compliance is expected. North Lanarkshire Council is a merchant account holder and processes card transactions. 2.12. Included within the PCI DSS requirements which the council is subject to is a requirement to: ‘Maintain a policy that addresses information security for all personnel’. To ensure that the particular requirements of PCI DSS are met, it was agreed by the council’s PCI DSS Governance Board that a stand-alone PCI DSS Policy be developed focused purely on the handling of credit and debit card payments. A strong security policy sets the security tone for the whole organisation and informs personnel what is expected of them and provides assurance that the council takes the handling of credit and debit card payments seriously. 3. Measures of success 3.1. Continued compliance with statutory responsibilities in respect of information governance, evidenced through achievement of a green audit status for our Records Management Plan. 3.2. Levels of council-wide compliance continue to improve from those determined as our “baseline” per the Information and Records Management Survey of September 2019. Page 222 of 342
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4. Supporting documentation 4.1. Records and Information Management Policy Version 5.0 4.2. Data Protection Policy Version 7.0 4.3. Information Security Policy Version 4.0 4.4. Payment Card Data Security Policy Version 1.0 Katrina Hassell Chief Officer (Business and Digital) Page 223 of 342
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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 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? Individual policies have been updated to comply with relevant legislative requirements and guidance for employees is being updated to reflect the recent revisions and improvements. 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? Individual policies have been updated to comply with relevant legislative requirements particularly in relation to ensuring wider and consistent understanding and application across council services of the rules governing purpose and information sharing duties under Data Protection legislation. 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 224 of 342
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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 information governance policies reflect the overarching aims and strategic direction set out in the Digital and IT Strategy 2019 – 2024. 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? Regular communication to promote these policies will be co-ordinated with Strategic Communication and Engagement via the appropriate representatives on the corporate working groups. 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 information governance policies and guidance assist in mitigating the risk rating in respect of the Information Security and Governance corporate risk. 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 225 of 342
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This is a controlled document. The digital PDF file published on InsideNL is the control copy. Always access this document from the control location. When you open this document, your device may automatically download it. If it does, you should still open it from the control location in future. You can print this document, but a printed copy isn’t the control copy. Don’t save any digital copies of this document anywhere. This includes your device, USB flash drives, network drives, OneDrive, Teams/SharePoint, or any other digital storage device, system, service, or location. Records and Information Management Policy Version 5.0, 18 May 2023 Appendix 1 Page 226 of 342
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Records and Information Management Policy v5.0 Document control Title Records and Information Management Policy Governance group Data Governance Board Owner Katrina Hassell, Senior Information Risk Officer Contact hassellk@northlan.gov.uk Author Fiona Hughes, Corporate Records Manager Contact hughesfi@northlan.gov.uk Revision history Version Originator Review start date Revision description and record of change 5.0 Fiona Hughes 03 May 2023 Biennial review. 4.0 Fiona Hughes 26 March 2021 Full review. 3.0 Fiona Hughes 15 January 2019 Biennial review. 2.0 Fiona Hughes 15 November 2016 Biennial review process. Revised in line with Records Management Plan. 1.0 Marcia Jarnell 25 July 2014 Combination of Record Management and Information Management policies. Document approvals Version Governance group Date approved Date approval to be requested (if document still in draft) 5.0 Policy and Strategy Committee 08 June 2023 4.0 Policy and Strategy Committee 03 June 2021 3.0 Policy and Strategy Committee 10 June 2020 2.0 Policy and Resources Committee 21 June 2017 1.0 Policy and Resources Committee 18 September 2014 Consultation record (for most recent update) Consultation status Stakeholders consulted between 15 March 2023 and 12 April 2023 Stakeholders consulted and dates Business and Digital Management Team Data Management Team Data Governance Group Technical Design Authority 21 March 2023 15 March 2023 29 March 2023 21 March 2023 Strategic alignment Plan for North Lanarkshire Improving the Council’s Resource Base – A Workforce Strategy that is built around the needs of the council (as a single resource base) to deliver the priority outcomes, ensuring future workforce requirements, new skills and innovative approaches, and succession planning are recognised. Digital and IT Strategy The Digital and IT Strategy brings together separate but related plans and policies that contribute to the development and delivery of our digital vision. The Records and Information Management Policy is one of these. It supports the strategy by providing a framework for good record keeping practices making sure records are managed effectively and efficiently, and the council complies with its statutory and regulatory obligations. Next review date Review Date Page 227 of 342
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Records and Information Management Policy v5.0 Contents 1. Introduction .............................................................................................................. 1 2. Purpose ..................................................................................................................... 1 3. Scope ........................................................................................................................ 2 4. Governance ............................................................................................................... 2 5. Objectives ................................................................................................................. 2 6. Records and information lifecycle management ............................................................ 3 7. Capture and control of records .................................................................................... 3 8. Storage of records ...................................................................................................... 4 9. Access to records ........................................................................................................ 4 10. Audit trail .................................................................................................................. 4 11. Retention and disposal ............................................................................................... 5 12. Transfer to archive ...................................................................................................... 5 13. Destructions .............................................................................................................. 6 14. Responsibilities ......................................................................................................... 6 15. Product set ................................................................................................................ 7 Appendix 1: Glossary of terms ............................................................................................ 9 Page 228 of 342
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Records and Information Management Policy v5.0 1 1. Introduction Information and records are a valuable corporate asset without which we would be unable to carry out our functions, activities and transactions, meet the needs of our stakeholders, and ensure legislative compliance. Records management is the systematic control of an organisation’s records, throughout their lifecycle, in order to meet operational business needs, statutory and fiscal requirements and community expectations. The benefits of implementing records management systems and processes include: 1. Improved business efficiency through reduced time spent searching for information. 2. Demonstration of transparency and accountability for all actions. 3. The maintenance of corporate memory. 4. The creation of modern working environments and identification of opportunities for office rationalisation and hybrid working. 5. Risk management in terms of ensuring and demonstrating compliance with all legal, regulatory and statutory obligations. 6. The meeting of stakeholder expectations through the provision of good quality services. North Lanarkshire Council recognises the importance of effective records management in supporting its core functions, providing authentic and reliable evidence of council business, and documenting historical and cultural activity within North Lanarkshire. 2. Purpose This policy demonstrates that the council considers records and information to be a vital corporate asset and is committed to managing them lawfully and in compliance with current standards of professional practice. It acts as a mandate for the support and delivery of records management guidance, training, procedures and initiatives across the organisation. The Public Records (Scotland) Act 2011 requires the council to produce a Records Management Plan which sets out its proper arrangements for the effective management of all records. Having a records management policy statement fulfils one of the mandatory elements of this plan. Page 229 of 342
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Records and Information Management Policy v5.0 2 3. Scope This policy applies to all records created or managed by North Lanarkshire Council and North Lanarkshire Licensing Board and applies to all staff and elected members when working on council business. It also applies to records managed by the council on behalf of the North Lanarkshire Integration Joint Board. External bodies, ALEOs and contractors are expected to adopt this policy or a records management policy of an equivalent standard while carrying out functions on behalf of the council. 4. Governance This policy forms part of a suite of documents that form part of the Digital and IT Strategy The Policy and Strategy Committee has approval authority for, and oversight of, this policy. The Data Management Team then the Data Governance Board – as key stakeholders – oversee its review and consider its contents before referring it on for approval. The Chief Officer (Business and Digital) – as the council’s Senior Information Risk Owner – is accountable for its governance. The Records and Archives team is responsible for the following activities. 1. Produce, publish and promote this policy. Provide guidance on how to apply and comply with this policy through standards, procedures and guidance notes as referred to within the policy. 2. Review every two years, with other reviews when needed. For example, following new legislation, new guidance, an audit action. 3. Report to management teams, governance and working groups, committees and scrutiny panels. 5. Objectives The objectives of this policy are to: Provide a framework for good record keeping practices within the council, ensuring that records are managed effectively and efficiently, and that the council complies with its statutory and regulatory obligations. Develop and encourage a working culture that recognises and acknowledges the benefits of effective records management. Ensure a corporate approach to the management of the council’s records as a corporate resource. Define responsibilities for records management throughout the council. Ensure that council records are reliable, authentic and have integrity. Ensure that records are retrievable as required but also secure so as to prevent unauthorised access, alteration or destruction. Ensure lawful management of records that include personal data. Page 230 of 342
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Records and Information Management Policy v5.0 3 Support public rights of access to information. Ensure that records of long-term value are identified and preserved as archives within the collections of the council. 6. Records and information lifecycle management The lifecycle of a record comprises the following: initial creation by the council or receipt from a third party; maintenance and use including sharing and audit; and disposal through confidential destruction or preservation in the council’s archive. Figure 1: Information lifecycle 7. Capture and control of records The council uses a variety of systems to manage its records. These systems, regardless of the format of the records, must be designed to ensure that records are saved, stored, organised and managed effectively and efficiently. The council is committed to using appropriate systems to manage its records. Unstructured records will primarily be stored within M365 and managed with records management software (cloud records). This supports appropriate information sharing, aids search and retrieval processes and reduces the unnecessary duplication of records. Page 231 of 342
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Records and Information Management Policy v5.0 4 The corporate file plan and retention schedule will be applied to records when they are stored, created, or documented in M365. All documents and folders should be given names and metadata that facilitate meaningful use according to the council’s Naming Convention Guidance. 8. Storage of records Staff are encouraged to save in electronic format where appropriate for reasons of improved security, functionality and efficiency. Records should be stored on media that ensures that they can be retained for as long as they are required. Paper records held locally in offices should be locked away securely when not in use. The council has adopted the use of M365, particularly MS Teams and MS SharePoint for storing unstructured records. All Teams and SharePoint sites are allocated a function in the council’s file plan and staff should use the allocated sites for these records. Using unofficial storage areas, such as OneDrive, for records that should be managed under a file plan and retention schedule, will undermine efforts to effectively manage this corporate asset and puts the council at risk of non-compliance with relevant legislation. The council operates a records management service for semi-current and non-current records allowing services to store and access records off-site when they are not required for business use on a daily or weekly basis. This service manages destructions and transfers to archive in line with the corporate retention schedule. Service managers should ensure that they have a contingency or business continuity plan to provide protection for records which are vital to the continued functioning of the council. The requirements are outlined in more detail in the Vital Records Guidance. 9. Access to records Appropriate procedures and processes should be put in place to ensure the physical, electronic and intellectual security of council records. This facilitates the council’s ability to respond to requests for information under, for example, data protection and freedom of information legislation. Access to information is governed by the statutory and regulatory framework within which the council operates, and the business needs and requirements of the council. Staff must comply with the relevant information policies, processes and procedures to protect records from unauthorised access. 10. Audit trail An audit trail allows records to be tracked effectively, deters unauthorised access and can provide a method of monitoring changes to a document. The council has demonstrated its commitment to tracking and monitoring records by migrating its unstructured records away from on-premises network drives onto M365 which track all interactions with records automatically. Page 232 of 342
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Records and Information Management Policy v5.0 5 Paper records held in the records management store and archive repository and in offices by Social Work are tracked using a proprietary records management tool within M365. 11. Retention and disposal There are substantial financial, legislative, and reputational risks associated with keeping records for too short or too long a time period. Retaining records for the correct period ensures compliance with a range of legislative requirements and promotes efficient information management. This is of particular significance for records containing personal data. A corporate retention schedule enables staff to make informed decisions about retention and disposal of records across the council and its partner organisations. The retention schedule is maintained and updated regularly by the Corporate Records Manager and the most up-to- date version is on the council’s website. At the end of a record’s disposal period, the disposal actions will be to: destroy, review for business value, or transfer to the archive. The retention schedule only applies to master records. Duplicate or local copies should be destroyed as soon as they are no longer required. Short-lived documents such as telephone messages, meeting notes etc. should be transferred to a more formal document and saved as a record if they contain business critical information. The council acknowledges that there will be occasions when records cannot be destroyed in- line with the retention schedule because of legal proceedings or information requests. 12. Transfer to archive North Lanarkshire Archives exists to collect, preserve and make available to the public the historical records of North Lanarkshire Council and its predecessor administrations. Its role is to maintain a traceable and uninterrupted line of care, control and possession of the council’s records from creation to preservation that serves as a means of protecting the authenticity of the records. Arrangements for transfer of records to North Lanarkshire Archives are governed by the retention schedule and can take place on a regular basis or as one-off transfers. At the disposal date the archivist should be contacted regarding records identified in the retention schedule as for permanent preservation, as being of historical value or to be offered to the archivist. Page 233 of 342
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Records and Information Management Policy v5.0 6 In some cases, only a sample of the records will be selected for permanent preservation and the archivist will work with the service to select the most appropriate sampling method. North Lanarkshire Archives are governed by procedures and guidance in the following areas: Collection Development Accessioning Appraisal Transfer Arrangements Access and Enquiry Procedures Document Delivery and Handling Preservation Listing and Cataloguing Currently only physical records are being transferred to North Lanarkshire Archives however in future appropriate measures will be put in place to preserve digital records identified for permanent preservation as outlined in the Digital Preservation Framework. 13. Destructions Electronic records that are due for destruction should be deleted from council systems where records will be backed up for 30 days and then destroyed beyond the possibility of restoration, according to council policies. Physical records that contain council information should be securely destroyed by the council’s preferred third-party provider or shredded so that they cannot be reproduced. 14. Responsibilities 1. The SIRO is responsible for ensuring that all council records are managed according to this policy. 2. The Corporate Records Manager is responsible for maintaining the council’s Records Management Plan, providing procedures, advice and guidance on good records management practice, and ensuring that all service areas are supported by retention schedules and file plans. 3. The archives are the designated place of deposit for council records of continuing evidential and historical value, and the archivist is responsible for identifying, preserving, promoting and making accessible these records and other historical records that may be acquired by the council. 4. All managers have day to day responsibility for records management and should ensure that systems are in place to enable compliance and that staff are familiar with and adhere to this policy and any related procedures, standards and guidance. 5. All members of staff must complete an introductory online training course in records management and are accountable to their supervisors for documenting their actions and decisions and for maintaining records and information systems in accordance with this policy and any related procedures, standards and guidance. Page 234 of 342
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Records and Information Management Policy v5.0 7 15. Product set The table below lists documents in the Records and Information Management Policy product set and other related products. This may include links to other file types, websites and IT systems. Those listed under policies, standards, procedures and guidance are the responsibility of the Records and Archives team. Those listed under related products are the responsibility of other teams, services or agencies. Product type Product Policies and plans Records Management Plan Standards Records Retention Schedule Guidance Naming Convention Guidance North Lanarkshire Archives Records and Information Management Guidance Vital Records Guidance Related products Data Protection Policy Digital and IT Strategy Digital Preservation Framework Information Asset Register Information Security Policy North Lanarkshire Archives: CultureNL Payment Card Data Security Policy Legislation, regulations, and government guidance BS 15489-1:2016 Information and Documentation - Records Management BS 4971:2017 Conservation and Care of Archive and Library Collections Copyright, Designs and Patents Act 1988 Data Protection Act 2018 Environmental Information (Scotland) Regulations 2004 Freedom of Information (Scotland) Act 2002 Guidance to the Form and Content of the Model Records Management Plan (nrscotland.gov.uk) INSPIRE (Scotland) regulations 2009 M365 Guidance (nrscotland.gov.uk) Model Records Management Plan | National Records of Scotland (nrscotland.gov.uk) Public Records (Scotland) Act 2011 Page 235 of 342
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Records and Information Management Policy v5.0 8 Product type Product Legislation, regulations, and government guidance (continued) Re-use of Public Sector Information Regulations 2015 Section 61 Code of Practice on Records Management under the Freedom of Information (Scotland) Act 2002 Supplementary Guidance on Proper Arrangements for Archiving Public Records The Data Protection, Privacy and Electronic Communications (Amendments etc) (EU Exit) Regulations 2020 Page 236 of 342
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Records and Information Management Policy v5.0 9 Appendix 1: Glossary of terms Term Description Access The right, opportunity or means of finding, using or approaching documents and/or information. Access may also be affected by the physical state of the materials, or the need to conserve them. ALEO Arm’s-length and External Organisation. Authenticity The trustworthiness of a record as a record, i.e. the quality of a record that it is what it purports to be and that is free from tampering or corruption. The Council North Lanarkshire Council and North Lanarkshire Licensing Board. Disposal Action taken at the end of the retention period. This can be a decision to retain longer, transfer to the archive or secure destruction. Information Data that has been given value through analysis, interpretation, or compilation in a meaningful form. Lifecycle The life span of a record from its creation or receipt to its final disposal. Non-current records Records no longer required for the work of the Council but retained for evidential purposes. North Lanarkshire Archives Contains records of any age and any format which are identified by the archivist as having long-term historical, evidential, or legal value. Exists to maintain a traceable and uninterrupted line of care, control and possession of the council’s records from creation to preservation that serves as a means of protecting the authenticity of the record. Records Information recorded, in any format or media, created, received, and maintained by the Council in the transaction of business, or the conduct of affairs and kept as evidence of such activity. Retention schedule A comprehensive list of records series, indicating for each the length of time it is to be maintained and its disposition. Semi-current records Records that are still referred to on occasion for business purposes on an irregular basis. Page 237 of 342
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Records and Information Management Policy v5.0 10 Term Description SIRO Senior Information Risk Owner - role held by the Officer (Business and Digital) with senior management responsibility for records management and information risk within the Council. Structured records Electronic information created or obtained by end users where the information is stored in tables in a relational database system such as line of business systems. Unstructured records Electronic information such as emails, word processing documents, spreadsheets, presentations and graphics – documents mostly created by individual users from desktop applications that are not relational databases. Unstructured records would also include Adobe PDF files and electronic captures of facsimiles as well as other image files. Page 238 of 342
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This is a controlled document. The digital PDF file published on InsideNL is the control copy. Always access this document from the control location. When you open this document, your device may automatically download it. If it does, you should still open it from the control location in future. You can print this document, but a printed copy isn’t the control copy. Don’t save any digital copies of this document anywhere. This includes your device, USB flash drives, network drives, OneDrive, Teams/SharePoint, or any other digital storage device, system, service, or location. Data Protection Policy Version 7.0, 18 May 2023 Appendix 2 Page 239 of 342
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Data Protection Policy v7.0 Document control Title Data Protection Policy Governance group Data Governance Board Owner Katrina Hassell, Senior Information Risk Officer Contact hassellk@northlan.gov.uk Author Collette Crainie, Solicitor (Information and Standards) Contact crainiec@northlan.gov.uk Revision history Version Originator Review start date Revision description and record of change 7.0 Collette Crainie 03 May 2023 Biennial review. 6.0 Paul Corrigan 26 March 2021 Biennial review. 5.0 Paul Corrigan 30 April 2020 Biennial review incorporating feedback from Data Governance Board and Data Management Team. 4.0 Gerry Gardiner 10 May 2018 To reflect the UK Genera Data Protection Regulations and Data Protection Act 2018. 3.0 Gerry Gardiner 15 November 2016 Biennial review. 2.0 Gerry Gardiner 04 July2014 Data Governance Board consultation. 1.0 Gerry Gardiner 22 February 2013 Data Governance Board consultation. Document approvals Version Governance group Date approved Date approval to be requested (if document still in draft) 7.0 Policy and Strategy Committee 08 June 2023 6.0 Policy and Strategy Committee 03 June 2021 5.0 Policy and Strategy Committee 11 June 2020 4.0 Policy and Resources Committee 07 June 2019 3.0 Policy and Resources Committee 21 June 2017 2.0 Policy and Resources (Finance and Customer Services) Sub Committee 16 September 2014 1.0 Policy and Resources (Finance and Customer Services) Sub Committee 14 March 2013 Consultation record (for most recent update) Consultation status Stakeholders consulted between 15 March 2023 and 12 April 2023 Stakeholders consulted and dates Business and Digital Management Team Data Management Team Data Governance Group Technical Design Authority 21 March 2023 15 March 2023 29 March 2023 21 March 2023 Strategic alignment Plan for North Lanarkshire Improving the Council’s Resource Base – A Workforce Strategy that is built around the needs of the council (as a single resource base) to deliver the priority outcomes, ensuring future workforce requirements, new skills and innovative approaches, and succession planning are recognised. Page 240 of 342
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Data Protection Policy v7.0 Strategic alignment Digital and IT Strategy The Digital and IT Strategy brings together separate but related plans and policies that contribute to the development and delivery of our digital vision. The Data Protection Policy is one of these. It supports the strategy setting out how we protect personal data using principles, rules, and guidelines to make sure we continue to comply with data protection laws. Next review date Review date Page 241 of 342
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Data Protection Policy v7.0 Contents 1. Introduction .............................................................................................................. 1 2. Purpose ..................................................................................................................... 1 3. Scope ........................................................................................................................ 1 4. Governance ............................................................................................................... 2 5. Information risk ......................................................................................................... 2 6. Data protection .......................................................................................................... 3 7. Personal data ............................................................................................................. 3 8. The data protection principles ..................................................................................... 4 9. Discharging our responsibilities .................................................................................... 5 9.1. The Controller .................................................................................................. 5 9.2. The Data Protection Officer (DPO) .................................................................... 10 9.3. The Chief Executive and Chief Officers .............................................................. 10 9.4. Business managers ......................................................................................... 11 9.5. All users ......................................................................................................... 11 10. Privacy by design and Data Privacy Impact Assessments (DPIAs) ................................... 11 11. Data protection incidents and breaches ...................................................................... 12 12. Data protection fee ................................................................................................... 13 13. Documenting data processing activities ...................................................................... 13 14. Sharing information with other council services and third parties ................................. 13 15. Data sharing ............................................................................................................ 14 16. Transferring personal information outwith the UK or EEA ............................................ 15 17. Rights of individuals .................................................................................................. 15 18. Product set .............................................................................................................. 16 Appendix 1: Glossary of terms .......................................................................................... 17 Page 242 of 342
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Data Protection Policy v7.0 1 1. Introduction To deliver services effectively North Lanarkshire Council (the council) needs to collect, process and hold large volumes of information which includes personal information (personal data) relating to current, past and prospective customers, clients, employees, workers, elected members, suppliers and contractors. In addition, it may from time to time be required by law to process personal information to comply with the requirements of government departments and other public agencies. There are also instances where we process personal data for contractors and arms’ length external organisations and third parties process council information which includes personal data. To deliver services effectively we need to collect, process, and hold large volumes of information relating to organisations and individuals. This includes personal data. 2. Purpose This Data Protection Policy sets out how we protect personal data to comply with data protection laws using: principles, rules, and guidelines. 3. Scope This policy is applicable to all personal data held by the council whether in manual format via council information technology systems accessed either on council premises or via mobile or home-working equipment. Personal data held on removable devices and other portable media is also covered by this policy. The policy applies to all employees, workers, elected members, clients, suppliers, third party contractors and any other individuals or organisations who access council information. This policy is not part of the contract of employment and the council may amend it at any time. However, it is a condition of employment that employees and others who obtain, handle, process, transport, store and otherwise process personal data will adhere to the rules of the policy. Any breach of the policy by an employee will be taken seriously and may result in disciplinary action. Page 243 of 342
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Data Protection Policy v7.0 2 Elected members are required, in respect of their use of data, to comply with their obligations as set out in paragraphs 3.21 to 3.23, and 6.2 of the Councillors’ Code of Conduct and paragraphs 70 to 82 of the associated Guidance. Members need to be aware of the potential for personal liability under the relevant legislation, in respect of both criminal and civil court proceedings as well as the imposition of fines by the Information Commissioner. Guidance to organisations on the UK GDPR is available from the Information Commissioner’s Office website. 4. Governance This policy forms part of a suite of documents that are covered by the Digital and IT Strategy. The Policy and Strategy Committee has approval authority for, and oversight of, this policy. The Data Management Team then the Data Governance Board – as key stakeholders – oversee its review and consider its contents before referring it on for approval. The Chief Officer (Business and Digital) – as the council’s Senior Information Risk Owner – is accountable for its governance. The Data Protection team is responsible for the following activities. 1. Produce, publish and promote this policy. 2. Give guidance on how to apply and comply with this policy through standards, procedures and guidance notes – see product set for list and links. 3. Review every two years, with other reviews when needed. For example, following a critical security incident, new legislation, a significant threat, an audit action. 4. Report to management teams, governance and working groups, committees and scrutiny panels. 5. Information risk The collation and holding of information of any nature creates a risk of information falling into the hands of third parties or misuse of the information. To manage those risks the council has in place a number of policies. Protecting the confidentiality and integrity of personal data is a critical responsibility that we take seriously at all times. The council is exposed to potential fines of up to 20 million Euros (approximately £18 million) or 4% of its total annual turnover, whichever is higher and depending on the breach, for failure to comply with data protection law. The Senior Information Risk Owner (SIRO) is the Chief Officer (Business and Digital). The SIRO’s duty is in respect of all information collected, held and processed by the council. The SIRO is not a position prescribed or regulated by legislation. It is a position recommended by the Information Commissioner. The SIRO is responsible for: Page 244 of 342
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Data Protection Policy v7.0 3 1. overall information risk and they will provide written advice on a regular basis to the Chief Executive on internal control and performance in respect of information risk; 2. assessing the impact of information risks on the council and how the risks may be managed ensuring arrangements are put in place to mitigate risks. They will implement and lead information risk and management processes within the council; and 3. advising the Corporate Management Team on effectiveness of information risk management across the council. 6. Data protection The UK General Data Protection Regulation (the UK GDPR) sitting alongside the Data Protection Act 2018 (the Act) make provision for how personal data (information) about living individuals in any form including paper and electronic must be collected, processed and held. They impose restrictions on how the council may process personal data, and a breach of the data protection laws could give rise to criminal and civil sanctions, including fines, as well as adverse publicity. The legislation provides also that: 1. special categories of personal data (that is, data relating to racial or ethnic origin, political opinions, religious or philosophical beliefs, trade union membership, and the processing of genetic data, biometric data, data concerning health, sex life or sexual orientation); and 2. personal data relating to criminal offences and convictions shall only be collected and/or processed for certain specific lawful purposes. The council can only process special categories of data and personal data relating to criminal offences and convictions where certain additional conditions apply. The council has produced an appropriate policy document for such processing. For details of conditions for processing special categories of personal data see Article 9 of the UK GDPR and Schedule 1 of the Act. For details of conditions for processing personal data relating to criminal offences and convictions see Article 10 of the UK GDPR and Schedule 1 of the Act. 7. Personal data This policy adopts the definition of personal data contained in the UK GDPR. 1. Personal data is any information relating to an identified or identifiable natural person who can be directly or indirectly identified in particular by reference to an identifier. 2. Different pieces of information, which collected together can lead to the identification of a particular person, also constitute personal data. 3. Personal data that has been de-identified, encrypted or pseudonymised but can be used to re-identify a person remains personal data. Page 245 of 342
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Data Protection Policy v7.0 4 4. Personal data that has been rendered anonymous in such a way that the individual is not or no longer identifiable is no longer considered personal data. For data to be truly anonymised, the anonymisation must be irreversible. 5. Examples of personal data include: a. a name and surname; b. a home address; c. an email address such as name.surname@company.com; d. an identification card number; e. CCTV images of an individual; f. location data (for example the location data function on a mobile phone); g. an Internet Protocol (IP) address; or h. a cookie ID. 6. The following are examples of data which are not considered to be personal data: a. a company registration number; b. an email address such as info@company.com; and c. anonymised data. 8. The data protection principles The UK GDPR requires organisations which handle personal data to collect, process and hold personal and confidential information securely and responsibly. This includes destroying information safely when it is no longer required. The UK GDPR sets outs the following key principles. GDPR principle Description First: Lawfulness, fairness and transparency Personal data shall be processed lawfully, fairly and in a transparent manner in relation to the data subject. Second: Purpose limitation Personal data shall be collected for specified, explicit and legitimate purposes and not further processed in a manner incompatible with those purposes. Third: Data minimisation Personal data shall be adequate, relevant and limited to what is necessary in relation to the purposes for which they are processed. Page 246 of 342
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Data Protection Policy v7.0 5 GDPR principle Description Fourth: Accuracy Personal data shall be accurate and, where necessary, kept up to date; every reasonable step must be taken to ensure that personal data that are inaccurate are erased or rectified without delay. Fifth: Storage limitation Personal data shall be kept in a form which permits identification of data subjects for no longer than is necessary for the purposes for which the personal data are processed. Sixth: Integrity and confidentiality Personal data shall be processed in a manner that ensures appropriate security of the personal data, including protection against: unauthorised or unlawful processing, and against accidental loss, destruction or damage using appropriate technical or organisational measures. Seventh: Accountability The council is also responsible for, and must be able to demonstrate compliance with, the principles. 9. Discharging our responsibilities 9.1. The Controller In terms of the legislation, the council will normally be the Data Controller. In some cases, the council may be acting as: a Joint Data Controller in conjunction with another organisation; or a data processor, for example, where it is providing services to an external or arms-length organisation and is processing information of which that organisation is data controller and under their instruction in connection with provision of that service. To ensure compliance with the data protection principles, the council will: 1. Observe fully conditions regarding the lawful, fair and transparent collection and use of data. 2. Meet its obligations to specify the purposes for which data is used. 3. Collect and process appropriate data and only to the extent that it is required to fulfil operational needs or to comply with any legal requirements. 4. Ensure the accuracy of the data used. 5. Put in place arrangements to determine the length of time the data is held. 6. Take appropriate measures to keep the data secure. Page 247 of 342
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Data Protection Policy v7.0 6 Compliance with the data protection principles 1. Lawful, fair and transparent obtaining and processing The council may only collect, process and share personal data fairly and lawfully and for specified purposes. The law restricts our actions regarding personal data to specified lawful purposes. These restrictions are not intended to prevent processing, but ensure that we process personal data fairly, lawfully and without adversely affecting the data subject. Lawful basis It is essential that the legal ground (lawful basis) being relied on for each processing activity is identified and documented. The lawful bases for processing personal information are as follows. At least one of these must apply when you process personal data: Consent – the individual has given clear consent for you to process their data for a specific purpose. Contract – the processing is necessary for a contract you have with the individual, or because they have asked you to take specific steps before entering into a contract. Legal obligation – the processing is necessary for you to comply with the law (not including contractual obligation). Vital interests – the processing is necessary to protect someone’s life. Public task – the processing is necessary for you to perform a task in the public interest or for your official functions, and the task or function has a clear basis in law. Legitimate interests – the processing is necessary for your legitimate interests or the legitimate interests of a third party, unless there is a good reason to protect the individual’s personal data which overrides those legitimate interests. (This cannot apply if you are a public authority processing data to perform your official tasks). For the majority of processing or personal data carried out by the council the public task condition will be the appropriate lawful basis, however, it is very important that the appropriate lawful basis or bases are identified at the outset of processing activity and these will vary depending on the nature and circumstances of the processing in question. Special category data For processing of special category data, a further additional lawful basis for processing requires to be satisfied. Special category data under data protection law relates to information about an individual’s race or ethnic origin, politics, religion, trade union membership, genetics, biometrics (for ID purposes), health, sex life, or sexual orientation. Page 248 of 342
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Data Protection Policy v7.0 7 Compliance with the data protection principles There are extensive lawful bases within Schedule 1 of the Act for processing in relation to special categories of personal data and data relating to criminal convictions. Advice should be sought from Legal and Democratic services in relation to proposed processing of such data. Using personal data The council will be clear when telling people how their personal information will be used. This requirement to tell people will always apply, no matter how the information is gathered (for example, paper forms, email, surface mail correspondence, web data collection forms, or any other method). We must say clearly in all of these methods how we will process people’s personal information. This should principally be achieved by the use of privacy notices. Privacy notices are a legal requirement. They inform data subjects about the collection and use of their personal data. This relates to the requirement under the legislation that processing of personal data should be transparent. Privacy notices should provide individuals with information about our purposes for processing their personal data, how long their data may be retained and with whom it may be shared. This information should be available to individuals at the point of collection of their data. The council’s privacy notice can be found on our website. Services should develop their own privacy notices to provide more specific information in relation to particular categories of processing of personal data in relation to their functions. Privacy notices should be regularly reviewed and developed to ensure that they provide accurate and adequate information about the council’s processing activity. Consent In many cases the council may process personal information without the consent of the data subject where this is required or permitted by law. However, the council will ask for an individual’s informed consent if this is needed (the individual must understand what their information will be used for and how it will be shared and stored) (see first data protection principle). Unless the council can rely on another legal basis of processing, explicit consent will be required for processing special categories of personal data. An individual consents to processing of their personal data if they indicate agreement clearly either by a statement or positive action to the processing. Consent requires affirmative action so silence, pre-ticked boxes or inactivity are unlikely to be sufficient. The individual may be asked to sign or to tick a box to give their consent. If consent is given in a document which deals with other matters, then the consent must be kept separate from those other matters. Individuals must be easily able to withdraw consent to processing at any time and withdrawal must be promptly acted upon. Consent will need to be refreshed if the council intends to process personal data for a different and incompatible purpose which was not disclosed when the individual first consented. The council will need to evidence consent captured and keep records of all consents so that we can demonstrate compliance with consent requirements. Page 249 of 342
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Data Protection Policy v7.0 8 Compliance with the data protection principles 2. Purpose limitation Personal data must be collected only for specified, explicit and legitimate purposes. It must not be further processed in any manner incompatible with those purposes. The council cannot use personal data for new, different or incompatible purposes from those disclosed when it was first obtained, unless consent is obtained or there is a clear obligation or function set out in law. Where information is used for a purpose other than for which it was obtained, privacy information should be updated accordingly to ensure data subjects are so aware. 3. Data minimisation Personal data must be adequate, relevant and limited to what is necessary in relation to the purposes for which it is processed. The council: may only process personal data when required to do so in performance of its duties; cannot process personal data for any unrelated purposes; will not collect excessive data; and will ensure that any personal data collected is adequate and relevant for the intended purposes. When personal data is no longer needed for specified purposes, it should be deleted or anonymised in accordance with the council’s data retention guidelines. 4. Accuracy The council must make sure that all personal information that it holds is accurate and, where necessary up to date (see fourth data protection principle). Information should be reviewed regularly, and service managers must have procedures in place to make sure that inaccurate or out of date information is updated. Information which the council no longer needs to hold must be destroyed in line with the council’s guidelines on Information Security. 5. Storage limitation Personal data must not be kept in an identifiable form for longer than is necessary for the purposes for which the data is processed. The council must not keep personal data in a form which permits the identification of individuals for longer than needed for the legitimate business purpose or purposes for which we originally collected it, including for the purpose of satisfying any legal, accounting or reporting requirements. The council will maintain retention policies and procedures to ensure personal data is deleted after a reasonable time for the purposes for which it was being held; unless a law requires such data to be kept for a minimum time. Page 250 of 342
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Data Protection Policy v7.0 9 Compliance with the data protection principles The council will take all reasonable steps to destroy or erase from our systems all personal data that we no longer require in accordance with all the council's applicable records retention schedules and policies. This includes requiring third parties to delete such data where applicable. Individuals will be informed of the period for which data is stored and how that period is determined. 6. Security, integrity and confidentiality Personal data must be secured by appropriate technical and organisational measures against unauthorised or unlawful processing, and against accidental loss, destruction or damage. We will continue to develop, implement and maintain safeguards appropriate to our size, scope and business, our available resources, the amount of personal data that we own or maintain on behalf of others and identified risks (including use of encryption and pseudonymisation where applicable). We will regularly evaluate and test the effectiveness of those safeguards to ensure security of our processing of personal data. Personal data may only be transferred to third party service providers who agree to comply with the policies and procedures required by the council and who agree to put adequate measures in place, as requested. The confidentiality, integrity and availability of personal data must be maintained, that is – Confidentiality: only people who have a need to know and are authorised to use the personal data can access it. Integrity: personal data is accurate and suitable for the purpose for which it is processed. Availability: authorised users are able to access personal data when they need it for authorised purposes. 7. Data processors The law requires the council to put in place a written contract with each third-party data processor, which contract must meet specific minimum requirements, including procedures and policies to maintain the security of all personal data from the point of collection to the point of destruction. Personal data may only be transferred to a third-party data processor if the processor agrees in writing to comply with those minimum requirements. 8. ICO assessments, audits, investigations and action The council must co-operate with any data protection assessment, audit or investigation carried out or action taken by the Office of the Information Commissioner (ICO). Everyone subject to this policy must assist with any such assessment, audit, investigation or action as required by the ICO and / or the council. Page 251 of 342
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Data Protection Policy v7.0 10 9.2. The Data Protection Officer (DPO) The council is required to appoint a DPO. The DPO is currently the Chief Officer (Legal and Democratic). Their responsibility is in respect of personal data, collected, held and processed by the council. They will be involved, properly and in a timely manner, in all issues which relate to the protection of personal data. The DPO’s responsibilities include the following. Ensuring that the council complies with the data protection laws, the council and council staff are fully informed of their own legal responsibilities and training of staff, and necessary arrangements are in place for dealing where appropriate with subject access requests that relate to more than one service of the council. Developing and managing the council’s Data Protection Policy, including development, implementation and enforcement of this policy and data protection procedures. Reporting on the council’s compliance with the data protection laws to the SIRO on a six- monthly basis. Providing advice when requested as regards data protection impact assessments and monitor their performance; Co-operating with, acting as a point of contact for, and consulting with the ICO, as required. 9.3. The Chief Executive and Chief Officers The Chief Executive and each Chief Officer’s responsibilities include the following. Ensuring that the information under their control is collected, processed and held in accordance with this policy and the data protection laws, necessary arrangements, including nominated officers, are in place to deal with subject access requests, necessary arrangements are in place within their Service for the secure disposal of personal data, and all processing of personal information complies fully with all the provisions of the data protection laws and this policy. Nominating lead contacts for data protection responsibility within their Services to the DPO; and immediately reporting changes of contact details to the DPO. Identifying and documenting all categories of personal information held within their service, all processing applied to that personal information, and how long personal information needs to be held within each Service. Implementing procedures for the secure destruction of any personal information immediately when the council no longer needs to keep it, arrangements and procedures as necessary for the safekeeping and preservation of all personal information held by their Services and ensuring that no one can get unlawful access to personal information that is held, and Page 252 of 342
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Data Protection Policy v7.0 11 procedures and issuing instructions to make sure that every person who has access to personal information held by their Service makes use of that information only for the purposes for which that information is held. 9.4. Business managers Business managers’ responsibilities include: Ensuring that employees and workers know what they have to do under the data protection laws and are trained in data protection, confirming to the DPO when appropriate training has been undertaken by employees and maintaining records of training, disciplinary action up to the point of dismissal is taken where an employee or worker has deliberately breached the terms of the data protection laws or this policy or of any of the council’s own procedures, employees and workers know that they could face criminal proceedings if they deliberately or recklessly destroy information, obtain information or disclose it unlawfully. personal information held is accurate and up to date. Determining whether a Data Privacy Impact Assessment (DPIA) needs to be undertaken and, if so, putting in place appropriate arrangements to ensure that such a DPIA is undertaken and completed. 9.5. All users All users must: Observe and comply with the data protection principles. Ensure that personal information is properly protected at all times – this requires continued compliance with the data protection laws, this policy and all other council information policies, procedures and guidance, and individual archives, or any personal records they hold, are not kept when they are no longer required. Report any observed or suspected breach of this data protection policy or related information procedures and guidance. 10. Privacy by design and Data Privacy Impact Assessments (DPIAs) We are required to implement privacy by design measures when processing personal data by implementing appropriate technical and organisational measures (like pseudonymisation) in an effective manner, to ensure compliance with data privacy principles. Pseudonymisation describes removing or replacing information within data set which identifies an individual. Page 253 of 342
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Data Protection Policy v7.0 12 Users must assess what privacy by design measures can be implemented on all programs, systems and processes that process personal data by taking into account the following: the state of the art; the cost of implementation; the nature, scope, context and purposes of processing; and the risks of varying likelihood and severity for rights and freedoms of data subjects posed by the processing. The council must also conduct DPIAs in respect to high-risk processing. Services should conduct a DPIA (and discuss the findings with the DPO) when implementing major system or business change programs involving the processing of personal data including: use of new technologies (programs, systems or processes), or changing technologies (programs, systems or processes); automated processing including profiling and automated decision making; large scale processing of special categories of data; and large scale, systematic monitoring of a publicly accessible area. A DPIA must include: 1. a description of the processing, its purposes and the council's legitimate interests, if appropriate; 2. an assessment of the necessity and proportionality of the processing in relation to its purpose; 3. an assessment of the risk to individuals; and 4. the risk mitigation measures in place and demonstration of compliance. The DPO is responsible for producing guidance on DPIAs and reviewing the guidance every alternate year commencing October 2012. 11. Data protection incidents and breaches The UK GDPR requires data controllers to keep a written record of data breaches, near misses or incidents. This is kept by the council’s DPO. Where any breach is assessed as resulting in a risk to the rights and freedoms of the individual(s) affected there is a requirement to notify the ICO of the breach within 72 hours of the breach occurring. Where the breach is likely to result in a high risk to the rights and freedoms of affected individuals the UK GDPR requires that the individual(s) is/are informed without undue delay. All incidents must be reported using the Data Breach form, whether or not the incident results in a breach of the data protection laws and/or actual damage or loss to any person, to the DPO in accordance with the Data Protection Breach and Incident Management Protocol. The DPO will take appropriate action in respect of the incident, in accordance with the said protocol. Incidents are defined/explained the protocol. Page 254 of 342
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Data Protection Policy v7.0 13 12. Data protection fee It is the responsibility of the DPO to ensure payment of the annual data protection fee to the ICO and to provide all information required by the ICO when doing so. 13. Documenting data processing activities The council must document and maintain a written record of its data processing activities. The DPO is responsible for ensuring that all categories of personal information and data subjects held by the council are documented, including: 1. the uses to which the information is put; 2. the categories of recipients of the personal information; 3. details of transfers to third countries (including the transfer mechanism safeguards in place); 4. the period for which the information will be held; and 5. a description of the technical and organisational measures in place to keep the information secure. To enable the documentation to be kept up to date at all times, it is the responsibility of the Chief Executive, the Depute Chief Executive and each Chief Officer to advise the DPO immediately of any: new categories of information or data subjects held in his/her service; changes in the uses to which his/her service is putting any personal information his/her service holds; categories of personal information or data subjects which are no longer held by his/her service; changes in categories of recipients of personal information held in his/her service; changes in the transfer of personal information to third countries (including the transfer mechanism safeguards) in his/her service; changes in the retention periods for personal information held in his/her service; and changes in the technical and organisational measures in place to keep information secure in his/her service. 14. Sharing information with other council services and third parties The council must protect against processing personal information unlawfully. In most cases personal information can only be shared between council services and/or third parties where the individual concerned knows that such sharing may happen and where the processing complies with the data protection principles. The first data protection principle states that personal information shall be processed fairly, lawfully and in a transparent manner. Page 255 of 342
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Data Protection Policy v7.0 14 Personal data that is provided to a service within the council is not automatically available to all other council services. It is important to understand the purpose or purposes for which the information was originally obtained and whether the data subject would reasonably anticipate that this information would be shared with another council service. Personal information can be shared between council services where there is a lawful basis to do so, and data subjects are generally aware of how the data will be used. Where a request for personal information is received from a third party, the identity of the requester and the need for the information must be known before consideration is given to providing it. Personal information can be given to the police or the procurator fiscal to help with a criminal investigation and to certain statutory authorities/agencies (such as DWP and HMRC). This only applies in certain circumstances, so such requests for disclosure must be made in writing, providing details of the data subject, reason for disclosure, name of requesting officer and certification by a senior officer. A record must be kept of all such disclosures by services and a report made available to the DPO immediately upon request. In all cases, if there are any concerns at all about an enquirer or their enquiry, information must not be given out and the enquiry should be referred to the DPO. 15. Data sharing Generally, the council is not allowed to share personal data with third parties unless certain safeguards and contractual arrangements have been put in place. Services and officers might be approached and asked if the council will enter into a data sharing agreement with another organisation. A data sharing agreement addresses arrangements whereby one organisation shares personal data with another organisation. The council will only share personal data it holds with third parties if: 1. they have a need to know the information for the purposes of providing the contracted services; 2. sharing the personal data complies with the Data Protection Principles; 3. the third party has agreed to comply with the required data security standards, policies and procedures and put adequate security measures in place; 4. the transfer complies with any applicable cross border transfer restrictions; and 5. any necessary information sharing or data processing agreements are in place. A statutory Data Sharing Code of Practice in respect of data sharing arrangements between organisations has been issued by the ICO under Section 121 of the Data Protection Act 2018. The code explains how the 2018 Act applies to the sharing of personal data. It provides practical advice to organisations that share personal data and covers systematic data sharing arrangements as well as ad hoc or one-off requests to share personal data. Page 256 of 342
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Data Protection Policy v7.0 15 Data sharing agreements should be approved by the business manager for the service concerned and the negotiation and adjustment of the necessary legal documentation should be referred to the DPO and the Chief Officer (Legal and Democratic), who will hold the signed completed agreements. The council holds a record of all data sharing agreements. 16. Transferring personal information outwith the UK or EEA The council will not transfer personal data outside the European Economic Area (EEA) unless this cannot be avoided. 1. The council will only transfer data outside the UK and the EEA when it is satisfied that the party which will handle the data and the country it is processing it in will provide adequate safeguards for personal privacy. 2. If the council need to transfer any personal information overseas in relation to a particular activity, this will be explained in the specific privacy statements relating to that function along with a description of the protective measures we have put in place to keep it secure. 17. Rights of individuals All users must respect the rights of all individuals (data subjects), including employees and elected members. These include rights to: receive certain information about the council’s processing activities; request access to their personal data that we hold; prevent our use of their personal data for direct marketing purposes; ask us to erase personal data if it is no longer necessary in relation to the purposes for which it was collected or processed, to rectify inaccurate data, or to complete incomplete data; restrict processing in specific circumstances; challenge processing which has been justified on the basis of our legitimate interests or in the public interest; object to decisions based solely on automated processing, including profiling; prevent processing that is likely to cause damage or distress to the data subject or anyone else; where processing is based on consent, withdraw consent to processing at any time; be notified of a personal data breach which is likely to result in high risk to their rights and freedoms; make a complaint to the ICO; and in limited circumstances, receive or ask for their personal data to be transferred to a third party in a structured, commonly used and machine-readable format. The identity of an individual requesting data under any of the rights listed above should be verified before disclosing any personal information. Page 257 of 342
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Data Protection Policy v7.0 16 18. Product set The table below lists documents in the Data Protection Policy product set and other related products. This may include links to other file types, websites and IT systems. Those listed under policies, procedures and guidance are the responsibility of the Data Protection team. Those listed under related products are the responsibility of other teams or services. Product type Product Procedures Data Breach form Data Privacy Impact Assessment Template Data Protection Breach and Incident Management Protocol Data protection procedures and guidance Register of Data Sharing Agreements Guidance DPIA and Lawful Bases SAR Guidance Related products Acceptable Use of IT Policy Digital and IT Strategy Discipline Policy Information Asset Register Information Security Policy Records and Information Management Policy Records Retention Schedule Risk Management Strategy Payment Card Data Security Privacy notice Legislation, regulations, and government guidance Councillors’ Code of Conduct Data Protection Act 2018 Schedule 1 of the Data Protection Act 2018 Section 121 of the Data Protection Act 2018 ICO guidance on the UK General Data Protection Regulation ICO Data Sharing Code of Practice ICO guidance to organisations on the UK GDPR ICO special category data The Data Protection, Privacy and Electronic Communications (Amendments etc) (EU Exit) Regulations 2020 UK General Data Protection Regulation Article 9 of the UK GDPR Article 10 of the UK GDPR Page 258 of 342
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Data Protection Policy v7.0 17 Appendix 1: Glossary of terms Term Description The Act Data Protection Act 2018 All users All parties who have access to council information including employees, elected members and third-party contractors and any other individuals or organisations who access council information. Council information Council information includes data, records, paper and digital formats. Controller The people or organisations who determine the purposes for which, and the manner in which, any personal data is processed. They have a responsibility to establish practices and policies in line with the data protection laws. The council is the controller of all personal data used in its business. Data protection laws The UK GDPR and the Act DPO Data Protection Officer DWP Department of Work and Pensions The UK GDPR UK General Data Protection Regulation HMRC Her Majesty's Revenue & Customs ICO Office of the Information Commissioner Personal data Any information relating to an identified or identifiable natural person (‘data subject’); an identifiable natural person is one who can be identified, directly or indirectly, in particular by reference to an identifier such as a name, an identification number, location data, an online identifier or to one or more factors specific to the physical, physiological, genetic, mental, economic, cultural or social identity of that natural person. Processing Any operation or set of operations which is performed on personal data or on sets of personal data, whether or not by automated means, such as collection, recording, organisation, structuring, storage, adaptation or alteration, retrieval, consultation, use, disclosure by transmission, dissemination or otherwise making available, alignment or combination, restriction, erasure or destruction. Page 259 of 342
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Data Protection Policy v7.0 18 Term Description Processor Any person who processes personal data on behalf of a controller such as the council. Council employees are excluded from this definition but it could include suppliers which handle personal data on behalf of the council, for example where the council outsources IT, payroll, paper waste disposal, and mail shot / marketing services. SIRO Senior Information Risk Owner. Page 260 of 342
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This is a controlled document. The digital PDF file published on InsideNL is the control copy. Always access this document from the control location. When you open this document, your device may automatically download it. If it does, you should still open it from the control location in future. You can print this document, but a printed copy isn’t the control copy. Don’t save any digital copies of this document anywhere. This includes your device, USB flash drives, network drives, OneDrive, Teams/SharePoint, or any other digital storage device, system, service, or location. Information Security Policy Version 4.0, 18 May 2023 Appendix 3 Page 261 of 342
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Information Security Policy v4.0 Document control Title Information Security Policy Governance group Data Governance Board Owner Katrina Hassell, Senior Information Risk Officer Contact hassellk@northlan.gov.uk Author Rob Leitch, Information Risk Manager Contact leitchro@northlan.gov.uk Revision history Version Originator Review start date Revision description and record of change 4.0 Julie Irwine 03 May 2023 Biennial review and plain English changes. 3.0 Rob Leitch 09 March 2021 Review with aim of deprecating Information Risk and Information Classification and Handling policies. 2.1 Charles Muir 18 February 2021 Reviewed as part of review of all information governance policies and guidelines. 2.0 Rob Leitch 28 April 2020 Regular review including comments from Data Governance Board and Data Management Team. Document approvals Version Governance group Date approved Date approval to be requested (if document still in draft) 4.0 Policy and Strategy Committee 08 June 2023 3.0 Policy and Strategy Committee 03 June 2021 2.0 Policy and Strategy Committee 11 June 2020 1.3 Policy and Resources Committee 21 June 2017 1.2 Policy and Resources Committee 16 September 2014 1.1 Policy and Resources Committee 14 March 2013 Consultation record (for most recent update) Consultation status Stakeholders consulted between 15 March 2023 and 12 April 2023. Stakeholders consulted and dates Business and Digital Management Team Data Management Team Data Governance Group Technical Design Authority 21 March 2023 15 March 2023 29 March 2023 21 March 2023 Strategic alignment Plan for North Lanarkshire Improving the Council’s Resource Base – A Workforce Strategy that is built around the needs of the council (as a single resource base) to deliver the priority outcomes, ensuring future workforce requirements, new skills and innovative approaches, and succession planning are recognised. Digital and IT Strategy The Digital and IT Strategy brings together separate but related plans and policies that contribute to the development and delivery of our digital vision. The Information Security Policy is one of these. It supports the strategy by providing a safe framework for using our information, and our information storage facilities and processing systems without exposing the council or our users to risks. Next review date Review Date Page 262 of 342
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Information Security Policy v4.0 Contents 1. Introduction .............................................................................................................. 1 2. Purpose ..................................................................................................................... 1 3. Scope ........................................................................................................................ 2 4. Governance ............................................................................................................... 2 5. Policy compliance ....................................................................................................... 2 6. Policy objectives ......................................................................................................... 3 7. Information security controls ...................................................................................... 3 7.1. Managing risk ................................................................................................... 3 7.2. Managing information ....................................................................................... 4 7.3. Training and awareness ..................................................................................... 5 7.4. Operational security ......................................................................................... 6 8. Product set ................................................................................................................ 7 Appendix 1: Information security roles and responsibilities .................................................. 9 A note about plain English This document follows plain English guidance, in line with our corporate commitment to clear communications. In particular, it uses the following terms. 1. ‘We’, ‘us’ and ‘our’ when referring to the council (as an organisation), our collective responsibilities (as authorised users of council IT assets), and when discussing specific activities. 2. ‘You’ and ‘your’ when referring to the individual responsibilities and actions of authorised users of council IT assets. Page 263 of 342
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Information Security Policy v4.0 1 1. Introduction Information is a critical asset. We rely on physical assets and information technology (IT) to use, store, manage, process, and share information. We must secure and protect these so we can continue to deliver our services, carry out our statutory duties, and support our internal business functions. Information security covers the following. 1. Physical access to electronic and paper-based information assets. 2. Logical access to electronic information, and IT systems and services, both hosted within our own network and cloud-based – including business systems and applications, office software, databases, websites, and apps. 3. Network infrastructure and services including hardware and software, both within our own network and through cloud managed services – including routers, switches, gateways, firewalls, servers, and monitoring and management tools. 4. Legislation governing data and IT systems, both corporate and business function specific. 5. Compliance requirements and standards set out by government and regulatory bodies. 6. Privacy rights of our customers, service users, employees and other authorised IT users. 7. Supply chain security, particularly where a third party holds our information or processes it on our behalf. The council owns all information we store. We securely manage this along with the devices, systems and services we use to create, store, access and process it. 2. Purpose This Information Security Policy provides a framework for effective information security that balances the benefits and risks of processing information. It is a control factor for the Information Security and Governance corporate risk and aligns with the following. Digital and IT Strategy – this brings together separate but related plans and policies – including this one – that contribute to our digital vision. Its sister policies – Data Protection , Payment Card Data Security, and Records and Information Management – that maintain the safety, confidentiality, integrity and availability of our information. Acceptable Use of IT Policy – this informs the council’s IT users on how to appropriately use IT assets to store and process information. Related legislation. Page 264 of 342
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Information Security Policy v4.0 2 3. Scope This policy applies to every person who creates, accesses, processes and otherwise uses information on our behalf or in an official capacity – both IT and non-IT users. This includes all employees, councillors, contractors, consultants, temporary agency staff, modern apprentices, students, volunteers, and any other authorised third parties. 4. Governance The Policy and Strategy Committee has approval authority for, and oversight of, this policy. The Data Management Team then the Data Governance Board – as key stakeholders – oversee its review and consider its contents before referring it on for approval. The Chief Officer of Business and Digital – as the council’s Senior Information Risk Owner – is accountable for its governance. The Information Security and Risk team is responsible for the following activities. 1. Produce, publish and promote this policy. a. Write it in a way that’s easy to read and understand. b. Consult with relevant stakeholders on its content and implications. c. Make sure all users can access it. 2. Give guidance on how to apply and comply with this policy through standards, procedures and guidance notes – see product set for list and links. 3. Review and report on this policy. a. Review every two years, with other reviews when needed. For example, following a critical security incident, new legislation, a significant threat, an audit action. b. Report to management teams, governance and working groups, committees and scrutiny panels. 5. Policy compliance Every person with access to our information and who uses it in the course of council-related work or in an official capacity, must comply with this policy, and all the policies, standards, procedures and guidance it references. This includes: only using our information for its intended purpose – unless authorised to do otherwise; maintaining its confidentiality and integrity, and keeping it safe. Page 265 of 342
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Information Security Policy v4.0 3 Appendix 1 describes the roles and responsibilities of the following key people and groups in supporting, promoting and complying with this policy. Chief Executive Senior Information Risk Owner Corporate Management Team Business and Digital Delivery Board Data Governance Board Data Management Team Information Risk Manager All Managers Everyone in the scope of this policy. 6. Policy objectives This policy sets our strategic position and lays the foundations for effective information security. Its key objectives are as follow. 1. Show clear executive-level understanding of the value of information and the need to make resources available to protect it. 2. Help everyone who accesses or processes our information understand: a. why we must protect its confidentiality, integrity, and availability; b. the controls we use to protect it; and c. their role in this. 3. Show our key stakeholders – such as elected members, our residents, customers and service users – that we treat and protect information in line with its value and sensitivity. 4. Provide a development and review process for information security related standards, procedures, and guidance. 5. Promote compliance with all legislation and regulations governing our information assets. 6. Maximise the benefits of our information whilst identifying and managing associated information risks. 7. Information security controls 7.1. Managing risk Managing risk is critical to keeping our information secure. This process includes identifying, assessing, and monitoring risks to the information we hold, and information storage facilities and processing systems. Page 266 of 342
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Information Security Policy v4.0 4 We do the following to manage information risks. 1. Use network controls, specialist systems and privileged utility programs to protect our IT infrastructure. 2. Produce and promote policies, standards, and guidance. 3. Develop and implement security operational procedures. 4. Produce mandatory training for employees and deliver awareness sessions for councillors. 5. Routinely raise awareness about information security, both generally and topic specific. This includes issuing alerts and guidance about specific threats, as they occur. 6. Agree specific treatment plans for the risks we manage – and invoke them when we need to – in line with the Risk Management Strategy. 7.2. Managing information This policy – and related Data Protection and Records and Information Management policies – define how we manage and use information. We have a range of supporting products, relating to specific elements of this. In particular – Information classification and handling: The Standard and Guidance help everyone: understand the different classes of information and what we use them for; decide which classification to use for an information asset, based on the sensitivity and confidentiality of its content; know how to handle information based on its classification. Records retention: The Records Retention Schedule helps us decide 1. how long to keep information, and 2. whether to dispose of, archive or permanently preserve it. Information assets: The Information Asset Register details all of our current information assets held on record. It includes the following for each: asset reference, name and description; owner, administrator, service and business unit; classification and whether it contains personal information; any legislative basis for processing the information; and format (paper or digital) and reuse status. Other guidance to help manage information securely. We store user guidance on our InsideNL document library, covering specific topics including the following. Email security guidance Home Working and Information Security Guidance IT Authentication (Password) and Secure Access User Guidance Page 267 of 342
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Information Security Policy v4.0 5 7.3. Training and awareness We use training and awareness to help manage information risk. This includes giving people the knowledge and confidence they need to carry out their information security responsibilities. This in turn will change behaviours to further protect the information we hold, and our information storage facilities and processing systems. There are a series of mandatory training modules on LearnNL covering the core elements of information governance. Data protection Information security Records and Information management Employees must complete this training every two years to keep up to date with any changes in policy or legislation. We carry out a range of awareness raising activities using different types of media and systems to promote information security, share information and build knowledge. We generally communicate with everyone but also target specific audiences – where appropriate. Awareness raising Activities We maintain a constant flow of content to keep everyone involved and informed. Examples include the following. Routinely sharing information, both general and topic specific. Promoting events and campaigns such as Cyber Security Week. Publishing Cyber-i, the information security and risk digest. Issuing alerts and guidance about specific threats, as they occur – for example a new phishing scam designed to steal information. Engaging directly on Viva Engage (also known as Yammer), including answering questions, asking for opinions, and signposting to useful content elsewhere. Notifying users of policy changes, new standards, procedures and guidance. Delivering councillor awareness sessions. Media We use a range of media, including the following. Information Security and Risk community on Viva Engage Council news on InsideNL InsideNL Information Security and Risk document libraries Staff announcement emails Chief Executive’s newsletter Toast popup notifications PowerPoint presentations Page 268 of 342
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Information Security Policy v4.0 6 7.4. Operational security Information is at the core of all our operational activities. As such we use procedures and controls to manage it securely it at every stage of its lifecycle. Key operational activities include the following. Figure 1: Information lifecycle Compliance: Legislation, regulations, and data sharing arrangements. People resources procedures: Recruitment, disclosure and other vetting processes. Access control: How we control access to information and systems, as defined in our Access Control Standard, related procedures and guidance, and Code of Connection procedures. This comprises the following. User access including identity and access management, provisioning, privileged access management, passwords and other authenticators, and user authentication and secure access responsibilities. Device access including council devices and personal devices. Access to IT systems and services including system controls to protect against unauthorised access, service disruption, data breach and data loss. Access to network infrastructure and services including network controls and procedures, and privileged utility programs. Access to electronic information using permissions and privileges. IT operational controls: This includes products and procedures to manage change, protect and manage our network infrastructure, introduce and decommission systems, and replace and dispose of hardware. Information security incidents: The Information Security Incident Management Procedure explains how we react to actual and suspected security incidents. Business continuity: The IT Systems Resiliency and Disaster Recovery Standard classifies IT systems in terms of how critical they are to our service delivery and business continuity. The most important systems are gold, followed by silver then bronze. Supply chain security: Following the Supply Chain Cyber Security Standard and Purchasing Cloud-based Services Cyber Security Guidance when buying cloud-based systems or services. Page 269 of 342
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Information Security Policy v4.0 7 Procurement: The Corporate Procurement model includes governance arrangements, procedures for engaging with suppliers, and procurement toolkits and templates. Project management controls: The Project Management Framework includes records management, data protection and information security guidance for its product set 8. Product set The table below lists documents in the Information Security Policy product set and other related products. This may include links to other file types, websites and IT systems. Those listed under policies, standards, procedures and guidance are the responsibility of the Information Security and Risk team. Those listed under related products are the responsibility of other teams, services or agencies. Product type Product Policies Acceptable Use of IT Policy Payment Card Data Security Policy Standards Access Control Standard IT Systems Resiliency and Disaster Recovery Standard Information Classification and Handling Standard Supply Chain Cyber Security Standard Procedures Access Control procedures Code of Connection procedures Information Security Incident Management Procedure Guidance Cyber-i Email security guidance Home Working and Information Security Guidance IT Authentication (Password) and Secure Access User Guidance Information Classification and Handling Guidance Information Security and Risk on Viva Engage (aka Yammer) InsideNL document library Purchasing Cloud-based Services Cyber Security Guidance Related products Corporate Procurement model Council news on InsideNL Data Protection Policy Digital and IT Strategy Information Asset Register LearnNL Project Management Framework Records and Information Management Policy Page 270 of 342
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Information Security Policy v4.0 8 Product type Product Related products (continued) Records Retention Schedule Risk Management Strategy Legislation, regulations, and government guidance Data Protection Act 2018 Government Security Classifications Public Bodies (Joint Working) (Scotland) Act 2014 Public Records (Scotland) Act 2011 Scottish Public Sector Cyber Resilience Framework The Data Protection, Privacy and Electronic Communications (Amendments etc) (EU Exit) Regulations 2020 Page 271 of 342
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Information Security Policy v4.0 9 Appendix 1: Information security roles and responsibilities Role Responsibilities Chief Executive of North Lanarkshire Council. Overall accountability for the protection of information we own and process. Senior Information Risk Owner (SIRO) The Chief Officer of Business and Digital has this role. Make sure we protect our: information; and information storage facilities and processing systems. Accountable for information security governance. Corporate Management Team The council’s executive board. Members are the Chief Executive, Depute Chief Executive, SIRO, and Chief Officers. Sign off on our information security controls and practices. Consider reports on the effectiveness of our information security practices. Data Governance Board A senior officer group of business information owners and subject matter experts from all services. Chaired by the SIRO. Assure robust information governance of this policy. Consider revisions before passing to the Policy and Strategy Committee for approval. Data Management Team An officer group from all services with responsibility for business information including processes and IT systems. Individual members must make sure their service complies with this policy and related standards, procedures and guidance. Collectively the team: oversees the review of this policy; and agrees revisions before passing to the Data Governance Board for consideration. Information Risk Manager Our lead subject matter expert on information security and risk management. Co-ordinate and monitor activities to manage our information risk posture, including: network controls, specialist systems, and privileged utility programs to protect our IT infrastructure; and mandatory training and awareness raising. Produce and promote this policy and related standards, procedures and guidance. Page 272 of 342
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Information Security Policy v4.0 10 Role Responsibilities All managers Anyone responsible for managing a function or group of people within the council. This includes information owners. Make sure processes and security controls are in place to manage information effectively. Make sure staff members: follow policies, standards, procedures and guidance; and keep up to date with mandatory training. Everyone As per the scope, every person who creates, accesses, processes and otherwise uses information on our behalf or in an official capacity – both IT and non-IT users. Follow policies, standards, procedures and guidance, and protect council information, devices, information storage facilities and processing systems in line with them. Keep up to date with: mandatory training; and general awareness communications. Page 273 of 342
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This is a controlled document. The digital PDF file published on InsideNL is the control copy. Always access this document from the control location. When you open this document, your device may automatically download it. If it does, you should still open it from the control location in future. You can print this document, but a printed copy isn’t the control copy. Don’t save any digital copies of this document anywhere. This includes your device, USB flash drives, network drives, OneDrive, Teams/SharePoint, or any other digital storage device, system, service, or location. Payment Card Data Security Policy Version 1.0, 18 May 2023 Appendix 4 Page 274 of 342
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Payment Card Data Security Policy v1.0 Document control Title Payment Card Data Security Policy Governance group PCI DSS Governance Board Owner Katrina Hassell, Senior Information Risk Officer Contact hassellk@northlan.gov.uk Author Gordon Livingstone, Information Security Officer Contact livingstoneg@northlan.gov.uk Revision history Version Originator Review start date Revision description and record of change 1.0 Gordon Livingstone n/a New policy. Document approvals Version Governance group Date approved Date approval to be requested (if document still in draft) 4.0 Policy and Strategy Committee 08 June 2023 Consultation record (for most recent update) Consultation status Stakeholders consulted between October 2022 and April 2023. Stakeholders consulted and dates Data Governance Board Data Management Team PCI DSS Governance Board February 2023 March 2023 October 2022 Strategic alignment Plan for North Lanarkshire Improving the Council’s Resource Base – A Workforce Strategy that is built around the needs of the council (as a single resource base) to deliver the priority outcomes, ensuring future workforce requirements, new skills and innovative approaches, and succession planning are recognised. Digital and IT Strategy The Digital and IT Strategy brings together separate but related plans and policies that contribute to the development and delivery of our digital vision. The Payment Card Data Security Policy is one of these. It supports the strategy by providing a safe framework for processing, storing and transmitting payment card and cardholder details in line with mandatory worldwide standards. Next review date Review Date Page 275 of 342
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Payment Card Data Security Policy v1.0 Contents 1. Introduction .............................................................................................................. 1 2. Purpose ..................................................................................................................... 1 3. Scope ........................................................................................................................ 2 4. Governance ............................................................................................................... 2 5. Policy compliance ....................................................................................................... 2 6. Policy objectives ......................................................................................................... 3 7. Payment card data security controls ............................................................................ 3 7.1. Information security ......................................................................................... 3 7.2. Information classification .................................................................................. 4 7.3. Access to cardholder data .................................................................................. 4 7.4. Third-party service providers .............................................................................. 4 7.5. Physical security ............................................................................................... 4 7.6. Protect stored data ........................................................................................... 5 7.7. Protect data in transit ........................................................................................ 5 7.8. Disposal of stored data ...................................................................................... 6 7.9. Training and awareness ..................................................................................... 6 7.10. Information security incidents and data breaches ................................................ 6 8. Product set ................................................................................................................ 6 Appendix 1: Payment card data handling roles and responsibilities ....................................... 8 A note about plain English This document follows plain English guidance, in line with our corporate commitment to clear communications. In particular, it uses the following terms. ‘We’, ‘us’ and ‘our’ when referring to the council (as an organisation), our collective responsibilities (as authorised users of council IT assets), and when discussing specific activities. ‘You’ and ‘your’ when referring to the individual responsibilities and actions of authorised users of council IT assets. Page 276 of 342
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Payment Card Data Security Policy v1.0 1 1. Introduction We take credit and debit card payments for a range of goods and services we provide – such as theatre tickets, special uplifts, council tax and housing rents. We must take card payments in a way that protects us and our customers from data breaches and fraud. We use the following three payment channels. 1. Online – self-service; customers make payments through websites and web services. 2. Point-of-sale payment card machine – face to face; customers pay at a council facility. 3. Telephone – remote; customers speak to our agents over the phone to make payments. The Payment Card Industry Security Standards Council manages the Payment Card Industry Data Security Standard (PCI-DSS). This is a mandatory information security standard that applies worldwide, to every organisation that stores, processes, or transmits cardholder data. It helps us: reduce the likelihood of credit and debit card fraud; protect the processing, storage, and transmission of card and cardholder details; and secure how we handle data and its exposure to compromise. PCI-DSS is mandatory. Failure to comply with it could result in North Lanarkshire Council being fined and no longer permitted to process card payments. 2. Purpose This Payment Card Data Security Policy sets out the controls we must use to protect the security of all card payments we receive and process. It makes sure we handle all card information securely and comply with all PCI-DSS requirements. It’s also a control factor for the Information Security and Governance corporate risk and aligns with the following. Digital and IT Strategy – this brings together separate but related plans and policies – including this one – that contribute to our digital vision. Its sister policies – Data Protection, Information Security and Records and Information Management – that maintain the safety, confidentiality, integrity and availability of our information. Acceptable Use of IT Policy – this informs the council’s IT users on how to appropriately use IT assets to store and process information. The Information Classification and Handling Standard – this controls how we classify and handle council information while safeguarding its confidentiality, integrity and availability. Page 277 of 342
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Payment Card Data Security Policy v1.0 2 3. Scope This policy applies to all users of council IT assets who process, view or otherwise handle payment card data and cardholder details. This includes employees, councillors, contractors, consultants, temporary agency staff, modern apprentices, students, volunteers, and any other authorised third parties. 4. Governance The Policy and Strategy Committee has approval authority for, and oversight of, this policy. The Data Management Team then the PCI DSS Governance Board – as key stakeholders – oversee its review and consider its contents before referring it on for approval. The Chief Officer of Business and Digital – as the council’s Senior Information Risk Owner – is accountable for its governance. The Information Security and Risk team is responsible for the following activities. 1. Produce, publish and promote this policy. a. Write it in a way that’s easy to read and understand. b. Consult with relevant stakeholders on its content and implications. c. Make sure all users can access it. 2. Give guidance on how to apply and comply with this policy through standards, procedures and guidance notes – see product set for list and links. 3. Review and report on this policy. a. Review every year, with other reviews when needed. For example, following a critical security incident, new legislation, a significant threat, an audit action. b. Report to management teams, governance and working groups, committees and scrutiny panels. 5. Policy compliance Every person who processes card payments and or handles cardholder data in the course of council- related work or in an official capacity, must comply with this policy, and all the policies, standards, procedures and guidance it references. This includes: using the data only for its intended purpose – unless authorised to do otherwise; maintaining its confidentiality and integrity, and keeping it safe. Page 278 of 342
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Payment Card Data Security Policy v1.0 3 Appendix 1 describes the roles and responsibilities of the following key people and groups in supporting, promoting and complying with this policy. Chief Executive Chief Officer of Financial Solutions Senior Information Risk Owner Corporate Management Team PCI DSS Governance Board Data Governance Board Data Management Team Information Risk Manager All managers Everyone in the scope of this policy with a duty for handling cardholder information. 6. Policy objectives This policy sets our strategic position and lays the foundations for effective payment card data security. Its key objectives are as follow. 1. Show clear executive-level understanding of the value of information and the need to make resources available to protect card data, including the IT infrastructure and systems we use to store, process and transmit it. 2. Help everyone who processes card payments and or handles cardholder data understand: a. why we must protect its confidentiality, integrity, and availability; b. the controls we use to protect it; and c. their role in this. 3. Show our key stakeholders – such as elected members, residents, customers and service users – that we treat and protect cardholder data in line with its value and sensitivity. 4. Provide a development and review process for payment card data security standards, procedures, and guidance. 7. Payment card data security controls 7.1. Information security The Information Security Policy sets out a range of controls to protect and manage our information. They all apply to payment card data and include: managing risk; managing information; training and awareness; and operational security. Page 279 of 342
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Payment Card Data Security Policy v1.0 4 7.2. Information classification The Information Classification and Handling Standard outlines how we classify and mark information assets and lists our information handling rules. The Information Classification and Handling Guidance details how we apply the standard. We always classify and handle cardholder details as OFFICIAL-SENSITIVE – PERSONAL. 7.3. Access to cardholder data We control access to cardholder data in line with the Access Control Standard and the Records and Information Management Policy. We must also apply the following payment card data access controls. Clearly define job functions that must access cardholder data. Restrict and pre-authorise all access to cardholder data. Only ever display the card’s first six digits and the last four digits of the permanent account number (commonly known as the long card number). Restrict access to all cardholder data – including the long card number, personal information and business data – to only those who have a legitimate business need to view it. Don’t give anyone else access to this data. 7.4. Third-party service providers We use third-party service providers to process card payments, subject to the following mandatory controls. Use our established corporate procurement processes, including formal due diligence, before engaging with a service provider. All contracts with third-party service providers must include a specific agreement that the service provider is responsible for the cardholder data they hold; and All third-party service providers are contractually obliged to comply with PCI-DSS Formally monitor the service provider’s PCI DSS compliance status. Keep a list of all third-party service providers we share cardholder data with. 7.5. Physical security We must prevent unauthorised individuals from accessing sensitive data. To do this we physically restrict access to sensitive information assets in both digital and paper formats. Information assets Digital Hosted within our own network and on cloud-based services. May also be stored on devices such as laptops, phones, tablets, and other external storage media such as USB flash drives and memory cards. Includes computer files such as documents, spreadsheets, records in business systems. Paper Stored in council facilities and any third-party locations. Includes printed or handwritten documents, received faxes. Page 280 of 342
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Payment Card Data Security Policy v1.0 5 The Information Classification and Handling Guidance details all handling rules. We must also apply the following controls for payment card data and machines. Only those authorised to do so can handle and distribute information assets that contain sensitive data. They must do this in a secure manner. Trusted employees must escort visitors at all times when in areas that hold sensitive cardholder information. Keep a list of all payment card machines that: includes the make, model, location, serial number or other unique identifier; and we update whenever we add, remove or relocate a machine; and Routinely check payment card machine surfaces to detect if they’ve been tampered with or swapped out with an unauthorised machine for fraudulent purposes. Everyone who uses payment card machines must receive training on how to: use payment card machines; properly handle cardholder details; and identify and report suspicious behaviour and possible tampering. Always check and verify the identity of anyone claiming to be from an authorised third- party personnel who wants to install, replace, repair or run maintenance tasks on, or otherwise access our payment card machines. 7.6. Protect stored data The Information Classification and Handling Guidance details storage rules. We must also protect cardholder data using the following controls. Always protect cardholder data against any unauthorised use. Securely destroy any sensitive card data that we no longer need so that its unrecoverable – in line with the Records retention schedule. Don’t display full long card numbers. Don’t display the full number onscreen – as detailed in access to cardholder data above – unless there’s a need to show it all. NEVER store the following data on any information asset or device. Track data – that is, the contents of the payment card magnetic stripe. CVV or CVC (card verification value or code) – commonly known as the security code, this is a three or four digit number usually on the back of the payment card. PIN (personal identification number) – that the cardholder types into the machine. PIN block – used to send a new PIN, it is encrypted and includes an authentication code. 7.7. Protect data in transit We must use the following controls to protect cardholder data when transmitting it digitally or transporting it physically. Never send any card details – full long card number, track data, security code, PIN, PIN block – across or outside our network using messaging services such as email and chat, or any other unencrypted or unauthorised system or service. If there is a business reason to transmit or transport cardholder data, the appropriate manager must authorise it first and we must use the following safety controls. Page 281 of 342
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Payment Card Data Security Policy v1.0 6 Digitally – using email or another digital system or service – use a strong encryption mechanism. Physically – log and inventory the data before leaving the premises. Only use secure courier services. Monitor the shipment status until it you receive delivery confirmation. 7.8. Disposal of stored data As detailed in the Information Classification and Handling Guidance we must do the following. Securely delete all digital data – on all systems and services – when we no longer need it. Destroy all hard copies of cardholder data when we no longer have a valid business reason to keep it. Use lockable storage containers – clearly marked for secure and sensitive disposal – to store all cardholder data awaiting destruction. Restrict access to these containers. 7.9. Training and awareness The Information Security Policy details how we use training and awareness to help manage information risk. This includes: Mandatory training modules on LearnNL covering the core elements of information governance. Data protection Information security Records and Information management Awareness raising activities to promote information security, share information and build knowledge. We also provide specific training for using payment card processing systems and services. 7.10. Information security incidents and data breaches The Information Security Incident Management Procedure and the Data Protection Breach and Incident Management Protocol explain how we react to actual and suspected security incidents and data breaches. The Cardholder Data Breach Incident Response Plan details how we handle incidents involving cardholder data breaches. 8. Product set The table below lists documents in the Payment Card Data Security Policy product set and other related products. This may include links to other file types, websites and IT systems. Those listed under policies, standards, procedures and guidance are the responsibility of the Information Security and Risk team. Those listed under related products are the responsibility of other teams, services or agencies. Product type Product Policies Acceptable Use of IT Policy Information Security Policy Page 282 of 342
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Payment Card Data Security Policy v1.0 7 Product type Product Standards Access Control Standard Information Classification and Handling Standard Procedures Information Security Incident Management Procedure Guidance Information Classification and Handling Guidance Related products Cardholder Data Breach Incident Response Plan Corporate procurement document library on InsideNL Data Protection Breach and Incident Management Protocol Data Protection Policy Digital and IT Strategy Information Asset Register LearnNL PCI Security Standards Council Records and Information Management Policy Records retention schedule Strong encryption Page 283 of 342
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Payment Card Data Security Policy v1.0 8 Appendix 1: Payment card data handling roles and responsibilities Role Responsibilities Chief Executive of North Lanarkshire Council. Overall accountability for the protection of information we own and process. Chief Officer of Financial Solutions The council’s subject matter expert on financial systems and solutions. Overall accountability for protecting financial data and making sure financial systems and processes comply with PCI DSS. Accountable for putting in place policy, standards, and guidance in relation to financial solutions. Senior Information Risk Owner (SIRO) The Chief Officer of Business and Digital has this role. Make sure we protect our: information; and information storage facilities and processing systems. Accountable for information security governance. Corporate Management Team The council’s executive board. Members are the Chief Executive, Depute Chief Executive, SIRO, and Chief Officers. Sign off on our information security controls and practices. Consider reports on the effectiveness of our information security practices. PCI DSS Governance Board A senior officer group with ongoing responsibility for PCI DSS. Provide executive management oversight of council activities to make sure we comply with PCI DSS. Data Governance Board A senior officer group of business information owners and subject matter experts from all services. Chaired by the SIRO. Assure robust information governance of this policy. Consider revisions before passing to the Policy and Strategy Committee for approval. Data Management Team An officer group from all services with responsibility for business information including processes and IT systems. Individual members must make sure their service complies with this policy and related standards, procedures and guidance. Collectively the team: oversees the review of this policy; and agrees revisions before passing to the Data Governance Board to consider. Page 284 of 342
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Payment Card Data Security Policy v1.0 9 Role Responsibilities Information Risk Manager Our lead subject matter expert on information security and risk management. Co-ordinate and monitor activities to manage our information risk posture, including: network controls, specialist systems, and privileged utility programs to protect our IT infrastructure; and mandatory training and awareness raising. Produce and promote this policy and related standards, procedures and guidance. All managers Anyone responsible for managing a function or group of people within the council. This includes information owners. Make sure processes and security controls are in place to manage information effectively. Make sure staff members: follow policies, standards, procedures and guidance; and keep up to date with mandatory training. Everyone As per the scope, every person who processes card payments and or handles cardholder data. Follow policies, standards, procedures and guidance, and process card payments and protect cardholder data in line with them. Keep up to date with: mandatory training; and general awareness communications. Page 285 of 342
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1 North Lanarkshire Council Report Policy and Strategy Committee Does this report require to be approved? ☒ Yes ☐ No Ref GMcL/GL Date 08/06/23 Changes to mileage limits for mainstream home to school transport – Consultation outcome From Gerard McLaughlin, Chief Officer (Education – North) E-mail McLaughlinG@northlan.gov.uk Telephone 01236 812269 Executive Summary Following a decision by full Council, a formal consultation has been carried out on changes to the qualifying criteria for free home to school transport. The changes will increase existing mileage limits to levels more commensurate with the current legislative position and with those levels adopted by most other local authorities. The changes are expected to reduce rising expenditure in this service area significantly and contribute to the council’s overall budget savings plan. The consultation was carried out in accordance with the Schools (Consultation) (Scotland) Act 2010 and included an online survey, dedicated email box and nine public events held across North Lanarkshire. The process has been inspected and reviewed by Education Scotland and a report published. This report has been considered in full by the Education and Families Service. Analysis of the responses received shows that a clear majority of respondents do not favour the changes citing concerns that include a lack of safe walking routes, the impacts of inclement weather and a potential increase in traffic around schools as parents may opt to use cars as an alternative means of travel. The service has committed to assessing all routes identified as potentially unacceptable for walking prior to the implementation of any changes. The service is also committed to providing schools and parent bodies with support and guidance on developing local active travel plans and traffic management assessments and audits. Recommendations It is recommended that the Policy and Strategy Committee: (1) Acknowledges the outcomes of the council’s statutory consultation on changes to home to school transport distance eligibility criteria. (2) Agrees that, following conclusion of the statutory consultation, the decision made by the council at its meeting 23 February 2023 that mileage limits for mainstream home to school transport are changed to better reflect the legislative position, to protect other services by reducing cost from an unpredictable transport market and to encourage participation in more active, cleaner and greener travel, be implemented. AGENDA ITEM 8 Page 287 of 342
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2 1. Background 1.1 On 23 February 2023, as part of the budget setting process, the council decided to consult on changes to the existing qualifying mileage limits for free mainstream school transport as a way of saving up to £3.6 million against a backdrop of having to save £65 million over the next three years. 1.2 The law says that councils must provide free school transport for: • Any child under 8 years of age who lives more than two miles from their school • Any child over 8 years of age who lives more than three miles from their school 1.3 North Lanarkshire Council currently provides free school transport for: • Any primary pupil who lives more than one mile from their catchment school • Any secondary pupil who lives more than two miles from their catchment school This is more generous than the legislation requires and more generous than most other councils in Scotland. Only four local authorities currently provide as generous a provision as North Lanarkshire with two undergoing recent consultations on similar changes. 1.4 The changes would bring the council’s school transport policy closer to legislative requirements, and other councils, by providing free school transport for: • Any primary pupil who lives more than two miles from their catchment school by the nearest acceptable walking route. • Any secondary pupil who lives more than three miles from their catchment school by the nearest acceptable walking route. 1.5 The consultation was conducted in accordance with the Schools (Consultation) (Scotland) Act 2010 and carried out over the period 27 February 2023 to 1 May 2023 during which time all interested parties were invited to submit comments via a dedicated email box and/or complete an online questionnaire. 1.6 Full details of the changes were published on the council website alongside a frequently asked questions section and a list of existing school bus routes identified as likely to be affected by the changes. Visitors to the council website have access to a range of accessibility tools including translation options. 1.7 51,334 individual text messages were sent to parents in North Lanarkshire from Monday 27 February 2023 directing them to the consultation website. A further reminder was sent to all parents on 23 March 2023. Schools, Parent Councils, Trade Unions and Church representatives were also made aware of the consultation. The Plan for North Lanarkshire Priority Enhance participation, capacity, and empowerment across our communities Ambition statement (20) Improve the involvement of communities in the decisions, and development of services and supports, that affect them Page 288 of 342
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3 1.8 As part of the consultation process there were also nine public meetings held to allow stakeholders to attend in person and discuss specific issues directly with council officers. They were held on: • Tuesday 14 March Airdrie Academy Airdrie • Wednesday 15 March St Andrew’s High Coatbridge • Thursday 16 March Chryston High Chryston • Monday 20 March Calderhead High Shotts • Tuesday 21 March Bellshill Academy Bellshill • Wednesday 22 March Our Lady’s High Cumbernauld • Tuesday 28 March Our Lady’s High Motherwell • Wednesday 29 March Clyde Valley High Wishaw • Thursday 30 March Kilsyth Academy Kilsyth 1.9 As required, Education Scotland was provided with a summary of all relevant written responses and oral representations made during the consultation period. A report on this was provided to North Lanarkshire Council. 1.10 Following the consultation period, it is the council’s duty to review the proposal taking account of the feedback received from stakeholders during the consultation period which includes online responses, written responses and oral representations made during the public meetings. The content of Education Scotland’s report should also be taken into consideration. 1.11 A full consultation report, including detailed analysis of the responses received has been available on the Council website for three weeks prior to consideration by Policy and Strategy Committee and is available at Appendix 1. 2. Report 2.1 The total number of responses received on the official consultation response form (via the online survey or hard copy) was 3828. In response to the changes outlined the results are as follows: • Disagree 94% • Agree 4% • Not impacted 2% 2.2 A report by Education Scotland addressing the educational aspects of the change is summarised within the consultation report (Appendix 1). A full version has been published on the Education Scotland website and North Lanarkshire Council website. 2.3 Education and Families Senior Management Team has considered the original proposal and reflected carefully upon the responses received. For clarity, this change would mean that, whilst fewer pupils would be eligible for free home to school transport, our provision would remain more generous than the law requires. The changes would not affect children with additional support needs and would only apply where an acceptable walking route is available. The service is committed to assessing all affected routes, including those identified specifically by respondents to the consultation as being of concern to them. 2.4 Whilst it remains a parental duty to get children to and from school, we recognise that these changes would mean a significant shift for some families. It is our intention, in line with local and national priorities, to ensure that those parents can work with their Page 289 of 342
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4 schools, other parents and specialists to develop more active travel options that are suitable and safe and provide wider benefits to our children and young people. This will include work to develop effective traffic management around our schools should parents choose to bring cars within these areas. We will also work with our regional transport partnership to help ensure that young people, who choose to do so, have free access to effective public transport. 2.5 The service is also committed to robust and ongoing equality and poverty impact assessments on the effects of these changes to ensure that we are aware of, and manage, any related barriers to equality which may arise. The phased introduction of these changes over the next two years as planned would provide space and time for this to happen. 2.6 In recent years, authorities have faced severe inflationary pressures in school transport costs. During financial year 2022/23 the overspend in mainstream school transport rose to £2.8m and there remains ongoing volatility and uncertainty within the market. These increasing costs place significant financial pressures on both the Service and wider Council to maintain a balanced budget. 2.7 It is recommended that mileage limits for mainstream home to school transport are changed to better reflect the legislative position, to protect other services by reducing cost from an unpredictable transport market and to encourage participation in more active, cleaner and greener travel. 3. Measures of success 3.1 Revised criteria for mainstream home to school transport will be implemented on the following basis: - Secondary pupils from August 2024 - Primary pupils from August 2025 3.2 In addition: - Required efficiency savings realised. - All affected walking routes will be assessed prior to any implementation. - Guidance will be available to schools and parents on developing local active travel plans. - Guidance on traffic management around schools will be made available to all headteachers. - A revised and comprehensive School Transport Policy for North Lanarkshire. 4. Supporting documentation Appendix 1 – Consultation Report Appendix 2 – Information on Active Travel Presented at Public Meetings Minutes of Council Meeting 23 February 2023 Minute North Lanarkshire Council Gerard McLaughlin Chief Officer (Education - North) Page 290 of 342
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5 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? A reduction in expenditure on mainstream school transport as part of the agreed budget savings plan for the Council. 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? This is a statutory consultation and as such has conducted in accordance with relevant legislation. 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 Page 291 of 342
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6 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? There exists the potential to reduce vehicle carbon emissions by encouraging a shift to more active travel. 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? The changes are expected to affect a large number of families and other stakeholders. This would require significant, early and ongoing communication with those affected. 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? Given the extent of the impacts of these changes, there is a risk to the Council reputation and possible negative media coverage. Associated risks have been assessed and recorded at corporate, service and project levels. 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 292 of 342
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7 Appendix 1 – Consultation Report Changes to mileage limits for mainstream home to school transport A report on the consultation held from 27 February 2023 to 01 May 2023 Published 17 May 2023 Page 293 of 342
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8 Contents 1.0 Introduction 1.1 Purpose 1.2 Background 1.3 Changes 1.4 Methodology 2.0 Analysis of responses 2.1 Online survey 2.2 Public events 2.3 Dedicated Email 3.0 Response to issues raised 4.0 Report by Education Scotland Appendix A Educational Benefits Statement Page 294 of 342
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9 1.0 Introduction This report is published by North Lanarkshire Council in response to a statutory consultation carried out under the terms of the Schools (Consultation) (Scotland) Act 2010. 1.1 Purpose The purpose of this report is to advise all stakeholders on the outcome of the consultation exercise undertaken recently on changes to mileage limits for mainstream home to school transport. This outcome will be presented to the council’s Policy and Strategy Committee for consideration on 08 June 2023. 1.2 Background On 23 February 2023, as part of the budget setting process, North Lanarkshire Council decided to consult on changes to the existing qualifying mileage limits for free mainstream school transport as a way of saving £3.6 million against a backdrop of having to save £65 million over the next three years. The law says that councils must provide free school transport for: - Any child under 8 years of age who lives more than two miles from their school - Any child over 8 years of age who lives more than three miles from their school North Lanarkshire Council currently provides free school transport for: - Any primary pupil who lives more than one mile from their catchment school - Any secondary pupil who lives more than two miles from their catchment school. This is more generous than the legislation requires and more generous than most other councils in Scotland. 1.3 Changes The changes would bring the council’s school transport policy closer to legislative requirements, and other councils, by providing free school transport for: - Any primary pupil who lives more than two miles from their catchment school by the nearest acceptable walking route - Any secondary pupil who lives more than three miles from their catchment school by the nearest acceptable walking route Page 295 of 342
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10 1.4 Methodology The consultation was conducted in accordance with the Schools (Consultation) (Scotland) Act 2010 and carried out over the period 27 February 2023 to 01 May 2023 during which time all interested parties were invited to submit comments via a dedicated email box and/or complete an online questionnaire. Full details of the changes were published on the council website alongside a frequently asked questions section and a list of existing school bus routes identified as likely to be affected by the changes. Visitors to the council website had access to a range of accessibility tools including translation options. 51,334 individual text messages were sent to parents in North Lanarkshire from Monday 27 February 2023 directing them to the consultation website. A further reminder was sent to all parents on 23 March 2023. Schools, Parent Councils, Trade Unions and Church representatives were also made aware of the consultation. As part of the consultation process there were also nine public meetings held to allow stakeholders to attend in person and discuss specific issues directly with council officers. They were held on: • Tuesday 14 March Airdrie Academy Airdrie • Wednesday 15 March St Andrew’s High Coatbridge • Thursday 16 March Chryston High Chryston • Monday 20 March Calderhead High Shotts • Tuesday 21 March Bellshill Academy Bellshill • Wednesday 22 March Our Lady’s High Cumbernauld • Tuesday 28 March Our Lady’s High Motherwell • Wednesday 29 March Clyde Valley High Wishaw • Thursday 30 March Kilsyth Academy Kilsyth As required, Education Scotland was provided with a summary of all relevant written responses and oral representations made during the consultation period. A report on this was provided to North Lanarkshire Council. Following the consultation period, it is the Council’s duty to review the proposal taking account of the feedback received from stakeholders during the consultation period which includes online responses, written responses and oral representations made during the public meetings. The content of Education Scotland’s report has also been taken into consideration. Page 296 of 342
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11 2.0 Analysis of responses 2.1 Online survey An online form was developed to collect feedback from the public on the proposed changes to home to school transport. In total 3828 responses were collated. Respondents were asked to select from a range of options of who they are when completing the questionnaire. The options that respondents could select were parent/carer; pupil; teacher; school support staff; early years employee; parent council member or chair; and other. As can be shown in the figure above, the majority of respondents were parent/carers with 89% (N = 3423) highlighting they were either a parent or carer of a child within NLC. 2% (N = 83) were pupils and less than 1% were teachers (N = 28). Additionally, less than 1% of respondents were school support staff (N = 6) and early years employees (N = 9). A small proportion of the sample, 1% of respondents were parent council members or chair members (N = 44). If respondents did not fall within any of those categories, they could select ‘other’. 6% (N = 235) of the sample selected ‘other’. Those who selected other came from a range of individuals. Some examples of those who responded include grandparents; other family members including aunts and uncles; local residents; concerned citizens; family friends; parents of former pupils; transport workers and general members of the public. 3423 83 28 6 9 44 235 0 500 1000 1500 2000 2500 3000 3500 4000 Parent/carer Pupil Teacher School support staff Early years employee Parent council member or chair Other Respondents Page 297 of 342
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12 Individuals were asked to indicate whether they agree with the proposed planned changes. 94% of individuals (N = 3596) specified that they do not agree with the changes. 4% of individuals (N = 151) do agree with the proposed changes, and 2% (N = 81) specified that the changes do not impact them. Respondents were also asked if they or their children would be affected by the planned changes. 77% of individuals (N = 2694) highlighted that they would be affected. 17% of individuals (N = 634) specified that they wouldn’t be affected by these changes, and 6% (N = 230) selected ‘not applicable’. Individuals were then asked three questions where a text box was provided to write any thoughts and feelings towards the changes. The following analysis will be split by individuals who agree to the proposed planned changes and those who disagree with the proposed planned changes. These responses have been analysed to determine if there were any emerging themes across the sample. Additionally, due to the large volume of responses, it has been agreed that a random sample of 10% of the qualitative responses will be collated. Feedback from those who agree to the planned changes Q.11 Those who responded ‘yes’ to question 9, followed by ‘no’ or ‘not applicable’ to question 10, made no further comments in question 11. Those who responded ‘yes’, they agree to the changes, followed by ‘yes’ they will be affected by the changes, made comments which have been summarised in the table below into key themes. KEY THEME THEME FREQUENCY (out of 37 responses) Not happy with the changes 12 Child is no longer eligible for school transport 8 4% 94% 2% Q.9 Do you agree with the planned changes? Yes No Does not impact me 76% 18% 6% Q.10 Will you or your child be affected by the planned changes? Yes No Not applicable Page 298 of 342
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13 Child is now eligible for school transport 8 Will get child safely to school (will use other transport / walk) 7 Q.12 Those who responded ‘yes’ they agree to the changes, followed by ‘yes’ they will be affected by the changes, made comments which have been summarised in the table below into key themes. KEY THEME THEME FREQUENCY (out of 37 responses) Not happy with the changes 13 Child is no longer eligible for school transport 11 Child is now eligible for school transport 13 Q.13 Finally, individuals were asked if they had any additional comments. Those who responded ‘yes’ they agree to the changes, made comments which have been summarised in the table below into key themes. KEY THEME THEME FREQUENCY (out of 46 responses) Parents responsibility / Children able to walk 29 Better public transport required 10 Too far a journey for children 9 Miscellaneous 5 Those who responded ‘does not impact me’ about the changes, made comments which have been summarised in the table below into key themes. KEY THEME THEME FREQUENCY (out of 28 responses) Page 299 of 342
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14 Public Transport 11 Safe walking routes 8 Miscellaneous 6 Additional vehicles on road 5 Feedback from those who disagree to the planned changes. Q.11 Individuals were asked ‘If yes, how will you be affected by the proposed changes?’ following on from the question ‘will you or your child be affected by the planned changes?’. Those who responded ‘no’ or ‘does not impact me’ to question 9, followed by ‘no’ or ‘not applicable’ to question 10, made no further comments in question 11. Those who responded ‘no’ they do not agree with the changes, and then ‘yes’ they will be affected by the changes, made comments which have been summarised in the table below into key themes and sub-themes. A randomised sample of 10% (n=274) was taken from the total responses (n=2736) once blanks had been removed. KEY THEME FREQUENCY (out of 274 responses) SUB-THEMES Safety / Health Concerns 129 • Unsafe walking route – e.g., due to busy roads, irresponsible drivers, dual carriageways, lack of safe crossings, areas with no footpaths, routes through wooded/forest areas, isolated and unlit routes • Unsafe due to people – e.g., area of previous sexual assault, walking routes through underpasses and areas where antisocial behaviour takes place • Health of parent – e.g., disabled, sick, or mental health issues resulting in parent being unable to help transport child to school • Health of young person – e.g., health conditions and additional support needs that make travelling to school alone unsafe and stressful for young person • Children not being familiar with area to walk or how to use public transport / child protection concern over young children using public transport alone Walking Distance Too Long 64 • Too long a distance to walk to and from school every day, especially on unsafe routes • Too far for young primary age children to walk alone Page 300 of 342
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15 Q.12 • Children having to leave very early in the morning when streets are isolated and dark, to make it to school on time No Alternative Transport 51 • Areas that do not have adequate public transport services / no bus or direct bus route • Parents who have no alternatives- e.g., no family members locally to help them, can’t afford additional costs, can’t manage it around work schedule, parents who don’t drive, parents who have health issues that prevent them being able to walk with or drive child to school Financial Impact 35 • Parents having to cut down their working hours / change jobs to be able to take children to and from school will have detrimental effect on their finances • Possible consequences of parents turning up late for work due to having to drive children to school • Difficult for parents who work shift patterns • Cost of moving house to be closer to school • Added cost of public transport • Added cost of childcare to ensure children can get to and from school • Added cost of fuel to drive children to school • Difficult for parents with 2 or more children at different schools Traffic Increase / Congestion 30 • Increased traffic – meaning busier roads for children walking to school and crossing roads • Even more congestion at schools and surrounding residential areas • Increased likelihood of accidents • Increased delays causing more children being late to school and/or more parents being late to work • Negative environmental impact Travelling in Winter / Adverse Weather 28 • Walking alone in isolated / poorly lit routes in the dark • Crossing busy roads in the dark • Scottish weather – walking a long distance to school in bad weather and not being able to change clothes/dry off • Flooding on roads Public Bus Service Unreliable / Full 21 • Bus times don’t align with school times / buses can be late and unreliable resulting in children being late for school • Public buses already very full and with more children needing to use the service at peak times, not always guaranteed to get on • No direct bus route Attainment Concerns 13 • Possibility of late comings, absences and truancies due to difficulty of getting to school safely and on time – resulting in a negative impact on education/attainment Page 301 of 342
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16 Individuals were asked ‘If yes, how will you be affected by the proposed changes?’ following on from the question ‘will you or your child be affected by the planned changes?’. Those who responded ‘no’ they do not agree with the changes, made comments which have been summarised in the tables below into key themes and sub-themes. A randomised sample of 10% (n=261) was taken from the total responses (n=2613) once blanks had been removed. THEME FREQUENCY (out of 261 responses) SUB-THEMES Safety concerns 226 • Unsafe walking route – e.g., secluded areas, speeding cars on the route, poorly lit or unlit route, no footpath on parts of the route, narrow pavements, lack of safe crossings and wooded/overgrown areas • Unsafe due to people – e.g., route goes through areas of previous sexual assault and theft, parents/carers also feel walking to school through these routes leaves their children more open to interactions with bullies Length of journey 65 • Too far for primary school children to walk alone, often on unsafe paths • Asking children to leave very early in the morning to make it on time for school and to walk back from school, parents/carers feel that it takes up a huge chunk of their day Winter travel/ adverse weather conditions 56 • Walking route will be too dark in the winter months, children will have to leave the house when it is dark and walk home in dark conditions, on unsafe roads • Scottish weather will mean that pupils will arrive to school wet and cold, with no change of clothes and unable to start their day fresh • Flooding on roads and muddy paths Increase in traffic/ congestion 22 • Environmental impact – omissions from the amount of cars on the road • Congestion issues in streets and around the schools due to too many cars on the road • Issues at drop off and pick up at schools with the additional cars that may be on the road if parents/carers choose to drop children off. Already some issues at some schools. • Unsafe for children to walk these routes due to the number of cars that will be on the road if the changes are enforced Health and wellbeing concerns 15 • Concerns about children with health conditions, mental health conditions, learning disabilities and those having troubles with bullies at school No alternative transport/ unreliable public transport 14 • Unreliable public transport within their area – e.g., times of buses do not align with school start and finishing times, not enough buses in the area for all the children and some routes with no public buses at all Page 302 of 342
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17 Q.13 Those who responded ‘no’ they do not agree with the changes, made comments which have been summarised in the tables below into key themes and sub-themes. A randomised sample of 10% (n=207) was taken from the total responses (n=2073) once blanks had been removed. THEME FREQUENCY (of 207 responses) SUBTHEME (if applicable) SUBTHEME FREQUENCY Safety concerns 139 Unsafe routes / Dangerous for children 131 Children too young to walk length of journey 15 Danger to children’s lives (predators) 9 Happy to pay for child to reach school safely 2 THEME FREQUENCY (out of 207 responses) Increase in traffic 53 Public transport 42 Financial concerns 22 Adverse weather / winter travel 21 • No alternative transport - parents/carers are unable to walk their child to school as they have other children at different schools, no other family members available to help out, parents/carers who don’t drive and parents/carers with health issues that mean they would not be able to accompany their child on the walk to school • No direct bus route Financial concerns 12 • Adjusting shift patterns to suit new changes • Possibility of being late for work while trying to get their child to school • Fuel costs • Additional costs for public transport/taxis Attainment concerns 3 • Worried that children will miss school due to being late, being off from colds/flus due to the conditions they would need to walk in and arriving to school wet and unprepared for the day ahead Page 303 of 342
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18 School absence 20 Attainment 16 Environment 14 Coronation 9 Childrens mental health 6 Parent work commitments 6 2.2 Public events A public meeting / drop-in session was held across the 9 towns within North Lanarkshire. A total of 182 stakeholders registered to attend the session with only 56% of those registered actual attending, as outlined in table below Drop-in session Attended Registered - Did not attend Grand Total Airdrie 14 3 17 Bellshill 3 3 Chryston 13 6 19 Coatbridge 10 12 22 Cumbernauld 42 29 71 Kilsyth 1 13 14 Motherwell 8 5 13 Shotts 4 4 8 Wishaw 6 8 14 Grand Total 101 80 181 56% 44% Officers who engaged with the stakeholders recorded the theme of their concerns which is highlighted in the table below. Theme Response Adverse weather / winter travel 4% Increase in traffic 4% Parent work commitments 4% Public transport 25% Safety concerns: Unsafe routes 63% Following their attendance at the public meeting/drop in session we issued a survey to stakeholders. When asked how they would rate the information which was provided 47% rated the information as very good. Page 304 of 342
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19 How would you rate the information you were provided with? Excellent Fair Poor Very good Very poor Grand Total % response 6 24 12 47 12 100 2.3 Dedicated email box A dedicated mailbox, schooltransportconsultation@northlan.gov.uk, was established to allow stakeholders to email any questions or queries, the table below highlights the themes of these queries: Theme Response Adverse weather / winter travel 9% Child medical condition 4% Distance concern: Does their child still qualify 30% Increase in traffic 13% Parent work commitments 4% Public transport 4% Safety concerns: Children too young to walk 13% Safety concerns: Unsafe routes 21% Grand Total 100% Page 305 of 342
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20 3.0 Responses to the issues raised Education and Families Senior Management Team has considered the original proposal and reflected carefully upon the responses received. For clarity, this change would mean that, whilst fewer pupils would be eligible for free home to school transport, our provision would remain more generous than the law requires. The changes would not affect children with additional support needs and would only apply where an acceptable walking route is available. The service is committed to assessing all affected routes, including those identified specifically by respondents to the consultation as being of concern to them. Whilst it remains a parental duty to get children to and from school, we recognise that these changes would mean a significant shift for some families. It is our intention, in line with local and national priorities, to ensure that those parents can work with their schools, other parents and specialists to develop more active travel options that are suitable and safe and provide wider benefits to our children and young people. This will include work to develop effective traffic management around our schools should parents choose to bring cars within these areas. We will also work with our regional transport partners to help ensure that young people, who choose to do so, have free access to effective public transport. The service is also committed to robust and ongoing equality and poverty impact assessments on the effects of these changes to ensure that we are aware of, and manage, any related barriers to equality which may arise. The phased introduction of these changes over the next two years as planned would provide space and time for this to happen. In recent years, authorities have faced severe inflationary pressures in school transport costs. During financial year 2022/23 the overspend in mainstream school transport rose to £2.8m and there remains ongoing volatility and uncertainty within the market. These increasing costs place significant financial pressures on both the Service and wider Council to maintain a balanced budget. It is recommended that mileage limits for mainstream home to school transport are changed to better reflect the legislative position, to protect other services by reducing cost from an unpredictable transport market and to encourage participation in more active, cleaner and greener travel. Page 306 of 342
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21 4.0 Report by Education Scotland Under the terms of the Schools (Consultation) (Scotland) Act 2010, Education Scotland (formerly Her Majesty’s Inspectorate of Education) have produced a report on the educational aspects of the changes consulted upon. The report can be accessed in full at the Education Scotland website and North Lanarkshire Council website. The report summarises its findings and conclusions as follows: North Lanarkshire Council has identified the need to make financial savings through aligning their school transport arrangements more closely with the School Transport Guidance 2021. They state that this will protect school budgets from further savings. HM Inspectors agree that the proposal is in line with national guidance and statutory walking distances. However, almost all stakeholders raised notable concerns. These include information about adequate walking routes and the capacity of public transport to meet any increase in demand. They are concerned that the proposal may disproportionately affect the most disadvantaged families. Stakeholders are also concerned about the potential negative impact on attendance at school and on attainment and achievement. HM Inspectors agree that there are potential benefits through wider participation in active travel. However, HM Inspectors do not agree that the council have sufficiently set out the potential educational benefits that may help address concerns expressed by stakeholders. It will be important for the council to review walking routes and any changes in traffic to ensure safe routes to school. Should this proposal be agreed then the council should work with stakeholders to help mitigate their concerns. The main recommendations from Education Scotland for consideration by the Council are: i) The council states that if it proceeds with the proposal, it will help protect school budgets from further savings. The council may wish to provide additional information on the impact of not proceeding with the proposal in its final report. Council response The cost to the council of providing free home to school transport at current levels has increased by almost £3 million in the last year alone and is expected to continue to rise due to ongoing volatility in the private sector transport market from which almost all our mainstream transport is sourced. This continuing overspend has become unsustainable and places other elements of education provision, including schools and their staffing, at risk. The changes outlined in this report are part of a wider package of measures constructed carefully by North Lanarkshire Council to help meet a shortfall of £65 million in the budget allocated by the Scottish Government. On 17 May 2023, the Accounts Commission for Scotland stated that the public should be "very worried" about the scale of the financial challenges facing councils further stating that budget constraints and cost pressures are putting council finance under "severe strain". The Accounts Commission also stated that local authorities must radically change how they operate to help maintain and improve services. Information on the current financial position will continue to be provided to elected members via the usual reporting methods. ii) Most children, young people, parents and staff that met with HM Inspectors agree that there are potential health and wellbeing benefits from active travel to and from school. However, HM Page 307 of 342
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22 Inspectors consider that it may be challenging for all the educational benefits outlined in the proposal to be achieved. HM Inspectors recommend that the council provides clearer evidence to support the proposal before they make a final decision. Council response The report to elected members on the outcome of this consultation process will include the information and evidence of the benefits of active travel provided at our consultation public meetings along with the revised Educational Benefits Statement shown at Appendix A. iii) If the proposal is agreed, the council should work with stakeholders to ensure safe routes to school. Council response The Service has made a clear commitment to assessing all routes identified as being potentially unacceptable for walking including those identified by respondents during the consultation process. Assessments will be carried out by experts in the field and will follow accepted local authority practice. Outcomes will be openly published. Transport will remain in place for those routes deemed unacceptable for walking. The Service is also committed to working with other agencies to ensure children and young people can access the benefits of the Scottish Government’s free travel scheme for under 22s should they choose to do so. iv) HM Inspectors recommend that the council continues to work with stakeholders to undertake and share information on impact assessments. Council response The Service is committed to ongoing review of the impacts of these changes including via formal equality impact assessments. This will include demonstrating due regard through evidence and analysis to help identify the likely positive and negative impacts that these changes may have in areas such as attendance, attainment, behaviour, cost and whether the changes disproportionately affect vulnerable groups. v) HM Inspectors recommend that the council works closely with the Dioceses and families from denominational schools to alleviate their concerns prior to making its final decision. Council response The service is committed to meeting with representatives of the Archdiocese of Glasgow, the Archdiocese of St Andrew’s and Edinburgh and the Diocese of Motherwell to discuss concerns further prior to formal committee reporting on the outcomes of this consultation. Summary The service is pleased that HM Inspectors agree that the proposal is in line with national guidance and statutory walking distances and that there are potential benefits in adopting more active travel measures. The service also accepts that the educational benefits of this change are ambitious and will require robust and periodic review, in partnership with our stakeholders, if they are to be fully realised and if we are to ensure that the concerns raised by respondents in relation to these potential benefits are successfully mitigated. Page 308 of 342
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23 APPENDIX A Educational Benefits Statement (includes any requests from Education Scotland to provide additional information) North Lanarkshire Council is committed to supporting all children and young people realise their full potential and to reviewing and designing services around people, communities, and shared resources. This can be demonstrated through: • Improvements in attainment and achievement • Investment in our school estate • Investment in ICT and digital technology It is hoped that this proposal will: • Reduce carbon emissions be reducing the number of large vehicles on our roads. • Encourage wider participation in active travel options such as walking or cycling. • Promote the benefits of active and healthy choices at an earlier age which can be carried into adulthood. • Encourage physical activity and the positive impact this can have on mental health and wellbeing. • Reduce traffic around schools. • Reduce cost associated with the provision of free school transport and in doing so protect school budgets from further cuts. The most obvious benefits of active travel are physical health and mental wellbeing. Active travel is one way of making up the recommended 60 minutes of moderate or vigorous intensity physical activity for children as recommended by the Chief Medical Officer (CMO) for Scotland. It also boosts energy, levels resulting in improved mood, behaviour and concentration in the classroom. Other benefits of active travel for children include: • Improves road safety skills • Promotes independence and resilience • Opportunities for increased social connection with friends and family • Active travel is a key commitment of the Scottish Government The Hands Up Scotland survey shows that active travel is reducing. In North Lanarkshire it has fallen from 49.4% in 2008 to 38.3% in 2021. The current national level is 43.9%. There is a positive relationship between physical activity and academic performance. Exercise can also help reduce anxiety and stress. Page 309 of 342
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24 Appendix 2 – Information on Active Travel Presented at Public Meetings What is Active Travel? Active travel refers to modes of travel that involve a level of activity. Over half of all children in Scotland travel to school in an active way, such as walking, cycling, scooting, and park and stride. The most obvious benefits of active travel are physical health and mental wellbeing. Active travel is one way of making up the recommended 60 minutes of daily moderate or vigorous intensity physical activity for children as recommended by the Chief Medical Officer (CMO) for Scotland. It also boosts energy levels resulting in improved mood, behaviour, and concentration in the classroom. Other benefits of active travel for children include: • Improves road safety skills. • Promotes independence and resilience. • Opportunities for increased social connection with friends and family. • Reduces the number of vehicles on the road and congestion around schools, which in turn will reduce transport emissions and improve air quality. Active travel is a key commitment of the Scottish Government with the commitment to reduce car kilometres travelled by 20% by 2030. Developing active travel is being led by Transport Scotland nationally. Hands up Scotland National Survey The Hands Up Scotland Survey looks at how pupils across Scotland travel to school. Established in 2008, the survey has been providing an insight into journeys to school for more than a decade and is the largest national dataset on school travel. Page 310 of 342
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25 Hands up Scotland National Survey Some of the key findings from the 2021 survey are: • Active travel to school decreased from 51.2% in 2020 to 50.3% in 2021, though remains higher than the pre-pandemic levels from 2015-2019. • Levels of pupils travelling to school using private motorised transport including taxis have increased from 23.9% in 2012 to 24.7% in 2021. They are at the third highest level of the past ten survey years, up 0.4 percentage points since 2020 (24.3%). • Bus use has had a downward trend over the past ten years, with 2020 recording the lowest level of bus use of the last ten survey years, but in 2021 it has increased for the first time since 2015, by 0.4 percentage points, to 14.5%. • Park and stride levels were at 9.9% in 2020 and 2021, the second highest level of the past ten years. • In North Lanarkshire, the percentage of children walking to school has fallen from 49.4% in 2008 to 38.3% in 2021. The current national level is 43.9% • The percentage of pupils travelling to schools in North Lanarkshire by bus has risen from 12.8% in 2008 to 15.9% in 2021. The current national level is 14.5% • The percentage of pupils being driven to school by car in North Lanarkshire has increased from 24% to 29.4% in the same period. The current national level is 23%. Other partners supporting national and local active travel plans in Scotland include: • Safer Routes to Schools – Sustrans will help fund and deliver improvements to school routes to make them safer and better places for people to walk and cycle • Bikeability - Cycling Scotland deliver cycling training to school children to give then the skills and confidence needed to cycle safely to school • WOW (Walk Once a Week) is a programme run by Living Streets that encourages and rewards children to walk to school • I Bike – a series of interventions at local authority school clusters to support and encourage cycling to school • Cycle / Scooter storage – Sustrans provide grants to allow schools to build secure cycle and scooter parking areas • Road Safety Scotland - in its education function, has developed a suite of learning resources for 3-18 year-olds made freely available across Scotland. Road Safety Scotland develops and maintains high-quality resources written by teachers for teachers and linked to Curriculum for Excellence, made available online to allow access to resources for use with children and young people aged 3-18 • The Eco-Schools Scotland programme - comprises seven elements incorporating eight environmental topics, one of which is transport. Page 311 of 342
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North Lanarkshire Council Report Policy and Strategy Committee Does this report require to be approved? ☒ Yes ☐ No Ref: GMcL/MD Date 08/06/23 Club 365 – Review and Summer Proposal Report (2023) From Gerard McLaughlin, Chief Officer (Education - North) E-mail mclaughling@northlan.gov.uk Telephone 01236 812269 1. Background 1.1 Club 365 is a North Lanarkshire initiative intended to tackle holiday and weekend hunger, which can have a negative impact on children and young people’s ability to learn and their general health and wellbeing. It was established in recognition of the evidence suggesting children and families are particularly vulnerable during school Executive Summary North Lanarkshire Council has a range of established holiday provision and other successful programmes including Club 365 for primary aged children in receipt of free school meals. As Club 365 enters its 6th year of delivery it is recognised that key objectives of the programme’s operating model are now reflected in emerging national policy initiatives. This paper updates the committee on the attendance over the spring break and the summer model inclusive of the proposal to increase the ASN offer across the council. It is hoped that the Service will receive continued Scottish Government funding for this academic year. Recommendations It is recommended that the Policy and Strategy Committee: (1) Endorses the content of this report. (2) Approves the pilot to increase the ASN offer. (3) Acknowledges that a future report will be presented to Committee with an evaluation of the Summer 2023 programme with recommendations for a future model. The Plan for North Lanarkshire Priority All priorities Ambition statement (10) Engage with children, young people, parents, carers, and families to help all children and young people reach their full potential AGENDA ITEM 9 Page 313 of 342
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holidays. Eliminating food poverty is a key sustainable development goal by the Scottish Government, with a commitment by 2030. 1.2 In February 2018, members approved the development of a pilot project for the Coatbridge area to be delivered during the spring break 2018. A follow-up report was presented to the Education Committee in May 2018 which recommended the rollout of the programme council wide. 1.3 A further progress report was presented to the Education Committee in November 2018, highlighting costs and progress with the programme’s rollout. It was agreed within this report that a full review of the programme (including options appraisal) would take place following summer 2019 delivery. 1.4 In January 2020, a Review and Evaluation Report was presented to the Policy and Strategy Committee to agree the future operating model of Club 365. Option 3B was approved, and this operating model includes 18 hubs operating over holiday periods, with 8 hubs operating over term time weekends. The modelling of this was based on pre-lockdown statistics showing that 21% of children and young people in North Lanarkshire are affected by low income and material deprivation (Local Child Poverty Action Report 2019). This translates into 31,888 pupils in Scottish Index of Multiple Deprivation (SIMD) areas 1-4, and more than 19,000 pupils entitled to Free School Meals (FSM). 1.5 The impact of Covid-19, coupled with changing government priorities, required Education and Families to consider how best to continue delivery of elements of statutory education provision such as free school meals, local initiatives and policies such as Club 365. 1.6 Scottish Government funding packages for FSM entitled young people, circa £44M has been available to local authorities since 2021 to support vulnerable and low-income families throughout the pandemic and recession. 1.7 From March 2020 the authority has provided over 870K vouchers and direct payments at a value of over £12M to families of children and young people in receipt of Free School Meals in response to the Covid-19 pandemic. The infrastructure to make these payments remains in place and can be implemented as a contingency or alternative means of support. 1.8 Over the last 2 years the Scottish Government has offered £25M of funds for targeted summer provision with North Lanarkshire Council being apportioned £1.869M since 2021. The investment aimed to build on and enhance local provision, with the purpose of addressing the negative impacts associated with extended periods of isolation and lack of participation in normal activities through and beyond the pandemic. 1.9 Scottish Government monies were used to support the continued development of existing Club 365 provision and strengthen the Service’s offer for children and young people identified within targeted groups during summer 2022. As in previous years the Service will utilise any residual funding to underpin the family support element. 1.10 The Service has a current programme budget of £1.09m to deliver the committee approved operating model. As part of the 22/23 budget setting process the Service has been instructed to present options to committee by June 2023 regarding future programme delivery options which recognise Scottish Government Funding now available within this area. Page 314 of 342
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1.11 As part of 2022/2023 Programme of Government announcement the Scottish Government has committed to the design and testing of year-round childcare. The Service will continue to closely monitor the development of this policy which may provide linked funding opportunities. 2. Report Club 365 Original Concept 2.1 In February 2018, evidence was presented to the Education Committee indicating that tackling holiday and weekend hunger could have a positive effect on children’s life chances, on closing the poverty related attainment gap and on saving public resources (such as health spending) in the longer term. 2.2 Members approved the development of a pilot project for the Coatbridge area to be delivered during the spring break 2018. A follow-up report was presented to the Education Committee in May 2018 which recommended the roll-out of the programme to cover the whole of North Lanarkshire. 2.3 Following the initial pilot ‘2019’ and its evaluation, a test of change methodology was implemented to allow a planned approach to learning from experiences and for tests of change to take place during each delivery phase. The focus for Club 365 was on children with FSM entitlement in P1-P7 with hubs open from 11.30am until 1.30pm during school holidays, including school holiday weekends. 2.4 In order to establish the strategic direction, a cluster-based model was implemented in the first iteration consisting of 23 sites. This was based on interventions at three levels, Universal, Additional, and Intensive. There was no additional ASN specific offer at this stage, children and young people from all sectors of learning were encouraged to access the universal Club 365 offer. Universal – (What everyone who is eligible is offered.) In this instance this relates to those with entitlement to FSMs. This was reflected in the current hub model which provided food and activities to tackle holiday hunger and social isolation. Intensive - (What the offering is to the most disadvantaged.) A number of families experience chronic disadvantage, as well as barriers in relation to health and mental wellbeing. Such forms of social exclusion might preclude uptake for such families from participating in hubs and may even impact on their receipt of universal services. 2.5 Evaluation and analysis of the 1st iteration was presented to Committee in January 2020 accompanied by a recommended future operating model following a detailed options appraisal. The options and appraisal outcome are noted in Table 1. The approved ‘Club 365 Holiday Club’ consists of 18 mainstream sites and 8 term time weekend hubs operating 11.30am to 1.30pm throughout the year. Current Club 365 Offer 2.6 The approved January 2020 delivery model remains in operation although this has been enhanced from Summer 2021 at key delivery periods with specific, grant funded, Additional and Intensive offers. 2.7 Universal – Locations and venues for the 18 holiday and 8 term time weekends are detailed in Appendix 1 with the attendance overview Appendix 2 Table 1 - 4. The 18 Page 315 of 342
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holiday hubs will operate as per the committee approved model from the 29th of June to the 13th of August during summer 2023. 2.8 Additional – Specialist ASN hub provision has been offered during summer 2021, spring break 2022 and summer 2022 through the availability of grant funding. Over spring break 2023, 3 ASN hubs operated from Monday 3rd to Thursday 6th and Tuesday 11th to Friday 14th April 2023 across the locations listed below in table 2. Table 2 – ASN hub locations and sessions Hub/Site Session 1 AM Session 2 North ‐ Redburn School 9.30am – 11.30am 1pm ‐ 3pm Central – Mavisbank School 9.30am – 11.30am 1pm ‐ 3pm South ‐ Firpark Secondary 9.30am – 11.30am 1pm ‐ 3pm 2.9 The Service intends to offer 3 additional ASN hubs over the summer 2023. Focus will be on safely increasing capacity of these hubs and widening the offer to pupils with support needs within mainstream and support unit settings. This will increase capacity to 6 ASN Hubs (venues to be confirmed) and will increase this offer to pupils with support needs within Language Communication and Support Centres. 2.10 Intensive – A number of families experience chronic disadvantage, including barriers in relation to accessing social activities which nurture positive family relationships and enhance mental health and wellbeing. In such cases a more intensive partnership engagement may be required including supports for families where children and young people are Looked After or Care Experienced. The table below, outlines the types of activities that have been offered at key holiday periods from summer 2021 onwards and the attendance is referred to within Appendix 2 table 5. Table 3 – ASN hub locations and sessions Activity Duration NL Easter Activity/Sport Camp One week Family Swim and Skate (4) Day pass or two separate visits Unlimited Family Swim (4) Two weeks Family Cinema Treat One trip Strathclyde Park Outdoor Adventure One week Virtual School Individual Supports Various Future Options 2.11 As Club 365 enters its 6th year, the Service will continue to develop the ASN offer increasing hub capacity. The Service will review the model and bring a future paper for Club 365 which focuses on delivering value, reaching the target audience and remaining inclusive to all young people. 2.12 Additional ASN and targeted intensive offers delivered through grant funding have been well received, with increasing uptake and application. Future options will be considered in recognising the possible requirement for a more permanent arrangement across the ASN sector. Next Steps Page 316 of 342
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2.13 The Service will work to increase hub capacity within the ASN offer. 2.14 The Service is proposing to release 80% of the total Club 365 funding (5.2) with 20% being locked to support a permanent staff and functions. 2.15 As part of future evaluation and review, a detailed financial cost analysis will be undertaken with corporate colleagues which incorporates ASN activity. 3. Measures of success 3.1 Attendance and participation of children and young people in this targeted provision. 3.2 Successful partnership working to support children and young people. 3.3. Future evaluation of the programme. 4. Supporting documentation 4.1 Appendix 1 – Hub Locations and Delivery Partners 4.2 Appendix 2 – Hub Attendance and Analysis 4.3 Appendix 3 – Committee Paper History 4.4 Club 365 Review and Evaluation Report – Policy & Strategy 23/01/2020 https://mars.northlanarkshire.gov.uk/egenda/images/att93103.pdf 4.5 Club 365 Summer 2022 Update – Education, Children & Families 12/09/2022 att98685.pdf (northlanarkshire.gov.uk) Gerard McLaughlin Chief Officer (Education - North) 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? 5.1.1 The implementation of the findings of the options appraisal presented to Committee January 2020 will support children and families most affected by poverty and help to mitigate the impact of the welfare reform changes within North Lanarkshire. This will meet the requirements of the Fairer Scotland Duty by reducing inequalities caused by socioeconomic disadvantage. Page 317 of 342
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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? 5.2.1 Inclusive of in-year funding for Universal Free Meal Holiday Vouchers (£1.555m) and 2022 Summer Holiday Provision (£0.765m), the Club 365 programme, and its associated linked activities, there was a combined total revenue budget of £3.410m for these activities during 2022/23. 5.2.2 At this stage it is anticipated aggregate expenditure across the programmes will be £3.052m. As in previous years the Service will utilise the residual funding to underpin the family support element of the Club 365 programme. 5.2.3 A full costing exercise of will be completed for all proposed options. Procurement 5.2.4 Planned procurement framework activity for Club 365 includes: The Club 365 Services Framework and The Vocational and Skill Based Intervention Framework. 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 ☐ Page 318 of 342
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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? 5.8.1 Strategic Communications and Engagement are represented on the Club 365 strategic planning group and support promotional activity related the Club 365 programme. 5.8.2 Communication and promotional activity prior to all delivery periods included: Direct SMS messaging to parents and carers of target pupils. (10K+ contacts sent. Social media advertising. Email contact with to Councils distribution list. Local press. ASN Parent Council meetings 5.8.3 To support summer 2023 delivery, in addition to existing communication activity, significant focus will be placed upon engagement with key stakeholders. Key influencers within Education, Community Learning and Development and Social Work will be asked to support communication activities. 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? Page 319 of 342
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5.9.1 A programme risk register is maintained and monitored by the project team. The council’s Safety and Wellbeing Team are represented at strategic planning meetings and support risk assessments at Club 365 sites. 5.9.2 Grant funding has allowed the service to grow the enhanced additional offer (ASN) from Summer 2022, with attendance and application requests demonstrating demand for this provision. The service will need to explore funding options to continue this delivery if grant monies are not available. 5.9.3 Delivery of the enhanced additional offer and capacity at hubs is driven by staff with experience and training within ASN. Whilst hubs within this offer have been supported by a range of internal and external teams, the service will continue to explore options to ensure staffing capacity exists to maintain and grow any future delivery in this area. High level Risk Matrix Identified Risk Inher ent Risk Planned Actions Resid ual Risk Timescale for implementation Early engagement with internal and external partners with extensive delivery experience. Procurement, engage with contracted partners for the programme. CMT approval and support, stakeholder voice in design. Committee Approval Communications strategy should enable key messages around statutory consultations. Service not meeting the members expectations. Review on a timeously manner to identify risks. Financial viability Strategic model for programme delivery built on continuation of SG funding. Communication Stakeholders awareness of opportunities HR Staff Fewer staff availability and in substantive posts. 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 320 of 342
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Appendix 1 – Club 365 Current 18 Holiday / 8 Weekend Hub Locations & Delivery Partners Primary Hubs Locality Delivery Partner Weekend Site Berryhill Primary School Wishaw Active & Creative Communities YES St John Paul II Primary School Viewpark Active & Creative Communities Chryston HS Chryston Active & Creative Communities St Bernadette's Primary School Motherwell Active & Creative Communities Kilsyth Primary School (Kilsyth) Kilsyth Active & Creative Communities YES St Augustine's Primary School Coatbridge Active & Creative Communities Orchard Primary School Wishaw Active & Creative Communities Abronhill Primary School Cumbernauld ACC ‐ Active Schools Brannock High School Motherwell ACC ‐ Active Schools Old Monkland Primary School Coatbridge ACC ‐ Active Schools YES Carbrain Primary School Cumbernauld ACC ‐ Active Schools YES Sacred Heart Primary School Bellshill ACC ‐ Active Schools YES St Marys Primary School Airdrie ACC ‐ Active Schools St Dominic's Primary School Airdrie ACC ‐ Active Schools YES Braidhurst High School Motherwell Third Sector YES Motherwell Football Club Motherwell Third Sector Getting Better Together / Shotts Leisure Centre Shotts Third Sector YES MADE 4 U IN ML2 Wishaw Third Sector Page 321 of 342
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Appendix 2 – Club 365 Attendance History A2 - Table 1 – Holiday Period Attendance Daily Average Holiday Period Days Of Provision No. Hubs Total Attednance Daily Average Per Hub Summer (2021) 47 18 20,646 24 Summer (2022) 46 18 14,050 17 Spring Break (2023) 16 18 4,196 15 Spring Break (2022) 17 18 4,374 14 Spring Break (2019) 16 23 4,905 13 Summer (2019) 44 24 13,838 13 September Weekend (2018) 4 10 514 13 Summer (2018) 49 9 5,234 12 October Week (2018) 9 13 1,365 12 February Break (2019) 4 19 878 12 October Week (2022) 9 18 1,855 11 October Week (2019) 9 24 2,454 11 February Break (2023) 4 18 756 11 October Week (2021) 9 18 1,577 10 February Break (2022 4 18 622 9 Febuary Break (2020) 4 24 817 9 May Break (2019) 4 23 761 8 Queens Jubilee (2022) 4 18 579 8 Winter Holiday (2019) 13 19 1,847 7 September Weekend (2021) 4 18 509 7 September Weekend (2019) 4 24 619 6 Easter Weekend (2019) 4 23 542 6 September Weekend (2022) 4 18 423 6 Winter Holiday (2021) 10 18 779 4 Winter Holiday (2022) 11 18 850 4 Winter Holiday (2018) 16 15 945 4 Spring Break (2018) 19 4 143 2 384 86078 Page 322 of 342
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A2 – Graph 1 – Holiday Period Attendance Daily Average ‐ 5 10 15 20 25 30 Holiday Period ‐ Daily Average Per Hub Page 323 of 342
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A2 - Table 2 – Current Site Ranked Average Attendance (Summer 2022 to Spring Break 2023 A2 - Table 3 – Weekend Attendance Overview (April 2019 to December 2022) Primary Hubs Totals Daily Average Totals Daily Average Totals Daily Average Total Daily Average Totals Daily Average Total Daily Average Total Holidays (90 Days) Total Daily Aveage Getting Better Together 625 39 99 25 76 7 226 25 101 25 2326 51 3453 38 Carbrain Primary School 281 18 70 18 149 14 182 20 54 14 1089 24 1825 20 Made4U in ML2 200 13 35 9 84 8 150 17 50 13 960 21 1479 16 Brannock High School 213 13 34 9 62 6 99 11 26 7 1032 22 1466 16 Braidhurst High School 557 35 125 31 10 1 179 20 15 4 549 12 1435 16 Berryhill Primary School 193 12 65 16 118 11 116 13 40 10 797 17 1329 15 Chryston High School 191 12 9 2 42 4 77 9 5 1 963 21 1287 14 Sacred Heart Primary School 216 14 43 11 93 8 89 10 18 5 755 16 1214 13 Fir Park Stadium 316 20 73 18 38 3 46 5 21 5 675 15 1169 13 Abronhill Primary School 243 15 34 9 76 7 75 8 25 6 686 15 1139 13 St John Paul II Primary School 210 13 20 5 27 2 109 12 9 2 568 12 943 10 St Dominic's Primary School 117 7 10 3 0 0 47 5 14 4 690 15 878 10 St Marys Primary School 133 8 22 6 1 0 79 9 12 3 604 13 851 9 St Augustine's Primary School 130 8 40 10 45 4 105 12 13 3 492 11 825 9 St Bernadette's Primary School 156 10 40 10 8 1 111 12 16 4 463 10 794 9 Old Monkland Primary School 157 10 12 3 5 0 78 9 2 1 468 10 722 8 Kilsyth Primary School 117 7 5 1 4 0 43 5 0 0 541 12 710 8 Orchard Primary School 141 9 20 5 12 1 44 5 2 1 392 9 611 7 Total 4196 756 850 1855 423 14050 22130 Totals Spring Break 23 (16 Days Summer (46 Days) September (4 days)October (9 days)Winter (11 days) Feburary 23 (4 days) Year Holiday Period Total Attednance No. Hubs Days of Provision Daily Average Per Hub 2019 Weekends - (April to December) 2,213 8 45 6 2020 Weekends (January to March) 1,075 8 22 6 2021 Weekends - (August to December) 1,437 8 28 6 2022 Weekends (January To December ) 2,475 8 68 5 Page 324 of 342
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A2 – Table 4 – Weekend Ranked Daily Average Jan 22 – Dec 22 A2 – Table 5 – Intensive Offer A2 – Table 6 - ASN Specific Offer Attendance History Activity Summer 22 Spring Break 23 NL Family Activity/Sports Camps 684 93 Family Cinema Treat 1454 701 Glasgow Science Centre 1191 201 Amazonia @Strathclyde Park 1204 142 World of Wings, Cumbernauld 1132 76 1-2-1 Supports 50 21 Strathclyde Park Outdoor Centre 16 0 Hub Locations Average Daily Attendance Days With 0 Attendance Carbrain Primary School 12 0 Berryhill Primary School 10 0 Sacred Heart Primary School 7 2 Shotts Leisure Centre 2 25 Old Monkland Primary School Com 2 27 Braidhurst High School 2 15 St Dominic's Primary School 2 35 Kilsyth Primary School 1 48 Page 325 of 342
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Club 365 Mainstream Hub Attendance Overview Spring Break 2023 Holiday Period Days Of Provision No. Hubs Total Attendance Daily Average Per Hub Summer (2021) 30 6 2059 11 Spring (2022) 5 4 240 12 Summer (2022) 20 4 1436 18 Spring (2023) 8 3 401 17 Totals 4136 Page 326 of 342
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Club 365 ASN Hub Attendance Overview Spring Break 2024 Page 328 of 342
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Appendix 3 – Committee Report Summary Date Committee Title Summary 20/02/2018 Education Programme for Confronting Weekend & Holiday Hunger in NL. Pilot programme approved for Easter 2018. 27/04/2018 Education Club 365 Update. Easter pilot outcome/ Impact introduction of phased expansion primarily Summer 2018. 22/08/2018 Education Club 365 Update. Phased expansion approved building to 23 sites and 8 weekend sites by April 201. 23/01/2020 Policy & Strategy Club 365- Review & Evaluation. Review – new model approved - 18 sites holidays and 8 weekend 15/09/2020 Education & Families Club 365 in the Recovery Phase. Voucher model in response to pandemic restrictions approved. 14/09/2021 Education & Families Club 365 Summer Activity Programme. Summer activity programme evaluation, approval to resume committee approved operating model following pandemic restrictions. 15/09/2022 Education, Children & Families Club 365 Summer (2022) Update. Summer programme evaluation. Page 329 of 342
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North Lanarkshire Council Report Policy and Strategy Does this report require to be approved? ☒ Yes ☐ No Ref SP/FT Date 08/06/23 Contract Award for Postal Services From Stephen Penman, Chief Officer (Strategic Communication and Engagement) E-mail penmanste@northlan.gov.uk Telephone 07947 997750 Executive Summary The council requires provision of a variety of postal services on an ongoing basis to meet its statutory obligations across a range of service areas. Postal services require to be continuously available to the council with no delay or break. Since 2016, the Scottish Government’s National Collaborative Framework for Postal Services (“National Framework”) has been the route to market to establish our contracts for postal services. Following evaluation of the council requirements against the offers available from the National Framework, committee is asked to approve the award of call-off contracts for the provision of Postal Services (the “Contracts”) to: Royal Mail Group Ltd – for Physical Mail Critiqom (now trading as Adare SEC) – for Hybrid, Scheduled Bulk/Planned (Print and Post) These recommendations follow evaluation of the council’s postal requirements against the alternative solutions and represent the best value for the council. The duration of the Contracts would overlap the National Framework duration by 12 months to ensure there is sufficient time for the council to undertake the procurement call-off process from the next generation of the agreement, and to allow internal services time to test, train staff and implement solutions. Based on previous usage and forecasting demand, the council’s anticipated aggregate spend across these Contracts would be £2,280,282.75 exclusive of VAT. Recommendations It is recommended that the Policy and Strategy Committee: (1) Approve the contract award proposals: From Lot 1 physical mail services to Royal Mail Group Ltd for 2.5 years with contract value of £601,771.70 exclusive of VAT; and From Lot 2 Hybrid, Scheduled Bulk/Planned to Critiqom (now trading as AGENDA ITEM 11 Page 331 of 342
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1. Background 1.1. Committee will recall previous reports in March 2021 and November 2016 that confirmed the council’s participation and use of the Scottish Government’s National Collaborative Framework’s for Postal Services (“National Framework”). 1.2. The current National Framework was established during 2021 and was supported by officers of the council for specification development and tender evaluation. The National Framework is live for the period 1 July 2021 until 30 June 2025, and it is open for all public bodies in Scotland to use as a procurement route for a range of postal services. 1.3. The National Framework has two lots: Lot 1 – one stop shop (Physical, Hybrid, Scheduled Bulk/Planned, Digital Mail (single contractor appointed is Royal Mail Group Ltd) Lot 2 – Hybrid, Scheduled Bulk/Planned (Print & Post), and Digital Mail Services (single contractor appointed is Critiqom) 1.4. The National Framework continues to be the council’s preferred procurement route to contract its postal services. 1.5. At Committee on 16 March 2023, approval was granted for the council to place a single call-off contract for all mail services exclusively with Royal Mail Group Ltd via Lot 1 One Stop-Shop until 31 December 2023. It was noted in the report that the council would follow-up with a further report to seek approval to award the longer-term requirements, and that there would be the potential to split postal services between the two Framework Contractors as a means of securing savings over current postal methods. 2. Report Procurement Process 2.1. An internal user intelligence group (the ‘UIG’) of technical and procurement representatives was formed to review technical specifications, discuss mailing procedures and requirements across council service areas, options appraisal on routes to market, ways to maximise community benefits and sustainability, and to agree the procurement strategy that would deliver maximum benefit for the council via the contract. 2.2. The estimated spend on postal services over a 2.5 year period dictates that the procurement procedure be undertaken in accordance with the Public Contracts (Scotland) Regulations 2015. Adare SEC) for 2.5 years with contract value of £1,678,511.05 exclusive of VAT. The Plan for North Lanarkshire Priority All priorities Ambition statement All ambition statements Page 332 of 342
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2.3. The National Framework has been determined as the preferred procurement route, particularly since officers from the council were involved in establishing this framework. Furthermore, it secures economies of scale by representing all public bodies’ postal requirements. 2.4. The National Framework has two alternative lots, with each having a sole contractor. It is not possible to hold a mini-competition between contractors of different lots, so comparison of each contractor’s solution (commercial and technical) was completed as desk-based analysis. 2.5. After research and evaluation, the UIG determined: Physical Mail is only available through Royal Mail Group Ltd, and this could continue to be sourced from National Framework Lot 1. This would not require any change to existing mailing procedures. A switch of Contractor for Hybrid, Scheduled Bulk/Planned (Print and Post) from Royal Mail to Adare SEC could enable major savings. Based on the recurring requirements for postal services during 2022 and application against National Framework rates, the UIG determined that estimated savings as follows: o Hybrid £28k per annum. o Scheduled Bulk/Planned £52k per annum. o Total estimated annual saving £80k The switch of contract for Hybrid, Scheduled Bulk/Planned (Print and Post) solution could be implemented fully by the Contract start date of 1 January 2024. The UIG’s technical analysis indicated that switching to Adare SEC will require a change to operational procedures, IT reconfigurations and security testing and extensive training across the full operational user base. The estimated internal costs would be one-off and in the region of £15-16k, which would still result in a net saving of approximately £64k in the first year of contract. 2.6. A 2.5 years contract period (1 January 2024 until 30 June 2026) is proposed as this would ensure continuity and stability, and permit time for the next generation of the National Framework to be placed and implemented before the council considers its next generation of postal service contracts. 2.7. Based on previous usage and forecasting demand, the council’s anticipated aggregate spend across these contracts would be Lot 1 Physical Mail - £601,771.70 exclusive of VAT Lot 2 Hybrid, Scheduled Planned/Bulk - £1,678,511.05 exclusive of VAT TOTAL aggregated value £2,280,282.75 exclusive of VAT 2.8. Officers from Strategic Communication and Engagement will be responsible for managing the Contract which will be undertaken in accordance with the council’s agreed approach to contract and supplier management. 3. Measures of success The contracts will deliver the following outcomes. Page 333 of 342
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3.1. Appointment of contractors who have the experience and capability to deliver robust postal services which meet the council’s needs. 3.2. Procurement procedure that is compliant with the procurement legislation and internal procedures. 3.3. Best value that is both demonstrable and achieved. 4. Supporting documentation N/A Stephen Penman Chief Officer (Strategic Communication and Engagement) Page 334 of 342
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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? Estimated costs are based on historic usage. Actual spend will be dependent on the usage of postal services which is determined by the requirements of the business activity across all Service Areas. 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 335 of 342
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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? For hybrid mail, this change of supplier and contract will require a new client to be used on Council devices, a new online portal for staff to use and a new security assessment to be carried out to ensure any information stored by the supplier adheres to Council security standards. 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 336 of 342
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North Lanarkshire Council Report Policy and Strategy Committee Does this report require to be approved? ☐ Yes ☒ No Ref JMcK/MMcB Date 08/06/23 Contract Variation – Carnbroe and Sikeside Community Hub From James McKinstry, Chief Officer (Assets and Procurement) E-mail McBrideMark@northlan.gov.uk Telephone 07583094928 1. Background 1.1 The council’s Financial Regulations detail the threshold variances where reporting of contract variations is required. 1.2 A Design and Build Development Agreement (DBDA) was signed on 13 December 2021 for the construction of Carnbroe and Sikeside Community Hub (now known as Riverbank Community Hub). This award was approved at the Policy and Strategy Committee on 2 December 2021. The total contract sum was £24,821,452. Executive Summary In accordance with the council’s Financial Regulations, any variation where the outturn/expected costs exceed the tendered contract price by the higher of £25,000 or 5%, should be reported by the appropriate budget holder to the relevant spending committee. The purpose of this report is to inform committee of a variation in costs against the tender contract price incurred on contract for the construction of Carnbroe and Sikeside Community Hub. Recommendations It is recommended that the Policy and Strategy Committee: (1) Acknowledges the contents of this report and the accompanying appendix. The Plan for North Lanarkshire Priority All priorities Ambition statement (2) Refocus our town centres and communities to be multi-functional connected places which maximise social, economic, and environmental opportunities AGENDA ITEM 12 Page 337 of 342
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1.3 The overall cost for delivering this project has exceeded the original contract sum for various reasons. 2. Report Footbridge Construction 2.1 When the project was granted planning approval, a condition of that approval was to provide safe pedestrian access from the south of the site prior to the hub opening (Planning Application No. 21/00436/FUL, Condition 24). The planning process was managed by Hub South West Scotland Limited and the appointed Tier 1 contractor, Morgan Sindall. The team reviewed various options and concluded that the construction of a footbridge was the most efficient way to satisfy this condition. 2.2 As design and tendering process was well underway when the planning decision was made to allow for continued project momentum, there was not sufficient time to include this requirement within the initial DBDA. If the process had been stopped at this time to include this requirement within the contract, the construction of the community hub would have been delayed by 6-12 months and due to volatility in the construction market this would have significantly increased the cost of the community hub by at least 2% for every three months delay. 2.3 As this requirement was a condition of the planning application for the community hub and there was insufficient time to independently procure this requirement, internal approval from the Chief Officers within Legal and Democratic Services and Assets and Procurement was sought to vary the existing construction contract to include for the construction of the footbridge. 2.4 By doing so, this allowed for efficiencies in construction timescales (which are important as the hub cannot open without access from the south or other contingency measures being in place); value for money through sharing of site accommodation and an already established supply chain; and reduction in risk of health and safety complexities due to more than one main contractor working in close proximity. By selecting this procurement route, the council ensures that the bridge will be in place when the community hub opens. 2.5 The original budget estimate was in the region of £1.8m. The cost of the footbridge is anticipated to be no greater than £1,500,000 including design and survey costs and 15% client contingency. This will be funded from the Town and Community Hub Capital Programme budget. 2.6 The Town and Community Hub Board has approved the procurement route and funding being contained within the overall programme budget. Other Variations to Date 2.7 Any construction contract can experience variations due to a number of factors outwith the council’s control. In addition to the variation for the footbridge construction, there have been 10 other variations instructed into this contract. 2.8 These are for a number of reasons including: installation of EV charging bays and future ducting provision; adjustments to external works including increasing the height of the pitch fence; replacement goals and painting of adjacent fencing; specification change to internal classroom doors to glazed doors; and Page 338 of 342
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finalising the fixed furniture and equipment required for the new hub. The variations noted above total circa £258k. 2.9 All of the above variations will be accommodated within the Town and Community Hub Capital Programme budget. 3. Measures of success 3.1 Successful delivery of the Carnbroe & Sikeside Community Hub project and installation of the pedestrian footbridge to satisfy planning conditions. 4. Supporting documentation Appendix 1 – Detail of Project Costs James McKinstry Chief Officer (Assets and Procurement) Page 339 of 342
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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 have been discussed and agreed with Finance? Yes ☒ No ☐ If Yes, please provide a brief summary of the impact? Additional £1,753,055 of expenditure through existing contract. Additional cost can be incorporated within overall Town and Community Hub capital programme budget. 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? Advice has been sought from Legal and Democratic Services in advance of instructing Hub South West Scotland Limited regarding potential amendments to existing contractual agreements and compliance with the relevant procurement regulations. 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 ☐ Page 340 of 342
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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? Installation of EV chargers at community hub to support council’s environmental policies. 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 341 of 342
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Appendix 1 – Detail of Project Costs Project Contractor Contract Sum Estimated Final Account Difference Main Reasons for Additional Costs Carnbroe & Sikeside Community Hub (also known as Riverbank Community Hub) Hub South West Scotland Limited £24,821,452 £26,574,507 £1,753,055 Inclusion of footbridge construction within construction contract to satisfy planning conditions and incorporation of additional works which could not be finalised when construction contract signed Page 342 of 342