Agenda Document Pack - Executive Committee - 01/03/2023
South Lanarkshire Council · 1 March 2023
Back to Executive Committee — 1 March 2023 and its agenda
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Council Offices, Almada Street Hamilton, ML3 0AA Tuesday, 21 February 2023 Dear Councillor Executive Committee The Members listed below are requested to attend a meeting of the above Committee to be held as follows:- Date: Wednesday, 01 March 2023 Time: 10:00 Venue: Hybrid - Council Chamber, Council Offices, Almada Street, Hamilton, ML3 0AA The business to be considered at the meeting is listed overleaf. Yours sincerely Cleland Sneddon Chief Executive Members Joe Fagan (Chair/ex officio), Gerry Convery (Depute Chair), Alex Allison, John Anderson, Robert Brown, Andy Carmichael, Maureen Chalmers, Ross Clark, Margaret Cooper, Andrea Cowan, Maureen Devlin, Gladys Ferguson-Miller, Mark Horsham, Gavin Keatt, Eileen Logan, Katy Loudon, Hugh Macdonald, Ian McAllan, Catherine McClymont, Kenny McCreary, Lesley McDonald, Mark McGeever, Davie McLachlan, Richard Nelson, Mo Razzaq, Kirsten Robb, John Ross, David Shearer, Margaret B Walker Substitutes John Bradley, Walter Brogan, Poppy Corbett, Margaret Cowie, Graeme Horne, Martin Hose, Susan Kerr, Ross Lambie, Elaine McDougall, Norman Rae, Dr Ali Salamati, Graham Scott, David Watson 1
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BUSINESS 1 Declaration of Interests 2 Minutes of Previous Meeting Minutes of the meeting of the Executive Committee held on 1 February 2023 submitted for approval as a correct record. (Copy attached) 5 - 12 Monitoring Item(s) 3 Revenue Budget Monitoring for Period 11 - 1 April 2022 to 27 January 2023 and Probable Outturn Report dated 15 February 2023 by the Executive Director (Finance and Corporate Resources). (Copy attached) 13 - 18 4 Capital Programme 2022/2023 Update and Monitoring for Period 11 – 1 April 2022 to 27 January 2023 Report dated 8 February 2023 by the Executive Director (Finance and Corporate Resources). (Copy attached) 19 - 28 5 Additional Funding from Scottish Government and Other External Sources Report dated 9 February 2023 by the Executive Director (Finance and Corporate Resources). (Copy attached) 29 - 32 Item(s) for Decision 6 Proposals to Extend, Upgrade and Modernise Our Lady of Lourdes Primary School, East Kilbride Report dated 16 February 2023 by the Executive Director (Education Resources). (Copy attached) 33 - 38 7 Family Support Strategy and Whole Family Wellbeing Funding Joint report dated 28 December 2022 by the Director, Health and Social Care and Executive Directors (Education Resources) and (Finance and Corporate Resources). (Copy attached) 39 - 46 8 Records Management Policy Report dated 13 February 2023 by the Executive Director (Finance and Corporate Resources). (Copy attached) 47 - 62 9 Retention and Disposal Policy Report dated 13 February 2023 by the Executive Director (Finance and Corporate Resources). (Copy attached) 63 - 74 10 King Charles III Coronation Report dated 3 February 2023 by the Executive Director (Finance and Corporate Resources). (Copy attached) 75 - 76 11 Coronation of King Charles III Report dated 16 February 2023 by the Chief Executive. (Copy attached) 77 - 80 12 Recommendation Referred by Finance and Corporate Resources Committee Report dated 15 February 2023 by the Chief Executive. (Copy attached) 81 - 84 2
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Item(s) for Noting 13 South Lanarkshire Integration Joint Board Annual Performance Report 2021/2022 Report dated 20 January 2023 by the Director, Health and Social Care. (Copy attached) 85 - 108 14 Representation on Recruitment Committee Report dated 9 February 2023 by the Executive Director (Finance and Corporate Resources). (Copy attached) 109 - 110 Urgent Business 15 Urgent Business Any other items of business which the Chair decides are urgent. For further information, please contact:- Clerk Name: Pauline MacRae Clerk Telephone: 07385 370044 Clerk Email: pauline.macrae@southlanarkshire.gov.uk 3
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EXECUTIVE COMMITTEE Minutes of meeting held via Confero and in the Council Chamber, Council Offices, Almada Street, Hamilton on 1 February 2023 Chair: Councillor Joe Fagan (ex officio) Councillors Present: Councillor Alex Allison, Councillor John Anderson, Councillor Robert Brown, Councillor Andy Carmichael, Councillor Maureen Chalmers, Councillor Ross Clark, Councillor Gerry Convery (Depute), Councillor Margaret Cooper, Councillor Andrea Cowan, Councillor Margaret Cowie (substitute for Councillor Gavin Keatt), Councillor Maureen Devlin, Councillor Gladys Ferguson-Miller, Councillor Mark Horsham, Councillor Susan Kerr (substitute for Councillor Catherine McClymont), Councillor Eileen Logan, Councillor Katy Loudon, Councillor Hugh Macdonald, Councillor Ian McAllan, Councillor Kenny McCreary, Councillor Lesley McDonald, Councillor Mark McGeever, Councillor Davie McLachlan, Councillor Richard Nelson, Councillor Mo Razzaq, Councillor Kirsten Robb, Councillor Dr Ali Salamati (substitute for Councillor John Ross), Councillor David Shearer, Councillor Margaret B Walker Councillors' Apologies: Councillor Gavin Keatt, Councillor Catherine McClymont, Councillor John Ross Attending: Chief Executive’s Service C Sneddon, Chief Executive Community and Enterprise Resources D Booth, Executive Director Education Resources T McDaid, Executive Director Finance and Corporate Resources H Goodwin, Finance Manager; P Manning, Executive Director; G McCann, Head of Administration and Legal Services; P MacRae, Administration Adviser; K McLeod, Administration Assistant; K McVeigh, Head of Personnel Services; S Terry, Public Relations Officer Housing and Technical Resources S Gibson, Executive Director; C Mitchell, Strategy and Support Manager Health and Social Care/Social Work Resources S Sengupta, Director, Health and Social Care 1 Declaration of Interests No interests were declared. 2 Minutes of Previous Meeting The minutes of the meeting of the Executive Committee held on 30 November 2022 were submitted for approval as a correct record. The Committee decided: that the minutes be approved as a correct record. 2 5
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3 Revenue Budget Monitoring for Period 10 - 1 April to 29 December 2022 A report dated 16 January 2023 by the Executive Director (Finance and Corporate Resources) was submitted on the overall financial position of the Council’s General Fund Revenue Account and Housing Revenue Account for the period 1 April to 29 December 2022. The report and associated appendices:- summarised the 2022/2023 probable outturn position for the Council’s General Fund Revenue Account to 31 March 2023, including details of proposed transfers to reserves provided details of the position on the General Fund Account and the Housing Revenue Account for the period 1 April to 29 December 2022 respectively detailed anticipated spend for the current year proposed funds to be transferred to reserves for future commitments required in the next financial year detailed the position after all transfers to reserves for known commitments provided the Housing Revenue Account position The final outturn position, after transfers to reserves, resulted in an underspend of £4.696 million. This included new proposed transfers to reserves totalling £17.195 million as well as previously approved transfers of £17.420 million arising from the underspend in Loan Charges due to the timing of borrowing, increased deposit interest and the Loans Fund Review. It was proposed that the underspend of £4.696 million be considered to support the 2023/2024 Budget Strategy. The overall Resource position, which was a combined overspend of £0.335 million, included transfers to reserves totalling £8.405 million. It also included a break even position for Social Work Resources. In relation to Adults and Older People, the position included a £1.423 million commitment in respect of the element of the budget delegated to the Integration Joint Board (IJB). It was proposed that the IJB retain this non-recurring underspend in its reserves earmarked for future care costs. There was a further underspend of £5.635 million relating to core Council funding passed to the IJB. In terms of the IJB financial regulations which entitled the Council to adjust its contributions in respect of such unplanned underspends, it was proposed that the underspend be retained by the Council to help cover the Children and Families’ budget pressures into 2023/2024. The budget for Corporate Items assumed a transfer from reserves of £5.700 million. This reflected the Council’s contribution to the increased pay award for 2022/2023. It was proposed that this be funded by the retrospective benefit released by implementing new guidance on Accounting for Service Concessions. At 29 December 2022, the figures showed the position on the General Fund Revenue Account after transfers to reserves, as a net underspend of £0.092 million. At 29 December 2022, the Housing Revenue Account showed a breakeven position and the forecast to 31 March 2023 on the Housing Revenue Account was also a breakeven position. The Committee decided: (1) that, including Resources, Corporate Items and Council Tax, and the proposed transfer to reserves, the Council’s outturn underspend of £4.696 million, as detailed in section 4.2 of the report, be noted; (2) that the proposed transfers to reserves totalling £17.195 million, as detailed in section 4.2 of the report, be approved; 6
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(3) that the non-recurring underspend of £1.423 million in the delegated budget to the IJB be held in its reserves for use in future years, as detailed in section 4.6 of the report; (4) that the proposal to include, within the transfer to reserves, the overfunding of £5.635 million in the budget delegated to the IJB which would be retained by the Council to assist in managing pressures in Children and Families, as detailed in section 4.7 of the report, be approved; (5) that £5.7 million of the retrospective benefit released by the implementation of the guidance on Accounting for Service Concessions be used to support the increased 2022/2023 Pay Award, as detailed in section 4.10 of the report; (6) that the outturn underspend of £4.696 be transferred to reserves to assist in the 2023/2024 Budget Strategy as detailed in section 4.16 of the report; (7) that the underspend of £0.092 million on the General Fund Revenue Account at 29 December 2022, as detailed in section 5.1 of the report, be noted; and (8) that the breakeven position on the Housing Revenue Account at 4 November 2022, as detailed in section 6.1 of the report, and the forecast to 31 March 2023 of breakeven, as detailed in section 6.2 of the report, be noted. [Reference: Minutes of 30 November 2022 (Paragraph 3)] 4 Capital Programme 2022/2023 Update and Monitoring for Period 10 – 1 April 2022 to 29 December 2022 A report dated 11 January 2023 by the Executive Director (Finance and Corporate Resources) was submitted on progress of the General Fund Capital Programme and the Housing Capital Programme for the period 1 April to 29 December 2022. At its meeting on 30 November 2022, the Committee had approved a General Fund Capital Programme for 2022/2023 amounting to £78.272 million. The total programme of £78.272 million included proposed new adjustments totalling £0.531 million and included additional funding for new projects. Due to the timing of project spend, it was anticipated that this funding would move into the 2023/2024 budget and the net impact on the 2022/2023 Capital Programme was, therefore, nil. Details of the proposed adjustments were provided in Appendix 1 of the report. In December 2022, the Scottish Government increased the Council’s General Capital Grant allocation by £0.202 million, resulting in a revised allocation of £32.074 million. In view of the late notification of the additional funding, any new projects were unlikely to be designed and completed prior to the end of the current financial year. Consequently, the additional allocation would be used to fund the existing capital programme and reduce the Council’s level of borrowing. Current estimates from Resources suggested an outturn of £73 million in 2022/2023. Against the revised budget of £78.272 million, this outturn meant a net underspend across Resources of £5.3 million. This comprised project underspend totalling £9.7 million, offset by projects with greater than anticipated spend of £4.4 million. At 29 December 2022, £37.238 million had been spent on the General Fund Capital Programme, an overspend of £1.189 million, and actual funding received to 29 December 2022 totalled £60.718 million. The programme spend and funding for the General Fund for the period was detailed in appendices 2 and 3 of the report. 7
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A list of the main projects with anticipated underspends, which were responsible for the overall underspend of £9.7 million and which would complete in 2023/2024, together with anticipated completion dates, was provided in Appendix 4 of the report. The Housing Capital Programme 2022/2023, approved by the Executive Committee at its meeting on 24 August 2022, totalled £66.361 million. Details of the position of the programme at 29 December 2022 were provided in Appendix 5 of the report. At 29 December 2022, expenditure on the Housing Capital Programme amounted to £40.525 million and actual funding received to 29 December 2022 totalled £40.525 million. The Committee decided: (1) that the Period 10 position, as at 29 December 2022, of the General Fund Capital Programme, as detailed in appendices 1 to 4 of the report, and the Housing Capital Programme, as detailed in Appendix 5 of the report, be noted; (2) that the adjustments to the General Fund programme, as detailed in Sections 4.2 and Appendix 1 of the report, be approved; and (3) that the revised programmes be monitored by the Financial Resources Scrutiny Forum. [Reference: Minutes of 24 August 2022 (Paragraph 4) and 30 November 2022 (Paragraph 4)] 5 Additional Funding from Scottish Government and Other External Sources A report dated 9 January 2023 by the Executive Director (Finance and Corporate Resources) was submitted on additional funding, totalling £4.057 million, which had been made available to the Council by the Scottish Government and other external sources. The funding had been allocated as follows:- Revenue Funding Resource 2022/2023 (£m) Education 1.875 Finance and Corporate 1.980 Total 3.855 Capital Funding 2022/2023 (£m) General Capital Grant 0.202 Total 0.202 Overall Total 4.057 Councillor Brown expressed disappointment that the Council had been unsuccessful in obtaining funding from the UK Government’s Levelling Up Fund in respect of the Phase 2 bids for:- Clydesdale Way Electric Vehicle Charging Points Decontamination Works at Shawfield, Rutherglen 8
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He cited the bid for decontamination works at Shawfield as particularly suitable in terms of the funding criteria and asked that a report be submitted to a future meeting of the appropriate committee on the background to the recent fund bids and the implications of the outcome for the Council. Officers responded to a number of questions in relation to the bids and advised that:- the submitted bids met the technical requirements in relation to the funding feedback had not yet been received from the UK government as to why the bids had been unsuccessful preparation costs in relation to the bids involved officer time which would require to be estimated information in relation to Phase 3 of the Levelling Up Fund was anticipated in the spring of the year a report on the matter would be submitted to a future meeting of the relevant committee The Committee decided: that the report be noted. [Reference: Minutes of 30 November 2022 (Paragraph 5)] 6 Developing an Age Friendly South Lanarkshire A report dated 11 January 2023 by the Executive Director (Finance and Corporate Resources) was submitted on proposals to develop an Age Friendly South Lanarkshire. An Age Friendly Community was one in which people of all ages could participate in activities and where everyone was treated with respect, regardless of their age. Age Friendly Communities:- made it easier for older people to stay connected to others helped people stay healthy and active in later years provided appropriate support to those who could no longer look after themselves Details were given on:- the stages required to achieve Age Friendly Community status the role of the Council in supporting this development and actions required should it wish to progress the initiative in South Lanarkshire the work already undertaken by Seniors Together in South Lanarkshire on this programme and connections made with officers in other Age Friendly Communities and supporting UK organisations It was considered that a strategic plan was required where all stakeholders developed a shared vision to determine priorities for action and to plan and resource the achievement of age friendly outcomes in South Lanarkshire. The Community Planning Partnership had been identified as the appropriate group to drive forward the delivery of an Age Friendly Community. Work undertaken by Seniors Together would assist in the development of a strategic plan and it was proposed that the views of older people be represented on the Community Planning Partnership, through Seniors Together. To progress the initiative, it was proposed that the Council:- send a letter of commitment to the World Health Organisation from the Leader of the Council 9
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form an Action Planning Group, supported by Seniors Together and comprising representatives of the Community Planning Partnership, to develop tasks and actions in relation to the 8 domains, as detailed in the report, which made an Age Friendly Community report on progress to the Community Planning Partnership Officers responded to members’ questions on various aspects of the report and undertook to circulate further information on Age Friendly Communities to elected members. The Committee decided: (1) that the Council make a formal written commitment to establishing South Lanarkshire as an Age Friendly Community – ‘a great place to grow older’; (2) that the Council work with interested partners to develop an Age Friendly action plan; and (3) that the voice of older people be represented on the Community Planning Partnership, through Seniors Together. 7 Fair Work First Statement A report dated 23 December 2022 by the Executive Director (Finance and Corporate Resources) was submitted on the Council’s Fair Work First Statement. On 6 December 2022, the Scottish Government announced that organisations applying for public sector grants would be required to pay at least the real Living Wage and provide appropriate channels for effective workers’ voices by July 2023. The requirement for organisations to have a public statement on supporting the advancement of Fair Work First criteria now featured in Scottish Government grant application conditions and the condition also applied to councils applying for grants. The Council met the Fair Work First criteria as an organisation and publishing a statement to that effect on the Council’s website would demonstrate that in grant application processes. The Fair Work First Statement, attached as Appendix 1 to the report, also included reference to procurement and grant awards in relation to the Fair Work First criteria as the Council had a role in both those processes. The Committee decided: (1) that the report be noted: and (2) that the statement, attached at Appendix 1 to the report, be approved for publication on the Council’s website. 8 Land and Property Transfers and Disposals A report dated 29 December 2022 by the Executive Director (Housing and Technical Resources) was submitted on proposed actions in respect of land and property transactions. The recommendations had been made in terms of agreed procedures for dealing with surplus land and property. The Committee decided: that the land detailed in appendices A and B to the report be declared surplus to Council requirements. 10
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9 External Representation on the Education Resources Committee - Update A joint report dated 4 January 2023 by the Executive Directors (Education Resources) and (Finance and Corporate Resources) was submitted providing an update on the arrangements for the appointment of representatives other than councillors to serve on the Education Resources Committee. At its meeting on 29 June 2022, the Committee agreed that the election and selection procedures to obtain specified categories of religious and parent/carer representation on the Education Resources Committee be approved. In respect of teacher representation, all teachers permanently employed in educational establishments under the management of the Council and registered with the General Teaching Council were invited to apply to serve as a teacher representative on the Education Resources Committee, by the closing date of 13 October 2022. At the close of nominations, 2 applications had been received for 2 available places. On that basis, it was proposed that the following 2 applicants be confirmed as the new teacher representatives on the Education Resources Committee:- Jennifer Gaffney, St Andrew’s and St Bride’s High School, East Kilbride Joan Lennon, Our Lady and St Anne’s Primary School, Hamilton Details were also provided on progress in appointing 2 new Parent Council representatives and the 1 remaining religious representative on the Education Resources Committee. In both cases, nominations exceeded the number of available places and arrangements would be made to interview each nominee. The Committee decided: (1) that the appointment of Jennifer Gaffney and Joan Lennon as the new teacher representatives on the Education Resources Committee be confirmed; and (2) that the progress on the appointment of the 2 new Parent Council representatives and the 1 remaining religious representative on the Education Resources Committee be noted. [Reference: Minutes of 29 June 2022 (Paragraph 7)] 10 Recommendations Referred by Housing and Technical Resources Committee A report dated 23 January 2023 by the Chief Executive was submitted on recommendations referred to this Committee by the Housing and Technical Resources Committee at its meeting of 23 January 2023 (Special). The recommendations of the Housing and Technical Resources Committee were as follows:- (1) that the proposed rent increase of 3.5% to all Council houses, travelling persons’ sites, lockups and garage sites and the revenue estimate proposals for the Housing Revenue Account be endorsed; and (2) that, based on the rent increase of 3.5%, the 2023/2024 Housing Capital Programme of £63.916 million be endorsed. 11
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The Committee recommended to the Council: (1) that the proposed rent increase of 3.5% for all Council houses, Gypsy/Traveller sites, lockups and garage sites and the revenue estimate proposals for the Housing Revenue Account Budget 2023/2024 be approved; and (2) that, based on the rent increase of 3.5%, the 2023/2024 Housing Capital Programme, totalling £63.916 million, be approved. [Reference: Minutes of the special meeting of the Housing and Technical Resources Committee of 23 January 2023 (Paragraph 2)] 11 Representation on Outside Organisations A report dated 5 January 2023 by the Chief Executive was submitted providing an update on the member representation on the West of Scotland Road Safety Forum. At its meeting on 18 May 2022, the Council agreed its representation on certain statutory joint boards and outside bodies. Since that meeting:- an update had been reported to the Council meeting held on 15 June 2020 the Executive Committee, at its meeting on 29 June 2022, had authorised the Chief Executive, in consultation with the Leaders of the relevant political groups, to confirm nominations in respect of the remaining vacancies The Council was entitled to appoint 1 member and a substitute to the West of Scotland Road Safety Forum on 1 November 2022. Previous practice was to appoint the Chair of the Roads Safety Forum as the Council’s representative on the West of Scotland Road Safety Forum. At the meeting of the Roads Safety Forum held on 1 November 2022 Councillor McLachlan was appointed as Chair of the Forum and Councillor Cowie as Depute Chair. As a result, in line with normal practice, Councillor McLachlan had been appointed as the Council’s representative on the West of Scotland Road Safety Forum with Councillor Cowie substituting as necessary. The Committee decided: that the report be noted. [Reference: Minutes of 29 June 2022 (Paragraph 8)] 12 Urgent Business There were no items of urgent business. 12
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Report Agenda Item Report to: Executive Committee Date of Meeting: 1 March 2023 Report by: Executive Director (Finance and Corporate Resources) Subject: Revenue Budget Monitoring for Period 11 - 1 April 2022 to 27 January 2023 and Probable Outturn 1. Purpose of Report 1.1. The purpose of the report is to:- advise Members of the overall financial position of the Council’s General Fund Revenue Account and Housing Revenue Account for the period 1 April 2022 to 27 January 2023, and the projection for the year to 31 March 2023 [1purpose] 2. Recommendation(s) 2.1. The Committee is asked to approve the following recommendation(s):- [recs] (1) that it be noted that the Council’s outturn position is break-even after Transfers to Reserves (section 4.2) (2) that the underspend position of £0.355 million on the General Fund Revenue Account as at 27 January 2023, after transfers to reserves (section 5.1), be noted; and (3) that the breakeven position on the Housing Revenue Account at 27 January 2023 and the forecast to 31 March 2023 of breakeven (sections 6.1 and 6.2), be noted. 3. Background 3.1. This overview report will summarise the previously reported Probable Outturn position for the Council’s General Fund Revenue Account to 31 March 2023 (section 4). Sections 5 and 6 provide the position on the General Fund Account and the Housing Revenue Account for the current period 1 April 2022 to 27 January 2023 respectively. 4. 2022/2023 General Services Probable Outturn 4.1. As reported previously, the 2022/2023 probable outturn position for the General Services presented an underspend of £4.696 million. This underspend was after previously approved transfers of £17.420 million earmarked for the Budget Strategy, and new proposed transfers to reserves totalling £17.195 million. It was proposed that the outturn underspend of £4.696 million be transferred to reserves to assist in the 2023/2024 Budget Strategy. 4.2. Full details of the transfers to reserves were included in the 1 February 2023 report to the Executive Committee. The new proposed transfers to Reserves and the use of the £4.696 million underspend to assist in the 2023/2024 Budget Strategy, were approved at the Executive Committee (1 February 2023). The forecast position before and after Transfers to Reserves is shown in appendices 1 and 2. The position presented in Appendix 2 includes the underspend of £4.696 million as a Transfer to Reserves. This results in a break-even position for the 2023/2024 Probable Outturn. 3 13
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5. 2022/2023 General Services Monitoring Position 5.1. Financial Position as at 27 January 2023: As at 27 January 2023, the position on the General Services budget, after Transfers to Reserves, is an underspend of £0.355 million (Appendix 2). 5.2. This position is in line with the forecast position for the General Fund (section 4). 6. Housing Revenue Account Position 6.1. Financial Position as at 27 January 2023: Appendix 3 of the report shows a break- even position against the phased budget on the Housing Revenue Account. Levels of rent collection are regularly monitored by the Housing Services team and appropriate corrective action will be taken, as required. 6.2. Probable Outturn Position: Appendix 3 also shows the forecast position for the financial year, being a break-even position for the Housing Revenue Account. 7. Employee Implications 7.1. None. 8. Financial Implications 8.1. As detailed in sections 4 to 6 of the report. 9. Climate Change, Sustainability and Environmental Implications 9.1. There are no implications for climate change, sustainability or the environment in terms of the information contained in this report. 10. Other Implications 10.1. The main risk associated with the Council’s Revenue Budget is that there is an overspend. Inflationary and budget pressures experienced this year increase the risk of overspend, however, this is mitigated going forward through provision of additional funds in next year’s budget strategy, and through the one-off use of reserves in the current year. 10.2. The actual impact will continue to be reviewed through four weekly Budget Monitoring Meetings at which any variance is analysed. In addition, the probable outturn exercise position in this report ensures early warning for corrective action to be taken where appropriate. 11. Equality Impact Assessment and Consultation Arrangements 11.1. This report does not introduce a new policy, function or strategy or recommend a change to an existing policy, function or strategy and, therefore, no impact assessment is required. 11.2. There is also no requirement to undertake any consultation in terms of the information contained in this report. Paul Manning Executive Director (Finance and Corporate Resources) 15 February 2023 14
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Link(s) to Council Values/Priorities/Outcomes Accountable, effective, efficient and transparent Previous References Executive Committee, 1 February 2023 List of Background Papers Financial Ledger and budget monitoring results to 27 January 2023 Contact for Further Information If you would like to inspect the background papers or want further information, please contact: Lorraine O'Hagan, Finance Manager (Strategy) Ext: 2601 (Tel: 01698 452601) E-mail: lorraine.o'hagan@southlanarkshire.gov.uk 15
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Appendix 1 SOUTH LANARKSHIRE COUNCIL Revenue Budget Monitoring Report (BEFORE Transfers) Period Ended 27 January 2023 (No.11) Committee Annual Budget Annual Forecast BEFORE Transfers Annual Forecast Variance BEFORE Transfers (Over) / Under Budget Proportion to 27/01/23 Actual to Period 10 27/01/23 Variance to 27/01/23 Departments: £m £m £m £m £m £m Community and Enterprise Resources 129.797 128.520 1.277 97.467 96.407 1.060 under Facilities, Waste and Grounds 75.626 73.869 1.757 58.380 56.929 1.451 under Leisure and Culture Services 23.942 23.930 0.012 15.870 15.853 0.017 under Planning and Regulatory Services 5.138 4.096 1.042 4.160 3.311 0.849 under Enterprise and Sustainable Development 6.957 6.843 0.114 5.538 5.421 0.117 under Roads, Transportation and Fleet 18.134 19.782 (1.648) 13.519 14.893 (1.374) over Education Resources 396.815 395.315 1.500 307.068 305.799 1.269 under Education 396.815 395.315 1.500 307.068 305.799 1.269 under Finance and Corporate Resources 48.243 48.243 0.000 46.613 46.589 0.024 - Finance Services - Strategy 2.129 2.141 (0.012) 2.892 2.848 0.044 under Finance Services - Transactions 23.820 23.326 0.494 20.286 19.540 0.746 under Audit and Compliance Services 0.376 0.376 0.000 0.525 0.528 (0.003) over Information Technology Services 5.304 5.340 (0.036) 7.285 7.291 (0.006) over Communications and Strategy Services 3.353 3.504 (0.151) 2.699 2.786 (0.087) over Administration and Licensing Services 4.274 4.747 (0.473) 4.026 4.370 (0.344) over Personnel Services 8.987 8.809 0.178 8.900 9.226 (0.326) over Housing and Technical Resources 19.145 19.487 (0.342) 20.051 20.296 (0.245) over Housing Services 9.830 9.830 0.000 8.098 8.098 0.000 - Property Services 9.315 9.657 (0.342) 11.953 12.198 (0.245) over Social Work Resources 217.057 211.422 5.635 167.600 162.752 4.848 under Performance and Support Services 7.084 6.405 0.679 5.918 5.229 0.689 under Children and Families 43.767 44.923 (1.156) 34.705 35.749 (1.044) over Adults and Older People 165.086 159.451 5.635 125.628 120.803 4.825 under Justice and Substance Misuse 1.120 0.643 0.477 1.349 0.971 0.378 under Joint Boards 2.152 2.152 0.000 1.577 1.577 0.000 - 813.209 805.139 8.070 640.376 633.420 6.956 under Committee Annual Budget Annual Forecast BEFORE Transfers Annual Forecast Variance BEFORE Transfers (Over) / Under Budget Proportion To 27/01/23 Actual to Period 10 27/01/23 Variance to 27/01/23 £m £m £m £m £m £m Service Departments Total 813.209 805.139 8.070 640.376 633.420 6.956 under CFCR 0.514 0.514 0.000 0.000 0.000 0.000 - Loan Charges 35.041 30.306 4.735 0.000 0.000 0.000 - Corporate Items 26.583 22.011 4.572 15.113 15.081 0.032 under Corporate Items – Strategy (Tfr to Reserves) 17.420 0.000 17.420 0.000 0.000 0.000 - Investments – 2022/23 (Tfr to Reserves) 0.000 0.000 0.000 0.000 0.000 0.000 - Total Expenditure 892.767 857.970 34.797 655.489 648.501 6.988 under Council Tax 167.437 170.688 3.251 131.558 134.112 2.554 over Less: Council Tax Reduction Scheme (23.272) (22.009) 1.263 (18.285) (17.293) 0.992 under Net Council Tax 144.165 148.679 4.514 113.273 116.819 3.546 over General Revenue Grant 252.792 252.792 0.000 198.622 198.622 0.000 - Non-Domestic Rates 422.591 422.591 0.000 332.036 332.036 0.000 - Transfer from Reserves 73.219 73.219 0.000 73.219 73.219 0.000 - Total Income 892.767 897.281 4.514 717.150 720.696 3.546 over rec Net Expenditure / (Income) 0.000 (39.311) 39.311 (61.661) (72.195) 10.534 under 16
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Appendix 2 SOUTH LANARKSHIRE COUNCIL Revenue Budget Monitoring Report (AFTER Transfers) Period Ended 27 January 2023 (No.11) Committee Annual Budget Annual Forecast AFTER Transfers Annual Forecast Variance AFTER Transfers Budget Proportion to 27/01/23 Actual to Period 10 27/01/23 Variance to 27/01/23 Departments: £m £m £m £m £m £m Community and Enterprise Resources 129.797 129.790 0.007 97.467 97.482 (0.015) under Facilities, Waste and Grounds 75.626 75.099 0.527 58.380 57.970 0.410 under Leisure and Culture Services 23.942 23.930 0.012 15.870 15.853 0.017 under Planning and Regulatory Services 5.138 4.096 1.042 4.160 3.311 0.849 under Enterprise and Sustainable Development 6.957 6.843 0.114 5.538 5.421 0.117 under Roads, Transportation and Fleet 18.134 19.822 (1.688) 13.519 14.927 (1.408) over Education Resources 396.815 396.815 0.000 307.068 307.068 0.000 - Education 396.815 396.815 0.000 307.068 307.068 0.000 - Finance and Corporate Resources 48.243 48.243 0.000 46.613 46.589 0.024 - Finance Services - Strategy 2.129 2.141 (0.012) 2.892 2.848 0.044 under Finance Services - Transactions 23.820 23.326 0.494 20.286 19.540 0.746 under Audit and Compliance Services 0.376 0.376 0.000 0.525 0.528 (0.003) over Information Technology Services 5.304 5.340 (0.036) 7.285 7.291 (0.006) over Communications and Strategy Services 3.353 3.504 (0.151) 2.699 2.786 (0.087) over Administration and Licensing Services 4.274 4.747 (0.473) 4.026 4.370 (0.344) over Personnel Services 8.987 8.809 0.178 8.900 9.226 (0.326) over Housing and Technical Resources 19.145 19.487 (0.342) 20.051 20.296 (0.245) over Housing Services 9.830 9.830 0.000 8.098 8.098 0.000 - Property Services 9.315 9.657 (0.342) 11.953 12.198 (0.245) over Social Work Resources 217.057 217.057 0.000 167.600 167.577 0.023 - Performance and Support Services 7.084 6.405 0.679 5.918 5.229 0.689 under Children and Families 43.767 44.923 (1.156) 34.705 35.749 (1.044) over Adults and Older People 165.086 165.086 0.000 125.628 125.628 0.000 - Justice and Substance Misuse 1.120 0.643 0.477 1.349 0.971 0.378 under Joint Boards 2.152 2.152 0.000 1.577 1.577 0.000 - 813.209 813.544 (0.335) 640.376 640.589 (0.213) over Committee Annual Budget Annual Forecast AFTER Transfers Annual Forecast Variance AFTER Transfers Budget Proportion to 27/01/23 Actual to Period 10 27/01/23 Variance to 27/01/23 £m £m £m £m £m £m Service Departments Total 813.209 813.544 (0.335) 640.376 640.589 (0.213) over CFCR 0.514 0.514 0.000 0.000 0.000 0.000 - Loan Charges 35.041 33.861 1.180 0.000 0.000 0.000 - Corporate Items 26.583 24.236 2.347 15.113 15.081 0.032 - Corporate Items – Strategy (Tfr to Reserves) 17.420 22.116 (4.696) 0.000 0.000 0.000 - Investments – 2022/23 (Tfr to Reserves) 0.000 0.000 0.000 0.000 0.000 0.000 - Total Expenditure 892.767 894.271 (1.504) 655.489 655.670 (0.181) over Council Tax 167.437 169.078 1.641 131.558 132.502 0.944 over Less: Council Tax Reduction Scheme (23.272) (23.409) (0.137) (18.285) (18.693) (0.408) over Net Council Tax 144.165 145.669 1.504 113.273 113.809 0.536 - General Revenue Grant 252.792 252.792 0.000 198.622 198.622 0.000 - Non-Domestic Rates 422.591 422.591 0.000 332.036 332.036 0.000 - Transfer from Reserves 73.219 73.219 0.000 73.219 73.219 0.000 - Total Income 892.767 894.271 1.504 717.150 717.686 0.536 over Net Expenditure / (Income) 0.000 0.000 0.000 (61.661) (62.016) 0.355 under 17
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Appendix 3 SOUTH LANARKSHIRE COUNCIL Revenue Budget Monitoring Report Period Ended 27 January 2023 (No.11) Housing Revenue Account Annual Budget Forecast for Year Annual Forecast Variance Budget Proportion to 27/01/23 Actual to Period 10 27/01/23 Variance to 27/01/23 % Note £m £m £m £m £m £m Employee Costs 14.641 14.140 0.501 11.899 11.654 0.245 under 2.1% 1 Property Costs 46.906 53.424 (6.518) 37.477 40.192 (2.715) over (7.2%) 2 Supplies & Services 0.609 1.021 (0.412) 0.439 0.451 (0.012) over (2.7%) Transport & Plant 0.195 0.183 0.012 0.094 0.084 0.010 under 10.6% Administration Costs 5.644 5.593 0.051 0.364 0.318 0.046 under 12.6% 3 Payments to Other Bodies 3.030 3.054 (0.024) 1.702 1.719 (0.017) over (1.0%) Payments to Contractors 0.100 0.080 0.020 0.077 0.076 1 under 1.3% Transfer Payments 0.000 0.000 0.000 0.000 0.000 0.000 - 0.0% Financing Charges 26.050 26.050 0.000 26.116 26.116 0.000 - 0.0% Total Controllable Expenditure 97.175 103.545 (6.370) 78.168 80.610 (2.442) over (3.1%) Total Controllable Income (112.000) (112.475) 0.475 (82.713) (83.052) 0.339 Over recovered 0.4% 4 Transfer to/(from) Balance Sheet (3.500) (5.840) 2.340 (2.691) (5.064) 2.103 over recovered 71.0% 5 Net Controllable Expenditure (18.325) (14.770) (3.555) (7.506) (7.506) 0.000 - 0.0% Add: Non Controllable Budgets Financing Charges 18.325 14.770 (3.555) 0.000 0.000 0.000 - 0.0% Total Budget 0.000 0.000 0.000 (7.506) (7.506) 0.000 - 0.0% Variance Explanations 1. Employee Costs The underspend is due to higher than anticipated staff turnover. 2. Property Costs The net overspend reflects the current cost and volume of repairs and maintenance. 3. Administration Costs A large element of this underspend is due to the demand led legal expenses and the underspend reflects the current level of activity. 4. Total Controllable Income Rental income from council housing is higher than forecast due to favourable timing of new build and purchased units being available to rent. 5. Transfer to (from) Balance Sheet The net combined overspend year to date requires for a higher than budgeted level of transfer to reserves. 18
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Report Agenda Item Report to: Executive Committee Date of Meeting: 1 March 2023 Report by: Executive Director (Finance and Corporate Resources) Subject: Capital Programme 2022/2023 Update and Monitoring for Period 11 – 1 April 2022 to 27 January 2023 1. Purpose of Report 1.1. The purpose of the report is to:- update the Executive Committee of progress on the General Fund Capital Programme and the Housing Capital Programme for the period 1 April 2022 to 27 January 2023 2. Recommendation(s) 2.1. The Executive Committee is asked to approve the following recommendation(s):- (1) that the Period 11 position (ended 27 January 2023) of the General Fund Capital Programme itemised at Appendices 1 to 4 and the Housing Capital Programme at Appendix 5, be noted; (2) that the adjustments to the General Fund programme listed at Sections 4.2 and Appendix 1, be approved; and (3) that the revised programmes be monitored by the Financial Resources Scrutiny Forum. 3. Background 3.1. The attached statements to this report provide a summarised monitoring position as at 27 January 2023 (Period 11). Spending has been split into two separate sections:- General Fund Capital Programme including Education, Social Work, Roads and Transportation and General Services (Section 4) Housing Capital Programme (Section 5) 4. General Fund Capital Programme 4.1. 2022/2023 Budget: The budget agreed at Executive Committee on 1 February 2023 was £78.272 million. This revised programme consists of the base budget plus carry forward projects and adjustments which have been agreed by the Executive Committee up to and including the meeting on 1 February 2023. 4.2. The total programme is now £78.396 million and includes new adjustments to the programme, which are proposed in this report at Appendix 1. These adjustments total a net increase of £0.124 million and mainly reflect additional funding for new Roads projects. 4 19
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4.3. The revised Programme, including the movement from the last report, is detailed in Appendix 2. 4.4. Programmed funding for the year also totals £78.396 million. The funding available to support the programme is detailed in Appendix 3. 4.5. 2022/2023 Outturn As reported last period, estimates from Resources suggest an outturn of around £73 million. Against the revised budget of £78.396 million, this outturn means a net underspend across Resources of £5.3 million. This is made up of project underspends totalling £9.7 million offset by projects with greater than anticipated spend of £4.4 million. Work will continue in the coming weeks to monitor achievable levels of spend. 4.6. The majority of the variance is due to the timing of spend, resulting in budget required in 2023/2024 rather than 2022/2023. Funding for projects remaining underspent at the financial year-end will be carried forward to allow the projects to be completed in 2023/2024. Again, this is a timing issue only with funding for the overall spend on these projects already identified into next financial year. 4.7. A list of the main projects with anticipated underspends which are responsible for the overall underspend of £9.7 million, as detailed in section 4.5, and which will now complete in 2023/2024 is included in Appendix 4, along with their anticipated completion dates. 4.8. Period 11 Position: The programme spend and funding for the General Fund is included in Appendix 4. As noted in 4.1, the total capital spending programme for the year is £78.396 million. 4.9. Appendix 3 also shows budget for the period of £38.915 million and spend to the 27 January 2023 of £39.540 million, an overspend of £0.625 million. This is mainly due to the timing of spend in relation to the Oracle Fusion project within Finance and Corporate Resources (£0.786 million). This is offset by a number of smaller underspends across the rest of the Programme. 4.10. Actual funding received to 27 January 2023 is £68.848 million. 4.11. Relevant officers will continue to closely monitor the generation of all income. 5. Housing Capital Programme 5.1. 2022/2023 Budget: Appendix 5 summarises the position on the Housing programme as at 27 January 2023. The revised capital programme for the year is £66.361 million, as approved by the Executive Committee on 24 August 2022. There are no new adjustments proposed in this report. 5.2. Programmed funding for the year also totals £66.361 million. The funding sources are also detailed in Appendix 5. 5.3. 2022/2023 Outturn: Current estimates from Housing and Technical Resources suggest there will be an underspend of £4.1 million within the Housing Capital Programme by the end of the financial year. This is due to a number of factors - as advised last period, this is mainly due to the extreme weather experienced in December 2022, which caused flooding damage to a number of Council properties. As a result, operatives from Property Services were diverted away from Capital investment works to tackle urgent repairs. 20
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5.4. In addition, environmental surveys on external fabric projects have required work to be paused due to the suspected presence of bats which, in turn, has delayed owner consultations. There has also been reduced owner uptake for external works. The Service has also experienced higher than normal volumes of no access for legislative works. 5.5. Work to monitor achievable spend will continue in the coming weeks. Funding for projects remaining underspend at the financial year-end will be carried forward to allow the projects to be completed in 2023/2024. 5.6. Period 11 Position: Budget for the period is £45.339 million and spend to 27 January 2023 amounts to £43.015 million, an underspend of £2.324 million and this mainly reflects the issues detailed in Sections 5.3 to 5.5 above. 5.7. As at 27 January 2023, £43.015 million of funding had been received. 5.8. Regular monitoring of both the General Fund Programme and the Housing Programme will be carried out in detail by the Financial Resources Scrutiny Forum and reported on a regular basis to the Executive Committee. 6. Employee Implications 6.1. There are no employee implications as a result of this report. 7. Financial Implications 7.1. The financial implications are contained in sections 4 and 5 of the report for the General Services and Housing capital programmes respectively. 8. Climate Change, Sustainability and Environmental Implications 8.1. There are no implications for climate change, sustainability or the environment in terms of the information contained in this report. 9. Other Implications 9.1. The main risk associated with the Council’s Capital Programme is an overspend. There are detailed project management plans prepared and the risk of overspend on each project is monitored through four weekly investment management meetings. 9.2. The Council continues to experience material shortages, longer lead times and extraordinary inflationary price increases and it is anticipated that this will continue to impact the supply chain for the foreseeable future. The impact of this will continue to be monitored through the four weekly investment management meetings. Further updates will be reported in the coming months with any significant increases in contract values being brought to members’ attention. 10. Equality Impact Assessment and Consultation Arrangements 10.1. This report does not introduce a new policy, function or strategy or recommend a change to existing policy, function or strategy and, therefore, no impact assessment is required. 10.2. There was also no requirement to undertake any consultation in terms of the information contained in this report. 21
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Paul Manning Executive Director (Finance and Corporate Resources) 8 February 2023 Link(s) to Council Values/Priorities/Outcomes Accountable, effective, efficient and transparent Previous References Executive Committee, 24 August 2022 Executive Committee, 1 February 2023 List of Background Papers Capital Ledger prints to 27 January 2023 Contact for Further Information If you would like to inspect the background papers or want further information, please contact: Lorraine O’Hagan, Finance Manager (Strategy) Ext: 2601 (Tel: 01698 452601) E-mail: lorraine.o’hagan@southlanarkshire.gov.uk 22
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APPENDIX 1 SOUTH LANARKSHIRE COUNCIL CAPITAL EXPENDITURE 2022/23 GENERAL SERVICES PROGRAMME FOR PERIOD 1 APRIL 2022 TO 27 JANUARY 2023 Proposed Adjustments – Period 11 Community and Enterprise Resources Cycle Shelters at Schools Approval is sought to increase the 2022/23 Capital Programme by £0.040 million to reflect funding awarded from Cycling Scotland. The funding has been awarded to supply, deliver and install cycle shelters at a number of schools including: Lesmahagow High School, Douglas Primary School, Rigside Primary School & Craigbank Primary School. In addition, refurbishment works will also be undertaken to the existing shelter at Cairns Primary School. £0.040m National Strategy for 20mph The National Strategy for 20mph aims to expand 20mph speed limits across Scotland and will ensure all appropriate roads in built-up areas have a safer speed limit of 20mph by 2025. Approval is sought to increase the 2022/2023 Capital Programme by £0.084 million to identify outcomes to assist in the further delivery of 20mph zones and limits within the South Lanarkshire area. This project will be funded by a contribution from Transport Scotland. £0.084m Education Resources Woodside Primary School - Adaptations In order to accommodate an increase in pupil numbers at Woodside Primary School, Hamilton, approval is sought to increase the 2022/2023 Capital Programme by £0.100 million to allow the adaptation of the general-purpose area to be converted into two additional classrooms. It is proposed that funding for these adaptation works be transferred from developers’ contributions already received for the Hamilton area. £0.100m (£0.100m) TOTAL ADJUSTMENTS £0.124m 23
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APPENDIX 2 SOUTH LANARKSHIRE COUNCIL CAPITAL EXPENDITURE 2022/23 GENERAL FUND PROGRAMME FOR PERIOD 1 APRIL 2022 TO 27 JANUARY 2023 £m Total Budget (Executive Committee – 1 February 2023) 78.272 Proposed Adjustments – Period 11 (Section 4.2 and Appendix 1) 0.124 Total Revised Budget (Executive Committee – 1 March 2023) 78.396 2022/23 Budget Period 11 Proposed Adjustments Revised 2022/23 Budget Resource £m £m £m Community & Enterprise 48.320 0.124 48.444 Education 13.918 - 13.918 Finance & Corporate 3.695 - 3.695 Housing & Technical 8.436 - 8.436 Social Work 3.903 - 3.903 Other Match Funding - - - TOTAL CAPITAL PROGRAMME 78.272 0.124 78.396 24
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APPENDIX 3 SOUTH LANARKSHIRE COUNCIL CAPITAL EXPENDITURE 2022/23 GENERAL FUND PROGRAMME FOR PERIOD 1 APRIL 2022 TO 27 JANUARY 2023 2022/23 Original Estimate inc C/F 2022/23 Revised Budget 2022/23 Budget to 27/01/23 2022/23 Actual to 27/01/23 Expenditure £m £m £m £m General Fund Programme 95.232 78.396 38.915 39.540 Income 2022/23 Budget 2022/23 Revised Budget 2022/23 Actual To 27/01/23 £m £m £m Prudential Borrowing 55.416 30.260 30.260 Developers Contributions 6.552 0.058 0.058 Partners (Including High Blantyre Construction, SPT, Sustrans, and CARES) 1.745 3.989 1.462 Scottish Government: - Capital Grant 22.424 32.074 28.287 - Cycling, Walking and Safer Routes 2.154 2.887 1.488 - Vacant and Derelict Land 1.820 1.228 0.728 - Regeneration Capital Grant 1.720 1.370 0.157 - Town Centre Regeneration Fund 0.101 0.101 0.101 - Place Based Investment Programme 1.617 3.357 3.357 - Electric Vehicle Charging Infrastructure 0.118 0.118 0.089 - NSS Tec 0.000 0.040 0.040 Glasgow City Region City Deal 0.000 0.000 0.006 Capital Receipts 1.000 1.000 0.901 Specific Reserves 0.534 1.400 1.400 Revenue Contribution 0.031 0.514 0.514 TOTAL FUNDING 95.232 78.396 68.848 25
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APPENDIX 4 SOUTH LANARKSHIRE COUNCIL CAPITAL EXPENDITURE 2022/23 GENERAL FUND PROGRAMME FOR PERIOD 1 APRIL 2020 TO 27 JANUARY 2023 Projects with Projected Underspends in 2022/23 which will Carry Forward into 2023/2024 Project Name Project Type Completion Date Community and Enterprise Resources Library IT Infrastructure Upgrade Phase 2 – Desktop Refresh Infrastructure Summer 2023 Phillipshill Cemetery - Extension Infrastructure March 2024 Springhall Urban Greenspace Development (Springhall Cage) - Play Equipment Equipment Summer 2023 Halfway Park Play Area - Redevelopment Infrastructure April 2023 Chatelherault Allotments Infrastructure March 2024 Play Parks - Various Infrastructure Throughout 2023/24 and beyond Greenhall Replacement Bridge - Design Infrastructure March 2024 Alexander Hamilton Memorial Park Woodland Management Infrastructure Throughout 2023/2024 Larkhall Leisure Centre - Design (Place Based Investment Funding) New Build Throughout 2023/2024 Lanark Library, Lindsay Institute – Roof and Windows Improvements July 2023 Town Centre Regeneration Fund Regeneration Throughout 2023/24 Vacant & Derelict Land - Cuningar Loop Phase 3 Greening Regeneration February 2024 City Deal - Calderside Academy Adaptations October 2025 City Deal - Holy Cross High Adaptations October 2025 City Deal - Lanark Road Signalisation Infrastructure December 2023 City Deal - Cathkin Bypass – Grant Payments Only Grants Throughout 2023/24 Daer Bridge Infrastructure December 2023 Education Resources Castlefield Primary School Extension Extension July 2023 Crawforddyke adaptation of nursery to classrooms Adaptations June 2023 Uddingston Nursery Expansion Adaptations August 2024 Clyde Terrace Early Years New Build November 2023 Small Scale Adaptations Adaptations Throughout 2023/24 Finance and Corporate Resources Digital Tools Infrastructure Throughout 2023/24 Digital Connectivity Infrastructure Throughout 2023/24 Digital Transformation Infrastructure Throughout 2023/24 26
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APPENDIX 4 (continued) SOUTH LANARKSHIRE COUNCIL CAPITAL EXPENDITURE 2022/23 GENERAL FUND PROGRAMME FOR PERIOD 1 APRIL 2020 TO 27 JANUARY 2023 Projects with Projected Underspends in 2022/23 which will Carry Forward into 2023/2024 Project Name Project Type Completion Date Housing and Technical Resources Prioritised Urgent Investment Refurbishment Throughout 2023/24 Principal Offices - Fabric and Service Investment Refurbishment Throughout 2023/24 Lifecycle Replacement Schools Refurbishment Throughout 2023/24 New Cross Shopping Centre - Roof Refurbishment Throughout 2023/24 Civic Centre Fabric Upgrade Refurbishment Throughout 2023/24 Communities Facilities Fund Refurbishment Throughout 2023/24 CEEF Programme Refurbishment Throughout 2023/24 27
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APPENDIX 5 SOUTH LANARKSHIRE COUNCIL CAPITAL EXPENDITURE 2022/23 HOUSING PROGRAMME FOR PERIOD 1 APRIL 2022 TO 27 JANUARY 2023 2022/2023 Original Budget 2022/2023 Revised Budget 2022/2023 Budget to 27/01/23 2022/2023 Actual to 27/01/23 £m £m £m £m Expenditure 2022/2023 Budget Incl. adjustment from 2021/2022 52.230 66.361 45.339 43.015 2022/2023 Original Budget 2022/2023 Revised Budget 2022/2023 Actual to 27/01/23 £m £m £m INCOME Capital Receipts 0.000 7.311 6.314 Capital Receipts - Land Sales 0.000 0.000 0.018 Capital Funded from Current Revenue 26.050 26.050 26.050 Prudential Borrowing 22.018 26.462 5.930 Scottish Government Specific Grant: - New Build 2.242 4.048 4.648 - Open Market Purchase Scheme 1.800 2.370 0.000 - Mortgage to Rent 0.120 0.120 0.055 52.230 66.361 43.015 28
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Report Agenda Item Report to: Executive Committee Date of Meeting: 1 March 2023 Report by: Executive Director (Finance and Corporate Resources) Subject: Additional Funding from Scottish Government and Other External Sources 1. Purpose of Report 1.1. The purpose of the report is to:- advise Members of additional funding that has been made available to the Council by the Scottish Government and other external sources since the last report to this Committee (1 February 2023) [1purpose] 2. Recommendation(s) 2.1. The Committee is asked to approve the following recommendation(s): [recs] (1) that the additional funding totalling £1.537 million, detailed in Appendix 1, be noted. 3. Background 3.1. The Council is periodically advised of additional funding which is made available from the Scottish Government and other sources to enable various initiatives to be undertaken. 3.2. Additional funding may either be paid through the General Revenue Grant mechanism or by the completion of appropriate grant claims. 3.3. Details of the additional funding are attached at Appendix 1 to the report. The report details additional funding that has been reported by Resources as part of the additional resources notification process, as well as any additional funding that has increased the Council’s budget by more than £0.100 million. 4. Employee Implications 4.1. None. 5. Financial Implications 5.1. Additional revenue funding of £1.537 million has been identified for 2022/2023. No additional Capital funding has been identified since the last report to Committee. The £1.537 million of funding is detailed in Appendix 1. 5.2. Resource budgets will be updated to reflect this additional funding as required, and, where appropriate, details of spending plans will be presented to Resource Committees for approval. 5 29
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6. Climate Change, Sustainability and Environmental Implications 6.1. There are no implications for climate change, sustainability or the environment in terms of the information contained in this report. 7. Other Implications 7.1. There are no other implications in terms of the information contained in this report. 8. Equality Impact Assessment and Consultation Arrangements 8.1. This report does not introduce a new policy, function or strategy or recommend a change to existing policy, function or strategy and, therefore, no impact assessment is required. 8.2. There was also no requirement to undertake any consultation in terms of the information contained in this report. Paul Manning Executive Director (Finance and Corporate Resources) 9 February 2023 Link(s) to Council Vision/Priorities/Outcomes Accountable, Effective, Efficient and Transparent Previous References Executive Committee, 1 February 2023 List of Background Papers Additional Funding Reports 8 January 2023 to 8 February 2023 Contact for Further Information If you would like to inspect the background papers or want further information, please contact: Lorraine O’Hagan, Finance Manager (Strategy) Ext: 2601 (Tel: 01698 452601) E-mail: lorraine.o’hagan@southlanarkshire.gov.uk 30
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Appendix 1 Additional Revenue Funding Resource Description 2022/2023 £m Total £m Method Finance and Corporate Discretionary Housing Payment 0.130 0.130 Scottish Government Finance and Corporate Energy Bills Support Scheme Alternative Funding Grant Determination 2023 1.407 1.407 UK Government TOTAL REVENUE FUNDING 1.537 1.537 31
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Report Agenda Item Report to: Executive Committee Date of Meeting: 1 March 2023 Report by: Executive Director (Education Resources) Subject: Proposals to Extend, Upgrade and Modernise Our Lady of Lourdes Primary School, East Kilbride 1. Purpose of Report 1.1. The purpose of the report is to:- update the Executive Committee on proposals to extend, upgrade and modernise Our Lady of Lourdes Primary School, East Kilbride [1purpose] 2. Recommendation(s) 2.1. The Committee is asked to approve the following recommendation(s):- [recs] (1) that the extension, upgrading and modernisation of Our Lady of Lourdes Primary School as detailed in this Report be approved; and (2) that approval is given to submit a Change Control to the Glasgow City Region Deal Programme to provide part funding for the Our Lady of Lourdes Primary School Project. [1recs] 3. Background 3.1. In January 2004, the Council entered a 20-year lease with Investec to provide a modular construction building to be utilised as a school building for Our Lady of Lourdes Primary School and Nursery Class. The lease term was to end on 30 January 2024. At its meeting on 19 January 2021, the Education Committee approved the acquisition of the Our Lady of Lourdes building. The building has now been acquired and forms part of the Council’s property portfolio. 3.2 Following the acquisition, a feasibility study has been undertaken at the school to provide solutions and costs for the following:- 3 additional classrooms to accommodate pupil growth predicted from several housing developments in the school catchment area a comprehensive internal and external upgrade of the existing building to include; a new roof, over cladding of the external walls, upgrading of the ventilation and heating systems, new windows and doors, general works to bring the school up to the high specification of the recently completed Primary Schools Modernisation Programme works to secure the playground with a dedicated entrance walkway and security fencing around the perimeter of the school playground 6 33
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4. Programme 4.1. The internal and external upgrading of the school building would be extremely difficult to undertake with the school remaining within the existing building. Works would have to be undertaken over several 6-week summer holiday periods and would take a number of years to complete. This staggered and interrupted construction programme would also lead to significant cost increases and the school would, essentially, be a construction site over this period. There could also be significant impact on the educational environment for pupils and staff if major construction works are undertaken while the school is operational. 4.2. The upgrading of the utilities will cause significant disruption to the ceiling and wall partitions which are required to be undertaken in zones. The over cladding, windows and door replacement and new roof all have implications for the safe movement of staff and pupils throughout, due to scaffolding and the Access Strategy requirements, and would cause significant Health and Safety issues. Timescales would also be significantly increased by possibly two to three years as some works could only be undertaken when the school is closed. Housing and Technical Resources are concerned about the Health and Safety issues and the disruption to Education implications of undertaking the works with the school continuing to operate on the site. 4.3. It is, therefore, proposed to take the opportunity to decant Our Lady of Lourdes Primary School to the new Jackton Primary School building currently being constructed close by as part of the East Kilbride Community Growth Area. The new non-denominational Primary School at Jackton is currently programmed to open to pupils in August 2023. However, in the first year of operation, the new building will have sufficient accommodation to house both schools. Pupils from Our Lady of Lourdes Primary School would be transported to the new school for the period of the decant. It would not be possible to decant the Our Lady of Lourdes Nursery Class to the new school and Early Years have proposed that these children be accommodated at the new Kilbryde Early Learning and Child Care Centre. The distance between Our Lady of Lourdes Primary School and the proposed decant is 3 miles and the Jackton site is within the catchment area of Our Lady of Lourdes Primary School. The distance between Our Lady of Lourdes Primary School and Kilbryde ELCC Centre is 0.8 miles. 4.4. Subject to the successful completion of the new Primary School at Jackton in summer 2023 and approval of City Deal Funding, the proposal is that the decant of Our Lady of Lourdes Primary School would commence in August 2023, for 12 months, with the School returning to their extended and upgraded school building in August 2024. Consultation around this will be required with both schools and their parents. 5. Employee Implications 5.1. Education employee resources at Our Lady of Lourdes Primary School would continue to be provided by means of existing staffing protocols and agreed management structures. Catering and Janitorial personnel at Our Lady of Lourdes Primary School would be redeployed within the East Kilbride area for the period of the decant but will be given the opportunity to return to Our Lady of Lourdes Primary School at the end of the decant period. 6. Financial Implications 6.1. The estimated budget requirement of the proposed extension and upgrading of Our Lady of Lourdes Primary School is £4.754 million. These costs will be subject to detailed design and tender. 34
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6.2. The identified budget requirement includes the costs of transport and decanting the pupils and staff as this is a necessary requirement to upgrade the building to South Lanarkshire standards. 6.3. The proposal to fund the estimated spend of £4.754 million is noted in Table 1 and includes monies from the Glasgow City Region City Deal, Developer Contributions from the local area and an element of the Scottish Government’s Free School Meals funding which will be used to upgrade the kitchen facilities as part of the project. Table 1: Our Lady of Lourdes Primary School – Estimated Budget and Funding Estimated Budget Required (£m) Funding Glasgow City Region City Deal (£m) Developer Cont.’s (£m) Scottish Govt Free School Meals (£m) Total Funding (£m) Cost of Extension, Upgrade and Modernisation 4.754 1.000 3.354 0.400 4.754 6.4. A Change Control request will need to be submitted to the Glasgow City Region City Deal Cabinet in the first instance, requesting funding of £1 million be reallocated within the Council’s overall City Deal Programme, which has been specifically earmarked for this project. If successful, submission of a Final Business Case will follow on completion of a tender exercise. 6.5. There is a risk that the change control request for City Deal funding is unsuccessful. Should this be the case, the overall project plans will need to be reviewed in the context of the funding available. 6.6. The timing of the receipt of developer contributions is dependent on house building activity. Based on the most recent predictions of annual expenditure and income, and the other Education commitments which have already been approved (Jackton Primary School, St Andrew’s and St Bride’s High School), the developer contributions from the East Kilbride Community Growth Area will not be available for the Our Lady of Lourdes Primary School project until later years. This will create a temporary shortfall in funding commencing in financial year 2023/2024 to 2027/2028. 6.7. In order to address this, the Council will have to borrow to manage this on a cash-flow basis. It is estimated that this will be repaid during 2027/2028 and 2028/2029, when the developer contributions are profiled for receipt. The expenditure and income profile, as well as the cost of temporary borrowing, is shown in Appendix 1. 6.8. Based on the assumed profile of expenditure and income, Appendix 1 shows a total cost of borrowing of £0.276 million. This will be funded by developer contributions earmarked for Our Lady of Lourdes but not included in the capital expenditure funding package above. 6.9. As noted in Section 6.6, the position detailed in Appendix 1 is based on the current assumed receipt date for developer contributions. There is a risk that these income streams, which are dependent on the house-building market, will be impacted by the current economic climate and developments will not progress as planned. There is, 35
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therefore, an additional risk in terms of when the developer contributions for the East Kilbride Community Growth Area will be received, falling beyond current estimates of financial year 2027/2028. For each year of a delay, this would result in an £0.073 million additional cost of borrowing which would need to be managed within the Education Resources Budget. 6.10. Furthermore, given the current economic climate, there is a risk that the developments at East Kilbride Community Growth Area do not progress at all beyond a given point. Should this happen, the overall shortfall in funding for this project could be up to £2.420 million. This funding gap would need to be considered in the context of future year Capital Programmes. 7. Climate Change, Sustainability and Environmental Implications 7.1. The extension and refurbishment design will include a range of sustainable technology to reduce the carbon footprint of the building. The works will include sustainable/renewable technologies relating to lighting, power, heating and energy generation systems which will be utilised to help produce as close to a ‘carbon neutral’ building as possible, within the budget available. 8. Other Implications 8.1. There are no other implications identified. 9. Equality Impact Assessment and Consultation Arrangements 9.1. There was no requirement to carry out an Equality Impact Assessment in terms of this report. Tony McDaid Executive Director (Education Resources) 16 February 2023 Link(s) to Council Values/Priorities/Outcomes Accountable, effective, efficient and transparent Fair, open and sustainable Our children and young people thrive Previous References Acquisition of Our Lady of Lourdes Primary School Building Item 6, Education Committee 19 January 2021 List of Background Papers Education Committee 19 January 2021. Acquisition of Our Lady of Lourdes Primary School Building Contact for Further Information If you would like to inspect the background papers or want further information, please contact:- Vance Sinclair, Partnership Development Manager Ext: 01698 452065 (Tel: 2065) E-mail: vance.sinclair@southlanarkshire.gov.uk 36
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Appendix 1 Our Lady of Lourdes – Profile of Spend / Income and Cost of Borrowing 21/22 Actual £m 22/23 Est. £m 23/24 Est. £m 24/25 Est. £m 25/26 Est. £m 26/27 Est. £m 27/28 Est £m 28/29 Est £m Total Est. £m Expenditure 0.050 0.300 3.000 1.404 - - - - 4.754 Income: - City Deal - - 1.000 - - - 1.000 - Developer Contributions 0.050 0.300 0.410 0.165 0.009 - 1.700 0.720 3.354 - Free School Meals 0.400 0.400 Total Income 0.050 0.300 1.810 0.165 0.009 - 1.700 0.720 4.754 Surplus/(Deficit) - - (1.190) (1.239) 0.009 - 1.700 0.720 - Cumulative Surplus/(Deficit) - - (1.190) (2.429) (2.420) (2.420) (0.720) - - Cost of Borrowing - - 0.035 0.073 0.073 0.073 0.022 - 0.276 37
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Agenda Item Report to: Executive Committee Date: 1 March 2023 Report by: Director, Health and Social Care, Executive Director (Education Resources), Executive Director (Finance and Corporate Resources) Subject: Family Support Strategy and Whole Family Wellbeing Funding 1. Purpose of Report 1.1. The purpose of the report is to:- [purpose] provide the Committee with an update on the Family Support Strategy to deliver earlier, more preventative, strengths-based help and support to families, preventing escalation to care and protection proceedings update the Committee on the proposed spend as agreed by the Children’s Services Strategy Group for the Whole Family Wellbeing Funding £1.827m update the Committee in relation to the proposed spend for the £0.8m non- recurring funding for Children and Family support as identified in budget setting for 2022/2023 update the Committee on national and local drivers informing the Strategy including the #KeepthePromise Plan 21-24 known as ‘The Plan’ and funding aligned to develop and enhance earlier help and family support services [1purpose] 2. Recommendation(s) 2.1. The Executive Committee is asked to approve the following recommendation(s):- [recs] (1) that the contents of the report be noted; and (2) that the additional posts highlighted at section 6 of the report be approved. [1recs] 3. Background 3.1. The Promise identified the need to significantly upscale Family Support Services and identified whole family support as a priority in The Plan 21-24. The COVID-19 Children and Families Collective Leadership Group’s (CLG) vision and blueprint set out a clear ambition that children and families should be able to access preventative, needs-based support when they need it, for as long as they need it. This embodies the ethos of the Promise by supporting families at their time of need rather than at crisis point, enabling them to flourish and reduce the chances of family breakdown and of children entering the care system. 7 39
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3.2. The overall funding package comprises funding from the Scottish Government matched by funding from the Corra Foundation, NHS funding routed through the Health and Social Care Partnership/ IJB and Council funding committed as part of the 2022 budget investment. These funding streams are interlinked and can be illustrated in the table below to demonstrate the partnership commitment to this initiative. Table 1 Funding Streams Whole Family Wellbeing £1,827m Council Change Fund £0.8m Health and Social Care Partnership (IJB) £0.570m Corra Foundation £0.487m Full details of the financial implications are highlighted at section 7 of the report that also highlight funding duration for each funding stream. In response to this, the Scottish Government has committed to investing £500m Whole Family Wellbeing Funding (WFWF) over the lifetime of this Parliament to support the whole system transformational change required to reduce the need for crisis intervention, and to shift investment towards prevention and early intervention. This is a significant investment and key element of how we will collectively #KeepthePromise by ensuring families can access the support they need, where and when they need it. 3.3. The year one funding is, therefore, intended to be flexible to support Children’s Services Partnerships to assess local gaps and opportunities and to plan activity accordingly, with a view to laying the groundwork for scaling up transformational activity in subsequent years of the WFWF. The award identifies 6 spending criteria associated with the fund:- 1. Planning and decision-making are collaborative. 2. Decisions are based on an assessment of local need. 3. In line with Children’s Rights and statutory guidance on Children’s Services Planning, decisions are taken with appropriate consultation of children, young people, families, and existing local providers including Third Sector organisations not currently commissioned by statutory CSP Partners. 4. Funding is not used to replace or substitute funding for existing services but supports investment in transformational activity and service redesign. 5. Commissioning and procurement of services supports the outcomes sought from the funding. 6. Arrangements are in place to ensure that monitoring and reporting contributes to evaluation of the funding and demonstrate progress against the outcomes sought. 3.4. The funding must not be used to support business as usual or be used to replace funding already in the system for providing support to families. Rather, the funding must be used as additional resource to support transformation of the system in line with the National Principles of Holistic Family Support and the ambition to #KeepThePromise. The funding awarded to South Lanarkshire is £1.827m for year one. 40
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3.5. In relation to the 6 criteria identified above, South Lanarkshire Children’s Services Planning Group has undertaken several consultation events and sessions across stakeholders and partners. There is a confidence amongst the Partnership that we have undertaken the use of our data, engaged with service users including children and carers, have made the connections between other partnerships such as Alcohol and Drug partnership (ADP) as well as the Gender Based Violence Partnership and Community Justice Partnership. Following all the above, a draft proposal for commitments to the WFWF has been agreed. 3.6. It should be noted also that as well as the funding stream identified above in relation to the Whole Family Wellbeing Fund (£1.827m), the Council have also committed £0.8m to support a change programme for Family Support. There is also a Corra Foundation grant for peer support for those with Lived and Living Experience. This is a 5 year grant of £0.487m and the Health and Social Care Partnership have also committed £0.570m to recruit staff to support parenting initiatives and child development and growth through play. This will include utilising evidence-based parenting programmes such as Solihull approach to support children and families. This will support multi-disciplinary teams in delivering a whole family wellbeing approach and will run in parallel with the Council Change Fund (£0.8m) for Family Support workers. 3.7. It should also be noted that as part of the Children’s Service Plan for 2023-2026 consultation is currently underway through a Joint Strategic Needs Analysis and the proposals for the early intervention and prevention initiatives highlighted further at section 4 of the report have all been supported across the partnerhsip and wider stakeholders. 4. Proposals 4.1. Early Help Hub. Social Work undertook a test of change in relation to managing and responding to Requests for Assistance and referrals at the front door of the Service. This saw the creation of an Earlier Help Hub (EHH). The EHH was launched in November 2021 with the aim of providing earlier, more preventative, strengths-based help and support to families. The intention was that this more preventative approach to responding to social work referrals would reduce the need for care and protection proceedings by providing the right help, at the right time and would also create more capacity in locality statutory teams to respond to children in need of care and protection. 4.2. The EHH has already started to improve the system and culture in South Lanarkshire as it has brought partners and families together to collaboratively design and implement an earlier, more preventative service that will align us closer to the values of The Promise. 4.3. The EHH has been very positively received by families and core partners as they see it as an opportunity to receive an earlier, more preventative, strengths-based and collaborative response from social work and wider partners. 4.4. In a short space of time the team has developed an excellent knowledge base of available resources and built good relationships with partners to ensure families can get the right help, at the right time. 4.5. The data from the first 5 months of operation indicates that only 7% of 1097 welfare referrals were passed to child and family statutory teams and 15% who did not require social work support were supported to engage with a third sector agency. 41
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4.6. The proposal is to upscale this to deliver services in the localities through the current two-family Centres based at Cambuslang and Blantyre and two new Centres in East Kilbride and Lanark. Premises have already been identified that are child and family friendly. The proposal is to use current staff and create additional staff alongside the current Family Centre staff to deliver an Early Help Hub model in each locality. 4.7. This will be augmented by £800,000 identified from the Council budget to recruit Family Support Workers in the short term (two years) 4.8. Pathfinder Programme. As a result of discussion and collaboration between Education, Social Work and through the Children’s Services Planning Group, the Pathfinder Initiative was established in 3 secondary schools in Cambuslang and Rutherglen in 2019. The aim of the initiative was to promote effective early intervention and to consider how best to promote resilience and support young people on the ‘edges of care’, who experienced significant barriers to learning and whose health and wellbeing were at risk. This supported the agenda of the Scottish Government’s Independent Care Review. 4.9. A decision was made to recruit and establish a team of 6 Pathfinder officers with Community Learning and Development background and skills. Two of the team would be based in each of the 3 schools in the locality and would be managed by the South Lanarkshire Youth, Family and Community Learning Service, linking with the local Social Work Teams through Family Support Workers to address school based and community-based issues for young people on the edge of care. This would support an intervention approach which considered the whole environment of the young person for example, home, school, and the community. 4.10. The initiative was independently evaluated and revealed an extremely positive evidence base for the contribution of the Pathfinder team in the three schools in influencing improved life trajectories of vulnerable young people and also in strengthening effective partnership working. 4.11. It is proposed and supported by all partners to extend this initiative through the commitment of 8 FTE Pathfinder officer posts for the duration of the WFWF. 5. Third Sector Interface 5.1. The grant requires evidence of partnership across governance groups. The Children’s Services partnership jointly with the ADP submitted a bid to the Corra Foundation for Peer Review Workers to work with the EHH and the wider partnership as an early intervention approach and have been successful in securing £487,430 to recruit peer support workers to work with families affected by parental substance misuse over a 5 year period, with £97,468 being made available each year. These posts will be based in the EHH. 5.2. Also, as part of the Partnership approach, Children First were commissioned to deliver Family Group Decision Making (FGDM). This is an evidenced based intervention with families in crisis, with referral direct or through the EHH. 5.3. These tests of change and pilots have now developed into a multi-agency and multi- disciplinary partnership approach. We have identified the need for a Parenting Coordinator, 8 parenting Family Support Workers an administrative data post and a Reflective Practice Coordinator to work with children and families experiencing trauma as well as upskilling and supporting staff. There is a commitment to train dedicated parenting support workers through the third sector to deliver early help 42
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and interventions within an emerging early intervention strategy developing for South Lanarkshire. 5.4. The aim of the WFWF is to create the capacity to support the development of holistic whole family support services. It has also set out the ambition that, by 2030, at least 5% of community-based health and social care spend should be going towards preventative whole family support measures. 5.5. Long term outcomes for children, young people and families through the WFWF will contribute to:- reduction in families requiring crisis intervention through a shift in investment towards prevention and early intervention reduction in the number of children and young people living away from their families, by strengthening and supporting families to stay together where children are safe and feel loved increase in families taking up wider supports, such as employability support, contributing to a reduction in children living in poverty or entering poverty across the six priority family types as identified in the first Tackling Child Poverty Delivery Plan evidence based parenting programmes based on need will improve the outcomes for children and young people . For example, intervening early with behavioural problems reduces negative social outcomes , including school disruption, family stress and disfunction, drug and alcohol problems, and crime and antisocial behaviour 5.6. Through the Children’s Services Planning Group, the aim is to develop and establish a whole family support service that is multi-disciplinary and multi skilled. The Service will be delivered within the four localities through the EHH. Screening and direct intervention at locality level will ensure that families are not passed between services. 6. Employee Implications 6.1 The following posts at 6.3 will be added to Social Work Resources and Education Resources establishment on a permanent basis with the exception of the Service Manager post which is 12 months fixed term. 6.2. It is recognised that if funding does not continue (proposed for the duration of the current Parliament) at the end of the funding the postholders will be transferred to vacancies within the establishment. 6.3. Whole Family Wellbeing Fund Post Proposed Number of Additional posts Grade SCP Range Hourly Rate Annual Salary Gross Cost inc on costs 30.3% Total Costs Service Manager 1 Grade 5 Level 8 107 - 108 £36.64 - £37.17 £66864 - £67,832 £87,124 - £88,384 £87,124 - £88,384 Team Leader 2 Grade 3 Level 8 79 -80 £24.28 - £24.64 £44,309 - £44,966 £57,737 - £58,590 £115,468- £117,180 Social Workers 2 Grade 3 Level 4 72 -74 £22.07 - £22.53 £40,276 - £41,115 £52,479 - £53,573 £104,958 - £107,146 43
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Pathfinder Officers 8 Grade 3 Level 2 63 -65 £19.47 - £20.00 £35,531 - £36,498 £46,297 - £47,557 £370,373 - £380,455 Parenting Support Workers 8 Grade 2 Level 1 - 4 34- 57 £13.25 - £17.88 £24,180 - £32,629 £31,506 - £42,516 £252,052 - £340,127 Reflective Practice Co- ordinator 1 Grade 3 Level 8 79 -80 £24.28 - £24.64 £44,309 - £44,966 £57,737 - £58,590 £57,737 - £58,590 Promise Development Worker 2 Grade 2 Level 2 - 39 - 40 £14.15 - £14.33 £25,822 - £26,151 £33,647- £34,075 £67,294 - £68,150 Clerical Assistant 1 Grade 1 Level 4 30 - 31 £12.59 - £12.76 £22,975 - £23,286 £29,937 - £30,341 £29,937 - £30,341 25 £1,084,702 - £1,190,373 Council Change Fund 6.4. The following posts will be added to the Social Work establishment for a fixed term of 23 months. Post Proposed Number of Additional posts Grade SCP Range Hourly Rate Annual Salary Gross Cost inc on costs 30.3% Total Costs Family Support Workers 7 Grade 2 Level 1 - 4 34- 57 £13.25 - £17.88 £24,180 - £32,629 £31,506 - £42,516 £220,545 - £297,611 Corra Funding 6.5. The following posts will be added to the Social Work establishment on a permanent basis and at the end of the funding the permanent posts will be transferred to vacancies within social care. Post Proposed Number of Additional posts Grade SCP Range Hourly Rate Annual Salary Gross Cost inc on costs 30.3% Total Costs Peer Support Workers 3.5 Grade 1 Level 4 30 - 31 £12.59 - £12.76 £22,975 - £23,286 £29,937 - £30,341 £104,780 - £106,195 7. Financial Implications Whole Family Wellbeing Funding (WFWF) 7.1. The Scottish Government have provided £1.827m in 2022/2023 for the WFWF to support local authorities to start to shift spending away from crisis intervention and more towards preventative whole family support. 7.2. The cost of the 25 FTE posts in table 1 is £1.190m. Previous reports to Social Work Committee in January 2021 and June 2021 established a Fieldwork Manger, 2 Team Leader, 3 Family Support Worker, a Parenting Support Co-Ordinator and Team Leader for Supported Carers with the posts being funded from the Community 44
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Mental Health & Wellbeing Fund (CMH&WF). These posts are now being aligned to the Whole Family Wellbeing funding at a cost of £0.437m. 7.3. Infrastructure Costs of £0.287m are required for property costs for the new family support hubs in East Kilbride and Lanark (£0.070m), IT costs, including phones for new staff (£0.040m), a programme budget for Groupwork and Family support programmes for individuals and families (£0.030m) and third sector support to enable capacity building for early intervention parenting support (£0.147m). 7.4. The total cost of the proposals is £1.914m, of which £1.826m is recurring. The cost of the Service Manager post which is fixed term for 12 months will be funded from slippage in the funding in 23/24 due to the timescale to recruit and appoint to posts. Summary of costs New posts £1.190m Existing posts £0.437m Infrastructure costs £0.287m Total costs £1.914m Fixed term Service Manager post (£0.088m) Recurring total costs £1.826m Change Fund 7.5. £0.8m Change fund has been allocated to Social Work to develop the family support strategy over a two-year period. The cost of the posts at Table 2, which will be aligned to the Family Support Hubs, will require approximately £0.6m from this funding over the two-year period. The Corra Foundation 7.6. £0.487m has been awarded over a five-year period by The Corra Foundation to recruit peer support workers to work with families affected by parental substance misuse. These posts will be aligned to WFWF. This equates to £97,468 per annum. The cost of the posts in table 3 is £0.106m and the shortfall of £0.009m will be managed within the overall WFWF. 8. Climate Change, Sustainability and Environmental Implications 8.1. There are no implications for climate change, sustainability, or the environment in terms of the information contained in this report. 9. Other Implications 9.1. There are no risk implications associated with this report. 9.2. There are no other issues associated with this report. 10. Equality Impact Assessment and Consultation Arrangements 10.1. This report does not introduce a new policy, function, or strategy, or recommend a change to existing policy, function, or strategy and, therefore, no impact assessment is required. 10.2. Consultation has taken place with the Children’s Services Strategy Group, stakeholder feedback through Inclusion as Prevention who have informed the Partnership as well as the consultation and engagement events undertaken by the Community Mental Health and Wellbeing work involving 3500 children. Parent and carer feedback has been gained through the parenting support pathway and Champions Board engagement and consultation about ‘what works’ in early intervention. Engagement also took place with the Gender based Violence 45
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partnership about non stigmatised supports and the Alcohol and Drug Partnership in relation to people with Lived and Living Experience and My Support Day Family support to seek family and carers views. Soumen Sengupta Director, Health and Social Care Tony McDaid Executive Director (Education Resources) Paul Manning Executive Director (Finance and Corporate Resources) 28 December 2022 Link(s) to Council Values/Priorities/Outcomes Focused on people and their needs We will work to put people first and reduce inequality People live the healthiest lives possible Previous References None List of Background Papers None Contact for Further Information If you would like to inspect the background papers or want further information, please contact:- Liam Purdie, Head of Children and Justice Services Phone: 01698 454887 Email: liam.purdie@southlanarkshire.gov.uk 46
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Report Agenda Item Report to: Executive Committee Date of Meeting: 1 March 2023 Report by: Executive Director (Finance and Corporate Resources) Subject: Records Management Policy 1. Purpose of Report 1.1. The purpose of the report is to:- request approval for the revised Records Management Policy advise the Committee on the communication plan for the Policy [1purpose] 2. Recommendation(s) 2.1. The Committee is asked to approve the following recommendation(s):- [recs] (1) that the Records Management Policy, attached as Appendix 1 to the report, and the proposed arrangements for its communication to employees be approved. 3. Background 3.1. The first South Lanarkshire Council Records Management Policy was approved in June 2006. This was revised in 2012 and again in 2016. 3.2. The Policy was reviewed by the Information Governance Board during 2022 and some amendments were made to bring it up to date. 3.3. The Records Management Policy is the overarching policy which provides the Council with a framework upon which to base the management of the records it creates, receives, holds, uses and manages. It is an important policy especially in light of The Public Records (Scotland) Act 2011 which was implemented in January 2013. 3.4. This Act requires public bodies to set out arrangements for the management of their records and to prepare a Records Management Plan for submission to the Keeper of the Records. 3.5. This policy assists South Lanarkshire Council to meet its obligations under the Act and provides an important framework from which other guidelines and procedures for managing records are developed. 4. What Does the Policy Cover? 4.1. The Records Management Policy, which is attached as Appendix 1 applies to all records created, received, held, used and managed by South Lanarkshire Council irrespective of the format of the records and to all permanent and temporary employees of South Lanarkshire Council. 8 47
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4.2. An example of record formats is listed below:- word-processed correspondence, minutes of meetings, policies, strategies, case files, spreadsheets, and other documents stored maps, plans, drawings and photographs, whether analogue or digital; email messages CCTV footage (including that taken from body worn cameras) SMS text messages, tweets, and social media entries data/documents generated and stored in electronic systems such as Electronic Document Records Management Systems, People Connect or SEEMiS 4.3. Benefits of Good Records Management Systematic management of records allows the Council to:- know what records it has, and locate them easily increase efficiency and effectiveness make savings in administration costs, both in staff time and storage support decision-making be open, transparent, and accountable achieve business objectives and targets provide continuity in the event of a disaster by identifying vital records demonstrate authenticity, reliability, integrity, and accessibility meet legislative and regulatory requirements and apply best practice 5. Content of the Policy 5.1. The Records Management Policy has been revised and updated from the 2016 version. It does not differ greatly from the previous version in terms of scope, purpose and responsibilities, however, it now reflects, in section 5, that Paul Manning, Executive Director (Finance and Corporate Resources) is the Council’s Senior Information Risk Officer and also has responsibility for the Council’s Records Management Plan. Section 6 includes changes in legislation since the previous policy update, for example the UK GDPR is now included. The standalone section 7 on electronic document management systems (EDRMS) has been deleted as this content is now covered in other sections of the policy and reference to EDRMS has been changed to ECMs (electronic content management system). Section 11, Training, has been updated and now includes cyber security as well as the updated learn on line courses available. 6. Communication 6.1. The Records Management Policy will be circulated to employees by means of a personnel circular and management bulletin. The policy will be made available for download from the intranet. 6.2. Resources will be asked to cascade the revised Policy through Resource management teams and team meetings bringing it to the attention of employees. 6.3. The Policy will join a suite of information governance related policies being developed by the Information Governance Board. 7. Employee Implications 7.1. There are no employee implications. 8. Financial Implications 8.1. There are no financial implications. 48
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9. Climate Change, Sustainability and Environmental Implications 9.1. There are no implications for climate change, sustainability, or the environment in terms of the information contained in this report. 10. Other Implications 10.1. The Public Records (Scotland) Act 2011 places statutory duties on the Council as a Scottish public authority to submit a Records Management Plan and to undertake a programme of improvement to satisfy the provisions of the legislation. The Records Management Policy meets the requirements of the legislation. 11. Equality Impact Assessment and Consultation Arrangements 11.1. There are no equal opportunity assessment implications. 11.2. The Records Management Policy has been developed in consultation with the Information Governance Board and Council Resources. Paul Manning Executive Director (Finance and Corporate Resources) 13 February 2023 Link(s) to Council Values/Priorities/Outcomes Accountable, effective, efficient, and transparent Fair, open, and sustainable Previous References Executive Committee, 21 November 2012 Executive Committee 11 May 2016 List of Background Papers Records Management Policy v1.0 Records Management Policy v2.0 Records Management Policy v3.0 Contact for Further Information If you would like to inspect the background papers or want further information, please contact:- Geraldine McCann, Head of Administration and Legal Services Ext: 4568 (Tel: 01698 454568) E-mail: geraldine.mccann@southlanarkshire.gov.uk 49
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Records Management Policy v4.0 1 Appendix 1 Records Management Policy If you need this information in another language or format, please contact us to discuss how we can best meet your needs. Phone 0303 123 1015 or email equalities@southlanarkshire.gov.uk 8 51
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Records Management Policy v4.0 2 Document Control Log Version Date Comments V3.1 20/09/2021 Revised draft prepared by Lucy Cienkus for IGB comments V3.2 Changes made to draft V3.1 following IGB comments – replaced Data Protection 2018 with UK GDPR, replaced EDRMS to ECMs, changes to responsible records manager (element 2), removed section 7 EDRMS and other systems by incorporating content into other sections, updated training courses, re-ordered some sections, minor formatting, minor addition to section 9 Alternative formats, updated contacts, fixed broken links to documents. V3.2 19/10/2022 Circulated to IGB for final comments/approval Approvals Version Date Group V4.0 01/11/2022 IGB V4.0 Executive Committee 52
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Records Management Policy v4.0 3 Contents 1. Introduction 2. Definition of a record 3. Benefits of records management 4. Purpose and scope 5. Responsibilities 6. Relevant legislation and standards 7. Principles and implementation of good records management 8. Digital Continuity and Preservation 9. Alternative record formats 10. Public records created or held by third parties 11. Training 12. Monitoring and review 13. Links to Council policies and guidance 14. Contacts Appendix 1 – definition of key terms Appendix 2 – characteristics of a managed record 53
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Records Management Policy v4.0 4 1. Introduction Records are a vital day to day source of information providing evidence on the Council’s actions, policies, and decisions. As a corporate asset, the Council recognises that these records must be systematically managed throughout their life-cycle to ensure their proper use for as long as is needed. The Public Records (Scotland) Act 2011 places an obligation on the Council to prepare and implement a Records Management Plan (RMP), approved by The Keeper, which sets out proper arrangements for the management of records within the Council. The creation of a records management policy is a mandatory element (Element 3) of the RMP and this policy together with associated policies and guidance, provides a framework to enable continuous improvement in the way in which the council manages and uses its records and information. 2. Definition of a record A record is any information created, received, or used by South Lanarkshire Council, irrespective of format, in connection with its business activities or the conduct of its affairs which is retained as evidence of those activities. Definitions of key terms used in this policy are provided in Appendix 1. Records can be: • Word-processed correspondence, minutes of meetings, policies, strategies, case files, spreadsheets, and other documents • Stored maps, plans, drawings and photographs, analogue or digital • Email messages • CCTV footage (including footage from body worn cameras) • SMS text messages, tweets, and social media entries • Data/documents generated and stored in electronic systems such as Electronic Content Management Systems (ECM), People Connect or SEEMiS See appendix 2 for an outline of the characteristics of a managed record. 3. Benefits of records management Records management is the systematic management of the Council’s records from their creation, receipt, maintenance, use and disposal. Systematic management of records allows the council to: • know what records it has, and locate them easily • ensure records are up to date, accurate and reliable • manage records for as long as they are needed • increase efficiency and effectiveness • save physical and electronic storage space • reduce duplication • support decision-making • be open, transparent, and accountable • achieve business objectives and targets • provide continuity in the event of a disaster by identifying vital records • demonstrate authenticity, reliability, integrity, and accessibility • meet legislative and regulatory requirements and apply best practice. • identify records with long term value that require preservation 54
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Records Management Policy v4.0 5 Poor and unmanaged records make performance of the Council’s duties more difficult, costs time, money and resources, and puts the Council and services users at risk in terms of security breaches, prosecution and loss of good reputation. 4. Purpose and scope This Records Management Policy forms part of the Council’s wider information strategy framework and associated suite of procedures and guidance for the management of records across the council. As set out in our Records Management Plan, they are intended to ensure that Council records are managed efficiently, transparently, and consistently throughout their life cycle from the point they are created or received, through maintenance and use, to the time they are destroyed or permanently preserved as historic archival records. The purpose of this policy is to: • provide a corporate approach to records management. • identify relevant legislation and regulations associated with records management. • set out specific records management responsibilities within the Council. • encourage a records management culture where all employees recognise the value and benefits of effective records management This policy applies to: • all Council Resources and Services in South Lanarkshire Council. • all council staff, volunteers, including staff on secondment or work experience placement • all third parties that manage and process information on the organisation’s behalf when supporting the delivery of Council statutory or business functions. • all records created, received, maintained and used by the Council in the course of carrying out its business activities and it applies to all records regardless of their medium or format. 5. Responsibilities The Council In line with its obligations under Section 53 of the Local Government (Scotland) Act 1994, the Code of Practice issued in terms of section 60 of the Freedom of Information (Scotland) Act 2002, the UK General Data Protection Regulations (GDPR), where the information is or contains personal data, and the Public Records (Scotland) Act 2011, the Council, has responsibility for ensuring the proper management of its records. South Lanarkshire Council will create, maintain and manage records which document its decision-making process and business activities. By doing so, the Council will be more able to meet its statutory, regulatory, social and organisational obligations. Senior Officer responsible for the Council’s Records Management Plan The Executive Director, Finance and Corporate Resources has overall responsibility for the management of records within the Council including management of the Council’s Records Management Plan as set out in the Public Records (Scotland) Act. The Executive Director is also the Senior Information Risk Officer (SIRO) for the Council. Records Management responsibility The Legal Services Adviser/Information Compliance Manager has overall responsibility for developing and implementing the Records Management Plan (RMP) and is The Keeper’s initial point of contact for records management issues. The Legal Services Adviser/Information Compliance Manager is also responsible for managing the Council’s Archives and Records Centre. 55
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Records Management Policy v4.0 6 Information Governance Board Chaired by Head of Administration and Legal Services, the Information Governance Board, has representation from all Resources, and responsibility for helping drive improvements within information governance principles across the Council. The Information Governance Board recognises that records management is a key component to achieving good information governance practice. The Information Governance Board has responsibility for the monitoring and review of the Council’s Information Strategy, Records Management Plan, Records Management Policy, and the implementation of the vital records programme. Archives and Information Management Service (AIMS) The Archives and Information Management Service sits within Administration and Legal Services, Finance and Corporate Resources. This service is responsible for: • Records management policy and procedures • Best practice guidance • Records retention and disposal schedules and policies • Selection, transfer and long-term preservation of historical records to the Council’s Archive • Management of the Council’s Archives and Records Centre The Archives and Information Management service will have appropriate levels of professional and administrative staff to provide an effective service to South Lanarkshire Council. IT Services IT Services has responsibility for managing the Council’s network infrastructure, ensuring systems continuity and security, and facilitating the business of the Council by advising on the appropriate tools. The IT Business teams also have responsibility for ensuring that records management arrangements are considered and built into the specification for any new business system. All Resources Individual Resources are responsible for the implementation of records management procedures across their Services. Resources must ensure that appropriate employees are designated to implement records management procedures and liaise with the Archives and Information Management Service as needed. All Council employees It is the responsibility of every employee to manage the Council’s records, a corporate asset, responsibly and in line with records management procedures, including specific arrangements in their service or Resource. 6. Relevant legislation and standards Records must be managed in accordance with relevant legislation, regulations and existing professional standards. These include the following: • Local Government (Scotland) Act 1994 • The UK General Data Protection Regulation (UK GDPR) • Human Rights Act 1998 • Freedom of Information (Scotland) Act 2002 • Environmental Information (Scotland) Regulations 2004 • Public Records (Scotland) Act 2011 • BS ISO 15489 Standard on best practice in records management • BS 10008:2008 Evidential weight and legal admissibility of electronic information 56
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Records Management Policy v4.0 7 • Pupils’ Educational Records (Scotland) Regulations 2003 • The Re-use of Public Sector Information Regulations 2015 • Information Commissioner’s Surveillance camera code of practice • Other relevant statutory and regulatory obligations covering business functions such as Health and Safety and Finance. 7. Principles and Implementation of good records management South Lanarkshire Council is committed to the development and implementation of procedures and guidance to facilitate the creation and maintenance of authentic, reliable, and useable records capable of supporting its business activities for as long as they are required. The guiding principle of records management is to ensure that information is secure and accessible when and where it is needed, in an organised and efficient manner, in accordance with an agreed business classification scheme and in a well-maintained environment. Procedures will be implemented to ensure the appropriate management of records from their creation or receipt by the Council, through their active use until final disposition – either by transfer to the Council’s Record Centre or secure and confidential destruction. A small percentage of our records will be selected for permanent preservation as part of South Lanarkshire Council’s Archives, ensuring the maintenance of the corporate history. These procedures will be based upon the Council’s statutory and regulatory requirements, professional standards and best practice. The Council recognises the Resource requirements to effectively implement records management procedures across its Services and it will ensure that appropriate resources are available across the Council. The Council will deliver good records management by implementing processes and procedures including but not limited to: • Development of a corporate file plan for the Council’s Enterprise Content Management system (ECM) Objective based on business functions • Development and implementation of retention and disposal schedules covering all business areas of the Council applicable to all record formats • Development of vital records plans to assist Resources in recovering records essential to the running of their business in the event of a disaster • Operating a managed off-site storage facility for the Council’s non-current records and archives • Implementing effective back-up procedures for the maintenance and security of electronic records • Appropriate management of personal, sensitive or confidential information • Clearly documented records management requirements to be included from the outset into any new business system specified and provision made for how the records created by the system will be appropriately retained, deleted or preserved for as long as needed in the future • Clearly documented records management requirements to be included as part of any major change to IT systems and business processes • New systems intended for the processing of personal and sensitive personal data must have a privacy impact assessment carried out at the conception stage of the project. This assessment will include the consideration and implementation of proper retention and destruction policies/procedures for the personal data involved. • Ensuring employees receive appropriate training to carry out their responsibilities 57
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Records Management Policy v4.0 8 • Publishing information governance policies, procedures, and guidance on the intranet for all council staff to access. 8. Digital continuity and preservation Digital continuity is the ability to maintain the digital information of a creator in such a way that the information will continue to be available, as needed, despite changes in digital technology. It focuses on making sure that information is complete, available, and usable for business needs. Information is usable if it can be: • found when needed • accessed when needed • worked with it in the way required • understood in terms of what it is and what it is about • trusted that it is what it says it is Managing digital continuity protects the information needed to do business. This enables the council to operate accountably, legally, effectively, and efficiently. It helps the council protect its reputation, make informed decisions, reduce costs, and deliver better public services. If information is lost because digital continuity has not been managed properly, the consequences can be as serious as those of any other information loss. Resources should be aware of the risks associated with digital records and that, as technology advances, appropriate action must be taken in liaison with IT Services, to ensure that electronic records that are required to be retained long term are migrated, updated, protected or preserved as appropriate so that they remain authentic, trustworthy, accessible, and useable for as long as is needed. 9. Alternative record formats Consideration should be given to records created using electronic mail, SMS text messaging, social media and CCTV footage (including body worn cameras). These records are subject to the same regulations as other formats of records and therefore should be captured, retained, and managed appropriately in corporate systems. This applies not only to records created using council computers and council issued mobile devices but also to official business conducted from private email accounts and private mobile phones or devices. All official Council records must be captured and retained in official systems. An example of this might be an instruction sent by text to a member of staff to carry out a specific duty. To capture this record, an officer might type up a file note on return to the office and save it to the shared drive or the council’s content management system or a case management system. Social media, such as Twitter and Facebook, as well as messaging services such as Microsoft Teams Chat, should also be considered if used for council business and appropriate procedures introduced to capture official council records into corporate systems. An example of records created through Twitter might be responses to complaints received or the publishing of road reports. The Council recognises that this is a new and evolving area and separate guidance regarding this topic will be issued to assist Council employees. A separate social media policy has been approved by the Council. 58
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Records Management Policy v4.0 9 10. Public Records created or held by third parties One of the requirements of the Public Records (Scotland) Act 2011 is that when a public authority is contracting out a function to a private or voluntary organisation, the contracting authority is responsible for ensuring that the records created as part of that contract are managed in an appropriate manner. This means that the Council must have procedures in place to ensure that the private or voluntary organisation is looking after our records appropriately. This will be achieved by: • Adding the requirement (where applicable) to the Pre-Qualifying Questionnaire in the tendering process and asking organisations to advise how they will manage the records created in the process of carrying out the function • Where appropriate, developing procedures to monitor and assess whether organisations are adhering to this requirement. • Particular arrangements put in place where personal data is being “processed” by the contractor on behalf of the Council even if the “processing” is merely storage of the information without the contracting out of a function. This refers to when the council uses an external server or the cloud to hold the information for us. • Provision of a Council Procurement and Data Protection toolkit that contains the contractual provisions and monitoring arrangements by the Council that must be put in place. 11. Training The Council recognises the importance of records management and information management more widely. A suite of core Learn On Line courses is available to help employees carry out their information management duties and encourage a culture where records management is understood and valued. Learn On Line Courses Cyber security – stay safe online Data Sharing 2018 Document verification Email and Online Risk How Data Protection applies to the Council Identifying a request for information Introduction to the Data Protection - 2018 Information management and me Information Governance – an introduction Information Security Processing a request for information Records Management Subject Access Requests 2018 12. Monitoring and review This policy will be reviewed by the Information Governance Board when required or, at the minimum, at least every 5 years. The Information Governance Board will regularly monitor compliance with the policy’s procedures and guidelines making any amendments and improvements as necessary. The Information Governance Board will report on progress to the Corporate Management Team. 59
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Records Management Policy v4.0 10 Resources must monitor and review their own arrangements that have been put in place in order to comply with this policy on a similar regular basis. 13. Associated Council policies and guidance This policy forms part of a suite of Council policies and guidance that relate to records management. These are all available on the intranet and Resources should refer and adhere to these alongside this Records Management Policy. • Information Strategy • Records Management Plan • Information Security Policy • IT Acceptable Use Policy • Information Requests Compliance Policy • Data Protection policy • Employee Code of Conduct • Corporate Standards Policy • Confidential waste guidance • Retention and Disposal Policy • Collection, Transfer and Archiving Policy • Social Media policy • Vital records guidance 14. Contacts Further information on records management and the council’s procedures, is available on the records management pages of the intranet or contact the Archives and Information Management Service: Manager: Bill Dunn, Legal Services Adviser Phone: 01698 45 4564 Email: bill.dunn@southlanarkshire.gov.uk Record Centre: Email: recordcentre@southlanarkshire.gov.uk You can also contact your Information Governance Board representative for further information. 60
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Records Management Policy v4.0 11 Definition of Key Terms Appendix 1 Archives Records which have administrative, evidential, or historical and cultural value over a sustained period of time. File Plan A file plan lists the records in your service and describes how they are organised and maintained. Objective ECM (Enterprise Content Management) Objective ECM (Enterprise Content Management) is an electronic document and records management system. It is a software application designed to facilitate the creation, management, use, storage and disposal of a range of both physical and digital documents and records in an integrated way. Objective ECM can also automate business processes such as workflows and approvals and be integrated with other business systems. Personal data This has a particular meaning under the UK GDPR but, in summary, it is information that relates to a living, identifiable (not necessarily by name) individual. Relating to an individual includes being used by the Council to make decisions about the individual or recorded by the Council to tell it something about the individual. Record Recorded information created, received, or used by South Lanarkshire Council in connection with its business activities or the conduct of its affairs which is retained as evidence of those activities. Records can be held in any format. Records Management The field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposal of records. Record Retention Schedule This is a document drawn up by a service in consultation with the Archives and Information Management Service which sets out all the different sets of records created by the service in conducting its business. It outlines how long each type of record should be retained in the office, stored at the Records Centre and its eventual fate or destruction date. Vital Records Vital records are those without which the Council could not continue to operate in the event of a disruption or disaster. They are records which are required to carry out core functions in a legally compliant manner, they contain information needed to re-establish/continue the business of the Council in the event of a disaster, they protect the Council’s assets and interests, protect employees, customers and stakeholders, and the Council’s reputation 61
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Records Management Policy v4.0 12 Characteristics of a managed record Appendix 2 South Lanarkshire Council must ensure that its records are: Adequate Records must be full enough to meet the purposes for which they are being held. The use of information that is not adequate for its purpose may not be possible or be detrimental to its use in some other way. Authentic Records are reliable - that they represent the information that was used in the business process. It must be possible to prove that the records are what they purport to be and who created them with audit trails. Accurate and reliable Our reputation is maintained through the full and accurate record of the Council’s activities. Records must reflect the business that the Council carries out. Records must be created close to the time of the transaction /activity and created by individuals with direct knowledge of the instruments involved in the transaction /activity. Accessible and useable Records can be readily accessed by those with appropriate authority when required. The context can be established through links to other records in the transaction /activity. Complete and integral Records must be sufficient in content, context, and structure to reconstruct the relevant activities and transactions. The records must be complete and unaltered and protected against unauthorised alteration. An audit trail can be followed to identify alterations after creation and persons making the changes. Comprehensive Records can be interpreted with ease, providing information about the business activity to which they relate and pointing to other related records. Compliant Records must comply with any record keeping requirements arising from legislation and other statutory obligations. Effective Records maintain their qualities of accessibility, interpretation and reliability for as long as the record is maintained and be kept for as long as they are required to support business activities and to act as an audit trail of the decisions and transactions of the Council. Not excessive There is little point in collecting/creating information that is excessive for the purpose to which it is intended. Excessive information could confuse or delay the thinking process of the Council and, where the information is personal data, could be detrimental to any individuals concerned if lost or in appropriately disclosed to someone else. Secure Records are protected and kept secure in a manner appropriate to their value and content. 62
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Report Agenda Item Report to: Executive Committee Date of Meeting: 1 March 2023 Report by: Executive Director (Finance and Corporate Resources) Subject: Retention and Disposal Policy 1. Purpose of Report 1.1. The purpose of the report is to:- seek approval for the updated Retention and Disposal Policy advise the Executive Committee on the communication arrangements for the Policy [1purpose] 2. Recommendation(s) 2.1. The Committee is asked to approve the following recommendation(s):- [recs] (1) that the Retention and Disposal Policy, attached at Appendix 1, be approved; and (2) that the plans for communication of the Policy set out in section 4.4 of the report be noted. 3. Background 3.1. South Lanarkshire Council is responsible for managing the records it creates, receives, and uses. Part of the management of these records involves making decisions regarding the retention and disposal of the records. This Policy sets out the framework on how this should be approached. 3.2. The Public Records (Scotland) Act 2011 was implemented in January 2013. This Act requires public bodies to set out arrangements for the management of their records and to prepare a Records Management Plan for submission to the Keeper of the Records. 3.3. This Policy will assist South Lanarkshire Council in meeting its obligations under the Act and will enable employees to make appropriate arrangements for the retention and disposal of the records under their care. 4. What Does the Policy Cover? 4.1. Record Retention 4.1.1. Records in South Lanarkshire Council should all be covered in a retention schedule developed for each business function. A record retention schedule sets out the periods by which the Council’s business records should be retained to meet legislative, administrative and operational requirements and to maintain a corporate memory. 4.1.2. The Council already has retention schedules in place which are reviewed regularly. The policy formalises the process and explains the benefits of this and why it is necessary. 9 63
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4.2. Record Retention Periods In the development of record retention schedules, a detailed audit and survey is carried out for the area of business being considered. Retention periods will be determined for each record set, setting out how long the record should be retained. This will differ depending on the type of record. For example, financial records are normally retained for six years after record closure. On the other hand, a Social Work adoption file is kept for 100 years. Education Records are kept for 25 years after a pupil leaves school and Legal files are retained for 6 years after closure of the file. 4.3. Record Disposal The disposal outcome of a record can be one of the following choices:- Review – consider whether a record should be retained for historical archival purposes or destroyed Destroy – the record has reached the end of its life and no longer has any business value, nor does it have any value as an historical archive and can be destroyed. Transfer to archive – the record has been identified as having long term value as a historical archive for future generations The disposal outcome will be determined in consultation with the Service which owns the record series in question and will be documented on the agreed retention schedule. The Policy explains what arrangements Resources require to put into place in order that records are disposed of in the appropriate manner. 4.4. Communication 4.4.1. The Retention and Disposal Policy will be circulated to employees by means of a personnel circular and management bulletin. The Policy will be made available for download from the intranet. 4.4.2. Resources will be asked to cascade the revised policy through Resource management teams and team meetings bringing it to the attention of employees. 4.4.3. The Policy will join a suite of information governance related policies being developed by the Information Governance Board. 5. Employee Implications 5.1. There are no employee implications. 6. Financial Implications 6.1. There are no financial implications. 7. Climate Change, Sustainability and Environmental Implications 7.1. There are no implications for climate change, sustainability or the environment in terms of the information contained in this report. 8. Other Implications 8.1. The Public Records (Scotland) Act 2011 places statutory duties on the Council as a Scottish public authority to submit a Records Management Plan and to undertake a programme of improvement to satisfy the provisions of the legislation. The Retention and Disposal Policy meets the requirements of the legislation. 9. Equality Impact Assessment and Consultation Arrangements 9.1. The Policy has been assessed in terms of an Equalities Impact Assessment. 64
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9.2. The Retention and Disposal Policy has been reviewed in consultation with the Information Governance Board and Council Resources. Paul Manning Executive Director (Finance and Corporate Resources) 13 February 2023 Link(s) to Council Values/Priorities/Outcomes Accountable, effective, efficient, and transparent Fair, open, and sustainable Previous References Executive Committee 15 September 2015 List of Background Papers Retention and Disposal Policy v1 Contact for Further Information If you would like to inspect the background papers or want further information, please contact:- Geraldine McCann, Head of Administration and Legal Services Ext: 4568 (Tel: 01698 454568) E-mail:geraldine.mccann@southlanarkshire.gov.uk 65
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V2.0 Appendix 1 Retention and Disposal Policy 9 67
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V2.0 Document control log Issue Date Comments V1.0 23 September 2015 Approved by Executive Committee V2.0 01 November Approved by IGB 68
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V2.0 Contents 1. Purpose and scope page 4 2. Retention schedule page 4 3. Benefits of a retention schedule page 4 4. Disposal Fate page 5 5. Expiry of retention period – paper records held in offices page 5 6. Expiry of retention period – paper records held at Records Centre page 5 7. Expiry of retention period – electronic records page 6 8. Confidential waste disposal page 6 9. Further information page 7 69
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V2.0 1 Purpose and scope This policy sets out the framework for how South Lanarkshire Council manages the retention and disposal of its records. It applies to all Resources and Services that create, receive, manage, and use records. 2 Retention Schedule All records in South Lanarkshire Council should be covered by a retention schedule developed for each business function. A records retention schedule sets out the retention periods by which the council’s business records should be retained to meet legislative, administrative, and operational requirements. A small selection of records identified for transfer to the archive to preserve historical corporate memory. A retention schedule is a records management tool used to: • identify and capture groups of common records, known as ‘record series’ • assign retention periods with reference to legislation, best practice and operational need • record disposal fate these being destroy, review, permanent or transfer to archive. The Archives and Information Service (AIMS) is responsible for developing retention schedules for all services across the council. These are developed with the individual Services, the final agreed version is signed off by the appropriate Head of Service. For those records held in paper format stored at the Records Centre the signed and agreed retention schedule allows the Archives and Records Assistants to destroy the records at their appointed expiry date without needing to refer back to the services. Retention schedules apply to records in all formats so where a record is held in both paper and electronic format those records should be disposed of at the same time or as near as operationally possible using appropriate disposal methods. 3 Benefits of a retention schedule There are a number of benefits which arise from the use of a complete retention schedule: • Managing records against the retention schedule is deemed to be “normal processing” under the UK General Data Protection Regulations/Data Protection Act 2018 (UK GDPR) and the Freedom of Information (Scotland) Act 2002. Provided members of staff are managing record series using the retention schedule they can not be found guilty of unauthorised tampering with files once a freedom of information request or a data subject access request has been made. • Members of staff can be confident about destroying information at the appropriate time. 70
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V2.0 • Information which is subject to Freedom of Information and Data Protection legislation will be available when required. • The Council is not maintaining and storing information unnecessarily. 4 Disposal Fate The disposal fate is determined in consultation with the department who owns the record series in question and is documented on the agreed retention schedule. The disposal fate of a record can be one of the following: - Review Review means that when a record reaches the end of its retention period, its fate is considered either for inclusion into the Council’s historical archives, or if not, destruction. In some cases, further retention may be agreed, for example, if new retention instructions are given by an external funder. Destroy Destroy as fate means that once the record reaches the end of its retention period it is considered of no continuing value to the Council and can be destroyed. Occasionally the destruction of specific record series is put on hold, for example, when there is an inquiry such as The Scottish Children’s Abuse Inquiry. Transfer to archive Paper records which have been identified for accessioning into the Council’s historical archive collection will have Archive as their fate. Electronic records with Archive as their fate should be held by the Resource in the native system for long term preservation. Permanent Some record series have permanent as their disposal fate which means they are retained permanently by the Service either in the office, on an official council electronic system or in the Record Centre. In these instances, permanent records are not identified to be archival records and therefore are not transferred to the council’s archive. 5 Expiry of retention period - paper records held in offices Once the retention period has expired as per the retention schedule, records held in council offices should be destroyed. If the records contain confidential, personal and or sensitive personal data, these should be destroyed using the confidential waste service via the Print Centre (see section 8) or by local secure confidential destruction procedures. Records identified as having continuing value must be transferred into the council archive as directed in the Collection, transfer and archiving policy. 71
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V2.0 6 Expiry of retention period - paper records held at the Record Centre Where paper records have been consigned to the Record Centre and the retention period has expired, the records are either: • reviewed for further retention by the Archives and Information Management service where ‘review’ is given as the fate on the retention schedule • transferred into the archive for permanent preservation as indicated on the retention schedule by disposal fate ‘archive’ or • confidentially and securely disposed using the Council’s Confidential Waste contract where ‘destroy’ is the assigned fate. All disposal decisions, dates of disposal and certificates of destruction of records destroyed at the Records Centre are documented and a record permanently kept. 7 Expiry of retention period – electronic records Records of business activities and transactions may be maintained in many different media and formats and are often stored in multiple locations. Regardless of location and format effective retention and disposal rules must be applied to all electronic records using approved retention schedules. Where possible it is recommended that the retention period is identified before or at the time of file creation and applied as part of the retention and disposal process. • Network files Electronic records held on a network drive or an electronic system must be deleted at the same time as their duplicate paper records. An exception to this would be when paper copies are electronically scanned and then destroyed, and the electronic copy becomes the master record. All copies of network files must be deleted from the system. • C:drives Records must not be held on c: drives. Any records deleted from your desktop or c: drive can end up in recycle bins so these must be checked to ensure that all copies of the record have been deleted and cannot be resurrected. This is particularly important for records that hold personal and sensitive information. With digital records deletion from a server may not be sufficient. Duplicate and/or backup copies must also be destroyed at the same time, to ensure compliance with the UK General Data Protection Regulations/Data Protection Act 2018 (UK GDPR) and Freedom of Information legislation. • Emails Emails which are or contain council records should be retained within the relevant subject matter folder within the network or electronic system with a retention period applied. Microsoft Outlook should not be used as a filing system. • Electronic content management systems Records held on any official council system must have retention periods assigned to them based on approved retention schedules. 72
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V2.0 • Long term preservation Electronic records which have been designated as permanent or for transfer to the Archives should be maintained in the native system (their original system). Arrangements should be made for the long-term preservation of these records ensuring that the integrity of the record is maintained, and digital continuity is guaranteed. At present the council archive has no means of accepting electronic transfer into a digital repository so it is the responsibility of Resources to ensure the preservation of these records. The future long-term aim of the Council is to develop a digital preservation strategy. • Portable media Records and information held on portable media such as tapes, CDs or DVDs, should be destroyed by destroying the physical media concerned. For example, CDs/DVDs can be cut in half and items can then be placed directly into a general waste container. Larger quantities of portable media can be disposed of using the Confidential Waste disposal service from the Print Centre. (See section 8.) 8 Confidential waste disposal The Print Centre operates a confidential waste disposal service. The service can be accessed from the Print Shop icon located in the middle of the menu bar on the intranet or by emailing printing@southlanarkshire.gov.uk or by phoning 01698 454241. 9 Further information Further information on records retention and disposal is available on the records management pages of the intranet or contact the Archives and Information Management Service: Phone: 01355 239193 Email: recordcentre@southlanarkshire.gov.uk 73
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Report Agenda Item Report to: Executive Committee Date of Meeting: 1 March 2023 Report by: Executive Director (Finance and Corporate Resources) Subject: King Charles III Coronation 1. Purpose of Report 1.1. The purpose of the report is to:- advise the Executive Committee of the arrangements made to enable employees to celebrate the Coronation of King Charles III [1purpose] 2. Recommendation(s) 2.1. The Committee is asked to approve the following recommendation(s):- recs] (1) that the Council provide a reduced service on Monday 8 May 2023, as detailed in paragraph 4.1; and (2) that the addition of a fixed annual leave day for employees on Monday 8 May 2023 be noted. [1recs] 3. Background 3.1. To mark the Coronation of King Charles III on Saturday 6 May 2023, an additional national bank holiday has been announced for Monday 8 May 2023. 3.2. To enable employees to celebrate the event, consistent with other royal occasions, the council will operate a reduced service to the public. 4. Arrangements 4.1. To accommodate celebration of the event, non-essential services will have to be reduced and Council offices closed, where possible. The following services will be provided:- Community and Enterprise Resources Waste Roads – Emergency works only Grounds – Bereavement (scheduled burials and cremations only) Essential Staff to support the above Finance and Corporate Resources Emergency Call Handling Planned Ceremonies Housing and Technical Resources Property Services – Emergency Repairs Housing Services – Emergency Homelessness Limited Sheltered Housing and Caretaking Services 10 75
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CCTV Social Work Resources Home Care/Residential Emergency Social Work Services 4.2. Employees required to work on the additional fixed annual leave day will receive a day to take at another time. This approach is consistent with previous royal events. 5. Employee Implications 5.1. Not all employees will be able to take time off on the day as some services will require a continuation of delivery. Employees unable to take the day off will have a compensatory day to take at another time. 6. Financial Implications 6.1. Any additional costs associated with the additional leave day will be accommodated within existing employee budgets. 7 Climate Change, Sustainability and Environmental Implications 7.1 There are no climate change or sustainability implications linked to this report. 8. Other Implications 8.1. There are no other implications arising from this report. 9. Equality Impact Assessment and Consultation Arrangements 9.1. This report does not introduce a new policy, function or strategy or recommend a change to an existing policy, function or strategy and, therefore, no impact assessment is required. 9.2. Consultation regarding the arrangements have taken place with the Trade Unions. Paul Manning Executive Director (Finance and Corporate Resources) 3 February 2023 Link(s) to Council Values/Priorities/Outcomes Excellent employer Previous References None List of Background Papers None Contact for Further Information If you would like to inspect the background papers or want further information, please contact:- Kay McVeigh, Head of Personnel Services Ext: 4330 (Tel: 01698 454330) E-mail: kay.mcveigh@southlanarkshire.gov.uk 76
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Report Agenda Item Report to: Executive Committee Date of Meeting: 1 March 2023 Report by: Chief Executive Subject: Coronation of King Charles III 1. Purpose of Report 1.1. The purpose of the report is to:- provide the Committee with details of potential opportunities for South Lanarkshire communities to engage in events related to the Coronation of King Charles III, and how the Council can assist with such opportunities [1purpose] 2. Recommendations 2.1. The Executive Committee is asked to approve the following recommendations:- [] (1) that the arrangements around the coronation and opportunities for local communities and organisations to participate are noted. (2) that free lets should be offered to community groups for the specific purpose of participating in coronation events, with South Lanarkshire Leisure and Culture reimbursed for lost income, in key venues as outlined at 5.2.3. [1recs] 3. Background 3.1. Following the death of HM The Queen, the coronation of His Majesty King Charles III and Her Majesty The Queen Consort is scheduled to take place on the morning of Saturday 6 May 2023 at Westminster Abbey in London. An extra bank holiday on Monday 8 May 2023 has been announced. The ceremony is expected to be shown live and in full by the BBC and other broadcasters. 3.2. The Lord Lyon King of Arms, Dr Joseph Morrow KC, wrote to the council on 7 February 2023, along with other local authorities across the UK, to give initial detail of how communities across the country might get involved in the event. Dr Morrow noted: “While London will be the focus of the Coronation, just as it was the centre of the Platinum Jubilee weekend, it is expected that festivities will take place throughout the land. In Scotland our celebrations of this nature are best when not imposed from above but community led, infused with local flavour and demonstrating the care and consideration of all involved.” 4. Involvement in South Lanarkshire 4.1. The specific request of local authorities is that they promote this approach in their local areas and help communities consider how they may participate and prepare for the coronation. The Lord Lyon notes the short period available until the coronation for such preparations to be made. 11 77
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4.2. A number of suggested ways that local organisations can take part have been made from within the Royal Household, with support from the Department for Digital, Culture, Media and Sport. These include:- Street Parties: these would be organised by interested communities themselves, though they may have to apply to the Council for road closures. The Coronation Big Lunch: groups are invited to gather on Sunday 7 May 2023 for a lunch “to celebrate communities, their connections and allow people to establish new friendships”. This is being organised nationally by the Eden Project, and more information can be found here: The Big Lunch | Eden Project Communities The Big Help Out: this is suggested as “an opportunity to reflect on the legacy of His Majesty’s service and to highlight the impact of volunteering”. This will take place on Monday 8 May, the day of the extra bank holiday for the coronation. Individuals who want to donate time and skills to help charities, causes and the vulnerable can find out more here: The Big Help Out Events Held in Council Owned Civic Amenities: for example exhibitions, storytelling or concerts. See 5.2.3 below. 4.3. The Lord Lyon acknowledges the budget restrictions facing local authorities and the cost-of-living crisis affecting households and adds: “this, quite rightly will be a consideration for all embarking on plans for celebrating the coronation”. 5. Next steps 5.1. South Lanarkshire Council will promote the invitation to local communities to participate in the Coronation via our usual communications channels, as appropriate, that is through southlanarkshireview.scot and social media. Also, the Community Engagement Team will use its local networks and connections with community groups to make them aware of the opportunities and potential routes for funding. 5.2.1. In his letter, the Lord Lyon included details of a potential National Lottery route for community groups to apply for small grants to assist with costs for events. These were also promoted on social media. Details can be found here: Funding programmes | The National Lottery Community Fund (tnlcommunityfund.org.uk) 5.2.2. The Council is aware that this information issued by the Lord Lyon may not have reached community groups in time for their consideration. Through the routes outlined in 5.1. above we will make sure such groups are made aware of any potential other funding opportunities, including the council’s community grants. As members are aware, community grants can be used to help towards a range of costs, including administration and publicity, materials and temporary public entertainment licences. Full details can be found here: Community grant information sheet - South Lanarkshire Council 5.2.3. Furthermore, it is proposed that the Council should support events in each of the four localities by offering free lets for the purposes of community groups specifically marking the Coronation at the key venues of Rutherglen Town Hall, Lanark Memorial Hall, Hamilton Town House and East Kilbride Civic Centre. 5.3. The Council will also assist community groups to prepare for events in other specific ways within our regular duties, for example by considering requests for road closures to permit street parties and other events to take place. 78
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5.4. The Lord Lyon has requested that local authorities keep him aware of planned activities in the area. The Council will do so, and will encourage community groups to make any planned events known to him. It is anticipated that events in South Lanarkshire will be added to a national interactive map similar to one that was created for the 2022 Platinum Jubilee. 6. Employee Implications 6.1. There are no significant employee implications other than the potential for staff to be involved in assisting community groups plan for and deliver events. 7. Financial Implications 7.1. The Council will cover the costs of any free lets provided through the provision at 5.2.3 to ensure no loss to South Lanarkshire Leisure and Culture. 8. Climate Change, Sustainability and Environmental Implications 8.1. There are no climate change, sustainability or environmental implications arising from this report. 9. Other Implications 9.1. There are no other implications as a result of this report. 10. Equality Impact Assessment and Consultation Arrangements 10.1. No Equality Impact Assessments or consultations are necessary as a result of this report. Cleland Sneddon Chief Executive 16 February 2023 Link(s) to Council Values//Priorities/Outcomes Caring, connected, sustainable communities Previous References None List of Background Papers None Contact for Further Information If you would like to inspect the background papers or want further information, please contact:- Tom Little, Head of Communications and Strategy Extension: 4904 (Phone: 01698 454904) E-mail: tom.little@southlanarkshire.gov.uk 79
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Report Agenda Item Report to: Executive Committee Date of Meeting: 1 March 2023 Report by: Chief Executive Subject: Recommendation Referred by Finance and Corporate Resources Committee – Non-Domestic Rates – Empty Property Relief Policy 1. Purpose of Report 1.1. The purpose of the report is to:- request approval of the undernoted recommendation referred to this Committee by the Finance and Corporate Resources Committee of 15 February 2023 1purpose] 2. Recommendation(s) 2.1. The Committee is asked to approve the following recommendation(s):- [recs] (1) that the Empty Property Relief (EPR) Policy be approved and adopted by the Council from 1 April 2023. [1recs] 3. Background 3.1. Recommendation Referred by Finance and Corporate Resources Committee of 15 February 2023 – Non-Domestic Rates – Empty Property Relief Policy – Extract of Minute A report dated 25 January 2023 by the Executive Director (Finance and Corporate Resources) was submitted on the devolution of Non-Domestic Rates Empty Property Relief (EPR) from the Scottish Government to local authorities. The existing EPR scheme operated at a national level, was mandatory and fully funded by the Scottish Government through the Local Government Finance Settlement. EPR provided certain rates relief on unoccupied non-domestic properties. The Programme for Government 2021/2022 confirmed that the devolution of EPR would be delivered in April 2023 for the purpose of enabling councils to tailor support to meet local needs. This meant that EPR reliefs and exemptions would no longer be covered by legislation. All Scottish councils required to have an EPR Policy in place from 1 April 2023 as the current legislation governing this would lapse on 31 March 2023. £105 million was to be devolved across councils by the Scottish Government, reflecting the Scottish Fiscal Commission (SFC) Medium Term Finance Strategy (MTFS) forecasts published on 31 May 2022. The annual allocation of £105 million was fixed until the next revaluation in 2026. This considered the impact of the rates 12 81
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revaluation effective from 1 April 2023 and any inflationary pressures. The Council’s allocation for 2023/2024 was £2.183 million. It would be for local authorities to decide how they used this funding and the reliefs and exemptions that might apply under a local scheme. The funding provided was based on the operation of the current EPR scheme. Any changes to the reliefs and exemptions provided which cost more than the funding would have to be met by the Council. The current legislative criteria for awarding EPR and the relief categories awarded in 2021/2022 were detailed in the report. Devolution of EPR would come into effect at a time of significant change, with a major revaluation of non-domestic rateable values effective from 1 April 2023 and at a time of major volatility in the economy and financial uncertainty facing businesses. Maintaining the current provisions would provide some stability and certainty for businesses as well as the Council during these challenging times. It also provided a period to assess the benefits of any future amendments to the policy. Indications from other councils were that this was also the approach they were adopting. Clarification was also awaited from the Scottish Government on some specific aspects of the new arrangements. A revised funding allocation had been confirmed to the Council on 24 January 2023. It was recommended that the EDR Policy, to be adopted from 1 April 2023, reflect the change in legislation covering EPR and that the current policy be amended to reflect this. The proposed policy was attached as Appendix 1 to the report. A review of the Council’s EPR Policy would be undertaken and the outcome reported to this Committee by March 2024. The Committee decided: (1) that the devolution of EPR to councils and the funding arrangements be noted; and (2) that the EPR Policy be reviewed and presented to this Committee by March 2024 to allow for a period of stability for rate payers and the Council. The Committee recommended to the Executive Committee: that the EPR Policy to be adopted by the Council from 1 April 2023, as detailed in Appendix 1 to the report, be approved. 3.2. A link to the report submitted to the Finance and Corporate Resources Committee of 15 February 2023 is provided here for information. 4. Employee Implications 4.1. All employee implications were highlighted as part of the original report to the Resource Committee. 5. Financial Implications 5.1. All financial implications were highlighted as part of the original report to the Resource Committee. 82
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6. Climate Change, Sustainability and Environmental Implications 6.1. There are no implications for climate change, sustainability or the environment in terms of the information contained in this report. 7. Other Implications 7.1. Any risks or other implications were highlighted as part of the original report to the Resource Committee. 8. Equality Impact Assessment and Consultation Arrangements 8.1. Equality impact assessment arrangements were highlighted as part of the original report to the Resource Committee. Cleland Sneddon Chief Executive 15 February 2023 Link(s) to Council Values/Priorities/Outcomes Accountable, effective, efficient and transparent Previous References Report to Finance and Corporate Resources Committee of 15 February 2023 List of Background Papers None Contact for Further Information If you would like to inspect the background papers or want further information, please contact:- Pauline MacRae, Administration Adviser Ext: 4108 (Tel: 01698 454108) E-mail: pauline.macrae@southlanarkshire.gov.uk 83
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Agenda Item Report to: Executive Committee Date of Meeting: 1 March 2023 Report by: Director, Health and Social Care Subject: South Lanarkshire Integration Joint Board Annual Performance Report 2021/2022 1. Purpose of Report 1.1. The purpose of the report is to:- present the South Lanarkshire Integration Joint Board’s (IJB) Annual Performance Report 2021/2022 2. Recommendation(s) 2.1. The Executive Committee is asked to approve the following recommendation(s):- (1) note the content of the report. 3. Background 3.1. Section 42 of the Public Bodies (Joint Working) (Scotland) Act 2014 requires that Annual Performance Reports (APR) are prepared by an Integration Authority – i.e. the Integration Joint Board (IJB) in a South Lanarkshire context. The 2014 Act obliges that the APR should cover the preceding year’s activity and be published four months after the end of that reporting year. 3.2. The purpose of the APR is to ensure that performance is open and accountable, whilst at the same time providing an overall assessment of performance in relation to planning and carrying out integration functions. The APR is also of interest to the Health Board and South Lanarkshire Council in monitoring the success of the integration arrangements they have put in place, as per the Integration Scheme. 3.3. The Scottish Government issued Guidance for APRs in March 2016, with recommended areas for inclusion, including:- a summary of progress against the nine National Health outcomes using as a minimum the 23 core national performance indicators Financial performance and best value 4. Annual Performance Report 2021/2022 4.1. The IJB’s Annual Performance Report 2021/2022 is attached, following agreement at the IJB on 13 December 2022. 4.2. As with previous years, this APR 2021/2022 is aligned to reporting progress against the intentions outlined in the Strategic Commissioning Plan for that given year. This APR covers the final year of the 2019 to 2022 Strategic Commissioning Plan. 13 85
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4.3. The Scottish Government have advised that, similar to last year, IJBs can delay the release of their APR if they wish and as laid out in the Coronavirus Scotland Act (2020). 4.4. Audit Scotland has previously made recommendations to the IJB relating to enhancing the public accessibility of its formal publications, notably by encouraging greater use of infographics where appropriate. 5. Employee Implications 5.1. There are no employee implications associated with this report. 6. Financial Implications 6.1. The APR includes information on financial performance and best value. 6.2. The IJB’s appointed External Auditor, Audit Scotland, is required to supply an audit certificate outlining the findings of the audit process undertaken in relation to the IJB’s Annual Accounts 2021/2022. The External Auditor’s Annual Audit Report 2021/2022 was duly completed and then presented to and approved at the IJB Performance and Audit Sub-Committee meeting of 12 October 2022 in advance of the statutory publication timescale of 31 October 2022. 6.3. The External Auditor concluded that the financial statements of the South Lanarkshire IJB for 2021/2022 give a true and fair view of the state of affairs and of its net expenditure for the year and have, therefore, issued an unqualified independent Auditor’s Report. This assurance is consequently reflected within the attached APR for that same period. 6.4. The External Auditors key messages include:- Effective governance and decision-making arrangements were in place during 2021/2022. Integration Joint Boards across Scotland were operating in a volatile and challenging environment in 2021/2022. The South Lanarkshire IJB had to prioritise its health and social care response to the COVID-19 pandemic against the backdrop of workforce and financial challenges that impacted on its capacity to progress its planned service developments The IJB has enhanced the openness and transparency of its activities and decision making through the introduction of live on-line streaming of the IJB and the PASC meetings The IJB’s effective planning and communication helped in managing the system - wide health and social care system pressures, including acute service pressures, experienced during December 2021 and January 2022. The IJB Chief Officer and their team, through both partners, created a prioritisation framework that was reflective of the challenges it faced, with a focus on its most vulnerable citizens. The Scottish Government circulated this framework to other Joint Boards noting it as a template for good practice 7. Climate Change, Sustainability and Environmental Implications 7.1. There are no implications for climate change, sustainability or the environment in terms of the information contained in this report. 86
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8. Other Implications 8.1. The APR presents progress in a range of areas that contribute to the mitigation of a number of risks within the IJB Risk Register, notably:- Demand pressures (Very High) Financial Sustainability (Very High) External Provider Resilience (High) Public Protection (Medium) Public Sector Duties (Medium) Transformation (Medium) 8.2. The APR 2021/2022 is aligned to reporting progress against the final year of the 2019 to 2022 Strategic Commissioning Plan. 8.3. There are no other issues associated with this report. 9. Equality Impact Assessment and Consultation Arrangements 9.1. This report does not introduce a new policy, function or strategy or recommend a change to an existing policy, function or strategy and, therefore, no impact assessment is required. 9.2. The APR 2021/2022 is aligned to reporting progress against the final year of the 2019 to 2022 Strategic Commissioning Plan which was fully consulted upon. Soumen Sengupta Director, Health and Social Care 20 January 2023 Previous References Strategic Commissioning Plan 2019 – 2022 Annual Performance Report 2019/2020 Annual Performance Report 2020/2021 List of Background Papers Appendix 1 - Annual Performance Report 2021/2022 Contact for Further Information If you would like to inspect the background papers or want further information, please contact:- Name: Martin Kane, Service Manager Performance and Support Ext: 3743 Email: martin.kane@southlanarkshire.gov.uk 87
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2021/22Annual Performance Report 2 South Lanarkshire Integration Joint Board Annual Performance Report 2021/22 Our Vision is Working together to improve health and wellbeing in the community – with the community 90
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3 Contents 3 1. Foreword 4 2. The role of the integration joint board 6 3. Our progress: moving forward in the most challenging period on record 6 4. Fact file: what we did to meet our strategic priorities 7 5. Strategic overview 12 6. Governance and accountability 13 7. Risk 13 8. Performance against national indicators 14 9. Financial performance 2021 – 2022 17 10. Looking to the future 18 91
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2021/22Annual Performance Report 4 1. Foreword We write these opening remarks at a time when the environment our teams and partners operate is more challenging than anything we have encountered in our entire history. Influenza. The cost of living crisis. Increasing morbidity as people live longer. The continued impact of Covid-19, and the many implications the pandemic has had... These are just some of the combining factors, constituting a maelstrom of unparalleled pressure that’s enveloped every facet of the health and social care system. With that ‘here and now in mind’, with our unmitigated focus on safely negotiating matters in hand, the publication of an Annual Performance Report (APR), which reflects on the previous financial year (1 April 2021 and 31 March 2022) could, understandably, seem somewhat of an unnecessary exercise, perhaps surplus to the pressing demands of the current, unprecedented situation. Yet this a hugely important and valuable document, now more than ever. Why? As you would expect, and as required of our organisation, this report covers all the statutory/ governance requirements relating to performance. It also sets the scene for going forward; we endeavour to maintain the wellbeing of the workforce; we continue to invest in key areas to address the increased demand for services while looking at how to redesign services to maximise the use of available resources. Of course, our Strategic Commissioning Plan has now been refreshed to cover the period 2022/2025 along with a Strategic Needs Analysis. Crucially, the rigour and spirit of our Partnership is a golden thread woven throughout the following pages. As we touch on in section 3, the robust and unbreakable fabric of that partnership has prevailed despite pressures that have been nothing short of manifold (or to use a now, well-worn phrase ‘unprecedented’). Over the course of the year, we’ve encountered well-publicised, national challenges around workforce supply, the continued adversity of the COVID-19 pandemic and ever- increasing demand, to name but a few. Yet, in this report, examples abound of improvement and innovation that show that teams have done so much more than “just cope”. Indeed, at the time of writing, and as a result of those efforts, we have a number of areas of work that in contention for numerous high-profile awards and are the subject of positive national interest. There’s so much to be proud of and we thank our staff and partners for their ongoing commitment. We also recognise that in the current conditions any sense of battle weariness would be completely understandable (to put it mildly) within our staff groups, partners and communities. 92
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5 Soumen Sengupta Chief Officer, South Lanarkshire Integration Joint Board Margaret Walker Vice Chair, South Lanarkshire Integration Joint Board Lesley McDonald Chair, South Lanarkshire Integration Joint Board This report acts as a reminder of the value of true partnership – and working together in tough times, united by a common purpose. Right across our services, teams and professions, quality – and resilience – is borne out of mutual respect and support for each other; an emphasis on evidence- based and solution-orientated collaboration; and, fundamentally a unified commitment to service users/patients, their carers and the communities we serve. And, finally, to answer the question above . . . As much as this document is a look at the rearview mirror, the concrete evidence of outstanding achievement and exemplary professionalism is a source of renewed confidence - and bodes well - for whatever twists and turns we have to collectively negotiate in the road ahead. 93
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2021/22Annual Performance Report 6 2. The role of the integration joint board • Takes forward the operational implementation of the plan on behalf of the parties – SLC and NHSL • Provides assurance to the IJB and the parties on progress with the implementation of the plan • Formal public body • Develops and leads the strategy for Health and Social Care through the Strategic Commissioning Plan • Issues ‘Directions’ to SLC and NHSL Health and Social Care Partnership (Operational) Integration Joint Board (Strategic) The progress made by the SLHSCP on the strategic commissioning intentions and the key performance indicators are reported regularly to the IJB which can be accessed from the HSCP website. 2021/2022 represented a period where we not only made marked, concrete progress against our strategic priorities – we also established nationally-recognised good practice across many disciplines. In any ‘ordinary’ year, these achievements would be noteworthy. It should be emphasised, however, that these milestones were attained despite a maelstrom of challenge. Variant strains of Covid-19, staffing challenges, fluctuating availability of resources combining with wider societal conditions and the increased acuity of people - both in hospital and in the community – all added significant additional pressure on our health and social care system. 3. Our progress: moving forward in the most challenging period on record These pressures have been formally noted in the Audit Scotland Reports on Social Care and the NHS in Scotland. See: Social care briefing | Audit Scotland (bit.ly/social-care-briefing) and NHS in Scotland 2021 | Audit Scotland (bit.ly/nhs-in-scotland-2021) Testament to the resilience, drive and commitment of our staff and partners, the following quick-guide fact file provides a ‘snapshot’ of objectives attained, progress made and the continued evolution of safe, innovative and highly effective health and care - during the most challenging period on record. 94
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7 4. Fact file: what we did to meet our strategic priorities Strategic priority: Supporting the delivery of core and statutory duties What we did: Protected our most vulnerable and our staff • The safety of those in our care - and of our staff - is our fundamental priority. A prioritisation framework was established, which took all available information to inform live decision making on the deployment of resources to prioritise support to the most vulnerable in our communities. • The Scottish Government circulated the approach to other IJBs noting it as a ‘template for good practice.’ Kept people safe • At the turn of the year, health and care services across South Lanarkshire were faced with escalating pressures, particularly pronounced amongst the care at home workforce. • A range of measures were activated to prioritise community health and care provision for those people at most risk within local communities with Care at Home recommencing on a careful footing to reintroduce full supports. Invested in an interactive tool to assist adult support and protection decision making for vulnerable adults • The app was successfully downloaded by partners across South Lanarkshire including over 1000 care at home staff as part of the pilot stage. Established a Partnership-wide daily safety briefing • A daily safety brief involving district nurses, allied health professionals, social workers and care at home staff enabled partners to come together to discuss patient safety concerns, supporting a collaborative approach to risk assessment and risk management in the delivery of person-centred care. Launched a campaign against violence and aggression Health and social care continues to be a positive, vibrant and rewarding sector to work in, whether that be in primary care, community, hospital or with one of our partners. As much as it’s very challenging it is very rewarding – most people are patient and very appreciative. Sadly, however, during the period we continued to hear reports from our staff that they are on the receiving-end of unpalatable behaviours from a minority. • A high-profile campaign featuring staff from South Lanarkshire HSCP taking a stand against those who direct any form of abuse to health and social care professionals can be viewed here: https://vimeo.com/682751507 Protecting vulnerable adults 1000 care at home staff as part of the pilot stage. 95
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2021/22Annual Performance Report 8 Strategic priority: Improve unscheduled care What we did: • Progressed the Discharge without Delay (DWD) programme and Home First Home First is a key part to our local response to the pressures in health and social care. It is based on three elements. Firstly, people can be cared for at home (or as close to home as possible). Secondly, prevention of avoidable admissions to hospital and thirdly, where hospital admission is necessary, Home First seeks to support timely discharge. • We boosted the capacity of local integrated supported teams (ICST) with an initial investment package of £4 million which included additional nursing staff. ICSTs combine the expertise of a variety of health and social care professionals working together. • Multi-agency Home First teams have also been established in Lanarkshire’s hospitals. Their work is part of the discharge without delay (DwD) programme, which aims to establish a clear timeframe of when someone will go home - at the earliest possible stage - with community, hospital staff and other partners working together closely. Between November 2021 and May 2022 90 patients were discharged from hospital through Home First. Of those patients requiring a care at home package 42% were either stopped or reduced following assessment. For those requiring end of life care patients were provided with holistic care with most patients able to die at home. • The End-of-Life pathway team, who provide holistic care to patients approaching end of life within a homely setting, are also a key part of the approach. They work on the premise that no end-of-life care patients should suffer unnecessary delays in their discharge from hospital and that all health and social care needs will be delivered by the community nursing team. Note: In the summer 2022 members of South Lanarkshire Integration Joint Board (IJB) showed their support for the ongoing phase, approving £5.428m of additional investment to consolidate progress made. South Lanarkshire Health and Social Care Partnership’s (SLHSCP) Home First triumphed in the Integrated Care category in the 2022 Scottish Health Awards. The evening recognises excellence across health and social care services. Case Study Assessing a person in their own familiar environment, as opposed to a clinical setting, can be less stressful for them. In turn, that enables staff to gather a much more accurate picture of a person’s needs. This is crucially important to ensuring the right package of care is set out, whilst supporting independence. When Jessie Turner was admitted to hospital last year having suffered a stroke, she feared she might not return to her Cambuslang home. Having only just recovered from a hip operation, the still active 94-year-old was convinced that her much-prized independence was at risk. Thanks to the Home First programme, she has been able to recover and rehabilitate in the comfort and security of the house she’s lived in for decades. I don’t know where I would be without the carers who come in every day, said Jessie.” “I feel so fortunate. Thanks to Home First, my home carers, the hospital physiotherapists, and occupational therapists all worked together and planned things so that I could not only get back to my home but live well there. “Having this team of people in my life has made more difference than I could ever have imagined, medically, practically and emotionally and I cannot thank them enough. It’s been life changing. Read Jessie’s full story: bit.ly/jessie-praises-care. 96
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9 Strategic priority: To promote self-care/management and mental health and wellbeing What we did: Launched a Suicide Prevention app • The app has been downloaded 1,498 times and has useful information to help keep people safe and provide guidance on how to look out for others. Supported adults in their recovery with alcohol and drug misuse • The Community Addiction and Recovery Service (CAReS) brought together NHS and SLC staff to form South Lanarkshire’s first integrated addictions service to support adults with their recovery from problematic alcohol and drug use. The service will provide assessments and interventions to assist individuals in better managing their alcohol and drug-use. Supported people through assistive technology Strategic priority: To promote early intervention, prevention and health improvement What we did: Supported children and young people with complex needs in self-care through on-line videos • 2021/22 saw an increase in requests for occupational therapy for children and young people by 25%. The use of on-line videos increased our capacity and reduced waiting times for more specialist occupational therapy interventions which has transformed how families receive early support. Supported safe care for people in care homes In Lanarkshire, the Care Home Assurance Tactical Group (CHAT), composed of senior health board, local authority and care home representatives, was established in the early stages of the pandemic to support care homes negotiate the many challenges Covid presented and improve the healthcare for adults and older people living in care homes and to support staff. Fire safety sensors and falls detectors were the most frequently requested assistive technology peripherals in 2021/22. Keysafe installations increased by Care and Repair technicians carried out 2046 assistive technology visits to community alarm service users’ homes during 2021/22, and increase by • Demand for assistive technology increased by 62% 37% with 2287 assistive technology items installed during 2021/22. on the previous year. 39% with 900 visits completed during 2021/22. 97
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2021/22Annual Performance Report 10 This included: • Infection Prevention and Control (IPC) resources were increased with advice, guidance and support. Where necessary focused work could be undertaken on the prevention of infection. • While some measures changed or stepped down as the infection rate reduced, vaccination measures have been successful, CHAT continued to support care homes jointly with other arranged visits to ensure monitoring, assurance and support as well as strengthening the partnership working relationship. • This group coordinated the COVID-19 and Flu vaccination programme for care home residents and staff ensuring they were prioritised. CHAT monitor individual care home data, support and encourage uptake to ensure high levels of compliance. Supported care home staff wellbeing • Recognising the challenges the care home workforce was facing in the early stages of the pandemic, a number of key staff working alongside Lanarkshire’s care homes responded proactively; by forming a wellbeing group. The group was set up to tailor supports that would be effective, targeted and available to all care home staff, regardless of role or employer/owner. • The group is made up of representatives from North and South Lanarkshire HSCPs, NHS Lanarkshire, Scottish Care and, most importantly, members of the frontline care home workforce themselves. Nursing staff, clinical psychologists and a communication adviser supported (and are part of this team too). • The group’s aim has been to ensure care home staff are supported. This has ranged from the provision of simple wellbeing tools, supporting and nurturing a culture of natural peer-to-peer support . . . to clear access to clinical support for those who require mental health assessment and intervention. Note: The Care Home Wellbeing Group were finalists at the 2022 Scottish Health Awards for the Care for Mental Health Award. The approach has been recognised as good practice across the UK. Progressed the Primary Care Improvement Plan (PCIP) PCIP supports the delivery of the national 2018 General Medical Services (GMS) contract which, in essence, aims to refocus the role of GPs as expert medical generalists - working with a wider team to provide more care in the community. Key achievements included: • The community link worker (CLW) programme was implemented and rolled out during the pandemic. A CLW is a non-clinical practitioner aligned to a cluster of GP practices who works directly with patients to help them navigate and engage with wider services. They often serve a socio-economically deprived community or assist patients who need support because of the complexity of their conditions. CLWs supported almost 5000 local people since the service was set up in March 2021. • Improved outpatient musculoskeletal physiotherapy 15% of total demand for outpatient musculoskeletal physiotherapy is from patients with knee symptoms. The pandemic accelerated improvement work with this cohort of patients with the establishment of a new pathway. To date 306 patients with knee Osteo Arthritis (OA) are being managed through this work. This also builds on the MSK Website where information and evidence based advice and exercise for 18 common conditions, including knee OA, is available for patients and clinicians to help manage MSK conditions. • Achieved the vaccination transformation programme All vaccinations are now provided by NHS Lanarkshire’s vaccination service – with the exception of travel vaccinations which are delivered by certain community pharmacies. GP practices no longer have responsibility for providing vaccinations. This service was delivered and transferred on time, by the deadline of 1 April 2022. 98
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11 Strategic priority: Supporting carers What we did: • Continued to work in partnership with carers organisations. Recognising the important contribution of informal/unpaid carers a Carers Partnership Group meets regularly consisting of a wide range of third sector organisations and is progressing the development of a new South Lanarkshire Carers Strategy. • Contributed to the Care Inspectorate Carer Survey on carers experiences of adult social care services in supporting carers to maintain their quality of life. • In January 2022, the Scottish Government announced additional funding for local Carers Centres to expand vital support services for unpaid carers during the winter period. Shared Care Scotland distributed this funding through Time to Live delivery partners. Lanarkshire Carers is the Time to Live delivery partner for Lanarkshire. Key findings from Winter funding impact report (April 2022) highlighted the following: • 949 carers benefitted from Carers Winter Funding Package in Lanarkshire • 781 individual grants awarded to carers • £268,554 worth of individual grants awarded, paid directly to carers within 14 days of receipt of payment information • £344 average grant amount awarded • 123 new carers engaged with Lanarkshire Carers as a result of the funding • South Lanarkshire Young Carers (SLYC) Action for Children have 99 young carers registered with the service. Young carers have been supported to access funding to support them in their caring role. Awareness raising through partnered schools has identified new young carers. In February 2022 SLYC successfully applied for winter wellbeing funding which was used to provide breaks and enhancing gaming. Strategic priority: The provision of suitable and sustainable housing and delivering intermediate care What we did: Allocated 20 technology enabled homes • Within the Blantyre Care development, 8 one-bedroom bungalows and 12 one- and two-bedroom flats were allocated to tenants based on assessed need and defined eligibility criteria. The homes were designed to be fully accessible and embrace modern technology solutions for independent living. These solutions range from simple ideas that you would find in any smart home (such as voice activated lights) to more advanced and specialised equipment (such as for fall detection). Note: At the Chartered Institute of Housing Excellence Awards 2022, the technology-enabled housing within the Blantyre development won the award for Excellence in Health and Wellbeing, recognising the work undertaken during the period of this APR. South Lanarkshire’s Health and Social Care Partnership have been working in collaboration with the council’s Housing and Technical Resources and Cruden Building (Scotland) Limited on the multi-million-pound development, supported by funding from the Scottish Government. 99
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2021/22Annual Performance Report 12 Case Study Ms M, who moved into a tech enabled home said she loves it but couldn’t believe it was just for her and gave the development a ringing endorsement. Due to her disability Ms M requires a wheelchair and said: It is the most beautiful wee house that I have moved into. The kitchen is massive I thought they had made a mistake and given me a home like this, but it was for me. “I really love it. I feel a lot of contentment in here.” “I have had loads of visitors, and I am really grateful to all the friends who helped make my move so easy. To make things happen our key enablers: Supported our workforce • Our workforce is our largest resource therefore maintaining the safety of the workforce, including provision of wellbeing support, has been paramount. Access to wellbeing supports have been made available to all staff such as wellbeing seminars, self-help guides and educational programmes alongside regular management contact to support physical and mental wellbeing. • We protected our staff by making sure they had access to PPE and provided rest areas to support their wellbeing. Advanced our learning • We advanced our learning and work with a number of academic institutions. Successful student placements with Glasgow Caledonian University (GCU) in 2021 by the physiotherapy service has led to offering 38 level 3 students an unpaid placement within NHS Lanarkshire for eight weeks in 2022. • Five clinical educators were seconded for one day a week over five months which led to changes in clinical practice and the educators redesigned the placement approach. Meanwhile, in the field of research, developments with GCU include falls and rehabilitation, physiotherapy and podiatry. Research with Strathclyde university include stroke and diabetic foot ulceration. Ensured organisational resilience • Partnership debriefing allowed the sharing of information on the challenges and key lessons for partners involved in the response to the COVID pandemic within the Lanarkshire Resilience Partnership. • Representatives across the HSCP were actively involved throughout NHS Lanarkshire’s Strategic Command Structure. This ensured alignment of approach, support and communication throughout the period. Increased public access to the IJB by making use of technology • To enhance openness and transparency the IJB have improved accessibility of meetings. From March meetings of the IJB and the Performance and Audit Sub-Committees were livestreamed with recordings made available on South Lanarkshire Council’s YouTube channel. Reviewed our Integration Scheme • A review of the South Lanarkshire Integration Scheme was undertaken in 2021/2022 completed in accordance with statutory requirements resulting in no material changes to delegated functions. Performance improvement objectives are wide ranging and take account of complex national legislation and strategic priorities. The Public Bodies (Joint Working) (Scotland) Act 2014 sets out the framework for integrating health and social care. There is a range of other legislation, policies, guidance and proposals which have a bearing on the work that the IJB progresses, and these are listed in detail in the following document available here: https://bit.ly/3W2lyMi. 5. Strategic Overview 100
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13 6. Governance and accountability The governance framework within the IJB is set out in the South Lanarkshire IJB Code of Corporate Governance which comprises of the systems, processes, culture and values by which the IJB is directed and controlled. The IJB has well-established governance and decision-making arrangements in place. The governance structure for South Lanarkshire HSCP provides a robust and streamlined process for efficient and effective Partnership decision making. The IJB holds the ultimate decision-making and commissioning authority, with its assurance responsibilities strengthened by the important scrutiny provided by its Performance and Audit Sub-Committee (PASC). The Strategic Commissioning Group (SCG) is a multi- agency forum comprised of professional key leaders across the HSCP, South Lanarkshire Council, NHS Lanarkshire and Third, Independent and Carers sectors. The group provides support and delivery of the thirteen priorities and national health and wellbeing outcomes of our SLHSCP Strategic Commissioning Plan. It also ensures the delivery of NHS Lanarkshire objectives in relation to service transformation and financial prudence as well as relevant elements of South Lanarkshire Council’s Connect Plan 2017/2022. One function of the SCG is to ensure effective links to each of our four localities. In 2021/22 the IJB has reviewed and updated its Integration Scheme, had its Records Management Plan approved by the Keeper of the Records, and submitted a climate change and sustainability statement. 7. Risk The IJB has undertaken significant work to understand the importance of risk appetite and risk tolerance relating to the implementation of its strategic priorities. It is recognised by the IJB that there cannot be a ‘one size fits all’ approach to this as it will be very much assessed depending on the strategic priority under consideration. For example, where statutory imperatives require to be fully discharged, the IJB may take a more cautious approach but conversely in terms of pursuing an early intervention and prevention strategy, the IJB may be more open and stretch its overall appetite/tolerance. With this in mind, the IJB will have a flexible approach to risk appetite and tolerance, which will be considered on a case-by-case basis and regularly reviewed by the IJB and the supporting Sub-Committee structure. The IJB regularly reviews its Risk Register through its Performance and Audit Sub-Committee. As the IJB and the HSCP have matured it is currently undertaking an exercise to review all risks in line with the new Strategic Commissioning Plan 2022/2025. This aligns to the review of strategic directions which was undertaken and reported to the IJB on 29 March 2022. Going forward into 2022/23 our key risks highlight the challenges presented in this report. They are identified as follows: Very High or High Risks • Demand pressures • Workforce availability • Financial sustainability • External provider resilience Medium/Lower Risks • Public Protection • Public Sector Duties • Transformation • National Care Service 101
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2021/22Annual Performance Report 14 Ministerial Strategic Group (MSG) Indicators MSG Indicator 2017/18 2018/19 2019/20 2020/21 2021/22 Number of emergency admissions 39,661 40,996 40,460 32,537 37,044 Number of unscheduled hospital bed days (acute specialties) 229,726 233,385 238,503 200,687* 238,260 Number of A&E attendances 105,876 109,627 110,095 83,441 104,080 Acute bed days lost to delayed discharges 41,187 38,473 46,570 22,585 35,941 % of last six months of life spent in Community setting* 87.6% 88.5% 88.2% 90.8% Not available Balance of care: Percentage of 75+ population at home unsupported* 83.5% 83.0% 83.6% 84.7% Not available *Please note that figures presented will not take into account the full impact of COVID-19 during 2020/21 and 2021/22. The IJB seeks to promote a culture of continuous improvement to deliver better outcomes for individuals and communities. Our Performance Management Framework provides the structure by which the IJB can make informed decisions on future priorities, using performance information to identify and drive improvement work. A core suite of indicators has been agreed nationally to ensure consistency across all IJB areas. Nine of these indicators are survey based or qualitative measures which are gathered every two years from the national Health and Social Care experience survey, with the remaining indicators being regular health and social care performance measures. 8. Performance against national indicators A summary of the MSG (Ministerial Steering Group) indicators in South Lanarkshire for currently available data showing the year-on-year comparison between April 2021 and March 2022 is detailed below. The performance trends below are reflective of the fact that COVID-19 restrictions significantly impacted more on access to services in the year 2020/2021 when compared with 2021/2022. 102
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15 National Indicator 2019/20 2021/22 Percentage of adults able to look after their health very well or quite well 92.1% 89.9% Percentage of adults supported at home who agreed that they are supported to live as independently as possible 84.2% 82.2% Percentage of adults supported at home who agreed that they had a say in how their help, care, or support was provided 75.3% 65.6% Percentage of adults supported at home who agreed that their health and social care services seemed to be well co-ordinated 70.5% 64.3% Total % of adults receiving any care or support who rated it as excellent or good 80.5% 70.2% Percentage of people with positive experience of the care provided by their GP practice 73.2% 56.4% Percentage of adults supported at home who agree that their services and support had an impact on improving or maintaining their quality of life 78.1% 80% Total combined % carers who feel supported to continue in their caring role 31.1% 28.7% Percentage of adults supported at home who agreed they felt safe 82.0% 80.7% National Indicator 2019/20 2020/21 2021/22 Comments *Premature mortality rate per 100,000 persons 430.5 493.4 472* Premature mortality rates have improved since last year but remain higher than 2019/20. Premature mortality rates are above Scotland levels during 2021 and remain heavily influenced by Covid. *Emergency admission rate (per 100,000 population) 14,222 11,999 12,840 Emergency admission rates have increased since 2020/21. This can be attributed to the impact of the pandemic. This is true across Scotland as a whole. However, it is anticipated that the development of the Urgent Care Pathway will have a positive impact on unscheduled care performance. *Emergency bed day rate (per 100,000 population) 123,085 97,662 115,799 Emergency Bed day rates have increased for SL residents and above the Scotland level. This indicator has been affected by the Covid emergency. *Emergency readmissions to hospital within 28 days of discharge (rate per 1,000 discharges) 97 112 103 The rate of emergency readmissions is below the average level for Scotland, and the rate for SL residents has decreased since last year. 103
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2021/22Annual Performance Report 16 National Indicator 2019/20 2020/21 2021/22 Comments *Proportion of last 6 months of life spent at home or in a community setting 88.2% 90.8% *89.5% One of the key strategies for the HSCP is shifting the balance of care from hospital to community settings. The Partnership continues to make steady progress towards this aim. *Falls rate per 1,000 population aged 65+ 21.5 19.3 *22.4 Falls can have a significant impact on quality of life. We have developed a falls action plan and organised services to support the prevention of falls. Performance has slightly decreased against this indicator. However, it is performing well against the Scotland rate. *Proportion of care services graded 'good' (4) or better in Care Inspectorate inspections 79.9% 80.1% 76.1% Performance has declined in this area but is above the Scotland level. *Percentage of adults with intensive care needs receiving care at home 63.7% 63.4% 64.8%* People want to stay at home for as long as possible rather than care home or hospital. We have steadily improved our performance and intend to improve through actions outlined in our Strategic Commissioning Plan 2022-2025. Number of days people spend in hospital when they are ready to be discharged (per 1,000 population) 1,156 544 910 This has been an indicator which has been a major focus for the HSCP. Working in partnership with NHS and Social Care has shifted reliance on hospital care. 2021/22 rates will be heavily impacted by Covid. **Percentage of health and care resource spent on hospital stays where the patient was admitted in an emergency 23.7% 19.0% 23.0% SL H&SCP strategic commissioning plan outlines how we intend to develop strong community services to reduce the number of unplanned admissions. *For indicators 11, 12, 13, 14, 15, 16 and 18, Calendar year 2021 is used here as a proxy for 2021/22 due to the national data for 2021/22 being incomplete. We have done this following guidance issued by Public Health Scotland to all Health and Social Care Partnerships. Figures presented may not fully reflect activity during 2021/22 due to the varying impact of COVID-19 at different points of the pandemic. **For Indicator 20 NHS Boards were not able to provide detailed cost information for 2020/21 due to changes in service delivery during the pandemic. As a result, Public Health Scotland have not provided information for indicator 20 beyond 2019/20. PHS previously published information to calendar year 2020 using costs from 2019/20 as a proxy but, given the impact of the COVID-19 pandemic on activity and expenditure, Public Health Scotland no longer consider this appropriate. 104
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17 Financial Performance 2021/22 IJBs across Scotland were operating in a volatile and challenging environment in 2021/2022. The South Lanarkshire IJB had to prioritise its health and social care response to the Covid-19 pandemic against the backdrop of workforce and financial challenges that impacted on its capacity to progress its planned service developments. The financial envelope available to the IJB in 2021/2022 totalled £633.837m. The South Lanarkshire Council partner contribution was £146.735m. The NHS Lanarkshire partner contribution was £487.102m and included resource transfer funding and social care funding which was transferred to the South Lanarkshire Council partner to support expenditure across Social Care and Housing Services. Financial information is part of our performance management framework with regular reporting of financial performance to the IJB. National Health and Wellbeing Outcome 9 also requires resources to be used effectively and efficiently in the provision of health and social care services. The resources available to the IJB to deliver the delegated functions set out in the Integration Scheme and the Strategic Commissioning Plan (SCP) are comprised of the financial contributions from South Lanarkshire Council (SLC) and NHS Lanarkshire (NHSL). The financial position for public services continues to be challenging. Notwithstanding these pressures, within the financial envelope available to each partner and following a process of consultation, in March 2021 the IJB agreed a financial plan 2021/2022 to ensure a balanced budget was achieved by 31 March 2022. The detail of this plan is available here: https://bit.ly/3QvVAzL. 9. Financial Performance 2021/22 The IJB Financial Position at 31 March 2022 The financial monitoring report for the year ended 31 March 2022 confirmed an underspend of £63.9m (NHSL - £57.1m; SLC £6.8m). The total SLC underspend was £8.8m and £2m funding was returned to the SLC partner, resulting in and underspend of £6.8m for the IJB. The main underspends were as follows: £33.2m of uncommitted 2021/2022 Covid-19 funding retained to meet Covid-19 costs in 2022/2023 £9.8m in respect of the Primary Care Improvement funding £3.0m in respect of the Alcohol and Drug Partnership funding £1.2m in respect of the additional funding from Scottish Government for Multi-Disciplinary teams £4.9m on services hosted by South Lanarkshire IJB £5.0m budgets within Health Care Services 105
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2021/22Annual Performance Report 18 Alongside the continued demands of the pandemic, we planned for the future and undertook considerable engagement with stakeholders to develop a new Strategic Commissioning Plan 2022/2025 from August 2021 through to its approval on 25 March 2022. This activity has been favourably audited. Read full audit report here: bit.ly/SLIJB-meeting-papers-20-september. 10. Looking to the future £3.7m in respect of the additional funding from Scottish Government for expanding Care at Home capacity £1.3m in respect of the additional funding from Scottish Government for interim care £0.9m of uncommitted funding for future strategic commissioning plan priorities £0.9m in relation to other funding received or generated, required in 2022/2023. The Scottish Government allocated funding in March 2022 for Covid-19 costs incurred in 2021/2022 and for future years. The balance of the funding at 31 March 2022 of £33.2m was transferred to an earmarked reserve (ring fenced funding). The underspend of £9.8m on the Primary Care Improvement funding was also transferred to an earmarked reserve (ring fenced funding) at the year end. In October 2021, the Scottish Government announced funding of £300m in response to winter planning and system pressure work that had been undertaken. The underspends in relation to this funding are referenced above and were transferred to both an earmarked reserve (voluntary) and the contingency reserve. Our plan on a page provides a clear summary (overleaf). 106
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19 Section 2: Plan on a page Context: • Changing needs of the population • Meeting the needs of all our communities fairly and equally • Applying evidence of what works • Best use of the public pound • Feedback from our communities – what is important to people Values: Empathy ElevateEmpower Strategic Commissioning Plan South Lanarkshire Integration Joint Board 2022–25 Vision: Working together to improve health and wellbeing in the community – with the community Plan on a page • Evidence • Innovation • Learning • Partnerships • Technology • Leadership • Our staff • Our communities • Our commitment Key enablers Our priorities Priority 1: Sustaining statutory social care and core health care functions Priority 2: Greater emphasis on early intervention, prevention and inequalities Priority 3: Addressing mental health and addictions Priority 4: Improving unscheduled care and optimising intermediate care Priority 5: Supporting carers Priority 6: Promoting self-care and self-management including technology enabled care Priority 7: Improving transitional arrangements Priority 8: Facilitating single point of access and increasing access to seven-day services Priority 9: Investing in enablers to support integration Priority 10: Promoting suitable and sustainable housing Priority 11: Contributing to homelessness prevention and reduction Priority 12: Responding to the impact of the COVID-19 pandemic https://vimeo.com/739607180 https://vimeo.com/689689109/cb5228bd69 107
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Produced for South Lanarkshire Integration Joint Board by Communications and Strategy. 063881/Jan23 If you need this information in another language or format, please contact us to discuss how we can best meet your needs. Phone: 0303 123 1015 Email: equalities@southlanarkshire.gov.uk 108
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Report Agenda Item Report to: Executive Committee Date of Meeting: 1 March 2023 Report by: Executive Director (Finance and Corporate Resources) Subject: Representation on Recruitment Committee 1. Purpose of Report 1.1. The purpose of the report is to:- advise on action taken, in terms of Standing Order No 37(c), because of the timescales involved, by the Executive Director (Finance and Corporate Resources), in consultation with the Chair and an ex officio member, to approve a change in membership of the Recruitment Committee [1purpose] 2. Recommendation(s) 2.1. The Committee is asked to approve the following recommendation(s):- [recs] (1) that the following action taken, in terms of Standing Order No 37(c), by the Executive Director (Finance and Corporate Resources), in consultation with the Chair and an ex officio member, be noted:- to approve a change in membership of the Recruitment Committee in that Councillor Cowan to replace Councillor Macdonald as a substitute member 3 Background 3. 1 The Council, at its meeting on 18 May 2022, approved its representation on committees, with authority delegated to the Chief Executive, in consultation with the Leaders of the political and independent groups, to finalise membership of committees on the basis of the number of members and associated political composition approved by the Council. 4. Amendment to Representation on Recruitment Committee 4.1 On 7 February 2023, a request was received from the Business Manager of the SNP Group to replace Councillor Macdonald with Councillor Cowan as a substitute member of the Recruitment Committee. 5. Employee Implications 5.1. None. 6. Financial Implications 6.1 None. 7. Climate Change, Sustainability and Environmental Implications 7.1. There are no climate change or environmental implications as a result of this report. 14 109
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8. Other Implications 8.1. There are no issues in terms of risk arising from this report. 8.2. In line with usual practice, Councillor Cowan will undertake the necessary training prior to participating in any Recruitment Committee meeting. 9. Equality Impact Assessment and Consultation Arrangements 9.1. This report does not introduce a new policy, function or strategy or recommend a change to an existing policy, function or strategy, therefore, no impact assessment is required. 9.2. Consultation on representation has taken place as necessary. Paul Manning Executive Director (Finance and Corporate Resources) 9 February 2023 Link(s) to Council Values/Priorities/Outcomes Accountable, effective, efficient and transparent Previous References South Lanarkshire Council - 18 May 2022 List of Background Papers None Contact for Further Information If you would like to inspect the background papers or want further information, please contact:- Susan Somerville, Administration Manager Ext: 4197 (Tel: 01698 454197) E-mail: susan.somerville@southlanarkshire.gov.uk 110