Agenda Document Pack - Finance and Corporate Resources Committee - 16/11/2022
South Lanarkshire Council · 16 November 2022
Back to Finance and Corporate Resources Committee — 16 November 2022 and its agenda
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Council Offices, Almada Street Hamilton, ML3 0AA Tuesday, 08 November 2022 Dear Councillor Finance and Corporate Resources Committee The Members listed below are requested to attend a meeting of the above Committee to be held as follows:- Date: Wednesday, 16 November 2022 Time: 14:00 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 Lesley McDonald (Chair), Walter Brogan (Depute Chair), Celine Handibode (Depute Chair), Joe Fagan (ex officio), Alex Allison, Mathew Buchanan, Andy Carmichael, Maureen Chalmers, Margaret Cooper, Andrea Cowan, Maureen Devlin, Colin Dewar, Mary Donnelly, Grant Ferguson, Gladys Ferguson-Miller, Graeme Horne, Martin Hose, Katy Loudon, Hugh Macdonald, Catherine McClymont, Elaine McDougall, Mark McGeever, Richard Nelson, Mo Razzaq, John Ross, Graham Scott Substitutes John Bradley, Archie Buchanan, Ross Gowland, Gavin Keatt, Susan Kerr, Ross Lambie, Martin Lennon, Richard Lockhart, Carol Nugent, Norman Rae, Dr Ali Salamati, David Watson 1
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BUSINESS 1 Declaration of Interests 2 Minutes of Previous Meeting Minutes of the meeting of the Finance and Corporate Resources Committee held on 7 September 2022 submitted for approval as a correct record. (Copy attached) 5 - 18 3 Minutes of Appeals Panel Minutes of the meetings of the Appeals Panel held on 22 September, 25 October and 1 November 2022 submitted for approval as a correct record. (Copy attached) 19 - 24 4 Minutes of Recruitment Committee Minutes of the meetings of the Recruitment Committee held on 9 and 20 September and 24 October 2022 submitted for approval as a correct record. (Copy attached) 25 - 30 Monitoring Item(s) 5 Revenue Budget Monitoring 2022/2023 - Finance and Corporate Resources Report dated 19 October 2022 by the Executive Director (Finance and Corporate Resources). (Copy attached) 31 - 40 6 Capital Budget Monitoring 2022/2023 - Finance and Corporate Resources Report dated 19 October 2022 by the Executive Director (Finance and Corporate Resources). (Copy attached) 41 - 44 7 Finance and Corporate Resources – Workforce Monitoring – July and August 2022 Report dated 5 October 2022 by the Executive Director (Finance and Corporate Resources). (Copy attached) 45 - 52 8 Council-wide Workforce Monitoring – July and August 2022 Report dated 7 October 2022 by the Executive Director (Finance and Corporate Resources). (Copy attached) 53 - 74 9 Treasury Management Activity – 2022/2023 Second Quarter Review Report dated 19 October 2022 by the Executive Director (Finance and Corporate Resources). (Copy attached) 75 - 82 Item(s) for Decision 10 Revenue Collection and Approval for Write Offs Report dated 28 October 2022 by the Executive Director (Finance and Corporate Resources). (Copy attached) 83 - 88 11 24-Hour Control Centre – Additional Staffing Report dated 28 October 2022 by the Executive Director (Finance and Corporate Resources). (Copy attached) 89 - 92 2
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Item(s) for Noting 12 Early Retirement, Voluntary Severance and Switch 2 Report dated 18 October 2022 by the Executive Director (Finance and Corporate Resources). (Copy attached) 93 - 96 13 Update of the Finance and Corporate Resources Risk Register and Risk Control Plan Report dated 18 October 2022 by the Executive Director (Finance and Corporate Resources). (Copy attached) 97 - 114 14 Notification of Contracts Awarded - April to September 2022 Report dated 4 October 2022 by the Executive Director (Finance and Corporate Resources). Copy attached) 115 - 120 15 Safety at Sports Grounds – Issue of Special Safety Certificate for Fireworks Event – New Douglas Park Report dated 4 November 2022 by the Executive Director (Finance and Corporate Resources). (Copy attached) 121 - 124 Urgent Business 16 Urgent Business Any other items of business which the Chair decides are urgent. For further information, please contact:- Clerk Name: Carol Lyon Clerk Telephone: 07385370065 Clerk Email: carol.lyon@southlanarkshire.gov.uk 3
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FINANCE AND CORPORATE RESOURCES COMMITTEE Minutes of meeting held via Confero and in the Council Chamber, Council Offices, Almada Street, Hamilton on 7 September 2022 Chair: Councillor Lesley McDonald Councillors Present: Councillor Alex Allison, Councillor John Bradley (substitute for Councillor Graeme Horne), Councillor Walter Brogan (Depute), Councillor Mathew Buchanan, Councillor Andy Carmichael, Councillor Andrea Cowan, Councillor Maureen Devlin, Councillor Colin Dewar, Councillor Mary Donnelly, Councillor Grant Ferguson, Councillor Gladys Ferguson-Miller, Councillor Celine Handibode (Depute), Councillor Martin Hose, Councillor Katy Loudon, Councillor Hugh Macdonald, Councillor Catherine McClymont, Councillor Elaine McDougall, Councillor Mark McGeever, Councillor Mo Razzaq, Councillor Dr Ali Salamati (substitute for Councillor Maureen Chalmers), Councillor Graham Scott Councillors' Apologies: Councillor Maureen Chalmers, Councillor Margaret Cooper, Councillor Joe Fagan (ex officio) Councillor Graeme Horne, Councillor Richard Nelson, Councillor John Ross Attending: Finance and Corporate Resources P Manning, Executive Director; G Cochran, Administration Assistant; C Fergusson, Head of Finance (Transactions); T Little, Head of Communications and Strategy; C Lyon, Administration Officer; G McCann, Head of Administration and Legal Services; K McVeigh, Head of Personnel Services; J Taylor, Head of Finance (Strategy); B Teaz, Head of IT Services 1 Declaration of Interests No interests were declared. Councillor Brogan joined the meeting after this item of business 2 Minutes of Appeals Panel The minutes of the meetings of the Appeals Panel held on 9 and 11 August 2022 were submitted for approval as a correct record. The Committee decided: that the minutes be approved as a correct record. 3 Revenue Budget Monitoring 2021/2022 – Finance and Corporate Resources A report dated 26 July 2022 by the Executive Director (Finance and Corporate Resources) was submitted comparing actual expenditure for the period 1 April 2021 to 31 March 2022 against budgeted expenditure for 2021/2022 for Finance and Corporate Resources. As at 31 March 2022, there was an overspend of £7.356 million before transfer to reserves, as detailed in Appendix A to the report, and an overspend of £8.229 million after transfer to reserves. Removing the costs of COVID-19 left a breakeven position for Finance and Corporate Resources. 2 5
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The total cost of COVID-19 for the Resource was £8.229 million. This included additional costs of £8.209 million, as detailed in Appendix I to the report, and included the provision of Low Income Pandemic Payments, staff costs incurred to facilitate processing of business support grants and other claims during COVID-19, as well as additional expenditure to alleviate financial insecurities. On 2 February 2022, the Executive Committee had approved transfers to reserves of £0.113 million to meet future commitments. As a further consequence of the timing of income received from external parties and the timetable for project delivery, further transfers totalling £0.760 million had been approved by the Executive Committee on 29 June 2022. This took the total transfers to £0.873 million, as detailed in appendices B to I of the report. Virements were proposed to realign budgets and those movements were detailed in the appendices to the report. The Committee decided: (1) that the final outturn position as at 31 March 2022 of an overspend of £7.356 million, including COVID-19 costs, but before transfer to reserves, and an overspend of £8.229 million, after approved transfer to reserves, as detailed in Appendix A to the report, be noted; (2) that the final outturn position as at 31 March 2022 of a breakeven position, excluding COVID- 19 costs and after transfers to reserves, be noted; and (3) that the proposed budget virements, as detailed in the appendices to the report, be approved. [Reference: Minutes of 9 February 2022 (Paragraph 5)] and Minutes of the Executive Committee of 29 June 2022 (Paragraph 2)] 4 Revenue Budget Monitoring 2022/2023– Finance and Corporate Resources A report dated 28 July 2022 by the Executive Director (Finance and Corporate Resources) was submitted comparing actual expenditure for the period 1 April to 15 July 2022 against budgeted expenditure for 2022/2023 for Finance and Corporate Resources. As at 15 July 2022, there was a breakeven position against the phased budget, detailed in Appendix A to the report. The forecast to 31 March 2023 was a breakeven position. Virements were proposed to realign budgets and those movements were detailed in the appendices to the report. The Committee decided: (1) that the breakeven position, as detailed in Appendix A to the report, be noted; (2) that the forecast to 31 March 2023 of a breakeven position be noted; and (3) that the budget virements, as detailed in the appendices to the report, be approved. 6
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5 Capital Budget Monitoring 2021/2022 – Finance and Corporate Resources A report dated 17 August 2022 by the Executive Director (Finance and Corporate Resources) was submitted advising of progress on Finance and Corporate Resources’ capital programme for 2021/2022 and summarising the expenditure position at 31 March 2022. The budget for 2021/2022 was £3.176 million. Total expenditure to 31 March 2022 was £1.926 million, a difference of £1.250 million. The final outturn position of £1.926 million was lower than the projected outturn of £3.176 million reported to this Committee on 9 February 2022. This was mainly due to the timings of project spend on IT Infrastructure Refresh, Caird Centre Project and the Audio-Visual Upgrade. Any underspend on those projects, along with the funding, would carry forward into next financial year as required. Accounting regulations meant that adjustments were required to report spend correctly as either capital or revenue for the purpose of the Annual Accounts. £0.012 million of revenue funding required to be recorded as capital. This transfer meant that, for the purpose of publishing the Annual Accounts only, there was a capital spend of £1.938 million. The Committee decided: that the Finance and Corporate Resources’ capital programme of £3.176 million and expenditure for the year of £1.926 million be noted. [Reference: Minutes of 9 February 2022 (Paragraph 6)] 6 Capital Budget Monitoring 2022/2023 – Finance and Corporate Resources A report dated 17 August 2022 by the Executive Director (Finance and Corporate Resources) was submitted advising of progress on Finance and Corporate Resources’ capital programme for 2022/2023 and summarising the expenditure position at 15 July 2022. The Finance and Corporate Resources’ capital programme for 2022/2023 was £3.695 million. Anticipated spend to date was £0.268 million and spend to 15 July 2022 totalled £0.270 million. This represented an overspend of £0.002 million. The Committee decided: that the Finance and Corporate Resources’ capital programme of £3.695 million and expenditure to date of £0.270 million be noted. [Reference: Minutes of South Lanarkshire Council (Special) of 23 February 2022 (Paragraph 4) and Minutes of the Executive Committee of 29 June 2022 (Paragraph 5)] 7 Finance and Corporate Resources – Workforce Monitoring – April to June 2022 A report dated 15 August 2022 by the Executive Director (Finance and Corporate Resources) was submitted on the following employee information for Finance and Corporate Resources for the period April to June 2022:- attendance statistics occupational health statistics accident/incident statistics disciplinary hearings, grievances and Dignity at Work cases analysis of leavers and exit interviews staffing watch as at 11 June 2022 7
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The Committee decided: that the report be noted. [Reference: Minutes of 9 February 2022 (Paragraph 7)] 8 Council-wide Workforce Monitoring – April to June 2022 A report dated 15 August 2022 by the Executive Director (Finance and Corporate Resources) was submitted on the following Council-wide employee information for the period April to June 2022:- attendance statistics occupational health statistics accident/incident statistics disciplinary hearings, grievances and Dignity at Work cases analysis of leavers and exit interviews recruitment monitoring staffing watch as at 11 June 2022 The Head of Personnel Services responded to a member’s question on various aspects of the report and agreed to send the member links to the mainstreaming equalities report. The Committee decided: that the report be noted. [Reference: Minutes of 9 February 2022 (Paragraph 8)] 9 Treasury Management Activity – First Quarter Review A report dated 31 July 2022 by the Executive Director (Finance and Corporate Resources) was submitted on the first quarter review of Treasury Management activity for 2022/2023. Details were given on:- market performance management of risk debt management and borrowing strategy next quarter investment plans investment activity treasury management indicators Officers responded to members’ questions on various aspects of the report. The Committee decided: that the report be noted. [Reference: Minutes of South Lanarkshire Council of 23 February 2022 (Paragraph 5)] 10 Prudential Indicators, Treasury Management Activity and Annual Investment Report 2021/2022 A report dated 16 August 2022 by the Executive Director (Finance and Corporate Resources) was submitted on the:- Treasury Management Activity and Prudential Code indicators for 2021/2022 proposed Annual Investment Strategy for 2021/2022 8
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The Chartered Institute of Public Finance and Accountancy (CIPFA) Code of Practice for Treasury Management required the Council to prepare an annual report on its Treasury Management activities. The CIPFA Prudential Code required councils to prepare a series of financial indicators that demonstrated affordability, prudence and sustainability with regard to capital financing decisions. The Council’s Capital Programme included, within its funding package, planned borrowing. The Prudential Code provided a framework to assist the management of the financial implications and helped to demonstrate that borrowing was both affordable and prudent. The Council’s Treasury Management Activity Report for 2021/2022 and the Treasury Management and Prudential Code Indicators for 2021/2022 were attached as appendices 1 and 2, respectively, to the report. In terms of the Local Government Investments (Scotland) Regulations 2010, the Council was required to prepare an Annual Investment Strategy prior to the start of each financial year and an Annual Investment Report after the financial year end. Both documents required to be approved by the Council. The Annual Investment Strategy for 2021/2022 had covered the following areas:- permitted investments risk management borrowing in advance The Annual Investment Report, attached as Appendix 3 to the report, detailed the Council’s activity in each of those 3 areas for 2021/2022 and Appendix 4 detailed the permitted investments that the Council had approved for the financial year 2021/2022. No borrowing in advance was taken during 2021/2022. The Committee decided: (1) that the Treasury Management Activity Report for 2021/2022 and the 2021/2022 Treasury Management and Prudential Code Indicators be noted and referred to the Executive Committee for noting; and (2) that the 2021/2022 Annual Investment Report be endorsed and referred to the Executive Committee for endorsement prior to submission to the Council for formal approval in line with The Local Government Investments (Scotland) Regulations 2010. 11 Revenue Collection and Approval for Write-Offs 2021/2022 A report dated 11 August 2022 by the Executive Director (Finance and Corporate Resources) was submitted on:- collection performance for the financial year 2021/2022 to 31 March 2022 on revenue income which comprised Council Tax, non-domestic rates, sundry debts and arrears performance in the Business Rates Incentivisation Scheme (BRIS) the write-off of irrecoverable Council Tax, sundry debt, and Housing Rent and associated charges Details were provided on collection targets and, at this stage, the Council was ahead of target and of comparable performance from 2020/2021. 9
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Performance against the BRIS target was closely monitored. As previously advised to Committee, the scheme had been suspended for 2020/2021 and 2021/2022 due to the impact of COVID-19. It was proposed that the following debts be written off:- irrecoverable Council Tax accounts from 1993/1994 to 2021/2022 to the value of £307,403.37 relating primarily to prescribed debt, sequestrations and estates of the deceased sundry debts to a value of £523,853.20 former tenant rent arrears totalling £330,106.33, factoring arrears of £955.79 and Housing Benefit overpayments totalling £84,493.25 The Committee decided: (1) that the Council’s performance in the collection of revenues be noted; (2) that the Council’s performance against the Business Rates Incentivisation Scheme target be noted; and (3) that the write-off of the following irrecoverable debts be approved:- Council Tax debt from 1993/1994 to 2021/2022 to the value of £307,403.37 sundry debts to a value of £523,853.20 house rent and associated charges totalling £415,555.37 [Reference: Minutes of 9 February 2022 (Paragraph 10)] 12 Revenue Collection and Approval for Write-Offs 2022/2023 A report dated 11 August 2022 by the Executive Director (Finance and Corporate Resources) was submitted on:- collection performance for the financial year 2022/2023 to 30 June 2022 on revenue income which comprised Council Tax, non-domestic rates, sundry debts and arrears performance in the Business Rates Incentivisation Scheme (BRIS) the write-off of irrecoverable Council Tax, non-domestic rates, Hamilton, Carluke and Lanark Town Centre Business Improvement District (BID) levies, sundry debt and Housing Rent and associated charges Details were provided on collection targets and, at this stage, the Council was ahead of target, with the exception of Sundry Debt, and ahead of comparable performance from 2021/2022. Performance against the BRIS target was closely monitored. As previously advised to Committee, the scheme had been suspended for 2020/2021 and 2021/2022 due to the impact of COVID-19. There had been no information on the reinstatement of BRIS for 2022/2023 and further guidance was awaited from the Scottish Government. It was proposed that the following debts be written off:- irrecoverable Council Tax accounts from 1993/1994 to 2022/2023 to the value of £240,491.71 relating primarily to prescribed debt, sequestrations and estates of the deceased irrecoverable non-domestic rates from 2020/2021 to 2022/2023 to the value of £992,381.14 relating primarily to debtors in liquidation, had ceased trading or had been sequestrated 10
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write-off of Business Improvement District (BID) levies of £11,774.26, administered by the Council on behalf of Hamilton, Carluke and Lanark BID companies sundry debts to a value of £998,389.92 former tenant rent arrears totalling £176,714.90, factoring arrears of £2,798.99 and Housing Benefit overpayments totalling £86,631.51 Officers responded to members’ questions on various aspects of the report. Following discussion on the write-off of school meals debt, the Executive Director (Finance and Corporate Resources) advised that a report on this would be submitted to a future meeting of this Committee. Following a request by members, the Head of Finance (Transactions) agreed that, going forward, more detail would be provided on Sundry Debt. The Committee decided: (1) that the Council’s performance in the collection of revenues be noted; (2) that the Council’s performance against the Business Rates Incentivisation Scheme target be noted; (3) that the write-off of the following irrecoverable debts be approved:- Council Tax debt from 1993/1994 to 2022/2023 to the value of £240,491.71 non-domestic rates from 2020/2021 to 2022/2023 to the value of £992,381.14 write-off of Business Improvement District (BID) Levies to the value of £11,774.26 sundry debts to a value of £998,389.92 house rent and associated charges totalling £266,145.40 (4) that a report on the write-off of school meals debt be submitted to a future meeting of this Committee. [Reference: Minutes of 9 February 2022 (Paragraph 10)] 13 2022/2023 Information and Communication Technology (ICT) Asset Management Plan A report dated 15 August 202 by the Executive Director (Finance and Corporate Resources) was submitted on the outcomes of the 2022/2023 Information and Communication Technology (ICT) Asset Management Plan. The ICT Asset Management Plan outlined the priorities and strategies required to develop and support the ICT asset estate which was in place to support the business objectives of the Council whilst ensuring business continuity. The plan highlighted the key actions planned for the year ahead, ensuring that the Council’s ICT Assets were fit for purpose. Details of the key support work were provided in the report and a copy of the proposed 2022/2023 ICT Asset Management Plan was attached as Appendix 1 to the report. Officers responded to members’ questions on various aspects of the report. 11
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The Committee decided: that the ICT Asset Management Plan for 2022/2023 be approved. [Reference: Minutes of 2 June 2021 (Paragraph 11)] In terms of Standing Order No 14, the Chair adjourned the meeting at 3.07pm and reconvened at 3.12pm 14 Finance and Corporate Resources’ Workforce Plan 2022 to 2025 A report dated 28 August 2022 by the Executive Director (Finance and Corporate Resources) was submitted on the Finance and Corporate Resources’ Workforce Plan for the period 2022 to 2025 and the associated strategic actions for the Council. The Executive Committee had agreed the Council Workforce Plan 2017 to 2020, with Resources being required to provide updates on their Workforce Plan to their respective committees. The review of the Workforce Plans had been delayed due to the COVID-19 pandemic and Resources had produced Plans covering the period 2022 to 2025. The Finance and Corporate Resources’ Workforce Plan 2022 to 2025, together with the Action Plan, was attached as Appendix 1 to the report. The Plan provided an overview of the services delivered by the Resource, the service demands and workforce profile. This, together with the strategic plans and drivers, was used to identify the objectives and actions required. The key themes for workforce planning that had been identified were:- demographic of the workforce and the impact on succession planning ability to recruit and retain employees in key professional areas development of current workforce to ensure skills were available to deliver in key strategic areas maintaining employee wellbeing and resilience The key activities identified were:- revised recruitment practices to attract and retain employees graduate apprenticeship approach review of working practices, considering actions to develop employee skills to deliver services This aligned with the general common themes from all Resource Action Plans which were:- increased demand and a reduced workforce pool which was a national issue demographic challenges, increased turnover, employees retiring earlier than expected and succession planning employee wellbeing Officers responded to members’ questions on various aspects of the report. In response to a member’s question in relation to the number of contractors currently used by IT to carry out projects, the Head of IT Services agreed to clarify this information and respond to the member. The Committee decided: (1) that the content of the report be noted; and; 12
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(2) that the Finance and Corporate Resources’ Workforce Plan 2022 to 2025, attached as Appendix 1 to the report, be approved. [Reference: Minutes of 6 September 2017 (Paragraph 12)] 15 Common Good Update A report dated 16 August 2022 by the Executive Director (Finance and Corporate Resources) was submitted on:- the unaudited Common Good accounts for the year ended 31 March 2022 the cyclical spend committed against the Common Good repairs and maintenance budgets for both Lanark and Hamilton projects currently committed from the Common Good budgets for Lanark, Hamilton and Biggar consultations relating to the Common Good The Common Good funds held within South Lanarkshire Council were Lanark, Biggar, Hamilton and Rutherglen. The Common Good accounts for 2021/2022 were detailed in Appendix 1 to the report and showed that, at the year end, the Common Good balance invested in the Council’s Loan Fund was £0.754 million. The Common Good accounts in Lanark and Hamilton held a number of properties. On 2 October 2013, this Committee had approved an annual cyclical maintenance plan of £15,000 for both Lanark and Hamilton Common good properties. The report provided an update in relation to the following:- current expenditure and commitments in relation to the Lanark and Hamilton Common Good repairs and maintenance budgets for 2022/2023 a proposal to create a Lanimer Shed and Rural Development Centre at Lanark Racecourse consultations under Section 104 of the Community Empowerment (Scotland) Act 2015 relating to the Common Good Consultation in respect of the proposal to create a Lanimer Shed and Rural Development Centre at Lanark racecourse was published on 19 July 2022 and closed on 14 September 2022. Details of the consultation had been circulated to members of this Committee and the local members for Lanark. The Committee decided: (1) that the accounts for Common Good for the year ended 31 March 2022 be noted; (2) that the cyclical spend committed against the Common Good Repairs and Maintenance budgets for Lanark and Hamilton be noted; (3) that the proposal to create a Lanimer Shed and Rural Development Centre at Lanark Racecourse be noted; and (4) that details of consultations relating to Common Good be noted. [Reference: Minutes of 10 November 2021 (Paragraph 8)] 13
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16 Governance of Charitable Trust Funds – 2021/2022 A report dated 16 August 2022 by the Executive Director (Finance and Corporate Resources) was submitted on the status of the Trust Fund modernisation along with the financial status of the Charitable Trusts Funds administered by the Council. On 25 April 2018, this Committee had approved a proposal to modernise the charitable trust funds and the Council’s Legal Services had been working with the Office of the Scottish Charity Regulator (OSCR) to formally adopt trust deeds and continued to work with them to achieve the modernisation of the Trusts. To date, OSCR had approved the re-organistion of 6 funds relating to the Leadhills area, 11 Hamilton area funds,17 Clydesdale area funds and 18 Educational funds. The application for the reorganisation of 1 Cambuslang and Rutherglen area fund had been submitted to OSCR on 5 August 2022 and work was ongoing on drafting the applications to OSCR for the reorganisation of the Rutherglen Mortified Money fund and 7 East Kilbride area funds. As previously agreed, the 2 new Trusts, namely, the South Lanarkshire Charitable Trust and the Education Trust, each had appointed a set of Trustees, as detailed in paragraph 4.3 of the report. Once the current Trusts were re-organised into new Trusts, those same Trustees would be responsible for the new Trusts. During 2021/2022, no payments had been made to beneficiaries from the South Lanarkshire Charitable Trust Funds as the process of transferring the balances to The South Lanarkshire Charitable Trust had commenced. In addition, funds of the Loudon Bequest, which were managed by Barclays Wealth, had been reinvested. The opening balance of the 3 Trust Funds as at 1 April 2021 was £1.191 million. The balance at 31 March 2022 totalled £1.160 million, a decrease of £0.031 million on the previous year position. The remaining funds of the current Trusts would be transferred to the 2 new Trusts as soon as approval was received from OSCR, which was anticipated by the end of the calendar year. The Committee decided: that the report be noted. [Reference: Minutes of 1 September 2021 (Paragraph 15)] 17 Finance and Corporate Resource Plan - Quarter 4 Progress Report 2021/2022 A report dated 27 June 2022 by the Executive Director (Finance and Corporate Resources) was submitted on the Finance and Corporate Resource Plan Quarter 4 Progress Report for 2021/2022 for the period 1 April 2021 to 31 March 2022. The Resource Plan measures were rated using a traffic light system of red, amber or green as well as blue (BRAG) which indicated that an action had been completed. Details were provided on:- progress made in implementing the priority projects identified in the Resource Plan 2021/2022, as detailed in the Quarter 4 Progress Report, attached as Appendix 2 to the report key achievements made by the Resource to date, as detailed in Section 5.3 of the report areas for improvement and associated management actions, as detailed in Section 5.4 of the report measures which had changed from Quarter 2 to Quarter 4, as detailed in Appendix 3 to the report 14
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The Committee decided: (1) that the Quarter 4 Progress Report for 2021/2022, as summarised in paragraph 5.2 and detailed in Appendix 2 to the report, be noted; (2) that the key achievements made by the Resource to date, as detailed in paragraph 5.3 of the report, be noted; (3) that the areas for improvement and associated management actions, as detailed in paragraph 5.4 of the report, be noted; and (4) that the additional scrutiny of changes in BRAG status between Quarter 2 and Quarter 4, as summarised at paragraph 5.5 and detailed at Appendix 3 of the report, be noted. [Reference: Minutes of 1 September 2021 (Paragraph 17)] 18 Finance and Corporate Resource Plan 2022/2023 A report dated 24 August 2022 by the Executive Director (Finance and Corporate Resources) was submitted on the Finance and Corporate Resource Plan 2022/2023. Details were provided on the Resource Plan for 2022/2023, attached as Appendix 1 to the report, which outlined:- key areas of focus for the year ahead objectives and outcomes measures and actions resourcing of the Plan The Resource had established a number of outcomes to support the delivery of the Connect priorities in 2022/2023, as outlined in Section 4 of the Resource Plan. In line with the Council’s performance management arrangements, a mid-year progress report on actions identified in the 2022/2023 Resource Plan and an end of year progress report respectively, would be submitted to future meetings of the Committee. In response to a member’s question regarding ethnic minority pay data, the Head of Personnel Services agreed to provide further information to the member. The Committee decided: that the Finance and Corporate Resource Plan for 2022/2023 be noted and uploaded to the Council’s website. [Reference: Minutes of the Executive Committee of 24 August 2022 (Paragraph 8)] 19 Annual Procurement Report 2021/2022 A report dated 17 August 2022 by the Executive Director (Finance and Corporate Resources) was submitted on the Annual Procurement Report for 2021/2022. 15
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The Procurement (Scotland) Reform Act 2014 required contracting authorities to prepare and publish an Annual Procurement Report on their regulated procurement activities. The Act stated that the Report must include information under the following headings:- regulated procurement activity regulated procurement strategy and compliance community benefits supported businesses future planning any other relevant information A summary of procurement activity was provided in the report and the Council’s Annual Procurement Report for 2021/2022 was attached as Appendix 1 to the report. The Committee decided: that the Annual Procurement Report for 2021/2022 be noted. [Reference: Minutes of 1 September 2021 (Paragraph 16)] 20 Procurement Strategy – Update A report dated 5 August 2022 by the Executive Director (Finance and Corporate Resources) was submitted on:- progress on the Procurement Strategy Action Plan to March 2022 the annual review of the Procurement Strategy for 2022/2023 the Procurement Strategy Action Plan for 2022/2023 The Council’s Procurement Strategy 2020 to 2023 was approved by the Executive Committee on 13 May 2020 and, at its meeting held on 9 February 2022, this Committee noted an update on progress with the Strategy Action Plan to September 2021. The Procurement Strategy in February 2022 included 7 key strategic objectives, which linked to key outcomes for the Procurement Service. An update on each of those objectives and evidence of progress in working towards those outcomes was detailed in Appendix 1 to the report. The Procurement Strategy Action Plan included specific projects for 2021/2022 in support of those strategic objectives which included 21 actions. Progress made to the end of March 2022 was detailed in Appendix 2 to the report. The Council was required to review the Procurement Strategy annually and 2022/2023 would be the final year of the current Procurement Strategy, with a full Strategy review required from 2023/2024 onwards. The updated Strategy for 2022/2023 was attached as Appendix 3 to the report. The Procurement Strategy Action Plan proposed for 2022/2023 was detailed in Appendix 4 to the report. The Action Plan recognised the continued focus on supplier and contract management requirements following EU Exit and recovery from COVID-19, as wider economic and inflationary pressures impacted on the Council’s contracts throughout 2022 and beyond. The Committee decided: that the report be noted. [Reference: Minutes of 9 February 2022 (Paragraph14) and Note of Delegated Decisions taken by the Chief Executive, in consultation with Group Leaders, on items of business relating to the Executive Committee Agenda of 13 May 2021 Paragraph 6)] 16
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21 Notification of Contracts Awarded - 1 October 2021 to 31 March 2022 A report dated 9 August 2022 by the Executive Director (Finance and Corporate Resources) was submitted on contracts awarded by Finance and Corporate Resources during the period 1 October 2021 to 31 March 2022. In terms of Standing Order Nos 21.8 and 22.5 of the Standing Orders on Contracts, Resources were required to notify the relevant Committee of contracts awarded. Details of the contracts awarded by Finance and Corporate Resources were provided in the appendix to the report. The Committee decided: that the report be noted. [Reference: Minutes of 9 February 2022 (Paragraph 15)] 22 Early Retirement, Voluntary Severance and Switch 2 A report dated 5 August 2022 by the Executive Director (Finance and Corporate Resources) was submitted on early retirements, voluntary severances, and the Switch 2 programme for the period 1 October 2021 to 31 March 2022. The Committee decided: that the report be noted. [Reference: Minutes of 10 November 2021 (Paragraph 14)] 23 Safety at Sports Grounds – Re-Issue of General Safety Certificate for New Douglas Park A report dated 17 August 2022 by the Executive Director (Finance and Corporate Resources) was submitted on action taken, in terms of Standing Order No 37(c) in view of the timescales involved, by the Executive Director (Finance and Corporate Resources), in consultation with the Chair and an ex officio member, to re-issue the reviewed General Safety Certificate for the North and West Stands, Hamilton Academical Football Club, New Douglas Park, Cadzow Avenue, Hamilton. The revised format of the General Safety Certificates for the North and West stands at New Douglas Park had been approved by this Committee at its meeting on 11 December 2013. A single certificate, in the same format, which covered both stands had been approved by this Committee on 10 November 2021. The certificate was required to be reviewed and re-issued annually. The Committee decided: that the 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, to re-issue the reviewed General Safety Certificate for the North and West Stands, Hamilton Academical Football Club, New Douglas Park, Cadzow Avenue, Hamilton, be noted. [Reference: Minutes of 10 November 2021 (Paragraph 15)] 24 Urgent Business There were no items of urgent business. 17
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APPEALS PANEL Minutes of meeting held in Committee Room 2, Council Offices, Almada Street, Hamilton on 22 September 2022 Chair: Councillor Lesley McDonald Councillors Present: Councillor Ralph Barker, Councillor Ross Lambie Attending: Finance and Corporate Resources E Maxwell, HR Business Manager; T Slater, Administration Adviser 1 Declaration of Interests No interests were declared. 2 Urgent Business There were no items of urgent business. 3 Exclusion of Press and Public The Panel decided: that, in terms of Section 50A(4) of the Local Government (Scotland) Act 1973, the press and public be excluded from the meeting for the next item of business on the grounds that it was likely that there would be disclosure of exempt information in terms of Paragraph 1 of Part I of Schedule 7A of the Act. 4 Appeal Against Termination Due to Capability The Panel considered an appeal (Ref 5/22) by an employee against their termination due to capability. The appellant was present and represented by a trade union representative. The Council was represented by a Personnel Adviser. The Council called a witness and the appellant’s representative called the appellant. All parties were heard in relation to the appeal and then withdrew from the meeting. The Panel decided: that the grounds of the appeal had not been substantiated and the appeal be not upheld. 3 19
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APPEALS PANEL Minutes of meeting held in Committee Room 2, Council Offices, Almada Street, Hamilton on 25 October 2022 Chair: Councillor Walter Brogan Councillors Present: Councillor Katy Loudon, Councillor Mo Razzaq Attending: Finance and Corporate Resources H Calley, Administration Officer; G Robertson, Personnel Adviser 1 Declaration of Interests No interests were declared. 2 Urgent Business There were no items of urgent business. 3 Exclusion of Press and Public The Panel decided: that, in terms of Section 50A(4) of the Local Government (Scotland) Act 1973, the press and public be excluded from the meeting for the next item of business on the grounds that it was likely that there would be disclosure of exempt information in terms of Paragraph 1 of Part I of Schedule 7A of the Act. 4 Appeal Against Dismissal The Panel considered an appeal (Ref 7/22) by an employee against their dismissal. The appellant was present and represented by a trade union representative. The Council was represented by a Personnel Adviser. The Council called a witness and the appellant’s representative called the appellant. All parties were heard in relation to the appeal and then withdrew from the meeting. The Panel decided: that the grounds of the appeal had been substantiated in part and the appeal be upheld to the extent that:- the dismissal be replaced by a period of unpaid absence from the date of dismissal until 25 October 2022 the appellant be issued with a final written warning the appellant be demoted to the position of Grounds Services Operative (Streets) 3 21
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APPEALS PANEL Minutes of meeting held in Committee Room 2, Council Offices, Almada Street, Hamilton on 1 November 2022 Chair: Councillor Lesley McDonald Councillors Present: Councillor Alex Allison, Councillor Catherine McClymont Attending: Finance and Corporate Resources H Calley, Administration Officer; E Maxwell, HR Business Manager 1 Declaration of Interests No interests were declared. 2 Urgent Business There were no items of urgent business. 3 Exclusion of Press and Public The Panel decided: that, in terms of Section 50A(4) of the Local Government (Scotland) Act 1973, the press and public be excluded from the meeting for the next item of business on the grounds that it was likely that there would be disclosure of exempt information in terms of Paragraph 1 of Part I of Schedule 7A of the Act. 4 Appeal Against Dismissal The Panel considered an appeal (Ref 4/22) by an employee against their dismissal. The appellant was present and represented by a trade union representative. The Council was represented by a Personnel Adviser. The Council called a witness and the appellant’s representative called the appellant. All parties were heard in relation to the appeal and then withdrew from the meeting. The Panel decided: that the grounds of the appeal had not been substantiated and the appeal be not upheld. 3 23
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RECRUITMENT COMMITTEE Minutes of meeting held in Committee Room 5, Council Offices, Almada Street, Hamilton on 9 September 2022 Chair: Councillor Joe Fagan Councillors Present: Councillor John Anderson (substitute for Councillor John Ross), Councillor Maureen Chalmers, Councillor Gerry Convery (Depute), Councillor Gladys Ferguson-Miller Councillors’ Apologies: Councillor Alex Allison, Councillor John Ross Attending: Community and Enterprise Resources D Booth, Executive Director Finance and Corporate Resources S McLeod, Administration Officer; E McPake, Human Resources Business Partner (Education and Social Work Resources), K McVeigh, Head of Personnel Services 1 Declaration of Interests No interests were declared. 2 Minutes of Previous Meeting The minutes of the meeting of the Recruitment Committee held on 31 August 2022 were submitted for approval as a correct record. The Committee decided: that the minutes be approved as a correct record. 3 Urgent Business There were no items of urgent business. 4 Exclusion of Press and Public The Committee decided: that, in terms of Section 50A(4) of the Local Government (Scotland) Act 1973, the press and public be excluded from the meeting for the next item of business on the grounds that it was likely that there would be disclosure of exempt information in terms of Paragraph 1 of Part I of Schedule 7A of the Act. 5 Post of Head of Planning and Regulatory Services The Committee proceeded to interview 3 candidates for the post of Head of Planning and Regulatory Services. 4 25
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The Committee decided: that Mr F Carlin, Head of Housing Services, Renfrewshire Council be appointed to the post of Head of Planning and Regulatory Services. [Reference: Minutes of 31 August 2022 (Paragraph 5)] 26
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RECRUITMENT COMMITTEE Minutes of meeting held in Committee Room 2, Council Offices, Almada Street, Hamilton on 20 September 2022 Chair: Councillor Joe Fagan Councillors Present: Councillor John Anderson (substitute for Councillor John Ross), Councillor Maureen Chalmers, Councillor Gerry Convery (Depute), Councillor Gladys Ferguson-Miller, Councillor Richard Nelson (substitute for Councillor Alex Allison) Councillors’ Apologies: Councillor Alex Allison, Councillor John Ross Attending: Chief Executive’s Service C Sneddon, Chief Executive Finance and Corporate Resources S McLeod, Administration Officer; E McPake, Human Resources Business Partner (Education and Social Work Resources); K McVeigh, Head of Personnel Services 1 Declaration of Interests No interests were declared. 2 Minutes of Previous Meeting The minutes of the meeting of the Recruitment Committee held on 8 September 2022 were submitted for approval as a correct record. The Committee decided: that the minutes be approved as a correct record. 3 Urgent Business There were no items of urgent business. 4 Exclusion of Press and Public The Committee decided: that, in terms of Section 50A(4) of the Local Government (Scotland) Act 1973, the press and public be excluded from the meeting for the next item of business on the grounds that it was likely that there would be disclosure of exempt information in terms of Paragraph 1 of Part I of Schedule 7A of the Act. 5 Post of Executive Director (Housing and Technical Resources) The Committee proceeded to interview 4 candidates for the post of Executive Director (Housing and Technical Resources). 4 27
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The Committee decided: that Mr S Gibson, Head of Planning, Housing, Building Standards and Transport Strategy, Glasgow City Council be appointed to the post of Executive Director (Housing and Technical Resources). [Reference: Minutes of 8 September 2022 (Paragraph 6)] 28
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RECRUITMENT COMMITTEE Minutes of meeting held in Committee Room 2, Council Offices, Almada Street, Hamilton on 24 October 2022 Chair: Councillor Joe Fagan Councillors Present: Councillor Alex Allison, Councillor John Anderson (substitute for Councillor John Ross), Councillor Maureen Chalmers, Councillor Gerry Convery (Depute), Councillor Gladys Ferguson-Miller Councillor’s Apology: Councillor John Ross Attending: Community and Enterprise Resources D Booth, Executive Director Finance and Corporate Resources S McLeod, Administration Officer; E McPake, Human Resources Business Partner (Education and Social Work Resources) 1 Declaration of Interests No interests were declared. 2 Urgent Business There were no items of urgent business. 3 Exclusion of Press and Public The Committee decided: that, in terms of Section 50A(4) of the Local Government (Scotland) Act 1973, the press and public be excluded from the meeting for the next item of business on the grounds that it was likely that there would be disclosure of exempt information in terms of Paragraph 1 of Part I of Schedule 7A of the Act. 4 Post of Head of Enterprise and Sustainable Development The Committee proceeded to interview 4 candidates for the post of Head of Enterprise and Sustainable Development. Two applicants, who had previously been selected to attend the assessment centre, had since withdrawn their applications. As a result of the withdrawals, there had been no requirement for a further meeting to be held following the assessment centre to select applicants for interview. The Committee decided: that Ms A Brown, Senior Manager – Development, Clyde Gateway be appointed to the post of Head of Enterprise and Sustainable Development. [Reference: Minutes of 8 September 2022 (Paragraph 5)] 4 29
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Report Agenda Item Report to: Finance and Corporate Resources Committee Date of Meeting: 16 November 2022 Report by: Executive Director (Finance and Corporate Resources) Subject: Revenue Budget Monitoring 2022/2023 - Finance and Corporate Resources 1. Purpose of Report 1.1. The purpose of the report is to: [p provide information on the actual expenditure measured against the revenue budget for the period 1 April 2022 to 7 October 2022 for Finance and Corporate Resources [1purpose] 2. Recommendation(s) 2.1. The Committee is asked to approve the following recommendation(s):- [recs] (1) that the breakeven position on the Finance and Corporate Resources’ revenue budget, as detailed in Appendix A of the report, and the forecast to 31 March 2023 of breakeven, be noted; and (2) that the proposed budget virements be approved. 3. Background 3.1. This is the second revenue budget monitoring report presented to the Finance and Corporate Resources Committee for the financial year 2022/2023. 3.2. The report details the financial position for Finance and Corporate Resources on Appendix A, along with variance explanations in Appendices B to H. 4. Employee Implications 4.1. None. 5. Financial Implications 5.1. As at 7 October 2022, there is a breakeven position against the phased budget. The financial forecast for the revenue budget to 31 March 2023 is a breakeven position. 5.2. Virements are proposed to realign budgets. These movements have been detailed in the appendices to this report, as appropriate. 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. 5 31
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7. Other Implications 7.1. The main risk associated with the Council’s Revenue Budget is that there is an overspend. There are general inflation and budget pressures this year which increase the risk of overspend however we have mitigated this going forward by providing additional funds in future years’ budget strategy, and in this year, through some reserve funds available. There are also emerging underspends in employee costs which will help offset increasing inflationary pressures. 7.2. We will also continue to monitor the actual impact through four weekly budget monitoring meetings at which any variance is analysed. In addition, the probable outturn exercise ensures early warning for corrective action to be taken where appropriate. 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 an existing policy, function or strategy and therefore no impact assessment is required. 8.2. There is also no requirement to undertake any consultation in terms of the information contained in the report. Paul Manning Executive Director (Finance and Corporate Resources) 19 October 2022 Link(s) to Council Values/Priorities/Outcomes Accountable, Effective, Efficient and Transparent Previous References None List of Background Papers Financial ledger and budget monitoring results to 7 October 2022 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 32
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Appendix A SOUTH LANARKSHIRE COUNCIL Revenue Budget Monitoring Report Finance and Corporate Resources Committee: Period Ended 7 October 2022 (No.7) Finance and Corporate Resources Summary Annual Budget Forecast for Year Annual Forecast Variance Budget Proportion 07/10/22 Actual 07/10/22 Variance 07/10/22 % Variance 07/10/22 Note £000 £000 £000 £000 £000 £000 Budget Category Employee Costs 36,938 36,938 0 17,783 17,544 239 Under 1.3% Property Costs 1,726 1,726 0 847 850 (3) Over (0.4%) Supplies & Services 10,353 10,353 0 6,843 6,903 (60) Over (0.9%) Transport & Plant 75 75 0 13 10 3 Under (23.1%) Administration Costs 8,295 8,295 0 4,406 4,468 (62) Over (1.4%) Payments to Other Bodies 8,084 8,084 0 3,061 3,061 0 - 0.0% Payments to Contractors 271 271 0 28 15 13 Under 46.4% Transfer Payments 65,107 65,107 0 29,971 29,971 0 - 0.0% Financing Charges 1,217 1,217 0 903 947 (44) Over (4.9%) Total Controllable Exp. 132,066 132,066 0 63,855 63,769 86 Under 0.1% Total Controllable Inc. (90,074) (90,074) 0 (36,192) (36,106) (86) Under Recovered 0.2% Net Controllable Exp. 41,992 41,922 0 27,663 27,663 0 Under 0.7% Variance Explanations Variance explanations are shown in Appendices B to H as appropriate. Budget Virements Budget virements are shown in Appendices B to H as appropriate. 33
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Appendix B SOUTH LANARKSHIRE COUNCIL Revenue Budget Monitoring Report Finance and Corporate Resources Committee: Period Ended 7 October 2022 (No.7) Finance - Strategy Services Annual Budget Forecast for Year Annual Forecast Variance Budget Proportion 07/10/22 Actual 07/10/22 Variance 07/10/22 % Variance 07/10/22 Note £000 £000 £000 £000 £000 £000 Budget Category Employee Costs 2,941 2,941 0 1,446 1,420 26 Under 1.8% 1 Property Costs 0 0 0 0 0 0 - n/a Supplies & Services 20 20 0 8 12 (4) Over (50.0%) Transport & Plant 0 0 0 0 0 0 - n/a Administration Costs 112 112 0 101 104 (3) Over (3%) Payments to Other Bodies 516 516 0 353 353 0 - 0.0% Payments to Contractors 22 22 0 15 15 0 - 0.0% Transfer Payments 0 0 0 0 0 0 - n/a Financing Charges 16 16 0 10 10 0 - 0.0% Total Controllable Exp. 3,627 3,627 0 1,993 1,914 19 Under 1% Total Controllable Inc. (1,604) (1,604) 0 0 (7) 7 Over recovered n/a Net Controllable Exp. 2,023 2,023 0 1,993 1,907 26 Under 1.3% Variance Explanations 1. The underspend is a consequence of vacant posts within the Service, which are being considered in line with service requirements 34
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Appendix C SOUTH LANARKSHIRE COUNCIL Revenue Budget Monitoring Report Finance and Corporate Resources Committee: Period Ended 7 October 2022 (No.7) Finance - Transactions Services Annual Budget Forecast for Year Annual Forecast Variance Budget Proportion 07/10/22 Actual 07/10/22 Variance 07/10/22 % Variance 07/10/22 Note £000 £000 £000 £000 £000 £000 Budget Category Employee Costs 12,854 12,854 0 6,231 6,072 159 Under 2.6% 1,a,b ,d Property Costs 1,715 1,715 0 837 832 5 Under 0.6% 2,a,d Supplies & Services 3,856 3,856 0 2,843 2,854 (11) Over (0.4%) a Transport & Plant 9 9 0 3 1 2 Under 66.7% a Administration Costs 2,238 2,238 0 1,458 1,472 (14) Over (1%) a Payments to Other Bodies 1,499 1,499 0 995 995 0 - 0.0% Payments to Contractors 249 249 0 13 0 13 Under 100% Transfer Payments 65,107 65,107 0 29,971 29,971 0 - 0.0% Financing Charges 142 142 0 58 75 (17) Over (29.3%) a Total Controllable Exp. 87,669 87,669 0 42,409 42,272 137 Under 0.3% Total Controllable Inc. (68,829) (68,829) 0 (30,407) (30,381) (26) Under recovered 0.1% 3,a,c Net Controllable Exp. 18,840 18,840 0 12,002 11,891 111 under 0.9% Variance Explanations 1. Employee Costs The underspend is a consequence of vacant posts within the Service, which are being considered in line with service requirements. Budget Virements a. Internal Budget Realignments: Net Effect: £0.000m, Employee Costs(£0.105m), Property Costs (£0.030m), Administration Costs £1.021m, Transfer Payments (£4.000m), Income £3.114m b. Externally Funded Posts for one year (LACER & Self Isolation Support): Net Effect: £0.257m, Employee costs £0.257m c. Procurement Saving: Net Effect: (£0.093m), Income (£0.093m) 35
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Appendix D SOUTH LANARKSHIRE COUNCIL Revenue Budget Monitoring Report Finance and Corporate Resources Committee: Period Ended 7 October 2022 (No.7) Audit Services Annual Budget Forecast for Year Annual Forecast Variance Budget Proportion 07/10/22 Actual 07/10/22 Variance 07/10/22 % Variance 07/10/22 Note £000 £000 £000 £000 £000 £000 Budget Category Employee Costs 613 613 0 301 322 (21) Over (7.0%) 1,a Property Costs 0 0 0 0 0 0 - n/a Supplies & Services 7 7 0 3 1 2 Under 66.7% Transport & Plant 0 0 0 0 0 0 - n/a Administration Costs 6 6 0 4 3 1 Under 25% a Payments to Other Bodies 1 1 0 0 0 0 - n/a a Payments to Contractors 0 0 0 0 0 0 - n/a Transfer Payments 0 0 0 0 0 0 - n/a Financing Charges 4 4 0 3 3 0 - 0.0% Total Controllable Exp. 631 631 0 311 329 (18) Over (5.8%) Total Controllable Inc. (276) (276) 0 (1) (19) 18 over recovered - 2,a Net Controllable Exp. 355 355 0 310 310 0 - 0.0% Variance Explanations 1. Employee Costs The overspend is mainly due to lower than anticipated staff turnover across the Service to date. 2. Income The overspend in income reflects staff funding from the European Social Fund. Budget Virements a. Internal Budget Realignments: Net Effect: £0.000m: Employee Costs £0.039m, Administration Costs (£0.001m), Payment to Other Bodies £0.001m and Income (£0.039m). 36
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Appendix E SOUTH LANARKSHIRE COUNCIL Revenue Budget Monitoring Report Finance and Corporate Resources Committee: Period Ended 7 October 2022 (No.7) Information Technology Services Annual Budget Forecast for Year Annual Forecast Variance Budget Proportion 07/10/22 Actual 07/10/22 Variance 07/10/22 % Variance 07/10/22 Note £000 £000 £000 £000 £000 £000 Budget Category Employee Costs 5,067 5,067 0 2,504 2,579 (75) Over (3.0%) 1,a Property Costs 0 0 0 0 (13) 13 Under n/a a Supplies & Services 5,525 5,525 0 3,615 3,622 (7) over (0.2%) a,b Transport & Plant 4 4 0 1 2 (1) Over (100.0%) Administration Costs 1,604 1,604 0 720 720 0 - 0.0% a Payments to Other Bodies 0 0 0 0 0 0 - n/a Payments to Contractors 0 0 0 0 0 0 - n/a Transfer Payments 0 0 0 0 0 0 - n/a Financing Charges 631 631 0 611 614 (3) Over (0.5%) a Total Controllable Exp. 12,831 12,831 0 7,451 7,524 (73) Over (1.0%) Total Controllable Inc. (7,749) (7,749) 0 (2,521) (2,531) 10 over recovered (0.4%) a Net Controllable Exp. 5,082 5,082 0 4,930 4,993 (63) Over (1.9%) Variance Explanations 1. Employee Costs The overspend is mainly due to lower than anticipated staff turnover across the Service to date. Budget Virements a. Internal Budget Realignments: Net Effect £0.000m: Employee Costs (£0.136m), Property Costs (£0.579m), Supplies & Services £0.278m, Administration Costs £0.316m, Financing Charges £0.130m, Income (£0.009m) b. Procurement Saving: Net Effect (£0.013m), Supplies & Services (£0.013m) 37
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Appendix F SOUTH LANARKSHIRE COUNCIL Revenue Budget Monitoring Report Finance and Corporate Resources Committee: Period Ended 7 October 2022 (No.7) Personnel Services Annual Budget Forecast for Year Annual Forecast Variance Budget Proportion 07/10/22 Actual 07/10/22 Variance 07/10/22 % Variance 07/10/22 Note £000 £000 £000 £000 £000 £000 Budget Category Employee Costs 8,941 8,941 0 4,122 3,899 223 Under 5.4% 1,a,b ,c,d, e Property Costs 113 113 0 53 30 23 Under 43.4% Supplies & Services 192 192 0 77 100 (23) Over (29.9%) Transport & Plant 18 18 0 8 4 4 Under 50.0% Administration Costs 1,099 1,099 0 591 618 (27) Over (4.6%) b Payments to Other Bodies 3,973 3,973 0 660 660 0 - 0.0% a,b, d Payments to Contractors 0 0 0 0 0 0 - n/a Transfer Payments 0 0 0 0 0 0 - n/a Financing Charges 41 41 0 28 40 (12) Over (42.9%) Total Controllable Exp. 14,377 14,377 0 5,539 5,351 188 under 4.2% Total Controllable Inc. (5,994) (5,994 0 (1,067) (1,067) 0 - 0.0% b,c Net Controllable Exp. 8,383 8,383 0 4,472 4,284 188 under 4.2% Variance Explanations 1. Employee Costs The underspend in employee costs reflects the level of modern apprentices currently required and also staff working on other funded projects. Budget Virements a. Internal Budget Realignments: Net Effect £0.000m: Employee Costs £0.060m, Payment to Other Bodies (£0.060m) b. Upload or Renewable Budget: Net Effect: £0.000m, Employee Costs £0.066m, Administration Costs £0.056m, Payment to Other Bodies £0.324m, Income (£0.446m) c. Upload of Kickstart Budget: Net Effect: £0.000m, Employee Costs £0.410m, Income (£0.410m) d. Upload of Long Terms Unemployed Budget: Net Effect £0.000m, Employee Costs £0.036m, Payments to Other Bodies (£0.036m) e. Trauma funding for post: Net Effect £0.038m, Employee Costs £0.038m 38
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Appendix G SOUTH LANARKSHIRE COUNCIL Revenue Budget Monitoring Report Finance and Corporate Resources Committee: Period Ended 7 October 2022 (No.7) Administration, Legal and Licensing Services Annual Budget Forecast for Year Annual Forecast Variance Budget Proportion 07/10/22 Actual 07/10/22 Variance 07/10/22 % Variance 07/10/22 Note £000 £000 £000 £000 £000 £000 Budget Category Employee Costs 4,098 4,098 0 2,007 2,032 (25) Over (1.2%) 1 Property Costs 18 18 0 0 1 (1) Over n/a Supplies & Services 120 120 0 41 56 (15) Over (36.6%) Transport & Plant 14 14 0 1 3 (2) Over (200%) Administration Costs 2,094 2,094 0 1,146 1,161 (15) Over (1.3%) Payments to Other Bodies 678 678 0 376 376 0 - 0.0% Payments to Contractors 0 0 0 0 0 0 - n/a Transfer Payments 0 0 0 0 0 0 - n/a Financing Charges 32 32 0 20 33 (13) Over (65.0%) Total Controllable Exp. 7,054 7,054 0 3,591 3,662 (71) Over (2.0%) Total Controllable Inc. (2,941) (2,941) 0 (1,222) (1,131) (91) Under recovered 7.4% Net Controllable Exp. 4,113 4,113 0 2,369 2,531 (162) over (6.8%) Variance Explanations 1. Employee Costs The overspend is mainly due to lower than anticipated staff turnover across the Service to date. 39
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Appendix H SOUTH LANARKSHIRE COUNCIL Revenue Budget Monitoring Report Finance and Corporate Resources Committee: Period Ended 7 October 2022 (No.7) Communications and Strategy Services Annual Budget Forecast for Year Annual Forecast Variance Budget Proportion 07/10/22 Actual 07/10/22 Variance 07/10/22 % Variance 07/10/22 Note £000 £000 £000 £000 £000 £000 Budget Category Employee Costs 2,304 2,304 0 1,129 1,220 (91) over (8.1%) 1,a,b Property Costs 0 0 0 0 0 0 - n/a a Supplies & Services 633 633 0 256 258 (2) Over (0.8%) a Transport & Plant 30 30 0 0 0 0 - n/a Administration Costs 1,142 1,142 0 386 390 (4) Over (1.0%) a Payments to Other Bodies 1,417 1,417 0 677 677 0 - 0.0% a,b,c Payments to Contractors 0 0 0 0 0 0 - n/a Transfer Payments 0 0 0 0 0 0 - n/a Financing Charges 351 351 0 173 172 1 Under 0.6% a Total Controllable Exp. 5,877 5,877 0 2,621 2,717 (96) Over (3.7%) Total Controllable Inc. (2,681) (2,681) 0 (974) (970) (4) under recovered 0.4% a Net Controllable Exp. 3,196 3,196 0 1,647 1,747 (100) over (6.1%) Variance Explanations 1. Employee Costs The overspend is mainly due to lower than anticipated staff turnover across the Service to date. Budget Virements a. Internal Budget Realignment: Net Effect £0.000m: Employee Costs (£0.169m), Property Costs (£0.040m), Supplies and Services (£0.046m), Administration Costs( £0.076m), Payments to Other Bodies (£0.023m), Financing Charges £0.005m, Income £0.349m b. Transfer of Community Asset Budget from Housing & Technical: Net Effect £0.113m. Employee Costs £0.045m, Payments to Other Bodies £0.068m c. Upload of Citizen Advice Bureau Funding: Net Effect £0.040m, Payment to Other Bodies £0.040m 40
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Report Agenda Item Report to: Finance and Corporate Resources Committee Date of Meeting: 16 November 2022 Report by: Executive Director (Finance and Corporate Resources) Subject: Capital Budget Monitoring 2022/2023 - Finance and Corporate Resources 1. Purpose of Report 1.1. The purpose of the report is to:- [purpose] provide information on the progress of the capital programme for Finance and Corporate Resources for the period 1 April 2022 to 7 October 2022 [1purpose] 2. Recommendation(s) 2.1. The Committee is asked to approve the following recommendation(s):- [recs] (1) that the Finance and Corporate Resources capital programme of £3.695 million, and expenditure to date of £2.093 million, be noted. [1recs] 3. Background 3.1. This is the second capital monitoring report presented to the Finance and Corporate Resources Committee for the financial year 2022/2023. Further reports will follow throughout the year. 3.2. The budget of £3.695 million for Finance and Corporate Resources is based on the overall Capital Programme for 2022/2023, which was approved by the Executive Committee on 29 June 2022. There has been no change to this budget since the last report to this Committee. 3.3. The report details the financial position for Finance and Corporate Resources in Appendix A. 4. Employee Implications 4.1. There are no employee implications as a result of this report. 5. Financial Implications 5.1. 2022/2023 Budget As detailed in Section 3.2, the 2022/2023 capital programme for Finance and Corporate Resources is £3.695 million. 5.2. Period 7 Position Anticipated spend to date was £1.944 million and spend to 7 October 2022 amounts to £2.093 million, an overspend of £0.149 million reflecting timing of payments. 6 41
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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. 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. 7.2. 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. 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 an existing policy, function or strategy and therefore no impact assessment is required. 8.2. There is also no requirement to undertake any consultation in terms of the information contained in the report. Paul Manning Executive Director (Finance and Corporate Resources) 19 October 2022 Link(s) to Council Values/Priorities/Outcomes Accountable, Effective, Efficient and Transparent Previous References Executive Committee, 29 June 2022 Finance and Corporate Resources Committee, 7 September 2022 List of Background Papers Financial ledger to 7 October 2022 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 42
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Appendix A South Lanarkshire Council Capital Expenditure 2022-2023 Finance and Corporate Resources Programme For Period 1 April 2022 – 7 October 2022 Finance and Corporate Resources Total Original Budget £000 Budget Adjustments £000 Slippage £000 Total Budget £000 Budget to Date £000 Actual Expenditure £000 Information Technology Services 3,695 - - 3,695 1,944 2,093 TOTAL 3,695 - - 3,695 1,944 2,093 43
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Report Agenda Item Report to: Finance and Corporate Resources Committee Date of Meeting: 16 November 2022 Report by: Executive Director (Finance and Corporate Resources) Subject: Finance and Corporate Resources – Workforce Monitoring – July and August 2022 1. Purpose of Report 1.1. The purpose of the report is to:- [purpose] provide employment information for July and August 2022 relating to Finance and Corporate Resources [1purpose] 2. Recommendation(s) 2.1. The Committee is asked to approve the following recommendation(s): - [recs] (1) that the following employment information for July and August 2022 relating to Finance and Corporate Resources be noted:- attendance statistics occupational health accident/incident statistics discipline, grievance and Dignity at Work cases analysis of leavers and exit interviews staffing watch as at 11 June 2022 [1recs] 3. Background 3.1. As part of the Council’s performance management arrangements, regular workforce monitoring reports are submitted to Committee. This report for Finance and Corporate Resources provides information on the position for July and August 2022. 4. Monitoring Statistics 4.1. Attendance Statistics (Appendix 1) Information on absence statistics is analysed for the month of August for Finance and Corporate Resources. The Resource absence figure for August 2022 was 4.1%, this figure has increased by 0.2% when compared to last month and is 0.3% lower than the Council-wide figure. Compared to August 2021, the Resource absence figure has increased by 0.5%. Based on the absence figures at August 2022 and annual trends, the projected annual average absence for the Resource for 2022/2023 is 3.7%, compared to a Council-wide average figure of 6.1%. 7 45
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Managers follow the procedures outlined in the Maximising Attendance Policy to support employees to remain at work, or to return to work after a sickness absence. There are comprehensive employee supports in place and additionally, Personnel Services work in close partnership with line managers and Resource Management Teams on a case management basis to ensure that appropriate actions are taken. The attendance information contained in this report includes absences as a result of Covid-19, and employees are being supported through this difficult time to maintain attendance levels where they can. At the time of this report, the Council overall absence level was 4.96% with 0.48% of this relating to Covid-19 for sickness and special leave. 4.2. Occupational Health (Appendix 2) In terms of referrals to occupational health, which include medical examinations and physiotherapy, overall, 40 referrals were made this period. This represents an increase of 1 when compared with the same period last year. 4.3. Accident/Incident Statistics There was 1 accident/incident recorded within the Resource this period, this figure has increased by 1 when compared to the same period last year. 4.4. Discipline, Grievance and Dignity at Work (Appendix 2) During the period, no disciplinary hearings were held within the Resource this figure remains unchanged when compared to the same period las year. No appeals were heard by the Appeals Panel. No grievance hearings were raised within the Resource, this figure remains unchanged when compared to the same period last year. No Dignity at Work complaints were raised within the Resource, this figure remains unchanged when compared to the same period last year. 4.5. Analysis of Leavers (Appendix 2) There were a total of 11 leavers in the Resource this period eligible for an exit interview, an increase of 5 when compared with the same period last year. Four exit interviews were conducted in this period, an increase of 2 when compared to the same period last year. 4.6. When processing an employee termination, managers were asked to identify whether they intended to replace the employee who had left the Council. If they indicated that they did not intend to replace the employee, they were asked to select from the following options:- plan to hold for savings fill on a fixed term basis pending savings transfer budget to another post end of fixed term post 4.7. Appendix 2a provides a breakdown of vacant posts and whether these are being replaced or held for savings. In the period July to August 2022, 15 employees (12.48 FTE) in total left employment, managers indicated that 12 posts (10.05 FTE) were being replaced, 1 post (1.0 FTE) is planned to transfer the budget to another post and 2 posts (1.43 FTE) were due to the end of fixed term contracts. 5. Staffing Watch 5.1. There has been a decrease of 10 in the number of employees in post from 12 March 2022 to 11 June 2022. 46
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6. Employee Implications 6.1. There are no implications for employees arising from the information presented in this report. 7. Financial Implications 7.1. All financial implications are accommodated within existing budgets. 8. Climate Change, Sustainability and Environmental Implications 8.1. There are no Climate Change, Sustainability and Environmental Implications in terms of the information contained within this report. 9. Other Implications 9.1. There are no implications for risk in terms of the information contained within 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 an existing policy, function or strategy and therefore no impact assessment is required. 10.2. There was no requirement to undertake any consultation in terms of the information contained in this report. Paul Manning Executive Director (Finance and Corporate Resources) 5 October 2022 Link(s) to Council Values/Priorities/Outcomes Accountable, effective, efficient and transparent Fair, open and sustainable Ambitious, self aware and improving Excellent employer Focused on people and their needs Working with and respecting others Previous References Finance and Corporate Resources – 7 September 2022 List of Background Papers Monitoring information provided by Finance and Corporate Resources Contact for Further Information If you would like to inspect the background papers or want further information, please contact: - Elaine Maxwell, HR Business Manager Ext: 4647 (Tel: 01698 454647) E-mail: Elaine.Maxwell@southlanarkshire.gov.uk 47
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2020 / 2021 2021 / 2022 2022 / 2023 2020 / 2021 2021 / 2022 2022 / 2023 2020 / 2021 2021 / 2022 2022 / 2023 2020 / 2021 2021 / 2022 2022 / 2023 % % % % % % % % % % % % April 3.5 2.6 2.8 April 8.5 0.0 0.0 April 3.6 2.6 2.8 April 4.4 4.3 5.6 May 2.3 3.3 3.2 May 16.0 0.0 0.0 May 2.4 3.3 3.2 May 3.1 4.9 5.4 June 1.9 3.5 4.0 June 7.4 0.0 0.0 June 1.9 3.5 4.0 June 2.7 4.7 5.3 July 2.0 3.3 3.9 July 3.5 0.0 0.0 July 2.0 3.3 3.9 July 2.3 4.0 4.6 August 1.8 3.6 4.1 August 12.1 0.0 0.0 August 2.0 3.6 4.1 August 3.1 4.7 4.4 September 2.3 4.0 September 13.4 0.0 September 2.4 4.0 September 4.2 6.4 October 3.2 3.6 October 10.2 0.0 October 3.3 3.6 October 4.8 6.3 November 3.1 4.3 November 11.4 0.0 November 3.2 4.3 November 5.8 6.9 December 2.7 3.8 December 11.4 0.0 December 2.8 3.8 December 5.6 6.9 January 2.8 3.8 January 7.0 0.0 January 2.8 3.8 January 4.8 7.0 February 3.5 3.4 February 0.0 0.0 February 3.5 3.4 February 4.8 6.6 March 3.5 3.4 March 0.0 0.0 March 3.5 3.4 March 4.9 7.9 Annual Average 2.7 3.6 3.7 Annual Average 8.4 0.0 0.0 Annual Average 2.8 3.6 3.7 Annual Average 4.2 5.9 6.1 Average Apr-Aug 2.3 3.3 3.6 Average Apr-Aug 9.5 0.0 0.0 Average Apr-Aug 2.4 3.3 3.6 Average Apr-Aug 3.1 4.5 5.1 979 0 979 16466 Resource Total No of Employees at 31 Aug 2022 Appendix 1 Absence Trends - 2020/2021, 2021/2022 & 2022/2023 Finance and Corporate Resources No of Employees at 31 Aug 2022 No of Employees at 31 Aug 2022 APT&C Council WideManual Workers No of Employees at 31 Aug 2022 48
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Jul - Aug Jul - Aug 2021 2022 MEDICAL EXAMINATIONS Number of Employees Attending EMPLOYEE COUNSELLING SERVICE Total Number of Referrals PHYSIOTHERAPY SERVICE Total Number of Referrals REFERRALS TO EMPLOYEE SUPPORT OFFICER 17 13 REFERRALS TO COGNITIVE BEHAVIOUR THERAPY 0 0 TOTAL 39 40 Jul - Aug Jul - Aug 2021 2022 Specified Injuries* 0 0 Over 7 day absences 0 0 Over 3 day absences** 0 0 Minor 0 0 Near Miss 0 0 Violent Incident: Physical**** 0 0 Violent Incident: Verbal***** 0 1 Total Accidents/Incidents 0 1 Jul - Aug Jul - Aug 2021 2022 Total Number of Hearings 0 0 Total Number of Appeals 0 0 Appeals Pending 0 0 Time Taken to Convene Hearing April - June 2022 0-3 Weeks 4-6 Weeks Over 6 Weeks 0 0 0 Jul - Aug Jul - Aug 2021 2022 Number of Grievances 0 0 Number Resolved at Stage 1 0 0 Number Resolved at Stage 2 0 0 Number Resolved at Stage 3 0 0 Still in Progress 0 0 Jul - Aug Jul - Aug 2021 2022 Number of Incidents 0 0 Number Resolved at Informal Stage 0 0 Number Resolved at Formal Stage 0 0 Number of Appeals 0 0 Appeals in Process 0 0 Still in Process 0 0 Jul - Aug Jul - Aug 2021 2022 Number of Exit Interviews conducted 2 4 Total Number of Leavers Eligible for Exit Interview 6 11 Percentage of interviews conducted 33% 36% ANALYSIS OF REASONS FOR LEAVING ****Physical violent incidents are included in the "Specified" figures, where applicable, to provide the "Total Specified" figures. ****Physical violent incidents and ***** Verbal Violent Incidents are included in the "Over 3-day or Over 7-day" figures, where applicable, to provide the "Total Over 3-day or Over 7-day" figures. ****Physical Violent Incidents and ***** Verbal Violent Incidents are included in the "Minor" figures, where applicable, to provide the "Total Minor" figures. RECORD OF DISCIPLINARY HEARINGS RECORD OF GRIEVANCE HEARINGS RECORD OF DIGNITY AT WORK 10 17 CAUSE OF ACCIDENTS/INCIDENTS *A Specified Injury is any fracture (other than to the fingers, thumbs or toes), amputation, loss of sight, serious burns, crushing injury, scalping, loss of consciousness caused by asphyxiation/ head injury, a chemical or hot metal burn to the eye or penetrating injury as defined by the HSE. **Over 3 day / over 7day absence is an injury sustained outwith specified injury category that results in a period of absence of absence as defined by the HSE. ***Near Miss - Any unexpected, unplanned occurrence (except Dangerous Occurrences) that does not lead to injury of persons, damage to property, plant or equipment but may have done so in different circumstance. Appendix 2 12 10 0 0 FINANCE & CORPORATE RESOURCES 49
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FTE H/C FTE H/C Terminations/Leavers 12.48 15 33.36 40 Being replaced 10.05 12 28.93 35 Filling on a temporary basis 0.00 0 0.00 0 Plan to transfer this budget to another post 1.00 1 2.00 2 End of fixed term contract 1.43 2 1.43 2 Held pending service Review 0.00 0 1.00 1 Plan to remove for savings 0.00 0 0.00 0 Appendix 2a Jul - Aug 2022 Cumulative totalReason 50
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As at 11 June 2022 F/T P/T F/T P/T Finance and Corporate 199 20 390 252 861 *Full-Time Equavalent No of Employees Salary Bands Director Grade 1 Grade 2 Grade 3 Grade 4 Grade 5 Grade 6 Fixed SCP Teacher Total Finance and Corporate 2.00 126.48 332.42 226.70 55.10 24.30 6.00 0.00 0.00 773.00 As at 12 March 2022 F/T P/T F/T P/T Finance and Corporate 204 20 376 271 871 *Full-Time Equavalent No of Employees Salary Bands Director Grade 1 Grade 2 Grade 3 Grade 4 Grade 5 Grade 6 Fixed SCP Teacher Total Finance and Corporate 2.00 123.09 336.30 229.22 55.95 24.30 6.00 0.00 0.00 776.86 Male Female Total Appendix 3 Joing Staffing Watch Return Finance and Corporate Resources Male Female Total 51
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Report Agenda Item Report to: Finance and Corporate Resources Committee Date of Meeting: 16 November 2022 Report by: Executive Director (Finance and Corporate Resources) Subject: Council-wide Workforce Monitoring – July and August 2022 1. Purpose of Report 1.1. The purpose of the report is to:- [purpose] provide employment information relating to the Council for the period July and August 2022 [1purpose] 2. Recommendation(s) 2.1. The Committee is asked to approve the following recommendation(s):- [recs] (1) that the following employment information for the period July and August 2022 relating to the Council be noted:- attendance statistics occupational health accident/incident statistics discipline, grievance and Dignity at Work cases analysis of leavers and exit interviews recruitment monitoring staffing watch as at 11 June 2022 [1recs] 3. Background 3.1. As part of the Council’s performance management arrangements, regular workforce monitoring reports are submitted to the Committee. This report for the Council provides information on the position for the period July and August 2022. 4. Attendance Statistics 4.1. Information on absence statistics for the Council and each Resource, as analysed for August 2022, is provided in Appendices 1 to 8. Points to note are:- The Council’s absence rate for August 2022, shown in Appendix 1, is 4.4%, which represents a decrease of 0.2% when compared with last month and the figure has decreased by 0.3% when compared to August 2021. When compared to August 2021, the APT&C absence rate has decreased by 0.3%, the teachers’ figure has decreased by 0.6% and the manual workers’ figure has increased by 0.1%. Based on annual trends and the absence rate to August 2022, the projected average absence rate for the Council for the financial year 2022/2023 is 6.1%. 8 53
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In comparison to August 2021 (Appendix 8):- Psychological and musculoskeletal conditions are the main reasons for absence. Total days lost due to psychological conditions have increased by 42 days. Total days lost due to musculoskeletal conditions have decreased by 45 days. Total days lost due to respiratory conditions have decreased by 491 days. Total days lost due to stomach, bowel, blood and metabolic disorders have increased by 249 days. Managers follow the procedures outlined in the Maximising Attendance Policy to support employees to remain at work, or to return to work after a sickness absence. There are comprehensive employee supports in place and additionally, Personnel Services work in close partnership with line managers and Resource Management Teams on a case management basis to ensure that appropriate actions are taken. The attendance information contained in this report includes absences as a result of Covid-19, and employees are being supported through this difficult time to maintain attendance levels where they can. At the time of this report, the Council overall absence level was 4.96% with 0.48% of this relating to Covid-19 for sickness and special leave. 5. Occupational Health 5.1. Information on Occupational Health for the period July to August 2022 is provided in Appendix 9. during the period there were 248 employees referred for a medical examination, a decrease of 17 when compared to the same period last year. Both musculoskeletal and psychological conditions continue to be the main reason for medical referrals. a total of 262 employees attended physiotherapy treatment, showing an increase of 23 when compared to the same period last year. Of the 262 employees referred, 71% remained at work whilst undertaking treatment. during this period 242 employees were referred to the Employee Support Officer, showing a decrease of 6 when compared with the same period last year. Of the referrals made this period, 84% related to personal reasons. 83 employees were referred to the PAM Assist counselling service this period, showing an increase of 9 when compared with the same period last year. All the referrals made this period were from management and none were made directly by employees. Personal reasons accounted for 63% of the referrals made, 33% were for work related reasons and 4% was for other reasons. 3 employees were referred for Cognitive Behavioural Therapy this period, a decrease of 3 when compared to the same period last year. 6. Accidents/Incidents 6.1. The accident/incident report for July and August 2022 is contained in Appendix 10. the number of accidents/incidents recorded was 116, this figure has increased by 42 from the same period last year. there was 1 specified injury recorded, this figure has increased by 1 from the same period last year. there were 101 minor accidents/incidents, this figure has increased by 31 from the same period last year. 54
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there was 1 accident resulting in an absence lasting over 3 days during the period, this figure remains unchanged from the same period last year. there were 13 accidents resulting in an absence lasting over 7 days during the period, this figure has increased by 10 from the same period last year. 7. Discipline, Grievance, Dignity at Work Hearings and Mediation Referrals 7.1. Information on Disciplinary, Grievance Hearings, Dignity at Work and Mediation Referrals for July to August 2022 is contained in Appendices 11, 12a and 12b. in total, 23 disciplinary hearings were held across Resources within the Council, this figure has increased by 5 when compared to the same period last year. action was taken in 19 of these cases. No appeals were raised against the outcomes. our target is to convene disciplinary hearings within 6 weeks, 74% of hearings met this target. during the period, 2 appeals were heard by the Appeals Panel, of which 1 was upheld in part and 1 was not upheld. at the end of August 2022, 6 Appeals Panels were pending. during the period, 3 grievance cases were raised. during the period, 1 Dignity at Work case was raised. during the period, 4 referrals for mediation were submitted. 8. Analysis of Leavers and Exit Interviews 8.1. Information on the number of leavers and exit interviews for the period July and August 2022 is contained in Appendix 13. Exit interviews are conducted with employees who leave voluntarily. Labour Turnover Using information compiled from Resources and Staffing Watch information as at 11 June 2022, the Council’s turnover figure for July to August 2022 is as follows. 176 leavers eligible for exit interviews/15,173 employees in post = Labour Turnover of 1.2%. Based on the figure at August 2022, the projected annual labour turnover figure for the financial year 2022/2023 for the Council is 5.4%. 8.2. Analysis of Leavers and Exit Interviews:- there were a total of 176 employees leaving the Council that were eligible for an exit interview, an increase of 17 when compared with the same period last year. exit interviews were held with 38% of leavers, which is an increase of 10% when compared with the same period last year. 8.3. When processing an employee termination, managers are asked to identify whether they intend to replace the employee who had left the Council. If they indicate that they do not intend to replace the employee, they are asked to select from four options:- plan to hold for savings fill on a fixed term basis pending savings transfer budget to another post end of fixed term contract 55
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8.4. Appendix 13a provides information relating to vacant posts and whether these are being replaced or held for savings. From July to August 2022, 611 (516.88 FTE) employees left employment. Managers indicated that 600 posts (509.18 FTE) would be replaced, 2 posts (1.50 FTE) are being filled on a temporary basis, the budgets for 2 posts (1.66 FTE) are being transferred to other posts, 6 posts (3.55 FTE) were due to the end of fixed term contracts and 1 post (1.00 FTE) is removed for savings. 9. Recruitment Monitoring 9.1. Information on Recruitment Monitoring for July and August 2022 is contained within Appendix 14. From an analysis of Equal Opportunities Monitoring Forms, the main points to note are:- overall, 3519 applications and 3433 completed Equal Opportunities Monitoring Forms were received of those applicants who declared themselves as disabled (80), 56 were shortleeted for interview and 13 were appointed. of those applicants of a black/ethnic minority background (135), 91 were shortleeted for interview and 8 were appointed. Of those applicants who are veterans (36), 23 were shortleeted for interview and none were appointed. 10. Staffing Watch 10.1. There has been an increase of 36 in the number of employees in post from 12 March 2022 to 11 June 2022. Details of the staffing watch are contained in Appendix 15. 11. Employee Implications 11.1. There are no implications for employees arising from the information presented in this report. 12. Financial Implications 12.1. All financial implications are accommodated within existing budgets. 13. Climate Change, Sustainability and Environmental Implications 13.1. There are no climate change, sustainability or environmental implications arising from the information presented in this report. 14. Other Implications 14.1. There are no implications for risk in terms of the information contained within this report. 15. Equality Impact Assessment and Consultation Arrangements 15.1. 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. 15.2. There was no requirement to undertake any consultation in terms of the information contained in this report. Paul Manning Executive Director (Finance and Corporate Resources) 56
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14 October 2022 Link(s) to Council Values/Priorities/Outcomes Accountable, effective, efficient and transparent Fair, open and sustainable Ambitious, self-aware and improving Excellent employer Focused on people and their needs Working with and respecting others Previous References Finance and Corporate Resources Committee – 7 September 2022 List of Background Papers Monitoring information provided by Resources Contact for Further Information If you would like to inspect the background papers or want further information, please contact: - Elaine Maxwell, HR Business Manager Ext: 4647 (Tel: 01698 454647) E-mail: Elaine.Maxwell@southlanarkshire.gov.uk 57
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2020 / 2021 2021 / 2022 2022 / 2023 2020 / 2021 2021 / 2022 2022 / 2023 2020 / 2021 2021 / 2022 2022 / 2023 2020 / 2021 2021 / 2022 2022 / 2023 % % % % % % % % % % % % April 4.2 4.1 5.2 April 2.9 2.5 2.7 April 6.0 6.2 8.8 April 4.4 4.3 5.6 May 2.9 4.7 5.0 May 1.4 3.2 3.6 May 4.9 6.7 7.6 May 3.1 4.9 5.4 June 2.5 4.4 5.0 June 0.9 2.6 2.6 June 4.5 7.0 8.1 June 2.7 4.7 5.3 July 2.2 4.1 4.5 July 0.5 1.1 1.4 July 4.0 6.3 7.4 July 2.3 4.0 4.6 August 2.9 4.6 4.3 August 1.2 2.0 1.4 August 5.1 7.3 7.4 August 3.1 4.7 4.4 September 4.1 6.1 September 2.7 4.4 September 5.8 8.5 September 4.2 6.4 October 4.7 6.0 October 3.2 4.1 October 6.4 8.7 October 4.8 6.3 November 5.6 6.5 November 4.6 5.6 November 7.3 8.7 November 5.8 6.9 December 5.3 6.2 December 4.7 6.1 December 6.9 8.8 December 5.6 6.9 January 4.5 6.7 January 2.7 3.9 January 7.2 10.1 January 4.8 7.0 February 4.3 6.5 February 2.5 3.7 February 7.4 9.5 February 4.8 6.6 March 4.6 8.0 March 2.9 4.3 March 7.2 11.3 March 4.9 7.9 Annual Average 4.0 5.7 5.8 Annual Average 2.5 3.6 3.7 Annual Average 6.1 8.3 8.7 Annual Average 4.2 5.9 6.1 Average Apr-Aug 2.9 4.4 4.8 Average Apr-Aug 1.4 2.3 2.3 Average Apr-Aug 4.9 6.7 7.9 Average Apr-Aug 3.1 4.5 5.1 7669 4229 4568 16466 Manual Workers Council Wide No of Employees at 31 Aug 2022 No of Employees at 31 Aug 2022 Appendix 1 Absence Trends - 2020/2021, 2021/2022 & 2022/2023 Council Wide APT&C Teachers No of Employees at 31 Aug 2022 No of Employees at 31 Aug 2022 58
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2020 / 2021 2021 / 2022 2022 / 2023 2020 / 2021 2021 / 2022 2022 / 2023 2020 / 2021 2021 / 2022 2022 / 2023 2020 / 2021 2021 / 2022 2022 / 2023 % % % % % % % % % % % % April 3.1 2.3 4.4 April 5.3 5.7 7.3 April 5.0 5.2 6.9 April 4.4 4.3 5.6 May 2.4 2.7 3.9 May 4.3 6.4 6.8 May 4.0 5.9 6.3 May 3.1 4.9 5.4 June 1.6 2.8 3.5 June 4.0 6.6 7.2 June 3.6 6.0 6.7 June 2.7 4.7 5.3 July 1.8 2.9 3.9 July 3.6 5.3 5.9 July 3.4 4.9 5.6 July 2.3 4.0 4.6 August 1.7 2.9 3.4 August 4.9 6.4 6.6 August 4.4 5.9 6.1 August 3.1 4.7 4.4 September 1.6 3.4 September 5.8 8.2 September 5.1 7.5 September 4.2 6.4 October 3.1 3.8 October 6.3 7.9 October 5.8 7.3 October 4.8 6.3 November 3.6 3.5 November 7.1 8.0 November 6.6 7.3 November 5.8 6.9 December 3.1 4.2 December 6.4 8.0 December 5.9 7.4 December 5.6 6.9 January 3.4 3.6 January 6.0 9.6 January 5.6 8.6 January 4.8 7.0 February 2.8 4.4 February 6.5 9.5 February 5.9 8.7 February 4.8 6.6 March 2.6 6.0 March 6.8 11.0 March 6.2 10.2 March 4.9 7.9 Annual Average 2.6 3.5 4.0 Annual Average 5.6 7.7 8.0 Annual Average 5.1 7.1 7.4 Annual Average 4.2 5.9 6.1 Average Apr-Aug 2.1 2.7 3.8 Average Apr-Aug 4.4 6.1 6.8 Average Apr-Aug 4.1 5.6 6.3 Average Apr-Aug 3.1 4.5 5.1 553 2942 3495 16466 Manual Workers Resource Total No of Employees at 31 Aug 2022 No of Employees at 31 Aug 2022 No of Employees at 31 Aug 2022 No of Employees at 31 Aug 2022 Appendix 2 Absence Trends - 2020/2021, 2021/2022 & 2022/2023 Community and Enterprise Resources APT&C Council Wide 59
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2020 / 2021 2021 / 2022 2022 / 2023 2020 / 2021 2021 / 2022 2022 / 2023 2020 / 2021 2021 / 2022 2022 / 2023 2020 / 2021 2021 / 2022 2022 / 2023 % % % % % % % % % % % % April 3.9 4.8 5.5 April 2.9 2.5 2.7 April 3.3 3.5 4.0 April 4.4 4.3 5.6 May 2.2 5.7 5.5 May 1.4 3.2 3.6 May 1.8 4.4 4.5 May 3.1 4.9 5.4 June 1.8 4.7 5.1 June 0.9 2.6 2.6 June 1.3 3.5 3.7 June 2.7 4.7 5.3 July 1.3 3.4 3.8 July 0.5 1.1 1.4 July 0.9 2.1 2.5 July 2.3 4.0 4.6 August 2.7 3.8 3.6 August 1.2 2.0 1.4 August 1.8 2.8 2.4 August 3.1 4.7 4.4 September 4.8 6.4 September 2.7 4.4 September 3.6 5.3 September 4.2 6.4 October 5.4 6.6 October 3.2 4.1 October 4.1 5.2 October 4.8 6.3 November 6.6 8.0 November 4.6 5.6 November 5.5 6.7 November 5.8 6.9 December 6.5 8.0 December 4.7 6.1 December 5.5 7.0 December 5.6 6.9 January 4.8 8.1 January 2.7 3.9 January 3.6 5.8 January 4.8 7.0 February 4.7 7.2 February 2.5 3.7 February 3.5 5.3 February 4.8 6.6 March 5.6 9.5 March 2.9 4.3 March 4.1 6.7 March 4.9 7.9 Annual Average 4.2 6.4 6.4 Annual Average 2.5 3.6 3.7 Annual Average 3.3 4.9 4.9 Annual Average 4.2 5.9 6.1 Average Apr-Aug 2.4 4.5 4.7 Average Apr-Aug 1.4 2.3 2.3 Average Apr-Aug 1.8 3.3 3.4 Average Apr-Aug 3.1 4.5 5.1 3461 4229 7690 16466 Appendix 3 Absence Trends - 2020/2021, 2021/2022 & 2022/2023 Education Resources Council WideAPT&C Teachers Resource Total No of Employees at 31 Aug 2022 No of Employees at 31 Aug 2022 No of Employees at 31 Aug 2022 No of Employees at 31 Aug 2022 60
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2020 / 2021 2021 / 2022 2022 / 2023 2020 / 2021 2021 / 2022 2022 / 2023 2020 / 2021 2021 / 2022 2022 / 2023 2020 / 2021 2021 / 2022 2022 / 2023 % % % % % % % % % % % % April 3.5 2.6 2.8 April 8.5 0.0 0.0 April 3.6 2.6 2.8 April 4.4 4.3 5.6 May 2.3 3.3 3.2 May 16.0 0.0 0.0 May 2.4 3.3 3.2 May 3.1 4.9 5.4 June 1.9 3.5 4.0 June 7.4 0.0 0.0 June 1.9 3.5 4.0 June 2.7 4.7 5.3 July 2.0 3.3 3.9 July 3.5 0.0 0.0 July 2.0 3.3 3.9 July 2.3 4.0 4.6 August 1.8 3.6 4.1 August 12.1 0.0 0.0 August 2.0 3.6 4.1 August 3.1 4.7 4.4 September 2.3 4.0 September 13.4 0.0 September 2.4 4.0 September 4.2 6.4 October 3.2 3.6 October 10.2 0.0 October 3.3 3.6 October 4.8 6.3 November 3.1 4.3 November 11.4 0.0 November 3.2 4.3 November 5.8 6.9 December 2.7 3.8 December 11.4 0.0 December 2.8 3.8 December 5.6 6.9 January 2.8 3.8 January 7.0 0.0 January 2.8 3.8 January 4.8 7.0 February 3.5 3.4 February 0.0 0.0 February 3.5 3.4 February 4.8 6.6 March 3.5 3.4 March 0.0 0.0 March 3.5 3.4 March 4.9 7.9 Annual Average 2.7 3.6 3.7 Annual Average 8.4 0.0 0.0 Annual Average 2.8 3.6 3.7 Annual Average 4.2 5.9 6.1 Average Apr-Aug 2.3 3.3 3.6 Average Apr-Aug 9.5 0.0 0.0 Average Apr-Aug 2.4 3.3 3.6 Average Apr-Aug 3.1 4.5 5.1 979 0 979 16466 Council WideManual Workers No of Employees at 31 Aug 2022 Resource Total No of Employees at 31 Aug 2022 Appendix 4 Absence Trends - 2020/2021, 2021/2022 & 2022/2023 Finance and Corporate Resources No of Employees at 31 Aug 2022 No of Employees at 31 Aug 2022 APT&C 61
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2020 / 2021 2021 / 2022 2022 / 2023 2020 / 2021 2021 / 2022 2022 / 2023 2020 / 2021 2021 / 2022 2022 / 2023 2020 / 2021 2021 / 2022 2022 / 2023 % % % % % % % % % % % % April 4.1 3.2 5.5 April 3.5 3.6 10.6 April 3.8 3.3 7.6 April 4.4 4.3 5.6 May 2.8 2.9 4.5 May 2.0 4.2 8.1 May 2.5 3.4 6.0 May 3.1 4.9 5.4 June 3.2 3.5 4.9 June 2.0 6.2 8.5 June 2.7 4.6 6.4 June 2.7 4.7 5.3 July 2.7 4.0 5.5 July 2.7 5.7 8.9 July 2.7 4.7 6.9 July 2.3 4.0 4.6 August 2.5 4.9 4.7 August 3.4 7.9 7.1 August 2.8 6.2 5.7 August 3.1 4.7 4.4 September 2.1 5.8 September 3.3 8.1 September 2.6 6.8 September 4.2 6.4 October 2.9 5.2 October 3.9 9.0 October 3.3 6.8 October 4.8 6.3 November 3.7 5.7 November 5.6 9.2 November 4.5 7.2 November 5.8 6.9 December 3.3 4.6 December 4.8 9.5 December 3.9 6.7 December 5.6 6.9 January 3.5 5.2 January 4.4 8.8 January 3.9 6.7 January 4.8 7.0 February 3.2 6.4 February 4.7 8.5 February 3.8 7.3 February 4.8 6.6 March 3.1 7.8 March 4.5 10.7 March 3.6 9.0 March 4.9 7.9 Annual Average 3.1 4.9 5.5 Annual Average 3.7 7.6 8.9 Annual Average 3.3 6.1 6.9 Annual Average 4.2 5.9 6.1 Average Apr-Aug 3.1 3.7 5.0 Average Apr-Aug 2.7 5.5 8.6 Average Apr-Aug 2.9 4.4 6.5 Average Apr-Aug 3.1 4.5 5.1 865 581 1446 16466 Appendix 5 Housing & Technical Resources Resource Total Absence Trends - 2020/2021, 2021/2022 & 2022/2023 APT&C Manual Workers Council Wide No of Employees at 31 Aug 2022No of Employees at 31 Aug 2022 No of Employees at 31 Aug 2022 No of Employees at 31 Aug 2022 62
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2020 / 2021 2021 / 2022 2022 / 2023 2020 / 2021 2021 / 2022 2022 / 2023 2020 / 2021 2021 / 2022 2022 / 2023 2020 / 2021 2021 / 2022 2022 / 2023 % % % % % % % % % % % % April 5.5 4.5 6.2 April 10.2 9.6 12.6 April 7.1 6.2 8.3 April 4.4 4.3 5.6 May 4.4 5.0 5.7 May 8.1 9.3 10.1 May 5.7 6.5 7.1 May 3.1 4.9 5.4 June 3.9 3.9 5.9 June 7.6 7.6 11.3 June 5.2 5.2 7.6 June 2.7 4.7 5.3 July 3.7 6.1 6.0 July 6.3 10.3 11.8 July 4.6 7.5 7.9 July 2.3 4.0 4.6 August 4.4 7.3 6.0 August 6.7 10.2 10.8 August 5.2 8.2 7.5 August 3.1 4.7 4.4 September 5.4 7.6 September 7.5 10.3 September 6.1 8.5 September 4.2 6.4 October 5.9 6.9 October 8.2 11.3 October 6.7 8.4 October 4.8 6.3 November 6.6 6.2 November 8.9 10.8 November 7.4 7.7 November 5.8 6.9 December 6.5 5.5 December 10.3 11.1 December 7.7 7.3 December 5.6 6.9 January 5.8 7.4 January 13.1 13.0 January 8.3 9.2 January 4.8 7.0 February 5.1 7.5 February 12.6 10.1 February 7.6 8.3 February 4.8 6.6 March 4.6 8.0 March 10.6 12.8 March 6.6 9.5 March 4.9 7.9 Annual Average 5.2 6.3 6.6 Annual Average 9.2 10.5 11.3 Annual Average 6.5 7.7 8.1 Annual Average 4.2 5.9 6.1 Average Apr-Aug 4.4 5.4 6.0 Average Apr-Aug 7.8 9.4 11.3 Average Apr-Aug 5.6 6.7 7.7 Average Apr-Aug 3.1 4.5 5.1 1811 1045 2856 16466 Resource TotalManual Workers No of Employees at 31 Aug 2022 No of Employees at 31 Aug 2022 No of Employees at 31 Aug 2022 No of Employees at 31 Aug 2022 Appendix 6 Absence Trends - 2020/2021, 2021/2022 & 2022/2023 Social Work Resources APT&C Council Wide 63
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Appendix 7 Absence by long and short term From: 1 June 2022 to 31 Aug 2022 Community and Enterprise 3495 2.6 4.1 6.7 1.9 3.7 5.6 2.1 4.0 6.1 Education 7690 1.6 2.1 3.7 0.3 2.2 2.5 1.0 1.4 2.4 Finance and Corporate 979 1.9 2.1 4.0 1.9 2.1 4.0 1.8 2.3 4.1 Housing & Technical 1446 2.5 3.9 6.4 2.9 4.0 6.9 2.2 3.5 5.7 Social Work 2856 2.6 5.0 7.6 2.8 5.1 7.9 1.5 6.0 7.5 Council Overall for June 2022 to August 2022 16466 3.2 2.1 5.3 1.4 3.2 4.6 1.4 3.0 4.4 Resource Total Absence % July 2022 Total Short Term % Total Long Term % August 2022 Total Short Term % Total Long Term % Resource Total Absence % Resource No of employees June 2022 Total Short Term % Total Long Term % Resource Total Absence % 64
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From : 1 Aug 2022 - 31 Aug 2022 Total WDL % Total WDL % Total WDL % Total WDL % Total WDL % Musculoskeletal 1691 36 510 13 95 11 466 26 777 20 3539 23 Psychological 1024 22 1357 35 293 35 540 31 1469 37 4683 31 Stomach, Bowel, Blood, Metabolic Disorders 504 11 439 11 107 13 163 9 370 9 1583 10 Respiratory 680 14 643 17 146 18 197 11 518 13 2184 14 Other Classification 826 17 915 24 187 23 397 23 793 20 3118 21 Total Days Lost By Resource 4725 100 3864 100 828 100 1763 100 3927 100 15107 100 Total Work Days Available From : 1 Aug 2021 to 31 Aug 2021 Total WDL % Total WDL % Total WDL % Total WDL % Total WDL % Musculoskeletal 1189 27 707 17 73 11 509 28 1106 25 3584 23 Psychological 1226 28 1085 26 279 42 489 26 1562 35 4641 30 Stomach, Bowel, Blood, Metabolic Disorders 312 7 452 11 56 9 106 6 408 9 1334 9 Respiratory 888 20 827 20 115 17 342 18 503 11 2675 17 Other Classification 817 18 1044 25 135 21 404 22 823 19 3223 21 Total Days Lost By Resource 4432 100 4115 100 658 100 1850 100 4402 100 15457 100 Total Work Days Available *WDL = Work Days Lost PercentageTotal WDL By Reason 75642 148616 18475 29993 53635 REASONS Community and Enterprise Resources Education Resources Finance and Corporate Housing and Technical Resources Social Work Resources Appendix 8 Attendance Monitoring Absence Classification Reasons Community and Enterprise Resources Social Work Resources Total WDL By Reason 77463 158662 20096 Percentage Housing and Technical Resources Education Resources Finance and Corporate 30968 52542 65
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Appendix 9 Teachers Others 89 14 24 10 46 65 80 13 19 12 34 107 Jul - Aug 2021 Jul - Aug 2022 Jul - Aug 2021 Jul - Aug 2022 Jul - Aug 2021 Jul - Aug 2022 49 68 61 50 0 0 30 23 60 63 4 1 34 54 17 13 0 0 10 17 28 22 0 0 42 30 82 94 Social Work 0 0 74 70 248 242 Not Disclosed 2 2 239 262 Total 6 3 M S M S M S M S M S M S Total (Jul - Aug 2022) 27 0 0 0 52 0 0 0 4 0 83 0 Total (Jul - Aug 2021) 15 0 0 0 47 0 4 0 8 0 74 0 Total 83 74 M = MANAGEMENT REFERRAL S = SELF REFERRAL Housing and Technical Community and Enterprise Total Social Work Resource Community and Enterprise Education (Teachers) Education (Others) Finance and Corporate Housing and Technical Social Work No of Employees Referred To Employee Support Officer Total Resource Community and Enterprise Education Finance and Corporate Education Finance and Corporate Housing and Technical Resource Total (Jul - Aug 2022) 248 Total (Jul - Aug 2021) 265 Social Work Totals Total Referrals (Jul - Aug 2022) Occupational Health Reports From: 1 July 2022 - 31 August 2022 comparison with 1 July 2021 - 31 August 2021 Medical Referrals Community and Enterprise Education Finance and Corporate Housing & Technical Total Total Referrals (Jul - Aug 2021) No of Employees Referred For Cognitive Behavioural Therapy Analysis of Counselling Referrals by Cause Reason Work Stress Addiction Personal Anxiety/ Depression Bereavement No of Employees Referred For Physiotherapy 66
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2022 2021 2022 2021 2022 2021 2022 2021 2022 2021 2022 2021 Specified Injury 0 0 1 0 0 0 0 0 0 0 1 0 Violent Incident: Physical 0 0 0 0 0 0 0 0 0 0 0 0 Total Specified Injury* 0 0 1 0 0 0 0 0 0 0 1 0 Over 7-day 7 2 0 0 0 0 4 0 2 1 13 3 Violent Incident: Physical 0 0 0 0 0 0 0 0 0 0 0 0 Violent Incident: Verbal 0 0 0 0 0 0 0 0 0 0 0 0 Total Over 7-day** 7 2 0 0 0 0 4 0 2 1 13 3 Over 3-day 0 1 1 0 0 0 0 0 0 0 1 1 Violent Incident: Physical 0 0 0 0 0 0 0 0 0 0 0 0 Violent Incident: Verbal 0 0 0 0 0 0 0 0 0 0 0 0 Total Over 3-day** 0 1 1 0 0 0 0 0 0 0 1 1 Minor 16 9 4 1 0 0 2 1 12 4 34 15 Near Miss 3 4 1 0 0 0 0 0 0 0 4 4 Violent Incident: Physical 3 1 36 43 0 0 0 0 8 1 47 45 Violent Incident: Verbal 2 1 9 3 1 0 0 0 4 2 16 6 Total Minor*** 24 15 50 47 1 0 2 1 24 7 101 70 Total Accidents/Incidents 31 18 52 47 1 0 6 1 26 8 116 74 *A Specified Injury is any fracture (other than to the fingers, thumbs or toes), amputation, loss of sight, serious burns, crushing injury, scalping, loss of consciousness caused by asphyxiation/ head injury, a chemical or hot metal burn to the eye or penetrating injury as defined by the HSE. **Over 3 day / over 7day absence is an injury sustained outwith specified injury category that results in a period of absence of absence as defined by the HSE. *** A minor injury is an injury not covered by " Over 7-day", "Over 3-day" or "Specified". Comparison Cause of Accidents/ Incidents to employees Appendix 10 Social Work TOTALCommunity and Enterprise Education From: 1 July 2022 - 31 August 2022 comparison with 1 July 2021 - 31 August 2021 Finance and Corporate Housing & Tech Analysis of Accidents/ Incidents 67
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] APT&C Manual / Craft Teachers Total APT&C Manual / Craft Teachers Total Community and Enterprise 0 18 N/A 18 0 4 N/A 4 0 14 N/A 14 9 3 6 67 Education 0 0 1 1 0 0 0 0 0 0 1 1 1 0 0 100 Social Work 1 3 N/A 4 0 0 N/A 0 1 3 N/A 4 2 2 100 Total (Jul - Aug 2022) 1 21 1 23 0 4 0 4 1 17 1 19 12 5 6 74 Total (Jul - Aug 2021) 10 8 0 18 0 0 0 0 0 18 0 18 5 7 6 67 APT&C Manual/ Craft Teachers Total APT&C Manual/ Craft Teachers Total APT&C Manual/ Craft Teachers Total Total (Jul - Aug 2022) 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 Total (Jul - Aug 2021) 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 *Resources nil responses are not included in figures Appeal's Panel From: 1 July 2022 - 31 August 2022 Appeal's Panel Total 2 Total 1 Not Upheld Withdrawn Appeals Pending Resource Resource Action Taken Upheld Upheld in Part Manual/ Craft Outcome of Disciplinary Hearings Manual/ Craft No of Disciplinary Hearings Upheld APT&C Upheld in Part Teachers 1 6 % Held within 6 Weeks No of Appeals No Action APT&C 4-6 6+3Teachers Total 00 Appendix 11 Outcome of Appeals Not Upheld From: 1 July 2022 - 31 August 2022 comparison with 1 July 2021 - 31 August 2021 Appeals pending to date Record of Disciplinary Hearings No of weeks to convene Disciplinary Hearing Total 68
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Appendix 12a Record of Grievances From: 1 July 2022 - 31 August 2022 comparison with 1 July 2021 - 31 August 2021 Grievances No of Grievances No Resolved at Stage 1 No Resolved at Stage 2 No Resolved at Stage 3 Still in Process Total (Jul - Aug 2022) 3 0 0 0 3 Total (Jul - Aug 2021) 2 0 2 0 0 Dignity at Work Dignity at Work No of Incidents No Resolved at Informal Stage No Resolved at Formal Stage No of Appeals Appeals in Process Still in Process Total (Jul - Aug 2022) 1 0 0 0 0 1 Total (Jul - Aug 2021) 1 0 1 0 0 0 From: 1 July 2022 - 31 August 2022 comparison with 1 July 2021 - 31 August 2021 69
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Appendix 12b Referrals for Workplace Mediation Workplace Mediation Jul-22 Aug-22 No of Referrals 1 3 *No of Successful Cases 0 1 *No of Unsuccessful Cases 0 0 No of cases unsuitable for mediation 0 1 Workplace Mediation Jul-22 Aug-22 No of Referrals 0 0 *No of Successful Cases 0 0 *No of Unsuccessful Cases 0 0 No of cases unsuitable for mediation 0 0 *successful/unsuccessful case outcomes may be shown outwith the month they were referred. As at August 2022 70
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Appendix 13 From 1 July 2022 - 31 August 2022 Reason for leaving Community and Enterprise Education Finance and Corporate Housing & Technical Social Work Total % Career Advancement 2 19 2 2 6 31 46 Further Education 1 10 0 0 3 14 21 Personal Reasons 2 5 1 2 1 11 16 Moving outwith area 1 2 0 0 1 4 6 Disatisfaction with terms and conditions 0 0 0 0 1 1 1 Poor relationship with managers / colleagues 0 0 0 1 0 1 1 Travelling difficulties 0 1 0 0 0 1 1 Other 0 0 1 0 3 4 6 Number of exit interviews conducted 6 37 4 5 15 67 Total no. of leavers per Resource eligible for an exit interview 36 89 11 13 27 176 % of leavers interviewed 17 42 36 38 56 38 From 1 July 2021 - 31 August 2021 Number of exit interviews conducted 7 18 2 3 14 44 Total no. of leavers per Resource eligible for an exit interview 35 78 6 10 30 159 % of leavers interviewed 20 23 33 30 47 28 Analysis of leavers and exit interviews 71
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Resource Total FTE* Total H/C** FTE H/C FTE H/C FTE H/C FTE H/C FTE H/C FTE H/C Community & Enterprise 45.81 77 45.68 76 0 0 0 0 0.12 1 0 0 0 0 Education 401.34 449 397.19 443 1.5 2 0.66 1 2 3 0 0 0 0 Finance & Corporate 12.48 15 10.05 12 0 0 1 1 1.429 2 0 0 0 0 Housing & Technical 19.15 24 19.15 24 0 0 0 0 0 0 0 0 0 0 Social Work 38.11 46 37.11 45 0 0 0 0 0 0 0 0 1 1 Total 516.88 611 509.18 600 1.50 2 1.66 2 3.55 6 0.00 0 1.00 1 Appendix 13a July to August 2022 Number of leavers Replace Employee Filling on a temp basis Plan to transfer this budget to another post End of fixed term post Leave vacant pending savings or service review Plan to remove for savings 72
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Appendix 14 Applied Interviewed Appointed % of Applicants interviewed % of Applicants appointed % of Interviewees appointed 3481 2541 588 73% 17% 23% 1095 826 85 75% 8% 10% 2358 1700 494 72% 21% 29% 80 56 13 70% 16% 23% 2952 2189 473 74% 16% 22% 469 312 101 67% 22% 32% 3297 2416 569 73% 17% 24% 135 91 8 67% 6% 9% 36 23 0 64% 0% 0% Applied Interviewed Appointed % of Applicants interviewed % of Applicants appointed % of Interviewees appointed 2253 883 296 39% 13% 34% 1154 475 121 41% 10% 25% 1098 408 175 37% 16% 43% 97 51 11 53% 11% 22% 1925 718 236 37% 12% 33% 301 118 61 39% 20% 52% 2158 861 293 40% 14% 34% 71 19 3 27% 4% 16% 23 9 0 39% 0% 0% Total Number of appointments: 590 Total No of Veteran applicants Total No of applicants aged over 50 Total No of Female Applicants Gender / Disability / Age Total EO Forms Received Gender / Disability / Age *Black/Ethnic Minority applicants includes Mixed, Asian, Black and other backgrounds. Total No of White applicants Total No of Black/Ethnic minority applicants* Recruitment Monitoring Analysis of Gender, Disability, Ethnicity and Age From : 1 July 2022 - 31 August 2022 From : 1 July 2021 - 31 August 2021 497 Total Number of applications received: Total EO Forms Received Total No of White applicants Total No of Black/Ethnic minority applicants* Total No of Male Applicants Total No of Female Applicants Total No of Disabled Applicants Total No of applicants aged under 50 3519 Total Number of Equal Opportunities Monitoring forms received: 3433 Total Number of posts recruited for: *Black/Ethnic Minority applicants includes Mixed, Asian, Black and other backgrounds. Total Number of Equal Opportunities Monitoring forms received: 2253 Total No of applicants aged over 50 Total Number of posts recruited for: Total No of Veteran applicants Total Number of appointments: 299 Total Number of applications received: 2276 Total No of Male Applicants Total No of Disabled Applicants Total No of applicants aged under 50 188 73
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Appendix 15 Resource Total F/T P/T F/T P/T Total Director Grade 1 Grade 2 Grade 3 Grade 4 Grade 5 Grade 6 Fixed SCP Teacher Community & Enterprise Resources 3185 1300 231 196 1458 2244.04 1.00 1543.77 402.16 227.38 45.73 17.00 2.00 5.00 0.00 Education - Others 3207 138 89 651 2329 2347.67 1.00 1178.56 899.35 140.99 45.44 11.60 4.00 58.93 7.80 Education - Teachers 3941 704 71 2330 836 3587.40 0.00 0.00 0.00 0.00 0.00 1.00 0.00 4.60 3581.80 Finance & Corporate Resources 861 199 20 390 252 773.00 2.00 126.48 332.42 226.70 55.10 24.30 6.00 0.00 0.00 Housing & Technical 1299 829 24 320 126 1241.06 1.00 214.12 622.86 358.48 33.60 9.00 2.00 0.00 0.00 Social Work Resources 2680 231 168 1041 1240 2346.88 1.00 1149.08 589.20 542.04 34.80 28.76 2.00 0.00 0.00 0 8952.65 (excluding Teachers) Total All Staff 15173 3401 603 4928 6241 12540.05 6.00 4212.01 2845.99 1495.59 214.67 91.66 16.00 68.53 3589.60 Resource Total F/T P/T F/T P/T Total Director Grade 1 Grade 2 Grade 3 Grade 4 Grade 5 Grade 6 Fixed SCP Teacher Community & Enterprise Resources 3114 1218 227 196 1473 2168.47 1.00 1457.77 404.52 231.45 48.73 17.00 3.00 5.00 0.00 Education - Others 3227 140 92 664 2331 2364.07 1.00 1184.65 902.86 142.99 47.64 12.60 4.00 59.53 8.80 Education - Teachers 3935 704 71 2329 831 3583.60 0.00 0.00 0.00 0.00 0.00 1.00 0.00 4.60 3578.00 Finance & Corporate Resources 871 204 20 376 271 776.86 2.00 123.09 336.30 229.22 55.95 24.30 6.00 0.00 0.00 Housing & Technical 1296 831 23 314 128 1239.79 1.00 209.82 628.46 356.31 33.20 9.00 2.00 0.00 0.00 Social Work Resources 2694 226 172 1026 1270 2355.32 1.00 1182.65 568.72 542.39 31.80 26.76 2.00 0.00 0.00 0 8904.51 (excluding Teachers) Total All Staff 15137 3323 605 4905 6304 12488.11 6.00 4157.98 2840.86 1502.36 217.32 90.66 17.00 69.13 3586.80 QUARTERLYJOINT STAFFING WATCH RETURN : NUMBER EMPLOYED ON 12 MARCH 2022 Analysis by Resource Total Number of Employees Full-Time Equivalent Male Female Salary Band QUARTERLYJOINT STAFFING WATCH RETURN : NUMBER EMPLOYED ON 11 JUNE 2022 Analysis by Resource Total Number of Employees Full-Time Equivalent Male Female Salary Band 74
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Report Agenda Item Report to: Finance and Corporate Resources Committee Date of Meeting: 16 November 2022 Report by: Executive Director (Finance and Corporate Resources) Subject: Treasury Management Activity – 2022/2023 Second Quarter Review 1. Purpose of Report 1.1. The purpose of the report is to:- [purpose] provide a second quarter review of Treasury Management Activity for 2022/2023 [1purpose] 2. Recommendation(s) 2.1. The Committee is asked to approve the following recommendation(s):- [recs] (1) that the contents of this report be noted. [1recs] 3. Background 3.1. In order to provide members with information on the Council’s Treasury Management activities, a quarterly report is presented to this Committee. This report covers the period 1 April 2022 to 30 September 2022. 4. Market Performance 4.1. After the Bank of England left the base rate unchanged at 0.75% in January 2020, the onset of the coronavirus epidemic in March of that year resulted in two emergency cuts, first to 0.25% and then to 0.10%. 4.2. On 16 December 2021, the Bank of England increased the base rate to 0.25%. This was followed by a series of increases throughout 2022 to control rising inflation. 4.3. At the time of writing the base rate was 2.25% and the Bank of England Asset Purchase Programme (commonly referred to as its policy of quantitative easing) was £857 billion. The Council’s Treasury Management Advisers are predicting that the base rate will rise to 4% by December 2022. 5. Debt Management and Borrowing Strategy 5.1. The Council began the year with debt of £993.486 million with fixed rate loans from the Public Works Loans Board (PWLB) making up 99.14% of the debt. 5.2. Table 1 shows the movement in borrowing from 1 April 2022 to 30 September 2022. Short term borrowing reflects borrowing which will mature in the coming year, or where the debt can be recalled in the coming year. 9 75
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Table 1 – Movement in Borrowing to 30 September 2022 Balance as at 01/04/2022 £m New Borrowing £m Debt Maturing £m Debt Repaid £m Balance as at 30/09/2022 £m Increase/ Decrease in Borrowing £m Short Term Borrowing 43.884 0.000 (42.307) 0.00 1.577 (42.307) Long Term Borrowing 949.602 86.700 0.00 0.00 1,036.302 86.700 TOTAL BORROWING 993.486 86.700 (42.307) 0.00 1,037.879 44.393 5.3. In 2012/2013, HM Treasury introduced a “certainty rate” to enable eligible local authorities to access cheaper PWLB funding, with a 20 basis point (0.20%) reduction on the standard rate. South Lanarkshire Council has access to this reduced rate. 5.4. The Council has an expected borrowing requirement of £238.428 million during 2022/2023, of which £86.700 million has been taken to the end of September as shown in Table 2. Table 2 – Details of Long Term Borrowing to 30 June 2022 Loan Ref. Period Start Date Principal £m Rate % Year High Year Low Average 513025 2½ - 3 Yrs 13/05/2022 £57.800 2.38 5.42 2.08 2.91 538409 7½ - 8 Yrs 09/08/2022 £28.900 2.43 5.36 2.29 3.02 5.5. The Executive Director (Finance and Corporate Resources), under delegated powers, will continue to take the most appropriate form of borrowing depending on the prevailing interest rates at the time, taking into consideration the differential between investment earnings and debt costs that remains high. 6. Investment Activity 6.1. On a daily basis, the Treasury Management section within Finance and Corporate Resources manages the Council’s cash balances. These balances can result from day-to-day cash flow situations where income has been received before expenditure has taken place, and from the balances held in earmarked reserves for use at a later date. It is the responsibility of the section to manage these funds. The primary consideration when making deposits is the security of funds. Secondary to this, consideration is given to ensuring we have access to funds when necessary, and that these funds are working as well as they can for the Council. 6.2. The Prudential Indicators, Treasury Management Strategy and Annual Investment Strategy Report for 2022/2023 was approved by South Lanarkshire Council on 23 February 2022. This included details of permitted investments for the Council. 6.3. Prior to depositing funds with any bank or building society, checks are made with the Council’s treasury adviser, Link Asset Services, that the institution is considered safe and that any deposit conforms to their recommended time duration as determined by their Rating Methodology. This methodology uses credit ratings, rating watches and outlooks and credit default swap (CDS) prices to establish a suggested time duration for deposits. 76
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6.4. Deposits made in the period 1 April 2022 to 30 September 2022 totalled £935.230 million. This is the cumulative deposits placed over this period. This is broken down per sector and institution in Table 3. 86.53% of these deposits were made with the UK Government through the Debt Management Office (DMO) deposit facility and Treasury Bills. 6.5. In order to manage their cash flow over the short term, local authorities, as part of normal treasury management activity, will place money on deposit with other local authorities. Deposits placed with other local authorities account for 7.70% of deposits. Fixed term deposits with Clydesdale Bank accounted for 2.14% of deposits with the remaining 3.63% placed in call accounts with Bank of Scotland and The Royal Bank of Scotland. Table 3 – Investment Activity 1 April 2022 to 30 September 2022 Counterparty Deposit Totals (£m) % of Total Deposits Average Interest Rate Deposits in UK Government Debt Management Account Deposit Facility 771.365 82.48% 1.24% Treasury Bills 37.840 4.05% 1.87% Total Deposits in UK Government 809.205 86.53% 1.27% Deposits in UK Local Authorities 72.000 7.70% 1.27% Deposits in UK Banks and Building Societies: Clydesdale Bank 20.000 2.14% 1.90% Bank of Scotland 6.370 0.68% 0.53% Royal Bank of Scotland 27.655 2.95% 0.14% Total Deposits in UK Banks and Building Societies 54.025 5.77% 0.84% Total Deposits 01/04/2022 to 30/06/2022 935.230 100.00% 1.25% 6.6. The average interest rates achieved from the deposits are also shown in Table 3. Interest rates achievable for deposits have been increasing, however there is still a differential between these and the rates at which the Council can borrow. 6.7. Actual deposits as at 30 September 2022 totalled £279.608 million. 7. Management of Risk 7.1. It is recognised that no Treasury Management activity is without risk and practices are put in place in order to limit risk. As noted in section 6.2, the Treasury Management Strategy was approved in February 2022 and set a framework for Treasury Management activities in 2022/2023. It also set limits on debt and investments in order to mitigate risks. 77
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7.2. The Annual Investment Strategy for 2022/2023, also approved in February 2022, included details on how risk would be managed for all permitted investments. This included criteria for placing deposits with the Debt Management Office (DMO), UK Local Authorities, Banks and Building Societies and Money Market Funds. 7.3. Part of the criteria for counterparties is meeting minimum credit ratings with the three main rating agencies. A credit rating evaluates the credit worthiness of an organisation. It is an evaluation made by a credit rating agency of the organisation’s ability to pay back the debt and the likelihood of default. 7.4. Tables 4 to 6 show a breakdown of deposits with details of the credit ratings of banks and building societies used from 1 April 2022 to 30 September 2022. Deposits with the DMO are with the UK Government and so have a rating equivalent to the UK’s sovereign rating. Deposits with local authorities are considered to be of very high credit quality. Table 4 – Fitch Ratings Long Term Rating Short Term Rating Deposits Totals Percentage of Total Deposits Deposits with DMO / UK Government (AA-) 809.205m 86.53% Deposits with Local Authorities 72.000m 7.70% A+ F1 34.025m 3.63% A- F2 20.000m 2.14% Total 935.230m 100.00% Table 5 – Moody’s Ratings Long Term Rating Short Term Rating Deposits Totals Percentage of Total Deposits Deposits with DMO / UK Government (Aa3) 809.205m 86.53% Deposits with Local Authorities 72.000m 7.70% A1 P-1 34.025m 3.63% A3 P-2 20.000m 2.14% Total 935.230m 100.00% Table 6 – Standard and Poor’s Ratings Long Term Rating Short Term Rating Deposits Totals Percentage of Total Deposits Deposits with DMO / UK Government (AA) 809.205m 86.53% Deposits with Local Authorities 72.000m 7.70% A+ A-1 6.370m 0.68% A A-1 27.655m 2.95% A- A-2 20.000m 2.14% Total 935.230m 100.00% 7.5. The tables above show that 94.23% of deposits were made with counterparties of very high credit quality (DMO/UK Government and other local authorities). 78
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7.6. Of the remaining 5.77%, 2.14% were fixed term deposits with Clydesdale Bank and 3.63% were in instant access accounts with The Royal Bank of Scotland and Bank of Scotland. 7.7. The graph at Appendix 1 shows the duration of deposits made from 1 April 2022 to 30 September 2022. The graph shows that, since 1 April 2022, all deposits have been made for 1 year or less. The maximum maturity period of 332 days was for a deposit of £5.000 million. 8. Next Quarter Investment Plans 8.1. The current investment framework will be continued in the next quarter. Deposits will continue to be placed with the institutions where their ratings are consistent with the Council’s approved criteria. Deposits will also continue to be placed with the DMO and UK local authorities. 8.2. Treasury Bills will be used when they return a higher yield than deposits in the DMO for the same, very low risk. 8.3. Deposits may also be placed with selected Money Market Funds that meet the Council’s approved criteria. 8.4. We will continue to work with our Treasury Management Advisers, Link, to ensure we gain all information available on counterparties before any deposits are made. 9. Treasury Management Indicators 9.1. The purpose of these indicators is to contain the activity of the treasury function within certain limits, thereby managing risk and reducing the impact of an adverse movement in interest rates. However, if these are set to restrictive limits, they will impair the opportunities to reduce costs/improve performance. The indicators are detailed in sections 9.2 to 9.5. 9.2. Limits for External Debt: The operational and authorised limits for external debt for 2022/2023 were set in the Prudential Indicators, Treasury Management Strategy and Annual Investment Strategy 2022/2023 approved by South Lanarkshire Council on 23 February 2022. These are shown in Table 7, along with a column showing the difference between the actual debt level and the limits (headroom). Table 7 – Limits for External Debt Estimate as per 2021/22 Strategy Minimum Headroom to Limits in period Headroom as at 30/09/2022 £m £m £m Operational Limit for external debt 1,340.000 279.180 302.121 Authorised Limit for external debt 1,360.000 299.180 322.121 9.3. The indicator shows that we have not breached the operational and authorised limits to 30 September 2022. There has been a minimum level of headroom of £299.180 million between actual and authorised level for external debt in the period to 30 September 2022. 79
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9.4. Limits on Maturity Structure: By setting limits on the maturity structure of borrowing, the exposure to large concentrations of debt needing to be replaced at the same time in the future at currently unknown rates can be limited. This effectively places a limit on exposure to longer term interest rate movement. This is shown in Table 8. Table 8 – Limits on Maturity Structure Maturity Structure of Borrowing Upper Limit Lower Limit Maximum for period to 30/09/22 Actuals as at 30/09/22 Under 12 months 30% 0% 4.42% 0.15% 12 months and 24 months 30% 0% 2.20% 2.10% 24 months and 5 years 50% 0% 21.71% 21.59% 5 years and 10 years 60% 0% 37.27% 37.27% 10 years and 20 years 60% 0% 6.35% 6.06% 20 years and 30 years 70% 0% 3.06% 2.92% 30 years and 40 years 80% 0% 31.36% 29.91% 40 years and 50 years 90% 0% 0.00% 0.00% 50 years and above 90% 0% 0.00% 0.00% 9.5. The indicator shows that the upper limits for all maturity profiles have not been breached to 30 September 2022. 10. Employee Implications 10.1. There are no employee implications. 11. Financial Implications 11.1. The current rate of interest receivable remains relatively low but has increased over recent months. Any deposit interest received offsets Loan Charges made to the Council’s Revenue budget. 11.2. The costs of borrowing for capital expenditure have been built into the long-term Revenue Budget Strategy. 12. Climate Change, Sustainability and Environmental Implications 12.1. There are no implications for climate change or sustainability in terms of the information contained in this report. 12.2. There is also no requirement to carry out an environmental impact assessment in terms of the information contained within this report. 13. Other Implications (Including Environmental and Risk Issues) 13.1. Section 7 of this report provides details of how investment risk is managed. 14. Equality Impact Assessment and Consultation Arrangements 14.1. 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. 80
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14.2. There is no requirement to carry out any consultation in terms of the information provided in this report. Paul Manning Executive Director (Finance and Corporate Resources) 19 October 2022 Link(s) to Council Values/Priorities/Outcomes Accountable, effective, efficient and transparent Previous References Prudential Indicators, Treasury Management Strategy and Annual Investment Strategy 2022/2023, South Lanarkshire Council, 23 February 2022 Treasury Management Activity – 2022/2023 Second Quarter Review, Finance and Corporate Resources Committee, 7 September 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: Jackie Taylor, Head of Finance Ext: 5637 (Tel: 01698 455637) E-mail: jackie.taylor@southlanarkshire.gov.uk 81
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Appendix 1 82
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Report Agenda Item Report to: Finance and Corporate Resources Committee Date of Meeting: 16 November 2022 Report by: Executive Director (Finance and Corporate Resources) Subject: Revenue Collection and Approval for Write Offs 1. Purpose of Report 1.1. The purpose of the report is to:- [purpose] advise Committee of Revenue Collection performance for financial year 2022/2023 to 30 September 2022 advise Committee of performance regarding the Business Rates Incentivisation Scheme (BRIS) for financial year 2022/2023 to 30 September 2022 seek approval for write offs [1purpose] 2. Recommendation(s) 2.1. The Committee is asked to approve the following recommendation(s):- [recs] (1) that performance in the collection of revenue be noted; (2) that the current position in respect of BRIS be noted; and (3) that write offs for the following be approved:- Council Tax £278,833.94 Non-Domestic Rates £260,624.83 BID Levy £2,309.50 Sundry Debt £11,343.86 Housing Rent and associated charges £121,232.93 School Meals Debt £67,803.78 [1recs] 3. Background 3.1. Responsibility for the collection of Council Tax, Non-Domestic Rates (NDR) and Sundry Debt is the responsibility of Finance and Corporate Resources. This report and the attached appendix provide information on collection performance and proposals for write off. 4. Current Collection Performance 4.1. The first table in Appendix 1 presents the collection performance for Council Tax, NDR and Sundry Debts for financial year 2022/2023. 4.2. The annual Council Tax collection target for 2022/2023 has been set at 95.5%. Council Tax collection is currently 63.53%, ahead of target by 0.03% and ahead of comparable performance in 2021/2022 by 3.59%. Due to the Scottish Government’s Cost of Living Award being allocated as an up-front cash payment at the beginning of the financial year, a comparison with the same period in 2021/2022 is not on a like-for-like basis. 10 83
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4.3. A Non-Domestic Rates (NDR) collection target of 97.5% has been set for 2022/2023. NDR collection is currently 53.6%, ahead of target by 0.1% and ahead of comparable performance in 202120/22 by 6.7% due to two large energy companies paying their annual bills in full as opposed to paying by instalments as they have done in previous years. 4.4. The 2022/2023 annual target for Sundry Debt collection has been set at 98.0%. Sundry Debt collection to 30 September 2022 was 97.9%, behind target by 0.1% but ahead of comparable performance in 2021/22 by 1.0%. 5. Arrears Collection Performance 5.1. Arrears collection performance for Council Tax, NDR and Sundry Debt is presented in the second table of Appendix 1. 5.2. The 2022/2023 arrears annual target for Council Tax has been set at £3.500 million, with collection to 30 September 2022 of £2.118 million, ahead of target by £0.018 million (0.5%) but behind comparable performance in 2021/2022 by £0.401 million. 5.3. The 2022/2023 arrears target for NDR has been set at £2.000 million, with collection to 30 September 2022 of £2.137 million, ahead of target by £0.291 million (14.6%) but behind comparable performance in 2021/2022 by £4.070 million. 5.4. The 2022/2023 arrears target for Sundry Debt has been set at £11.309 million, with collection to 30 September 2022 of £10.163 million, ahead of target by £0.008 million (0.1%) and ahead of comparable performance in 2021/2022 by 12.7%. 6. Business Rates Incentivisation Scheme 6.1. The Business Rates Incentivisation Scheme (BRIS) is a Scottish Government initiative to incentivise growth of the local business tax base, with a view to increasing NDR income yields. 6.2. The Scottish Government sets annual targets for growth (buoyancy) and councils who achieve their target retain 50% of the additional income generated above the target. The buoyancy target is a measure of the increase in the total rateable value of the non-domestic properties on the Valuation Roll (including certain categories of public undertakings). 6.3. Due to the impact of Covid-19, the Scottish Government confirmed that the scheme has been suspended for both 2020/2021 and 2021/2022. Currently, there has been no update on the reinstatement of BRIS for 2022/2023. Further guidance and information is awaited from the Scottish Government. 6.4. Nonetheless, BRIS performance continues to be monitored closely and is reported to Committee on a quarterly basis. Buoyancy for the second quarter, to the end of September 2022, has seen an increase of 0.06%. 7. Proposals for Write Off 7.1. Approval for write off of the following irrecoverable debts is requested from Committee. The Council has the power to write off accounts where the debtor is deceased, sequestrated, in liquidation or the debt is prescribed or where the debt is deemed uneconomical to pursue. 84
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7.2. The proposed write off of Council Tax accounts dating from 1993/1994 to 2022/2023 totals £278,833.94, relating mainly to prescribed debt, sequestrations and estates of the deceased. 7.3. The value of accounts currently marked for write off in the Non-Domestic Rates system from rating years 2020/2021 to 2022/2023 totals £260,624.83. These debts are deemed to be irrecoverable because the debtor is in liquidation, has ceased trading or has been sequestrated. 7.4. Approval is sought for the write off of Business Improvement District (BID) Levies totalling £2,309.50, administered by the Council on behalf of the Hamilton, Carluke and Lanark BID companies. There is no financial impact on the Council for these write offs. 7.5. Following consultation and agreement with Resources, the proposed write off of Sundry Debt totals £11,343.86. Appendix 2 provides a breakdown of the proposed write-off over categories. 7.6. Approval is sought for the write off of former tenant rent arrears of £100,267.62, factoring arrears of £19.60 and Housing Benefit Overpayments of £20,945.71. 7.7. Approval is sought for the write off of school meal debt as outlined in the Executive Committee report dated 21 September 2022, ‘Cost of Living Supports’. Debt to be written off totals £67,803.78 and covers amounts relating to P1 to P5 pupils who now receive Universal Free School Meals, amounts owing from before 2020/2021 and children that have left school. 7.8. Education Resources are working with schools to review all remaining amounts owed for school meals. This exercise is being done with the utmost sensitivity and will identify further cases where the write-off of debt is deemed appropriate. These amounts will be presented to a future committee for approval to write-off. 7.9. A full list of all debts proposed for write off is held by the Executive Director (Finance and Corporate Resources). 8. Employee Implications 8.1. None. 9. Financial Implications 9.1. Provision has been made for the financial impact of all write offs. 10. Climate Change, Sustainability and Environmental Implications 10.1. There are no direct climate change, sustainability and natural environment implications arising from this report. 11. Other Implications 11.1. The main risk associated with the Council’s revenue collection is a failure to monitor collection rates and take effective corrective action where required, resulting in a significant reduction in collection performance and Council funding. The risk is managed through monthly performance reporting and review of performance at monthly Senior Management Meetings. 11.2. There are no implications for sustainability in terms of the information contained in this report. 85
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12. Equalities Impact Assessment and Consultation Arrangements 12.1. There is no requirement to carry out an impact assessment in terms of the proposals within this report. 12.2. There is no requirement to undertake any consultation in relation to the content of this report. Paul Manning Executive Director (Finance and Corporate Resources) 28 October 2022 Link(s) to Council Values/Priorities/Outcomes Accountable, effective, efficient and transparent Ambitious, self-aware and improving Previous References Finance and Corporate Resources Committee - 7 September 2022 Executive Committee – 12 September 2022 List of Background Papers System Reports from Council Tax, Non-Domestic Rates, Sundry Debt and Academy Housing Contact for Further Information If you would like to inspect the background papers or want further information, please contact:- Craig Fergusson, Head of Finance (Transactions) Ext: 4951 (Tel: 01698 454951) E-mail: craig.fergusson@southlanarkshire.gov.uk 86
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Appendix 1 SOUTH LANARKSHIRE COUNCIL REVENUES COLLECTION FOR PERIOD ENDING 30 SEPTEMBER 2022 Annual Budget Cash Target Actual Variance % Variance Budget to 30/09/22 to 30/09/22 to 30/09/22 to Notes £000's £000's £000's £000's annual budget FINANCIAL YEAR 2022/2023 Council Tax 145,154 96,516 96,564 48 over 0.03% Non-Domestic Rates 321,458 176,390 176,816 427 over 0.1% Sundry Debt 130,722 130,722 130,601 (121) under -0.1% ARREARS Council Tax 3,500 2,100 2,118 18 over 0.5% Non-Domestic Rates 2,000 1,845 2,137 291 over 14.6% Sundry Debt 11,309 10,155 10,163 8 over 0.1% 87
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Appendix 2 BREAKDOWN OF PROPOSED SUNDRY DEBT WRITE-OFF Resource Service No. of Accounts Value (£) Finance & Corporate Housing Benefit Overpayments 6 7,519.11 Housing & Technical Estates (Commercial Rent) 4 3,431.01 Housing Support Services 5 393.74 TOTAL 15 11,343.86 88
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Report Agenda Item Report to: Finance and Corporate Resources Committee Date: 16 November 2022 Prepared by: Executive Director (Finance and Corporate Resources) Subject: 24-Hour Control Centre – Additional Staffing 1. Purpose of Report 1.1. The purpose of the report is to:- [purpose] request approval to make 2 FTE existing temporary Call Services Assistants posts permanent, increasing the establishment of the 24-Hour Control Centre accordingly [1purpose] 2. Recommendation(s) 2.1. The Committee is asked to approve the following recommendation(s):- [recs] (1) that the 2 FTE existing temporary Call Services Assistant posts, as detailed in section 5.1 of the report, be made permanent and added to the establishment of the 24-Hour Control Centre within Finance and Corporate. [1recs] 3. Background 3.1. The Council’s 24-Hour control centre based at Pollock Avenue, Hamilton provides two key services to residents; the Alarm Receiving service and Out of Hours Emergency service. 3.2. The Alarm Receiving service receives calls or activations from Social Work service users in need of assistance through the community alarm system. The need for assistance could be because of a fall, due to the activation of a smoke alarm or to help with personal care needs. These employees assess the nature of the call or activation and then take the appropriate action in response to ensure assistance is provided. With personal care for example this requires the Social Work Responder service to visit the service user’s home. 3.3. The Council’s Out of Hours Emergency service receives calls in relation to any Council service outwith normal office hours and responds mainly to calls from tenants who may need urgent repairs carried out or from residents making a noise complaint. There is typically one employee that covers the out of hours service. 4. Staffing Position 4.1. The current establishment comprises 2 Team Leaders, 21 Call Services Assistants, 1 Administration Assistant and 9 sessional/casual Call Services Assistants (Call handlers). The Team Leaders and administration employees work normal office hours with the remaining covering a pattern of three shifts. 11 89
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4.2. In addition to the above, the Council had a contract in place with Tunstall Healthcare (UK) Ltd for the provision of staffing support for the Alarm Receiving service in the event the service experienced staff shortages. This service was necessary as it is not always possible to obtain cover from the existing employee pool. 4.3. In September 2021, Tunstall Healthcare (UK) provided notice to the Council they would be withdrawing the service from 1 January 2022 due to difficulties they were experiencing in recruitment and retention. 4.4. As a direct result of the withdrawal of staffing support by Tunstall, in November 2021 two additional full-time employees within the Alarm Receiving service were recruited. This was for a temporary period of 12 months from 1 January 2022 to 31 December 2022 to provide additional staffing cover. The additional staffing provided a more consistent level of cover that offset the impact of the withdrawal of the support from Tunstall and reduced the need for overtime. 4.5. The introduction of a more flexible approach to working with the option to work in a hybrid manner has been established for the Out of Hours service and this provides greater flexibility when seeking cover for this service at short notice. The option to allow for home working relating to the Alarm Receiving service is not currently possible due to the IT arrangement in place at Pollock Avenue, however the implementation of a new cloud-based system for the Alarm Receiving service in 2023 is expected to offer remote access and therefore this should increase the ability of the service to secure staffing cover at short notice. 5. Employee Implications 5.1. The proposed posts would be added to the establishment of the 24-hour control centre on a permanent basis as detailed below:- Position FTE Grade/SCP Range Hourly Rate Annual Salary Total costs including on-costs Call Services Assistant 2 Grade 2, level 1 plus 4, SCP 39 - 40 £14.14 - £14.43 £25,822 - £26,150 £67,938 - £68,802 The posts have been graded using the Council’s job evaluation scheme. 6. Financial Implications 6.1. The costs associated with employing two additional employees can be met from existing revenue budgets within Finance Transactions. The additional costs for the two temporary members are already being met by the service. 6.2. The employment of 2 additional temporary employees has reduced the need for overtime. Overtime in 2020/2021 was £0.143 million with the forecast for 2022/2023 being £0.104 million, a reduction of £0.039 million. In addition, the Council no longer pays Tunstall Healthcare (UK) for external support at a cost of £0.025 million for 2020/2021. 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. 90
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8. Other Implications 8.1. The key risk is a failure to fully resource the service could result in delays in responding to customer requests or calls being unanswered, with the latter only for the out of hours emergencies as incoming calls from the community alarm system cannot be ended without operator involvement. 9. Equality Impact Assessment and Consultation Arrangements 9.1. There is no requirement to equality impact assess the content of this briefing paper. Paul Manning Executive Director (Finance and Corporate Resources) 28 October 2022 Link(s) to Council Values/Priorities/Outcomes Accountable, effective, efficient and transparent 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:- Craig Fergusson, Head of Finance (Transactions) Ext: 4951 (Tel: 01698 454951) E-mail: craig.fergusson@southlanarkshire.gov.uk 91
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Report Agenda Item Report to: Finance and Corporate Resources Committee Date of Meeting: 16 November 2022 Report by: Executive Director (Finance and Corporate Resources) Subject: Early Retirement, Voluntary Severance and Switch 2 1. Purpose of Report 1.1. The purpose of the report is to:- [purpose] advise on early retirements, voluntary severances, re-employment of early retirees and re-deployments during the period 1 April 2022 to 30 September 2022 [1purpose] 2. Recommendation(s) 2.1. The Committee is asked to approve the following recommendation(s):- [re] (1) that the early retirements, voluntary severances, re-employment of early retirees and redeployment of employees on the Switch 2 register during the period 1 April 2022 to 30 September 2022 be noted. [1recs] 3. Background 3.1. The Council analyses the number of employees being released through early retirement and voluntary severance and all the associated costs. This forms part of the ongoing monitoring process derived from the Audit Scotland report, “Bye now pay later”. This report provides information on the Council’s position for the 6 month period from 1 April 2022 to 30 September 2022. 4. Current Position Early Retirements (Efficiency of the Service/Voluntary Redundancy) and Voluntary Severance 4.1. During the period no early retirements on the grounds of efficiency of the service; voluntary redundancy or voluntary severance were granted. This represents no change when compared to the previous 6 month period. 4.2. During the period, no requests were made to re-employ early retirees who previously received an early exit package and this represents no change when compared to the previous 6 month period. 5. Early Retirements – Ill Health 5.1. In terms of early retirement on the grounds of ill-health, there are no capitalisation costs to the Council. During the 6 month period the following ill-health retirements were approved:- 12 93
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Resource No. of Early Retirements on ill health grounds Community and Enterprise 8 Education, Finance and Corporate, Housing and Technical* 6 Social Work 14 Total 28 *In terms of data protection, Resources with fewer than 2 employees have been merged 5.2. The Local Government Pension Scheme (LGPS) regulations allow for 2 tiers of ill health retirement in situations where the member’s ill-health or infirmity of mind or body renders them permanently incapable of discharging efficiently the duties of their current employment. Tier 1 relates to members with no reasonable prospect of obtaining gainful employment before their state pension age. Tier 2 relates to members with a reasonable prospect of obtaining gainful employment before their state pension age. 5.3. During the 6 month period, 28 of the 34 ill health retirements requests made were granted under the provisions of tier 1 and tier 2 of the Local Government and Scottish Teachers’ Pension Schemes. 6 applications resulted in no award being granted. 5.4. Annual Trend Analysis Annual Period 1/4/18 – 31/3/19 1/4/19 – 31/3/20 1/4/20 – 31/3/21 1/4/21 – 31/03/22 1/4/22 – 30/9/22 No. of ill-health retirements 46 37 43 46 *28 *denotes 6 month period 5.5. During the period 1 April 2021 to 31 March 2022, the number of ill health retirements granted increased by 3 compared to the previous year. This increase was due to the number of employees with serious medical conditions who met the criteria for ill health retirement. Based on the ill health retirements awarded during the 6 month period, it is anticipated that the annual figure for 1 April 2022 to 31 March 2023 is likely to be higher than the previous year. 6. Switch 2 6.1. Switch 2 is monitored and approved centrally within Personnel Services. During the 6 month period, 14 employees and modern apprentices were redeployed to suitable alternative posts within the Council as follows:- Resource No. of employees No. of Modern Apprentices Total Community and Enterprise, Housing and Technical* 4 0 4 Finance and Corporate 6 4 10 TOTALS 10 4 14 * In terms of data protection, Resources with fewer than 2 employees have been merged 94
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6.2. This figure is a decrease of 18 compared to the previous 6 month period. Of the 10 employees and 4 Modern Apprentices redeployed, 9 were placed into permanent roles and 5 into fixed term roles. In line with the Switch 2 policy, employees placed on a fixed term basis will be matched to permanent posts as they become available. 6.3. Annual Trend Analysis Annual Period 1/4/18 – 31/3/19 1/4/19– 31/3/20 1/4/20 – 31/3/21 1/4/21 – 31/3/22 1/4/22 – 30/9/22 No. of Switch 2 matches 71 47 43 90 14* *denotes 6 month period 6.4. During the period 1 April 2021 to 31 March 2022, the number of employees re- deployed increased by 47 compared to the previous year. Based on the number of redeployments during the period, it is anticipated that the annual figure for 1 April 2022 to 31 March 2023 is likely to decrease significantly compared to the previous year. 7. Flexible Retirement 7.1. The approval of those who have been granted flexible retirement is monitored within Personnel Services, Finance and Corporate Resources. During the 6 month period, 81 requests were approved as detailed below, with no cost to the Council. 7.2. Included in these figures are phased retirement and winding down applications from teaching staff. These options are available to teachers and are similar to the LGPS flexible retirement provisions. Resource No. of Flexible Retirements No. of Phased Retirements/ Winding Down Community and Enterprise 18 Education 6 19 Finance and Corporate 6 Housing and Technical 13 Social Work 19 Total 81 7.3. During the 6 month period, the average age of employees granted flexible retirement was 62 years, and this is comparable with the previous 6 month period. 7.4. Annual Trend Analysis Annual Period 1/4/18 – 31/03/19 1/4/19– 31/3/20 1/4/20– 31/03/21 01/04/21 - 31/03/22 01/04/22 – 30/09/22 No. of Flexible Retirement 141 159 125 126 81* *denotes 6 month period 7.5. During the period 1 April 2021 to 31 March 2022, the number of flexible retirements increased by 1 compared to the previous year. Based on the 81 requests received during the period, it is anticipated that the number of requests received from 1 April 2022 to 31 March 2023 are likely to increase compared to the previous year. 95
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7.6. Flexible retirement refusals are monitored within Personnel Services, Finance and Corporate Resources and no requests were declined during this period. 8. Employee Implications 8.1. In respect of the 6 employees refused ill-health retirement, capability dismissals may have been considered. 9. Financial Implications 9.1. No early retirement or voluntary severance releases took place during the period and therefore no costs were incurred. 10. Climate Change, Sustainability and Environmental Implications 10.1. There are no climate change, sustainability, or environmental implications as a result of this report. 11. Other Implications 11.1. The early release of employees across the Council must be properly managed to minimise the risk of adversely impacting service levels through the loss of vital skills and experience. In accordance with agreed policies, the redeployment of employees through the Switch 2 process continues to be considered as a matter of priority. 12. Equality Impact Assessment and Consultation Arrangements 12.1. 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. 12.2. All early releases are handled in line with agreed policies and procedures therefore no further consultation is required. Paul Manning Executive Director (Finance and Corporate Resources) 18 October 2022 Link(s) to Council Values/Priorities/Outcomes Excellent employer Accountable, effective, efficient and transparent Previous References Finance and Corporate Resources Committee, 7 September 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:- Cheryl Cumming, Personnel Adviser Ext: 4235 (Tel: 01698 454235) E-mail: cheryl.cumming@southlanarkshire.gov.uk 96
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Report Agenda Item Report to: Finance and Corporate Resources Committee Date of Meeting: 16 November 2022 Report by: Executive Director (Finance and Corporate Resources) Subject: Update of the Finance and Corporate Resources Risk Register and Risk Control Plan 1. Purpose of Report 1.1. The purpose of the report is to: -[purpose] present an update on the Risk Register and Risk Control actions for Finance and Corporate Resources [1purpose] 2. Recommendation(s) 2.1. The Committee is asked to approve the following recommendation(s):- [ (1) that the contents of the Resource Risk Register be noted; and (2) that it be noted that the outstanding Risk Control Actions will be progressed by relevant officers. [1recs] 3. Background 3.1. The Council’s Risk Management Strategy promotes consideration of risk in service delivery, planning and decision-making processes. The strategy requires Resources to record and review risks and control actions regularly. Finance and Corporate Resources follow the guidance in developing, monitoring, and updating the risk register on an ongoing basis. 3.2. The purpose of the register is to ensure that the Resource is fully aware of its top risks; that these risks are prioritised; and that controls are in place to eliminate or minimise the impact of the risks. 3.3. The Resource scores the risks in accordance with the council scoring mechanism, based on likelihood and impact. This results in risks being scored between one and twenty-five (low – very high). 3.4. Risks are scored on their inherent score (risk if we do nothing) and their residual risk (risk after applying controls). The Council’s scoring matrix is attached at Appendix 1. 3.5. The last update of the Finance and Corporate Resources Risk Register was reported to Committee on 10 November 2021. 3.6. The Resource’s top risk register and risk control plan has been reviewed. This work was completed in August 2022. 13 97
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3.7. The Central Risk Management team annually review Resource compliance with the Risk Management Strategy. The outcome of the 2021/2022 review identified that Finance and Corporate Resources achieved 100 per cent compliance, scoring 45 out of a possible 45. 4. Resource Risk Management 4.1. Each Resource has a Resource Risk Management Group which has responsibility for the promotion and management of risk. 4.2. The Finance and Corporate Resources Risk Management Group continues to meet on a regular basis. 4.3. The work of the group over the last year has focused on the review and update of the Resource Risk Register and ensuring that the register reflected the Council Plan and individual Service Plans. 5. Risk Register 5.1. Work has been completed by the Resource Risk Group to finalise the review of the Resource Risk Register. The update considered risks at a Service level, as well as strategic Council risks. 5.2. The Resource Risk Register will be monitored on an ongoing basis to allow new risks to be added and for the control measures and scores of the existing risks to be reviewed considering new information. 5.3. Risks can result from internal or external influences, with examples being the impact of projected funding cuts, legislative changes, or the impact of internal service changes. 5.4. The development process for the Resource Plan requires a risk assessment process to be undertaken as appropriate resulting in some actions within the Resource Plan having a corresponding risk identified within the risk register. 5.5. The main changes to the register are summarised below:- Five new risks have been added The Council is unable to support households significantly impacted by the cost of living crisis, resulting in increasing levels of poverty, debt, and damage to health Disruption to council services as a result of industrial action The Council fails to deliver the objectives of the Community Wealth Building Strategy Failure to achieve the outcomes of the Council Plan The Council is materially affected by the implications arising from the National Care Service Bill The ‘EU Exit’ risk has been removed as this is no longer considered a significant issue for the Resource The risk description on ‘Funding’ has been updated, to reflect the level of Government grant received, inflationary increases, rising energy costs, reduced income (cost of living crisis) and greater pressure on Council budgets The ‘pandemic’ risk description has been refocused to consider potential future events and residual effects of the current pandemic being managed at Resource level. The residual risk score has been reduced from 16 to 12 98
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The ‘historic abuse’ risk has been updated to reflect the opening of the National Redress Scheme and the continuation of the Scottish Child Abuse Inquiry The ‘procurement’ risk has been updated to reflect supply chain issues. The risk score has increased accordingly from 9 to 12 The ‘fraud, theft, organised crime, and cyber attacks’ risk has been updated to reflect the global increase in cyber attacks The ‘lack of capacity and skills’ risk has been updated noting difficulties with the recruitment and retention of staff IT developments and functionality - no change to the overarching risk, however there are three significant IT projects being progressed at present for the Integrated Housing Management System, the SWIS+ replacement and Fusion.8 Appropriate arrangements are in place to record and manage risks for each of these projects Risk descriptions, controls and actions have been updated as required on individual risks, following discussion with risk owners 5.6. Risks scored 15 to 25 are considered to be very high risks and risks scored 8 to 12 are considered to be high risks. Very high and high risks are monitored closely. The top risks identified for the Resource, that is those that are residually scored as being very high and high, are attached at Appendix 2. 5.7. Appendix 3 provides a comparison of risk scores for 2021 and 2022. This appendix also details changes in risk descriptions. 5.8. Risks evaluated residually as being medium or low risk will be monitored to ensure that they continue to be adequately managed. 6. Insurance Hotspots 6.1. Following the completion of claims leakage analysis reports by insurers, no specific hotspot areas have been identified for Finance and Corporate Resources. 6.2. The Risk and Insurance Team are leading on corporate initiatives to mitigate against liability, motor and property insurance claims. This includes a property insurer survey programme; a Health and Safety/training review to be undertaken by the Council’s claims handlers; and ongoing development of driving at work training, with support from Employee Development. 7. Horizon scanning 7.1. Through wider analysis, several areas that could pose potential threats and risks or are emerging issues and opportunities that could affect the Resource were identified. Areas identified are listed below:- Covid19 National Inquiry The terms of reference and a chair for a public inquiry into the handling of Coronavirus (COVID-19) in Scotland were announced by Scottish Ministers on 14 December 2021. This is a statutory inquiry under the Inquiries Act 2005. It will provide scrutiny of and learn lessons from the handling of the COVID-19 pandemic in Scotland, to ensure that Scotland is as prepared as possible for future pandemics. 7.2. This area will continue to be monitored to ensure that the Resource is adequately prepared to respond where required. 99
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8. Scope and appetite for risk 8.1. The Council aims to be risk embracing, that is it will accept a tolerable level of risk in seeking service efficiencies and in agreeing control measures. 8.2. The level of risk facing the Council is measured both before (inherent risk) and after (residual risk) consideration of controls. The Council should never carry a very high residual risk exposure as this would indicate instability, but a low residual risk exposure should also be avoided as this indicates lack of innovation. 8.3. The Council’s universal risk tolerance levels were updated as part of the review of the risk management strategy last year, with the ideal risk profile defined as:- No more than 10% of residual risks at a very high level No more than 15% of risks at a high level Around 50 to 60% of residual risks at a medium level No more than 30% of residual risks at a low level 8.4. Table 1 below shows the Resource risks heat map, i.e. it details the total number of risks for each individual residual risk score. Table 2 below notes the overall risk profile for the Resource’s risks. Table 1 – Finance and Corporate Resources Risks Heat Map Likelihood 5 Almost Certain 2 4 Likely 3 3 3 Possible 7 3 2 Unlikely 5 1 Rare 1 Negligible 2 Minor 3 Moderate 4 Major 5 Catastrophic Impact Table 2 – Finance and Corporate Resources Risk Profile Risk Category Risk Rating Number of residual risks Percentage of residual risks 1 Very high 5 6.4% 2 High 18 23.1% 3 Medium 32 41.0% 4 Low 23 29.5% 78 100.0% 8.5. Despite the fact that the profile noted in Table 2 is out with the ideal universal risk exposure defined by the Risk Management Strategy, this risk exposure is reasonable given the number of high level risks currently being faced by the Resource. 8.6. Finance and Corporate Resources has ensured that all inherent risks scored at a very high and high level have cost effective control measures in place. Where further control measures are required, these are included within the Resource risk control plan. 100
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8.7. The main changes to the risk profile from last year are:- 4 new very high risks have been added to the risk register, ‘the Council is unable to support households most impacted by the cost of living crisis resulting in increasing levels of poverty, debt, and damage to health’; ‘the Council fails to deliver the outcomes of the Community Wealth Building Strategy’; ‘The Council is materially affected by the implications arising from the National Care Service Bill and ‘disruption to council services as a result of industrial action’ 1 new high risk has been added to the risk register ‘failure to achieve the outcomes of the Council Plan’; The high scored risk ‘EU Exit’ has been removed from the risk register The risk score for the Pandemic risk was changed from being very high to high 9. Risk Control Actions 9.1. 4 risk control actions were due for delivery between April and September 2022, 3 have been completed on time, with 1 ongoing. Details of these actions is noted in Appendix 4. 9.2. 7 actions due for completion during 2021/2022 have been completed. 63% (7/11) of control actions were completed on time against an overall Resource target of 90%. 4 actions have been delayed and carried forward. 9.3. Details of the completion of risk control actions during 2021/22 and 2022/23 to date are contained in Table 3 below. Table 3 – Completion of risk control actions 2021/22 2022/23 (as at 30 September 2022) Total number of actions due 11 12 Completed on time 7 3 Completed late 0 0 Carried forward to 2022/23 4 - To be completed at a later date - 9 9.4. Progress with completion of Resource Risk Control Actions is monitored by the Central Risk Management team. This is also reviewed by the Resource Risk Group. 9.5. There are currently 9 risk control actions due for completion during the remainder of 2022/2023 with a further 2 actions due for completion in 2023/2024. The outstanding actions to mitigate risks within the Risk Control Plan will be progressed by the relevant officers. 10. Major projects, partnerships or change 10.1. Within Finance and Corporate Resources four partnerships have been identified. One of these is considered to be high risk, the Community Planning Partnership (CPP). The remaining three partnerships have been assessed as being low risk. 10.2. Appropriate risk management arrangements are in place for the CPP with regular reports on their risk register and action plan presented to the CPP Board. 101
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11. Next steps 11.1. The Resource Risk Management Group will continue to meet on a regular basis. The risk register will be reviewed on an ongoing basis by the group to ensure that risks remain valid for the appropriate Service areas and to identify new areas of risk that affect the Resource. An update report will be provided to the Committee on an annual basis. 12. Employee Implications 12.1. Time will be required by the Resource Risk Management Group in the management of the Resource Risk Register and Risk Control Plan. 13. Financial Implications 13.1. There are no direct financial implications associated with the Resource’s top risks. There are a number of proposed risks which are classified under the heading of financial. Where this is the case, the appropriate controls and actions have been included in the risk control cards and progress will be monitored. 14. Climate Change, Sustainability and Environmental Implications 14.1. Sustainable development issues are included within the risk register through risks being linked to the Council plan objective ‘make communities safer, stronger and sustainable’ 15. Other Implications 15.1. Failure to demonstrate that risk is actively considered and managed cannot only lead to avoidable financial loss but could also affect delivery of services and could affect the Resources’ reputation. 16. Equality Impact Assessment and Consultation Arrangements 16.1. 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. 16.2. Consultation on the content of this report has been undertaken with the Resource Management Team Paul Manning Executive Director (Finance and Corporate Resources) 18 October 2022 Link(s) to Council Values/Priorities/Outcomes Accountable, effective and efficient Previous References Report to Finance and Corporate Resources Committee – 10 November 2021 – Update of Finance and Corporate Resources Risk Register and Risk Control Plan List of Background Papers None 102
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Contact for Further Information If you would like to inspect the background papers or want further information, please contact:- Craig Fergusson, Head of Finance (Transactions) Ext: 4951 (Tel: 01698 454951) E-mail: craig.fergusson@southlanarkshire.gov.uk 103
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Appendix 1 – Risk scoring matrix and likelihood and impact definitions Likelihood Score 1 2 3 4 5 Description Rare Unlikely Possible Likely Almost certain Likelihood of occurrence 1 in 10 years 1 in 3 years 1 in 2 years Annually Monthly Probability of occurrence The event may occur in certain circumstances The event could occur The event may occur The event will probably occur The event is expected to occur or occurs regularly Impact Reputation Financial Service delivery/ Time to recover Compliance Safety 1 Negligible Public concern restricted to local complaints <£50,000 per annum No impact to service quality; limited disruption to operations. No external interest Minor injury – no lost time 2 Minor Minor adverse local/public/me dia attention and complaints £50,000- £250,000 per annum Minor impact to service quality; minor service standards are not met; short term Very minor attention from legislative /regulatory body Minor injury – resulting in lost time 3 Moderate Adverse national media Public attention £250,000 to £500,000 per annum Significant fall in service quality; major partnership relationships strained; serious disruption in service standards Short-term attention from legislative/ regulatory body Major injury or ill health resulting in lost time 4 Major Serious negative national or regional criticism £500,000 to £1million per annum Major impact to service delivery; multiple service standards are not met; long term disruption to operations; multiple partnerships affected Medium-term attention from legislative/ regulatory body Fatality; Or injuries to several people 5 Catastrophic Prolonged international, regional and national condemnation >£1million per annum Catastrophic fail in service quality and key service standards are not met; long term catastrophic interruption to operations; several major partnerships are affected National impact with rapid intervention of legislative/ regulatory body Multiple fatalities; Or injuries to large number of people The assessments for impact and likelihood combine to provide an overall inherent risk score on the scale of between 1 and 25, using the Council’s recognised risk matrix. 104
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Risk matrix Likelihood 5 Almost Certain 5 10 15 20 25 4 Likely 4 8 12 16 20 3 Possible 3 6 9 12 15 2 Unlikely 2 4 6 8 10 1 Rare 1 2 3 4 5 1 Negligible 2 Minor 3 Moderate 4 Major 5 Catastrophic Impact The risk score is calculated as follows: Likelihood score x Impact score = Risk Score 105
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Appendix 2 Finance and Corporate Resources Risk Register (as at 30 September 2022) Extract of risks with residual score category of Very High and High Risk Category Key risk Inherent Risk Score Sample of Controls Residual Risk Score 1 Very High (15-25) Reduction in external funding and fees/income received by the Council, as well as the increased demand for services including the residual impact of the pandemic, and the increased cost of services due to rising inflation and the cost of living crisis, results in increasing budget gaps. The Council is seeing considerable increases in prices in terms of energy, fuel and food costs reflecting the global economic environment. These will have an impact on the current and future years’ Budget Strategy. This may also affect the level of service that the council can provide. Council Top Risk 25 • An embedded and systematic approach to savings identification • Robust processes in place to report annual budget and Council Tax proposals to Elected Members Council’s approved long term financial strategy 20 The council is unable to support households most impacted by the cost of living crisis resulting in increasing levels of poverty, debt, and damage to health Council Top Risk 25 Debt and money advice from the Money Matters Advice Service Provision of crisis and community care grants from the Scottish Welfare Fund Tenants Sustainment Fund 20 The council fails to deliver the objectives of the Community Wealth Building Strategy Council Top Risk 20 Supplier Development Programme provides training to businesses on how to bid for contracts 16 106
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SLC are a living wage anchor organisation CWB Commission and Progress Groups in place to oversee progress and delivery of the Strategy The council is materially affected by the implications arising from the National Care Service Bill Council Top Risk 16 Reports presented to Committee Monitoring of progress of the Bill through the Scottish Parliament 16 Disruption to council services as a result of industrial action Council Top Risk 20 National negotiations to resolve the pay issues Communications in place to affected parties via social media channels 16 2 High (8-12) The council does not have the appropriate emergency / business continuity plans; contingency arrangements or partnerships in place to respond to/or recover from a pandemic/endemic event. Council Top Risk 25 Range of supports in place to allow agile working Wellbeing Hub – counselling; CBT; online activities Enhanced financial monitoring 12 Procurement activity is affected by supply chain issues; a lack of resources; non- compliance or legal challenge 25 Procurement Strategy and action plan Contracts register in place Procurement Network Group 12 Fraud, theft, organised crime and cyber attacks Council Top Risk 20 Anti-Fraud and Corruption Strategy Whistle blowing procedures Cyber security and information security training Dissemination of fraud alerts 12 Failure to respond - major event/emergency Council Top Risk 16 Media response policy IT business continuity plans Emergency Management Team 12 107
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Historic childhood abuse Council Top Risk 16 Regular actuarial reviews of post insurance fund exposures undertaken to establish potential liability for the council 12 Information Governance not subject to adequate control Council Top Risk 20 Awareness raising Information Governance Group in place Information Governance Strategy 12 IT development and functionality does not keep pace with changing service requirements Council Top Risk 20 IT Asset Management Plan ICT Development Fund IT Programme Board 9 Lack of capacity and skills to meet increased service demands Council Top Risk 20 Workforce Strategy Performance Appraisal Process Learning and Development Strategy 9 Inaccurate information relating to council services reported via media 12 Timeous response to media enquiries Guidelines on media enquiries contained within Corporate Standards Contact sheets provided to the media 9 Audit plan not delivered 12 Managed systematic approach to work allocation and monitoring arrangements Capacity planning 9 Difficulties in placing insurance cover 16 Support from appointed insurance broker Sound experience in placing covers Regular reviews to ensure optimal balance between retention of risk and purchased covers 9 Failure to deliver the Modern Apprenticeship programme 12 Compliance process in place Commitment from senior management Appropriately trained and qualified staff available to delivery relevant internal programmes 9 108
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Failure to ensure the health, safety and wellbeing of employees and the protection of service users and members of the public in the delivery of council services Council Top Risk 20 Occupational Health and Safety Management System embedded throughout the Council Risk assessments and safe systems of work developed and implemented Resource H&S Groups in place 8 Failure to achieve the outcomes of the Community Plan Council Top Risk 20 Partnership Progress Group established Community Engagement Manager and team in place Neighbourhood plans developed 8 Failure to achieve the outcomes of the Council Plan Council Top Risk 16 New Council plan approved in June 2022 and all plans, policies and strategies aligned with the new priorities and outcomes across the council Bi-Annual performance reporting and annual performance spotlights 8 Community Alarms - Failure to properly prepare and successfully transition from the current analogue service to a digital solution within the pre-determined timescale 20 Project plan in place Project Review Board established Sessions held to scope full organisation requirements 8 Failure to manage financial aspects of City Deal 25 Financial aspects reviewed for each business case at all stages of the project Assurance frameworks Specific project risk registers in place 8 109
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Appendix 3: Comparison 2022 and 2021 council top risk register Risk Category Risk Category Key risk 2020 Residual risk score 2021 Residual risk score Change in residual risk scores Changes to key risk descriptions 1 Very High (15-25) Reduction in external funding and fees/income received by the Council, as well as the increased demand for services including the residual impact of the pandemic, and the increased cost of services due to rising inflation and the cost of living crisis, results in increasing budget gaps. The Council is seeing considerable increases in prices in terms of energy, fuel and food costs reflecting the global economic environment. These will have an impact on the current and future years’ Budget Strategy. This may also affect the level of service that the council can provide. Council Top Risk 20 20 = Wording updated to reflect inflationary increases, energy costs, reduced income (cost of living crisis) and greater pressure on council budgets The council is unable to support households most impacted by the cost of living crisis resulting in increasing levels of poverty, debt, and damage to health Council Top Risk N/A 20 New risk 2 High (8-12) 2 High The council fails to deliver the objectives of the Community Wealth Building Strategy Council Top Risk N/A 16 New risk 110
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(8-12) The council is materially affected by the implications arising from the National Care Service Bill Council Top Risk N/A 16 New risk Disruption to council services as a result of industrial action Council Top Risk N/A 16 New risk The council does not have the appropriate emergency / business continuity plans; contingency arrangements or partnerships in place to respond to/or recover from a pandemic/endemic event. Council Top Risk 16 12 ↓ Wording amended to focus on response and recovery from future pandemic events Procurement activity is affected by supply chain issues; a lack of resources; non-compliance or legal challenge 9 12 ↑ Wording updated to include Supply Chain issues Fraud, theft, organised crime and cyber attacks Council Top Risk 12 12 = Failure to respond - major event/emergency Council Top Risk 12 12 = Historic childhood abuse Council Top Risk 12 12 = Information Governance not subject to adequate control Council Top Risk 12 12 = IT development and functionality does not keep pace with changing service requirements Council Top Risk 9 9 = Lack of capacity and skills to meet increased service demands Council Top Risk 9 9 = Inaccurate information relating to council services reported via media 9 9 = 111
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Audit plan not delivered 9 9 = Difficulties in placing insurance cover 9 9 = Failure to deliver the Modern Apprenticeship programme 9 9 = Failure to ensure the health, safety and wellbeing of employees and the protection of service users and members of the public in the delivery of council services Council Top Risk 8 8 = Failure to achieve the outcomes of the Community Plan Council Top Risk 8 8 = Failure to achieve the outcomes of the Council Plan Council Top Risk N/A 8 New risk Community Alarms - Failure to properly prepare and successfully transition from the current analogue service to a digital solution within the pre-determined timescale 8 8 = Failure to manage financial aspects of City Deal 8 8 = 112
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Appendix 4 – Finance and Corporate Resources 2022 Risk Control Plan 2022/2023 Actions Who: Target date: Partners and communities work together to produce a new Community Plan reflecting the post pandemic needs of South Lanarkshire Community Engagement Manager May 2022 (Completed on time) Progress agile working across the council through full deployment of Windows 10 laptops / Office 365 / Soft Phones Head of IT Services June 2022 (Completed on time) A2D - Approve service provision model Programme Co-Ordinator, IT Services June 2022 (Completed on time) Review of CPP Structures to ensure that they are fit for purpose Community Engagement Manager August 2022 (Ongoing) Publish summary details of all completed DPIA’s on the internet (Action carried forward from 2021/2022) Legal Services Manager December 2022 Establish Community Partnerships in Hamilton and East Kilbride localities Community Engagement Manager December 2022 Implementation of EDRMS Phase 2 Head of IT Services March 2023 Provide input and support to council transformation plans (Action carried forward from 2021/2022) Head of IT Services March 2023 Implement actions per ICT Asset Management Plan (Action carried forward from 2021/2022) Head of IT Services March 2023 Develop Neighbourhood Plans for areas in Ward 19, Hamilton; Greenhills/Whitehills and Crosshouse, East Kilbride; and Lanark Community Engagement Manager March 2023 Monitor the financial support available from government Head of Finance (Transactions) March 2023 Increase awareness of Money Matters Advice Service throughout South Lanarkshire and promote take up of Priority Service Register and other SLC support services that are in place to help people. Head of Finance (Transactions) March 2023 2023/2024 Actions Progress Digital and IT Strategy for 2022 – 2027 (Action carried forward from 2021/2022) Head of IT Services September 2023 A2D - Digital solution procured and implemented Programme Co-Ordinator, IT Services March 2024 113
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Report Agenda Item Report to: Finance and Corporate Resources Committee Date of Meeting: 16 November 2022 Report by: Executive Director (Finance and Corporate Resources) Subject: Notification of Contracts Awarded: 1 April to 30 September 2022 1. Purpose of Report 1.1. The purpose of the report is to:- [purpose] provide notification to Committee, in accordance with Standing Orders on Contracts, of contracts awarded by Finance and Corporate Resources during the period 1 April 2022 to 30 September 2022 [1purpose] 2. Recommendation(s) 2.1. The Committee is asked to approve the following recommendation(s):- [recs] (1) that details of the contracts awarded be noted. [1recs] 3. Background 3.1. It is a requirement of Clauses 21.8 and 22.5 of the Standing Orders on Contracts that details of the acceptance of all tenders above £50,000 be reported retrospectively to the relevant Committee for noting, other than those under Clause 21.3 where the award is not the lowest in a price only tender, or costs exceed the approved financial provision. In these instances, a report is submitted to the appropriate Committee and subsequent authority to award is granted by that Committee. 4. Contract Awards 4.1. Contracts awarded for the period 1 April 2022 to 30 September 2022, on the basis of lowest offer and/or most economically advantageous offer submitted, is provided at Appendix 1. 5. Employee Implications 5.1. Contracts management, including performance appraisal, will be undertaken by both the main service user and the Procurement Team. 6. Financial Implications 6.1. Appropriate budgetary provision is available for each of the contracts awarded. 7. Climate Change, Sustainability and Environmental Implications 7.1. There are no Climate Change, Sustainability and Environmental Implications arising from the information presented in this report. 14 115
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8. Other Implications 8.1. There are no direct risks or implications for sustainability in terms of the information contained in this report. 9. Equality Impact Assessment and Consultation Arrangements 9.1. This report does not introduce a new policy, function or strategy nor recommend a change to an existing policy, function or strategy and therefore, no impact assessment is required. 9.2. 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) 4 October 2022 Link(s) to Council Values/Priorities/Outcomes Accountable, effective, efficient and transparent Previous Reference Finance and Corporate Resources Committee, 7 September 2022 List of Background Papers Standing Orders on Contracts Contact for Further Information If you would like to inspect the background papers or want further information, please contact:- Emma Smith, Corporate Procurement and Transactions Manager Ext: 5329 (Tel: 01698 455329) E-mail: emma.smith@southlanarkshire.gov.uk 116
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Appendix 1 Contracts Awarded by Finance and Corporate Resources over £50,000 in value Contractor CRN Value of Contract Awarded Date of Award Brief Description Contract Period Scholar SLC/PS/FINCOR/21/053 £123,283.00 1 April 2022 SCHOLAR Forum Subscription Renewal 01/04/2022 - 31/03/2025 Liquidlogic Ltd SLC/PS/FINCOR/20/231 £988,874.00 5 September 2022 Social Work Case Management System 01/09/2022 - 31/08/2027 (extension 31/08/2032) Paypoint plc SLC/PS/FINCOR/22/022 £600,000.00 31 May 2022 PayPoint Cash out Services and Voucher Agreements 06/06/2022 - 05/06/2027 (extension 05/06/2030) Softcat plc SLC/PS/FINCOR/21/126 £138,782.41 30 May 2022 Payables Fraud Software 31/05/2022 - 01/12/2025 Gravitas Recruitment Group Ltd SLC/PS/FINCOR/22/023 £225,000.00 1 June 2022 IT Project Manager resource 13/06/2022 - 12/12/2023 (extension 12/06/2024) NDL software Ltd SLC/PS/FINCOR/22/029 £118,000.00 19 July 2022 NDL Integration Tool 03/08/2022 - 02/08/2024 (extension 02/08/2026) The Wise Group SLC/PS/FINCOR/22/044 £850,000.00 21 July 2022 Specialist Energy Advice and Financial Support 01/09/2022 - 31/08/2023 (extension 31/08/2024) SAP (UK) Ltd SLC/PS/FINCOR/22/033 £83,383.00 1 July 2022 Microsoft support services 01/07/2022 - 30/06/2023 Gravitas Recruitment Group Ltd SLC/PS/FINCOR/22/055 £163,002.00 23 June 2022 Capita Support 22/06/2022 - 21/12/2022 (extension 21/12/2023) Halfords Ltd SLC/PS/FINCOR/21/130 £103,794.00 20 June 2022 Cycle to Work Scheme 13/06/2022 - 12/06/2023 (extension 12/06/2024) Doro AB SLC/PS/FINCOR/22/024 £1,136,900.00 20 April 2022 Supply and Delivery of Telecare Equipment 02/05/2022 - 01/05/2024 A.M.1. Consulting Ltd SLC/PS/FINCOR/22/034 £394,850.00 11 May 2022 Oracle Cloud Fusion Implementation Resources 01/03/2022 - 30/06/2023 (extension 30/09/2023) Oracle Corporation UK Ltd SLC/PS/FINCOR/22/021 £88,800.00 10 May 2022 Oracle Cloud Infrastructure Platform as a Service - Licenses 01/05/2022 - 30/04/2027 A.M.1. Consulting Ltd SLC/PS/FINCOR/22/057 £69,000.00 28 June 2022 Oracle Fusion Consultancy - PMO Senior Administration Officer 13/07/2022 - 31/05/2023, (extension 30/09/2023) 117
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British Telecommunications PLC SLC/PS/FINCOR/22/077 £326,092.00 22 August 2022 Installation and Maintenance of Milestone CCTV Monitoring System 22/08/2022 - 21/08/2027 Softcat PLC SLC/PS/FINCOR/22/073 £269,693.85 19 July 2022 Microsoft Office 365 Backup and Recovery Solutions (SG SVAR Framework Call Off) 01/08/2022 – 31/07/2025 AM1 consulting (ref 22/072) SLC/PS/FINCOR/22/072 £104,760 11 July 2022 Oracle Fusion Financial implementation resources 01/07/2022 – 31/12/2022 (extension 30/09/2023) Softcat PLC SLC/PS/FINCOR/22/076 £745,503.12 6 September 2022 EDRMS Corporate Solution 01/08/2022 - 31/07/27 Worldpay SLC/PS/FINCOR/20/130 £557,500.00 17 August 2022 Payment Acceptance 13/09/2022 – 12/09/2025 (extension 12/03/2026) 118
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Contract Extensions over £50,000 in value Contractor CRN Value of Contract Awarded Date of Extension Brief Description Contract Extension period Bunzl Greenham SLC/PS/FINCOR/16/073 £83,638.00 30 August 2022 Supply and Delivery of Corporate Clothing 31/08/2022 - 31/08/2024 Aon UK ltd SLC/PS/FINCOR/18/011 £792,000.00 12 August 2022 Tenants Contents Insurance 30/09/2022 - 30/09/2023 Securigroup services Ltd SLC/PS/FINCOR/21/134 £118,231.25 13 September 2022 Security Services for Council Offices 30/09/2022 - 31/03/2023 Total Mobile SLC/PS/FINCOR/18/075 £362,312.00 1 September 2022 Home Care Workforce Scheduling 02/9/2022 – 01/09/2023 Canon SLC/PS/FINCOR/15/076 £400,000.00 3 August 2022 Supply, Delivery, Installation and Maintenance of the Corporate Multi-Functional Device Hardware Fleet incorporating Maintenance of Print Management Software 06/08/2022 – 05/04/2023 119
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Report Agenda Item Report to: Finance and Corporate Resources Committee Date of Meeting: 16 November 2022 Report by: Executive Director (Finance and Corporate Resources) Subject: Safety at Sports Grounds – Issue of Special Safety Certificate for Fireworks Event – New Douglas Park 1. Purpose of Report 1.1. The purpose of the report is to:- [purpose] 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 issue a Special Safety Certificate for the North and West Stands, HAFC Stadium Limited, New Douglas Park, Cadzow Avenue, Hamilton for the purpose of holding a fireworks event on 4 November 2022 [1purpose] 2. Recommendation(s) 2.1. The Committee is asked to approve the following recommendation(s):- [recs] (1) that the 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, to approve the issue of a Special Safety Certificate for the North and West Stands, HAFC Stadium Limited, New Douglas Park, Cadzow Avenue, Hamilton for the purpose of holding a fireworks event on 4 November 2022, subject to the completion of a satisfactory site inspection, be noted. [1recs] 3. Background 3.1. In terms of the Fire Safety and Safety of Places of Sport Act 1987, a General Safety Certificate is required for a stand at a sports ground which can accommodate at least 500 spectators under cover to view the activities at the ground. A stand which falls within this classification is referred to as a “regulated stand”. 3.2. New Douglas Park had previously been identified as a sports ground with regulated stands and the current General Safety Certificate for the North and West Stands came into force on 16 July 2022. The General Safety Certificate listed primary and ancillary activities to which spectators could be admitted, however, events involving other activities viewed from the Stands required the issue of a Special Safety Certificate. 4. Application for Special Safety Certificate 4.1. An application for a Special Safety Certificate had been received from HAFC Stadium Limited to hold a fireworks event on 4 November 2022. 15 121
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4.2. The maximum number of persons to be admitted to the event, as specified in the Special Safety Certificate, was 4,900 (maximum spectators in North Stand was 2,246 / West Stand was 3,288). This reflected the maximum number of spectators which could be admitted to the North and West Stands in accordance with the current General Safety Certificate. 4.3. No modifications had been made to the North or West Stands for the purposes of the fireworks event. A number of adaptations, including the set-up of an amusement area, had been detailed in the Special Safety Certificate. 4.4 As the Special Safety Certificate was required to be issued prior to the event, the Executive Director (Finance and Corporate Resources), in consultation with the Chair and an ex officio member, approved the issue of the Special Safety Certificate for the North and West Stands, HAFC Stadium Limited, New Douglas Park, Cadzow Avenue, Hamilton, for the purpose of holding a fireworks event on 4 November 2022, subject to the completion of a satisfactory site inspection. 4.5. A site inspection, attended by representatives of the South Lanarkshire Sports Grounds Safety Advisory Group, had subsequently taken place on 4 November 2022 to ensure that:- the organisers had completed the pre-event and event day checklists the site had been set up as per the Event Plan 4.6. The representatives present at the site inspection had been satisfied with the event arrangements and the Special Safety Certificate had been issued prior to the admission of spectators. 5. Employee Implications 5.1. None. 6. Financial Implications 6.1. The Council is authorised by regulations to charge fees for work reasonably done as a result of an application for the issue, amendment, replacement, transfer or cancellation of a safety certificate. 7. Climate Change, Sustainability and Environmental Implications 7.1. There are no climate change, sustainability or environmental implications arising from the information presented in this report. 8. Other Implications 8.1. There is a risk to the Council as the body responsible for administering safety certificates for sports grounds that any incident involving public safety where proper guidelines have not been followed could damage the Council’s reputation. This risk is mitigated by the requirements and conditions contained within the General Safety Certificate on ground management to implement measures within the Guide to Safety at Sports Grounds (sixth edition) to ensure the reasonable safety of persons attending the sports ground. The requirements of the General Safety Certificate for the North and West Stands also applied to the fireworks event. 8.2. Annual inspection and annual match day inspections are carried out at New Douglas Park which include checks of safety procedures, physical inspections of the Stands and checks of inspection and test certificates of various installations and equipment. 122
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8.3. In addition, relevant risk assessments specific to the fireworks event, including the identification of foreseeable hazards, evaluation of the risks associated with them, and mitigating measures to reduce the risks to an appropriate level, were undertaken and used to help develop the Event Plan, a copy of which had been required to be kept with the Special Safety Certificate. 8.4. As detailed at paragraphs 4.5 and 4.6, a site inspection had also been undertaken prior to the event. 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 had taken place with:- the South Lanarkshire Sports Grounds Safety Advisory Group which comprises of representatives of the following:- relevant services within South Lanarkshire Council NHS Lanarkshire Police Scotland Scottish Ambulance Service Scottish Fire and Rescue Service sports ground management at Hamilton Academical Football Club a representative of Midnight Storm Fireworks representatives of Security Scotland (stewarding provider) Paul Manning Executive Director (Finance and Corporate Resources) 4 November 2022 Link(s) to Council Values/Priorities/Outcomes Focused on people and their needs Previous References 7 September 2022 - Re-issue of General Safety Certificate for New Douglas Park List of Background Papers General Safety Certificate for Regulated Stands – North and West Stands, New Douglas Park, Cadzow Avenue, Hamilton Special Safety Certificate for the purpose of holding a fireworks event at New Douglas Park, Cadzow Avenue, Hamilton on 4 November 2022 Contact for Further Information If you would like to inspect the background papers or want further information, please contact:- Stuart McLeod, Administration Officer Ext: 4815 (Tel: 01698 454815 / 07385 370 117) E-mail: stuart.mcleod@southlanarkshire.gov.uk 123
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