Agenda Document Pack - Social Work Resources Committee - 27/09/2023
South Lanarkshire Council · 27 September 2023
Back to Social Work Resources Committee — 27 September 2023 and its agenda
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Council Offices, Almada Street Hamilton, ML3 0AA Wednesday, 20 September 2023 Dear Councillor Social Work Resources Committee The Members listed below are requested to attend a meeting of the above Committee to be held as follows:- Date: Wednesday, 27 September 2023 Time: 10:00 Venue: Hybrid - Committee Room 1, 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 Margaret B Walker (Chair), Catherine McClymont (Depute Chair), Joe Fagan (ex officio), Alex Allison, John Bradley, Walter Brogan, Robert Brown, Archie Buchanan, Mathew Buchanan, Janine Calikes, Maureen Devlin, Mary Donnelly, Allan Falconer, Elise Frame, Celine Handibode, Graeme Horne, Mark Horsham, Martin Hose, Eileen Logan, Hugh Macdonald, Richard Nelson, Carol Nugent, John Ross, Graham Scott, David Watson, Kirsty Williams Substitutes John Anderson, Maureen Chalmers, Margaret Cooper, Poppy Corbett, Margaret Cowie, Geri Gray, Susan Kerr, Ross Lambie, Richard Lockhart, Elaine McDougall, Mark McGeever, Davie McLachlan, Bert Thomson 1
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BUSINESS 1 Declaration of Interests 2 Minutes of Previous Meeting Minutes of the meeting of the Social Work Resources Committee held on 28 June 2023 submitted for approval as a correct record. (Copy attached) 3 - 10 Monitoring Item(s) 3 Social Work Resources - Revenue Budget Monitoring 2023/2024 Joint report dated 19 September 2023 by the Executive Director (Finance and Corporate Resources) and Director, Health and Social Care. (Copy attached) 11 - 18 4 Social Work Resources - Capital Budget Monitoring 2023/2024 Joint report dated 7 September 2023 by the Executive Director (Finance and Corporate Resources) and Director, Health and Social Care. (Copy attached) 19 - 22 5 Social Work Resources – Workforce Monitoring – May to July 2023 Joint report dated 24 August 2023 by the Executive Director (Finance and Corporate Resources) and Director, Health and Social Care. (Copy attached) 23 - 30 6 Update on the 2022/2023 Risk Register and Risk Control Plan Report dated 22 August 2023 by the Director, Health and Social Care. (Copy attached) 31 - 44 Item(s) for Decision 7 Strengthening Arrangements for Self-Directed Support Joint report dated 27 August 2023 by the Director, Health and Social Care and Executive Director (Finance and Corporate Resources). (Copy attached) 45 - 50 Urgent Business 8 Urgent Business Any other items of business which the Chair decides are urgent. For further information, please contact:- Clerk Name: Tracy Slater Clerk Telephone: 07385370089 Clerk Email: tracy.slater@southlanarkshire.gov.uk 2
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SOCIAL WORK RESOURCES COMMITTEE Minutes of meeting held via Confero and in Committee Room 1, Council Offices, Almada Street, Hamilton on 28 June 2023 Chair: Councillor Margaret B Walker Councillors Present: Councillor John Anderson (substitute for Councillor Hugh Macdonald), Councillor Walter Brogan, Councillor Robert Brown, Councillor Archie Buchanan, Councillor Mathew Buchanan, Councillor Janine Calikes, Councillor Margaret Cowie (substitute for Councillor Eileen Logan), Councillor Maureen Devlin, Councillor Mary Donnelly, Councillor Allan Falconer, Councillor Elise Frame, Councillor Celine Handibode, Councillor Graeme Horne, Councillor Mark Horsham, Councillor Martin Hose, Councillor Cal Johnston-Dempsey, Councillor Richard Lockhart (substitute for Councillor Alex Allison), Councillor Catherine McClymont (Depute), Councillor Carol Nugent, Councillor Graham Scott, Councillor David Watson Councillors' Apologies: Councillor Alex Allison, Councillor John Bradley, Councillor Joe Fagan (ex officio), Councillor Eileen Logan, Councillor Hugh Macdonald, Councillor Richard Nelson, Councillor John Ross Attending: Finance and Corporate Resources G Booth, Finance Manager (Resources); E McPake, HR Business Manager; L O’Hagan, Finance Manager (Strategy); T Slater, Administration Adviser; M M Wilson, Legal Services Manager; L Wyllie, Administration Assistant Health and Social Care/Social Work Resources S Sengupta, Director; I Beattie, Head of Health and Social Care (Hamilton and Clydesdale); G Booth, Justice Service Manager; C Borden, Justice Operations Manager; C Cunningham, Head of Commissioning and Performance; L Purdie, Head of Children and Justice Services 1 Declaration of Interests No interests were declared. 2 Minutes of Previous Meeting The minutes of the meeting of the Social Work Resources Committee held on 3 May 2023 were submitted for approval as a correct record. The Committee decided: that the minutes be approved as a correct record. 3 Social Work Resources – Revenue Budget Monitoring 2022/2023 A joint report dated 12 June 2023 by the Executive Director (Finance and Corporate Resources) and Director, Health and Social Care was submitted comparing actual expenditure for the period 1 April 2022 to 31 March 2023 against budgeted expenditure for 2022/2023 for Social Work Resources. 2 3
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As at 31 March 2023, there was an unplanned underspend of £5.635 million before proposed transfers to reserves, as detailed in Appendix A to the report. Following transfers to reserves, as detailed in appendices B to E of the report, which had been approved by the Executive Committee at its meeting on 21 June 2023, the Resource position was a breakeven position. It was noted that this was before taking into account the impact of the Home Carers’ job evaluation. The transfers to reserves had arisen from an unplanned underspend within Adult and Older People Services. There were also unplanned underspends within Performance and Support Services and Justice Services which had been offset by an overspend in Children and Family Services. Included within the underspend within Adult and Older People Services was a commitment in relation to the Integration Joint Board (IJB). The budget delegated to the IJB had underspent by £7.510 million and the Council had agreed to the IJB retaining £1.424 milling of this underspend within its reserves at probable outturn. This had increased to £1.875 million and was earmarked for future care costs in line with the approach to integrating health and social care budgets. Of the unplanned underspend remaining, it was agreed at probable outturn, that £5.635 million would be transferred to a Council reserve to be used in 2023/2024 to support Children and Family Services’ pressures. Virements were proposed to realign budgets, which were also detailed in the appendices to the report. Although there were no implications within this report from the outcome of the Home Carers’ job evaluation, this would result in significant recurring costs and work was ongoing to agree a recovery plan. Information was provided on the process in place for the IJB to deal with such an eventuality once its budget had been set. Information was also provided on the implications for the Council following the review of the implementation date for back pay for Home Carers which would be October 2020. Those costs would be included within the financial position for 2022/2023. As the IJB would not now underspend, alternative funding would require to be identified to support Children and Family Services’ costs into 2023/2024. An officer responded to a member’s question in relation to budget levels and adjustments. The Committee decided: (1) that the breakeven position as at 31 March 2023, after transfers to reserves, as detailed in Appendix A to the report, be noted; and (2) that the proposed budget virements be approved. [Reference: Minutes of 3 May 2023 (Paragraph 3) and Minutes of the Executive Committee of 21 June 2023 (Paragraph 3)] 4 Social Work Resources – Revenue Budget Monitoring 2023/2024 A joint report dated 12 June 2023 by the Executive Director (Finance and Corporate Resources) and Director, Health and Social Care was submitted comparing actual expenditure for the period 1 April to 19 May 2023 against budgeted expenditure for 2023/2024 for Social Work Resources. As at 19 May 2023, there was a breakeven position against the phased budget. The Resource position was outlined in Appendix A to the report. 4
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Budget pressures were ongoing within Children and Family Services and £5.635 million had been planned to be available this financial year to support those pressures. This was to be transferred to a Council reserve following an IJB underspend. In addition, a further £3.600 million was available from a balance of central funding to contribute towards the residual pressures in 2023/2024. As reported in the previous report to Committee on the Revenue Budget for 2022/2023, information was provided on the implications of the outcome of the Home Carers’ job evaluation and the review of the implementation date for back pay. As the Integration Joint Board would not now underspend, alternative funding would require to be identified to support Children and Family Services’ costs into 2023/2024. The full costs of the funding package would be quantified and reported to the Executive Committee at its meeting on 16 August 2023. Virements were proposed to realign budgets, which were detailed in appendices B to E to the report. An officer responded to a member’s question in relation to the arrangements for setting a budget in relation to the staffing establishment. The Committee decided: (1) that the breakeven position as at 19 May 2023 and the forecast to 31 March 2024 of a breakeven position, as detailed in Appendix A of the report, be noted; and (2) that the proposed budget virements be approved. 5 Social Work Resources – Capital Budget Monitoring 2022/2023 A joint report dated 7 June 2023 by the Executive Director (Finance and Corporate Resources) and Director, Health and Social Care was submitted advising of progress on the Social Work Resources’ capital programme for 2022/2023 and summarising the expenditure position at 31 March 2023. The capital programme for Social Work Resources for 2022/2023 was £3.903 million. Total spend to 31 March 2023 was £4.210 million. This represented a position of £0.307 million ahead of profile and mainly reflected the timing of payments on the Community Alarm and SWiSplus Replacement projects. The overspends on those projects would carry forward and be offset by the funding available. The Committee decided: that the Social Work Resources’ capital programme of £3.903 million, and expenditure for the year of £4.210 million, be noted. [Reference: Minutes of 3 May 2023 (Paragraph 4)] 6 Social Work Resources – Capital Budget Monitoring 2023/2024 A joint report dated 7 June 2023 by the Executive Director (Finance and Corporate Resources) and Director, Health and Social Care was submitted advising of progress on the Social Work Resources’ capital programme for 2023/2024 and summarising the expenditure position at 19 May 2023. 5
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The capital programme for Social Work Resources for 2023/2024 was £2.030 million and had been updated to include budget carried forward from 2022/2023. Spend as at 19 May 2023 was £0.323 million, which was in line with that anticipated. The Committee decided: that the Social Work Resources’ capital programme of £2.030 million, and expenditure for the year of £0.323 million, be noted. 7 Social Work Resources – Workforce Monitoring – March and April 2023 A joint report dated 25 May 2023 by the Executive Director (Finance and Corporate Resources) and Director, Health and Social Care was submitted on the following employee information for Social Work Resources for the period March and April 2023:- 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 March 2023 Officers responded to members’ questions in relation to various aspects of the report and undertook to:- provide more detailed information on accidents/incidents separately to members, if requested, as this could not be included in a public report provide an update to members on the timescale for issuing the survey on the Care at Home scheduling system, which had been delayed due to various issues including the Home Carers’ job evaluation process The Committee decided: that the report be noted. [Reference: Minutes of 3 May 2023 (Paragraph 5)] 8 Update on the 2022/2023 Risk Register and Risk Control Plan A report dated 5 June 2023 by the Director, Health and Social Care was submitted on risk management arrangements and the Risk Register for Social Work Resources. The Resource had followed Council guidance in developing, monitoring and updating its Risk Register on an ongoing basis. The Register had been developed to ensure that the Resource was fully aware of the main risks that it had, was able to prioritise those risks and had controls in place to eliminate or minimise the impact of risk. The scoring matrix and definitions for likelihood and impact were outlined in Appendix 1 to the report. This had resulted in risks being scored between 1 to 25 (low to very high). Risks were scored on their inherent risk (risk if nothing was done) and their residual risk (risk after applying controls). 6
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At its meeting on 3 May 2023, the Social Work Resources Committee agreed the current top 5 risks impacting on the delivery of Social Care Services, each of which remained unchanged following review:- workforce availability and capacity (lack of capacity and skills to meet increased service demands) meeting public protection and legislative duties (combined legislation/statutory duties public protection, Care Inspectorate/Self-directed Support (SDS)) market and provider capacity (procurement/supply chain) funding and budgetary pressures (reduction in funding/increased costs) winter demand pressures (emergency response) Although the top risks remained unchanged, a number of factors had materialised that impacted on those risks that related to:- the outcome of the Care at Home job evaluation which would require a recurring funding solution ongoing pressures within the children’s social work element of the Children and Justice Services’ budget care home providers’ market stability, both general (related to ongoing negotiations on the National Care Home Contract) and specific to individual care homes (those subject to external review or where the owner had placed them in administration) Appendix 2 to the report provided further detail on each of the top risks, together with the inherent and residual risk scores and sample controls. Officers responded to members’ question in relation to:- work to improve workforce availability and capacity the challenges with recruitment and retention the progress of the Lanarkshire Care Academy, a report on which would be submitted to the next meeting of the Committee The Committee decided: (1) that the report be noted; and (2) that the top risks for Social Work Resources be approved. [Reference: Minutes of 3 May 2023 (Paragraph 6)] 9 Locality Based Social Work Services’ Modernisation Programme A joint report dated 30 March 2023 by the Director, Health and Social Care and Executive Director (Finance and Corporate Resources) was submitted on proposals to update the model of service delivery across localities. Information was provided on the current structure and challenges faced by the workforce within Social Work Resources’ 4 localities which provided essential services, undertaking the Council’s statutory duties relating to Assessment and Care Management, Mental Health and Public Protection. Nationally, recruitment and staff retention had been challenging for a number of years and within the Social Work Resources’ Risk Register, Service Demand Pressures and Workforce Availability had been reported as a Very High risk since the pandemic. 7
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The Resource had developed a Sustainability and Value Option Screening Scales, attached as Appendix 1 to the report, to provide oversight and ensure that public protection duties were a priority. Consultation and engagement events took place in March 2023 across Children and Justice Services. A report on the feedback from those events, attached as Appendix 2 to the report, demonstrated a need to modernise, redesign and demonstrate a commitment to recruitment and retention in the workforce. It also recognised that the biggest area of risk was in locality settings and settings primarily responsible for delivering public protection arrangements. Those issues and challenges were also seen across Adult and Older People Servies. Information was provided on the Three Horizons Design Proposal, developed as a result of service demands, and the service model improvements required. The following changes to Social Work Resources’ staffing establishment were proposed to support this redesign:- for the Health and Social Care Partnership Social Work:- that 32 Full-time Equivalent (FTE) posts of Operations Manager on Grade 4, Level 2-5, SCP 82-88 (£46,298 to £50,659) be added to the staffing establishment that 36 FTE posts of Team Leader on Grade 3, Level 8, SCP 79-80 (£44,309 to £44,966) be deleted from the staffing establishment that 4 FTE posts of Planning and Performance Officer on Grade 3, Level 4, SCP 72- 74 (£40,276 to £41,115) be added to the staffing establishment for the Commissioning and Quality Assurance Team:- that 1 FTE post of Service Manager on Grade 5, Level 1-5, SCP 96-103 (£57,028 to £63,233) be added to the staffing establishment for Children and Family Services that 20 FTE posts of Operations Manager on Grade 4, Level 2-5, SCP 82-88 (£46,298 to £50,659) be added to the staffing establishment that 22.5 FTE posts of Team Leader on Grade 3, Level 8, SCP 79-80 (£44,309 to £44,966) be deleted from the staffing establishment for Justice Services that 2 FTE posts of Fieldwork Manager on Grade 5, Level 1, SCP 96-97 (£57,028 to £57,904) be added to the staffing establishment that 3 FTE posts of Operations Manager on Grade 4, Level 2-5, SCP 82-88 (£46,298 to £50,659) be added to the staffing establishment that 4 FTE posts of Team Leader on Grade 3, Level 8, SCP79-80 (£44,309 to £44,966) be deleted from the staffing establishment The cost of the proposals would be met from within existing budget provision, as detailed in the report. Officers responded to members’ questions in relation to:- an assurance that consultation would be undertaken with trade unions and staff the implications of the change of Social Worker roles to Senior Practitioner The Committee decided: (1) that the report be noted; (2) that the proposals to progress changes to the operational structure across social work services be approved; and 8
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(3) that the amendments to the Social Work Resources’ staffing establishment, as detailed in the report, be approved. 10 Reducing Drug Deaths: The South Lanarkshire Alcohol and Drug Problem-Solving Court A joint report dated 17 April 2023 by the Director, Health and Social Care and Executive Director (Finance and Corporate Resources) was submitted advising of the establishment of a 2-year test of change Alcohol and Drug Problem-Solving Court. The Problem-Solving Court had been developed by Justice Social Work Services in partnership with Hamilton Sheriff Court. The aim of the project was to adopt a public health approach to supporting those in conflict with the law whose offending related to substance misuse, with the long-term aim of permanently exiting the justice system. Information was provided on:- South Lanarkshire Alcohol and Drug Partnership (ADP) analysis data that had informed the need for this dedicated court approach how the Problem-Solving Court would operate the objectives of the project which aligned with the national Logic Model for reducing drug deaths and harms the Justice Support Worker pilot evaluation, attached as an appendix to the report To support this initiative, it was proposed to add the following posts to the Social Work Resources’ staffing establishment for an initial period of 2 years, with the posts being recruited to permanent contracts and staff redeployed within the service at the end of the pilot if a permanent funding solution had not been secured:- 2 Full-time Equivalent (FTE) posts of Social Worker on Grade 3, Level 4, SCP 72-74 (£40,275 to £41,115) 0.5 FTE post of Justice Social Work Team Leader on Grade 3, Level 8, SCP 79-80 (£44,309 to £44,966) The cost of the proposal was £0.302 million per annum and funding would be provided from the CORRA Improvement Fund, South Lanarkshire ADP and the Section 27 Justice budget, as detailed in the report. Officers responded to members’ questions in relation to:- monitoring and evaluation of the initiative core funding and capacity The Committee decided: (1) that the report be noted; (2) that the findings of the independent evaluation of the Justice Support Worker pilot and how it had informed the Alcohol and Drug Problem-Solving Court be noted; and (3) that the posts, as detailed in the report, be added to the Social Work Resources’ staffing establishment for an initial period of 2 years. 9
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11 Implementing Medication Assisted Treatment (MAT) Standards in South Lanarkshire - Update A report dated 31 May 2023 by the Director, Health and Social Care was submitted providing an update on the progress of the local implementation of Medication Assisted Treatment (MAT) Standards for people with problematic drug use. Information was provided on the number of drug misuse deaths registered in Scotland in 2021 which had increased substantially over the past few decades. There had also been a change in drug use and potential for increased levels of harm which had resulted in the production of MAT Standards, attached as Appendix 1 to the report. The MAT Standards were produced by the Drug Death Task Force, on behalf of the Scottish Government, in response to this emergent public health crisis. The Committee decided: that the report be noted. 12 Notification of Contracts Awarded - 1 October 2022 to 31 March 2023 A report dated 17 May 2023 by the Director, Health and Social Care was submitted on contracts awarded by Social Work Resources in the period 1 October 2022 to 31 March 2023. 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 in excess of £50,000. Details of the contracts awarded by Social Work Resources were provided in the appendix to the report. The Committee decided: that the report be noted. 13 Urgent Business There were no items of urgent business. 10
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Report Agenda Item Report to: Social Work Resources Committee Date of Meeting: 27 September 2023 Report by: Executive Director (Finance and Corporate Resources) Director, Health and Social Care Subject: Social Work Resources - Revenue Budget Monitoring 2023/2024 1. Purpose of Report 1.1. The purpose of the report is to:- [purpose] provide information on the actual expenditure measured against the revenue budget for the period 1 April 2023 to 11 August 2023 for Social Work Resources provide a forecast for the year to 31 March 2024. [1purpose] 2. Recommendation(s) 2.1. The Committee is asked to approve the following recommendation(s):- [re (1) the position on the Social Work Resources’ revenue budget, as detailed in Appendix A of the report, and the forecast to 31 March 2024 as detailed in section 5.7, be noted; and (2) that the proposed budget virements be approved. [1recs] 3. Background 3.1. This is the second revenue budget monitoring report presented to the Social Work Resources Committee for the financial year 2023/2024. 3.2. The report details the financial position for Social Work Resources in Appendix A, and then details the individual services, along with variance explanations, in Appendices B to E. 4. Employee Implications 4.1. There are no employee implications as a result of this report. 5. Financial Implications 5.1. As at 11 August 2023, there is a breakeven position against the phased budget. 5.2. Children and Families: As detailed in the previous report, budget pressures within Children and Families are continuing into 2023/2024 in relation to residential placements, fostering and kinship care, some of which is a legacy from the pandemic. 3 11
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5.3. As previously advised to Social Work Committee (28 June 2023), there is one-off funding identified totalling £9.2 million, and this is available this financial year to contribute towards these residual Children and Families’ pressures. 5.4. The Children and Families position as at 11 August 2023 assumes funding will be available and will be drawn down later in the financial year, as required. The Resource are working towards managing the overall budget pressure in Children and Families by 2024/2025. 5.5. The period 5 overspend position on Children and Families (£0.140m) is currently being managed by an underspend on Performance and Support and Justice Services. 5.6. Adults and Older People: As previously advised, Within Adult and Older People, the outcome of the Job Evaluation exercise for Home Carers will result in recurring costs of approximately £7 million from 2023/2024. These costs are not included in the IJB budget set for 2023/2024. As at 11 August, costs of £2.4 million have been incurred in relation to the cost of the grade changes. This is shown under Employee Costs in Appendix C but does not show as a net overspend as there is sufficient budget available at this stage in the financial year to cover the additional costs incurred to date. 5.7. Officers within the IJB have been looking to identify recurring funding solutions. A budget recovery plan presented to the IJB on 19 September was not agreed. To manage the spend position this year, work will be required by the IJB Chief Officer and Chief Financial Officer, in conjunction with the Council’s officers, to address this. This is likely to be achieved, in the short term, through management controls pending further decisions to be taken by the IJB to balance the in-year budget. 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 Revenue Budget is that there is an overspend. There are inflationary and budget pressures including utilities (as well as general inflation pressures) this year which increase the risk of overspend however these have mitigated through the IJB financial plan for 2023/24. The risk is managed 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 was also no requirement to undertake any consultation in terms of the information contained in this report. 12
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Paul Manning Executive Director (Finance and Corporate Resources) Soumen Sengupta Director, Health and Social Care 19 September 2023 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 11 August 2023 Contact for Further Information If you would like to inspect the background papers or want further information, please contact: - Graham Booth, Finance Manager Ext: 2699 (Tel: 01698 452699) Email: Graham.Booth@southlanarkshire.gov.uk 13
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Appendix A SOUTH LANARKSHIRE COUNCIL Revenue Budget Monitoring Report Social Work Resources Committee: Period Ended 11 August 2023 (No.5) Social Work Resources Summary Annual Budget Forecast for Year Annual Forecast Variance Budget Proportion 11/08/23 Actual 11/08/23 Variance 11/08/23 % Variance 11/08/23 Note £000 £000 £000 £000 £000 £000 Budget Category Employee Costs 108,492 108,492 0 36,211 38,114 (1,903) Over -5.3% Property Costs 4,372 4,372 0 1,147 1,145 2 Under 0.2% Supplies & Services 5,879 5,879 0 1,870 1,912 (42) Over -2.2% Transport & Plant 4,685 4,685 0 729 753 (24) Over -3.3% Administration Costs 1,967 1,967 0 304 311 (7) Over -2.3% Payments to Other Bodies 24,073 24,073 0 8,875 8,492 383 Under 4.3% Payments to Contractors 135,972 134,972 0 47,765 46,331 1,434 Under 3.0% Transfer Payments 3,060 3,060 0 1,593 1,624 (31) Over -1.9% Financing Charges 403 403 0 15 19 (4) Over -26.7% Total Controllable Exp. 288,903 288,903 0 98,509 98,701 (192) Over -0.2% Total Controllable Inc. (74,184) (74184) 0 (11,468) (11,660) 192 Under recovered -1.7% Net Controllable Exp. 214,719 214,719 0 87,041 87,041 0 - 0.0% Variance Explanations Variance explanations are shown in Appendices B-E. Budget Virements Budget virements are shown in Appendices B-E. 14
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Appendix B SOUTH LANARKSHIRE COUNCIL Revenue Budget Monitoring Report Social Work Resources Committee: Period Ended 11 August 2023 (No.5) Children and Families Services Annual Budget Forecast for Year Annual Forecast Variance Budget Proportion 11/08/23 Actual 11/08/23 Variance 11/08/23 % Variance 11/08/23 Note £000 £000 £000 £000 £000 £000 Budget Category Employee Costs 18,572 18,572 0 6,424 6,253 171 Under 2.7% 1, a, b, Property Costs 460 460 0 99 104 (5) Over -5.1% Supplies & Services 585 585 0 142 178 (36) Over -25.4% c Transport & Plant 626 626 0 183 206 (23) Over -12.6% Administration Costs 319 319 0 143 150 (7) Over -4.9% c Payments to Other Bodies 9,283 9,283 0 3,204 3,301 (97) Over -3.0% 2, b, c, d Payments to Contractors 5,483 5,483 0 3,678 3,868 (190) Over -5.2% 3, a, d Transfer Payments 3,047 3,047 0 1,589 1,612 (23) Over -1.4% Financing Charges 20 20 0 0 3 (3) Over n/a Total Controllable Exp. 38,395 38,395 0 15,462 15,675 (213) Over -1.4% Total Controllable Inc. (1,180) (1,180) 0 (590) (663) 73 Over recovered -12.4% 4, b, c Net Controllable Exp. 37,215 37,215 0 14,872 15,012 (140) Over -0.9% Variance Explanations 1. Employee costs This is an underspend due to vacancies which are being actively recruited. 2. Payment to Other Bodies This overspend is a result of the increased requirement for support with adoption allowances and fostering placements. 3. Payment to Contractors This overspend is a result of the continuing increased requirement for children’s residential school and external placements. 4. Income The over recovery of income mainly relates to an over recovery in funding due to an increase in the number of unaccompanied asylum-seeking young people being supported. Budget Virements a. Realignment of Employee Costs Net Effect: £0, Employee Costs (£0.300m), Payment to Contractors £0.300m. b. Realignment of Mental Health and Wellbeing Fund Net Effect: £0, Employee Costs £0.002m, Payment to Other Bodies (£0.550m), Income £0.548m. c. Realignment of Attainment Fund Net Effect: £0, Supplies and Services (£0.013m), Payment to Other Bodies (£0.311m), Administration (£0.013m), Income £0.337m. d. Realignment of Throughcare budget Net Effect: £0, Payment to Other Bodies (£0.116m), Payment to Contractors £0.116m. 15
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Appendix C SOUTH LANARKSHIRE COUNCIL Revenue Budget Monitoring Report Social Work Resources Committee: Period Ended 11 August 2023 (No.5) Adults and Older People Services Annual Budget Forecast for Year Annual Forecast Variance Budget Proportion 11/08/23 Actual 11/08/23 Variance 11/08/23 % Variance 11/08/23 Note £000 £000 £000 £000 £000 £000 Budget Category Employee Costs 78,104 78,104 0 25,772 28,016 (2,244) Over -8.7% 1, a, Property Costs 3,266 3,266 0 837 829 8 Under 1.0% d Supplies & Services 4,763 4,763 0 1,696 1,683 13 Under 0.8% d Transport & Plant 3,700 3,700 0 481 482 (1) Over -0.2% Administration Costs 756 756 0 74 85 (11) Over -14.9% Payments to Other Bodies 14,242 14,242 0 5,429 4,932 497 Under 9.2% 2, c Payments to Contractors 130,450 130,450 0 44,048 42,424 1,624 Under 3.7% 3, b, c Transfer Payments 7 7 0 2 9 (7) Over -350.0% Financing Charges 55 55 0 7 7 0 - 0.0% Total Controllable Exp. 235,343 235,343 0 78,346 78,467 (121) Over -0.2% Total Controllable Inc. (65,285) (65,285) 0 (9,225) (9,346) 121 Over recovered -1.3% 4, a, b, d Net Controllable Exp. 170,058 170,058 0 69,121 69,121 0 0 0.0% Variance Explanations 1. Employee costs This overspend is mainly attributable to the home care job evaluation costs for the period 1 April to 4 August 2023, and is offset by Payments to Other Bodies and Payments to Contractors below. 2. Payments to Other Bodies The underspend is due to unallocated funding to date. 3. Payments to Contractors The underspend is due to higher than anticipated DWP offset funding in relation to residential and nursing care services and less than anticipated nursing care home placements to date. 4. Income The over recovery is due to non-recurring recovery of funding from service users in respect of Direct Payments not being fully utilised. Budget Virements a. Drawdown from Reserves Net Effect: £0, Employee Costs (£0.681m), Income £0.681m. b. Community Alert Alarn reversal of increase in price Net Effect: £0, Payment to Contractors (£0.550m), Income £0.550m. c. Realignment of Procurement savings Net Effect: £0, Payment to Other Bodies £0.259m, Payment to Contractors (£0.259m). d. Realignment of increase in Residential care income Net Effect: £0, Property £0.052m, Supplies and Services £0.077m, Income (£0.129m). 16
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Appendix D SOUTH LANARKSHIRE COUNCIL Revenue Budget Monitoring Report Social Work Resources Committee: Period Ended 11 August 2023 (No.5) Performance and Support Services Annual Budget Forecast for Year Annual Forecast Variance Budget Proportion 19/05/23 Actual 19/05/23 Variance 19/05/23 % Variance 19/05/23 Note £000 £000 £000 £000 £000 £000 Budget Category Employee Costs 5,051 5,051 0 1,759 1,656 103 Under 5.9% 1 Property Costs 568 568 0 169 171 (2) Over -1.2% Supplies & Services 454 454 0 13 16 (3) Over -23.1% Transport & Plant 251 251 0 8 5 3 Under 37.5% Administration Costs 324 324 0 53 47 6 Under 11.3% Payments to Other Bodies 26 26 0 2 16 (14) Over -700.0% Payments to Contractors 0 0 0 0 0 0 - n/a Transfer Payments 0 0 0 0 0 0 - n/a Financing Charges 319 319 0 8 8 0 - 0.0% Total Controllable Exp. 6,993 6,993 0 2,012 1,919 93 Under 4.6% Total Controllable Inc. (635) (635) 0 (44) (40) (4) Under recovered 9.1% Net Controllable Exp. 6,358 6,358 0 1,968 1,879 89 under 4.5% Variance Explanations 1. Employee costs This is an underspend due to vacancies which are being actively recruited, mainly within Admin and Clerical staff. 17
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Appendix E SOUTH LANARKSHIRE COUNCIL Revenue Budget Monitoring Report Social Work Resources Committee: Period Ended 11 August 2023 (No.5) Justice Services Annual Budget Forecast for Year Annual Forecast Variance Budget Proportion 11/08/23 Actual 11/08/23 Variance 11/08/23 % Variance 11/08/23 Note £000 £000 £000 £000 £000 £000 Budget Category Employee Costs 6,765 6,765 0 2,256 2,189 67 Under 3.0% 1, a Property Costs 78 78 0 42 41 1 Under 2.4% Supplies & Services 77 77 0 19 35 (16) Over -84.2% a Transport & Plant 108 108 0 57 60 (3) Over -5.3% Administration Costs 568 568 0 34 29 5 Under 14.7% a Payments to Other Bodies 522 522 0 240 243 (3) Over -1.3% a Payments to Contractors 39 39 0 39 39 0 - 0.0% a Transfer Payments 6 6 0 2 3 (1) Over -50.0% Financing Charges 9 9 0 0 1 (1) Over n/a Total Controllable Exp. 8,172 8,172 0 2,689 2,640 49 Under 1.8% Total Controllable Inc. (7,084) (7,084) 0 (1,609) (1,611) 2 Over recovered -0.1% a Net Controllable Exp. 1,088 1,088 0 1,080 1,029 51 under 4.7% Variance Explanations 1. Employee Costs This is an underspend due to vacancies which are being actively recruited. Budget Virements a. Reduction in Big Lottery funding Net Effect: £0, Employee Costs (£0.008m), Supplies and Services (£0.022m), Administration (£0.079m), Payment to Other Bodies £0.003m, Payment to Contractors (£0.031m), Income £0.137m. 18
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Report Agenda Item Report to: Social Work Resources Committee Date of Meeting: 27 September 2023 Report by: Executive Director (Finance and Corporate Resources) Director, Health and Social Care Subject: Social Work Resources - Capital Budget Monitoring 2023/2024 1. Purpose of Report 1.1. The purpose of the report is to: [purpose] provide information on the progress of the capital programme for Social Work Resources for the period 1 April 2023 to 11 August 2023 2. Recommendation(s) 2.1. The Committee is asked to approve the following recommendation(s): (1) that the Social Work Resources’ capital programme of £2.030 million, and expenditure to date of £0.810 million, be noted. 3. Background 3.1. This is the second capital monitoring report presented to the Social Work Resources Committee for the financial year 2023/2024. Further reports will follow throughout the year. 3.2. The budget of £2.030 million for Social Work Resources is based on the overall Capital Programme for 2023/2024, which was approved by the Executive Committee on 21 June 2023. There has been no change to this budget since the last report to this Committee (28 June 2023). 3.3. The report details the financial position for Social Work 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. 2023/2024 Capital Programme Update As detailed in Section 3.2, the 2023/2024 capital programme for Social Work Resources is £2.030 million. 5.2. Period 5 Position Anticipated spend to date was £0.811 million and spend to 11 August 2023 amounts to £0.810 million, a minor underspend of £0.001 million. 4 19
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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 that there is an overspend. The risk has been assessed as low given the detailed project management plans prepared and monitored for each project. The risk of overspend is managed through four weekly Investment Management Meetings. 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 was also no requirement to undertake any consultation in terms of the information contained in this report. Paul Manning Executive Director (Finance and Corporate Resources) Professor Soumen Sengupta Director, Health and Social Care 7 September 2023 Link(s) to Council Values/Priorities/Outcomes Accountable, effective, efficient and transparent Previous References Executive Committee, 21 June 2023 List of Background Papers ▪ Financial ledger to 11 August 2023 Contact for Further Information If you would like to inspect the background papers or want further information, please contact: Lorraine O’Hagan, Finance Manager (Strategy) Ext: 2601 (Tel: 01698 452601) E-mail: lorraine.o’hagan@southlanarkshire.gov.uk 20
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Appendix A South Lanarkshire Council Capital Expenditure 2023-2024 Social Work Resources Programme For Period 1 April 2023 – 11 August 2023 Social Work Resources Base Budget £000 Budget Adjustments £000 Slippage £000 Total Budget £000 Budget to Date £000 Actual Expenditure £000 Community Alarms - Analogue to Digital 1,232 - - 1,232 423 422 Swis Plus Replacement 798 - - 798 388 388 TOTAL 2,030 - - 2,030 811 810 21
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Report Agenda Item Report to: Social Work Resources Committee Date of Meeting: 27 September 2023 Report by: Executive Director (Finance and Corporate Resources) and Director, Health and Social Care Subject: Social Work Resources – Workforce Monitoring – May to July 2023 1. Purpose of Report 1.1. The purpose of the report is to: - [purpose] provide employment information for May to July 2023 relating to Social Work 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 May to July 2023 relating to Social Work 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 of 10 June 2023 [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 Social Work Resources provides information on the position for May to July 2023. 4. Monitoring Statistics 4.1. Attendance Statistics (Appendix 1) Information on absence statistics is analysed for the month of July 2023 for Social Work Resources. The Resource absence figure for July 2023 was 6.5%, this figure remains unchanged when compared to last month and is 2.7% higher than the Council-wide figure. Compared to July 2022, the Resource absence figure has decreased by 1.4%. Based on the absence figures at July 2023 and annual trends, the projected annual average absence for the Resource for 2023/2024 is 7.3%, compared to a Council- wide average figure of 5.5%. 5 23
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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. 4.2. Occupational Health (Appendix 2) In terms of referrals to occupational health, which include medical examinations and physiotherapy, overall, 310 referrals were made this period. This represents a decrease of 35 when compared with the same period last year. 4.3. Accident/Incident Statistics There were 29 accidents/incidents recorded within the Resource this period, a decrease of 8 when compared to the same period last year. 4.4. Discipline, Grievance and Dignity at Work (Appendix 2) During the period, 6 disciplinary hearings were held within the Resource, an increase of 1 when compared to the same period last 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 40 leavers in the Resource this period eligible for an exit interview. This figure has increased by 3 when compared with the same period last year. Fourteen exit interviews were conducted in this period, a decrease of 6 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 May to July 2023, 79 employees (60.87 FTE) in total left employment, managers indicated that 68 posts (52.00 FTE) were being replaced, 1 post (0.00 FTE) is being filled on a fixed term basis, 1 post (0.95) plan to transfer this budget to another post, 2 posts (2.00 FTE) were due to the end of a fixed term contract and 7 posts (5.92 FTE) are being held pending a savings or service review. 5. Staffing Watch 5.1. There has been an increase of 43 in the number of employees in post from 11 March 2023 to 10 June 2023. 24
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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 sustainability or 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) Professor Soumen Sengupta Director, Health and Social Care 24 August 2023 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 – 28 June 2023 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: - Eileen McPake, HR Business Manager Ext: (Tel: 01698 454647) E-mail: Eileen.McPake@southlanarkshire.gov.uk 25
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2021 / 2022 2022 / 2023 2023 / 2024 2021 / 2022 2022 / 2023 2023 / 2024 2021 / 2022 2022 / 2023 2023 / 2024 2021 / 2022 2022 / 2023 2023 / 2024 % % % % % % % % % % % % April 4.5 6.2 6.5 April 9.6 12.6 9.4 April 6.2 8.3 7.4 April 4.3 5.6 5.1 May 5.0 5.7 5.8 May 9.3 10.1 8.4 May 6.5 7.1 6.6 May 4.9 5.4 5.1 June 3.9 5.9 5.5 June 7.6 11.3 8.6 June 5.2 7.6 6.5 June 4.7 5.3 4.7 July 6.1 6.0 5.4 July 10.3 11.8 8.8 July 7.5 7.9 6.5 July 4.0 4.6 3.8 August 7.3 6.0 August 10.2 10.8 August 8.2 7.5 August 4.7 4.4 September 7.6 5.9 September 10.3 9.6 September 8.5 7.1 September 6.4 5.4 October 6.9 5.8 October 11.3 10.4 October 8.4 7.3 October 6.3 5.8 November 6.2 6.0 November 10.8 10.4 November 7.7 7.4 November 6.9 6.5 December 5.5 6.4 December 11.1 10.6 December 7.3 7.7 December 6.9 7.0 January 7.4 5.2 January 13.0 12.0 January 9.2 7.4 January 7.0 5.8 February 7.5 5.8 February 10.1 11.0 February 8.3 7.5 February 6.6 5.9 March 8.0 7.0 March 12.8 10.9 March 9.5 8.2 March 7.9 6.4 Annual Average 6.3 6.0 5.9 Annual Average 10.5 11.0 10.1 Annual Average 7.7 7.6 7.3 Annual Average 5.9 5.7 5.5 Average Apr-Jul 4.9 6.0 5.8 Average Apr-Jul 9.2 11.5 8.8 Average Apr-Jul 6.4 7.7 6.8 Average Apr-Jul 4.5 5.2 4.7 1873 1054 2927 16165No of Employees at 31 July 2023 No of Employees at 31 July 2023 No of Employees at 31 July 2023 No of Employees at 31 July 2023 Appendix 1 Absence Trends - 2021/2022, 2022/2023 & 2023/2024 Social Work Resources APT&C Council WideResource TotalManual Workers 26
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May - Jul May - Jul 2022 2023 MEDICAL EXAMINATIONS Number of Employees Attending EMPLOYEE COUNSELLING SERVICE Total Number of Referrals PHYSIOTHERAPY SERVICE Total Number of Referrals REFERRALS TO EMPLOYEE SUPPORT OFFICER 94 96 REFERRALS TO COGNITIVE BEHAVIOUR THERAPY 0 1 TOTAL 345 310 May - Jul May - Jul 2022 2023 Specified Injuries* 2 1 Over 7 day absences 3 3 Over 3 day absences** 0 1 Minor 17 16 Near Miss 2 1 Violent Incident: Physical**** 7 4 Violent Incident: Verbal***** 6 3 Total Accidents/Incidents 37 29 May - Jul May - Jul 2022 2023 Total Number of Hearings 5 6 Time Taken to Convene Hearing May - July 2023 0-3 Weeks 4-6 Weeks Over 6 Weeks 4 2 0 May - Jul May - Jul 2022 2023 Number of Grievances 0 0 May - Jul May - Jul 2022 2023 Number of Incidents 0 0 May - Jul May - Jul 2022 2023 Career Advancement 6 6 Child Caring / Caring Responsibilities 0 1 Disatisfaction with terms and conditions 2 0 Further Education 4 1 Personal Reasons 1 1 Poor relationship with managers / colleagues 0 1 Travelling difficulties 2 3 Other 5 1 Number of Exit Interviews conducted 20 14 Total Number of Leavers Eligible for Exit Interview 37 40 Percentage of interviews conducted 54% 35% Appendix 2 97 85 32 27 SOCIAL WORK RESOURCES 122 101 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. 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 27
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FTE H/C FTE H/C Terminations/Leavers 60.87 79 84.49 110 Being replaced 52.00 68 74.52 96 Filling on a temporary basis 0.00 1 0.81 3 Plan to transfer this budget to another post 0.95 1 0.95 1 End of fixed term contract 2.00 2 2.29 3 Held pending service Review 5.92 7 5.92 7 Plan to remove for savings 0.00 0 0.00 0 May - July 2023 Appendix 2a Reason Cumulative total 28
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As at 10 June 2023 Total Number of Employees F/T P/T F/T P/T 206 198 979 1326 Chief Officer Grade 1 Grade 2 Grade 3 Grade 4 Grade 5 Grade 6 Fixed SCP Teacher TOTAL 3.00 361.42 1417.31 523.46 33.80 31.76 0.00 0.00 0.00 2370.75 As at 11 March 2023 Total Number of Employees F/T P/T F/T P/T 204 186 948 1328 Director Grade 1 Grade 2 Grade 3 Grade 4 Grade 5 Grade 6 Fixed SCP Teacher TOTAL 1.00 1105.28 633.47 523.69 36.80 29.76 2.00 0.00 0.00 2332 Appendix 3 JOINT STAFFING WATCH RETURN SOCIAL WORK RESOURCES *Full - Time Equivalent No of Employees Salary Bands 2709 MALE FEMALE TOTAL Salary Bands MALE FEMALE TOTAL 2666 *Full - Time Equivalent No of Employees 29
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Report Agenda Item Report to: Social Work Resources Committee Date of Meeting: 27 September 2023 Report by: Director, Health and Social Care Subject: Update on the 2022/23 Risk Register and Risk Control Plan 1. Purpose of Report 1.1. The purpose of the report is to:-[purpose] Provide an update on risk management arrangements and the Risk Register for Social Work Resources [1purpose] 2. Recommendation(s) 2.1. The Social Work Resources Committee is asked to approve the following recommendation(s):- [ (1) that the contents of the report be noted; (2) that the set of top risks for Social Work Resources be approved; and (3) that an additional two Social Work risks be approved. 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. Social Work Resources follow the guidance in developing, monitoring and updating the Risk Register on an ongoing basis. 3.2. The purpose of the Risk Register is to ensure that Social Work Resources 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 these risks in accordance with the Council’s corporately agreed scoring mechanism, based on likelihood and impact. This results in risks being scored between one and twenty-five (low – very high). Risks are scored on their inherent score (risk if we do nothing) and their residual risk (risk after applying controls). Further detail on the Council’s scoring matrix and approach to risk appetite is outlined in appendix one. 3.4. Each Resource has a Resource Risk Management Group which has responsibility for the promotion and management of risk. The Social Work Resources Risk Management Group continues to meet on a regular basis to provide operational oversight of all risks impacting on the delivery of social care services. 3.5. This particular report provides an update to Social Work Resources Committee on a number of interrelated pieces of work that have been undertaken with regards to risk in the context and how these impact on the delivery of social care services. Notably, this report will cover the following areas: 6 31
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• A reviewed list of top risks impacting on social care as per agreement at Social Work Resources Committee on 28 June 2023 • A review of the Council’s top risks for 2023/24 4. Review of the Top Risks Impacting on Social Care Services 4.1. At its meeting of 28 June 2023, Social Work Resources Committee agreed the top five risks impacting on the delivery of social care services. It is evident that these risks continue to have a significant impact and therefore remain valid as the agreed top risks. Table 1 – Social Work Resources Top Risks Top Risk Risk Level 1. Funding and Budgetary Pressures Very high 2. Workforce availability and capacity Very high 3. Public Protection and Legislative Duties Very high 4. Market and Provider Capacity Very high 5. Winter demands and pressures Very high 4.2. It is further proposed that two new risks are added to the register. These include: o Failure to comply with or meet the expected standards, scrutiny levels, or improvement as identified by regulatory bodies The Care Inspectorate is the independent scrutiny body that supports improvement in social care and social work. It registers care services in Scotland and inspects them to ensure that the quality of care meets the health and social care standards. It also has the authority to issue improvement notices and can seek authorisation through the courts to close a registered service that has failed to comply with or meet expected standards, scrutiny levels, or self-evaluated criteria. The consequence of service closures or variations to service is an intensive response by the council and its partners, ensuring the immediate safety and wellbeing of people in receipt of support. Meanwhile, other high risks for social work are compounded such as failure to meet statutory and legislative duties in respect of public protection; the ability to fully deliver the strategic outcomes required of the Integration Joint Board; an impact on market and provider capacity; and additional pressure on funding and budgetary gaps. o Implications of the Scottish Fire and Rescue Service Unwanted Fire Alarm Signals Policy within the council's non-domestic estate The Scottish Fire and Rescue Service (SFRS) will no longer respond to automatic fire alarm call outs to commercial business and non-residential workplaces from a single smoke detector unless the presence of a fire has been confirmed through investigation by workplace employees on site. The changes implemented on 1 July 2023 are in response to the high number of unnecessary callouts to single smoke alarms. All other automatic alarms will continue to be responded to as normal by SFRS. 4.3. A number of factors continue to impact directly on the top risks relating to funding and budgetary pressures and market/provider capacity. Although these do not alter the risk scoring of the others at this stage, they do emphasise further challenges which require to be accounted for in a risk context. 32
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Of note and for information, these additional challenges are related to: • unanticipated costs related to the outcome of the South Lanarkshire Council care at home job evaluation process • ongoing budgetary pressures within the children’s element of the Children and Justice budget • financial pressures affecting the stability of the external provider market 4.4. Appendix 2 provides further detail on each of the top risks, alongside the inherent and residual risk scores and sample controls. 4.5. Whilst these top risks are the primary focus of the Resource in terms of oversight, monitoring and management, there remain 13 other risks rated as high but deemed to be of lesser impact at this point in time. The Resource continues to monitor these risks and contribute to by way of mitigation, some of which are wider organisational risks that require all departments of the council to respond to by working together corporately. The list below provides some additional detail in this regard: 1. Deliver Strategic Commissioning Plan Outcomes required by IJB 2. Achieve standards and scrutiny levels identified by regulatory bodies (New) 3. Cost of living crisis 4. Implications of the SFRS Unwanted Fire Alarm Signals Policy (New) 5. Business continuity, response and recovery 6. IT developments and functionality 7. Fraud, theft organised crime and cyber attacks 8. National Care Service 9. Sustainable development and climate change objectives 10. Historic Child Abuse 11. Refugee resettlement and asylum seeker dispersal programme 12. Disruption to council services due to industrial action 4.6. From a risk appetite and tolerance perspective, the Council aims to be risk embracing, in that it will accept a tolerable level of risk in seeking service efficiencies and in agreeing control measures. 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. 4.7. The Council’s universal risk tolerance levels are outlined within the Council’s Risk Management Strategy 2020, and this is expected to be reviewed over the next year. The current ideal risk profile is defined as: No more than 10 per cent of residual risks at a very high level No more than 15 per cent of risks at a high level Around 50 to 60 per cent of residual risks at a medium level No more than 30 per cent of residual risks at a low level 4.8. The Social Work Resources risk profile is detailed in Table 2, in respect of the 18 risks referred to in sections 4.1 and 4.3. The profile currently exceeds the ideal universal risk exposure levels defined by the Risk Management Strategy detailed above; however, it is reflective of the environment which the service currently operates within and mirrors the highest level risks currently facing the Council. 33
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Table 2 - Top risks risk profile Risk category Risk rating Number of risks Percentage of risks 1 Very high 10 56% 2 High 8 44% 3 Medium 0 - 4 Low 0 - 4.9. Risk will remain a standing item on Social Work Resources Committee and the Risk Register and reporting of risk will be a dynamic process, with Committee receiving updates on any changes to levels of risk or new risks which may evolve over time. 5. Reviewing the Council’s Top Risks for 2023/24 5.1. An annual review of the Council’s top risks began in April 2023 with views sought from Heads of Service, Senior Managers, Elected Members and Trade Unions. 5.2. The review will support the systematic identification and assessment of top risks and cross cutting themes across the council which will be monitored through individual resource risk registers. 5.3. Details of the finalised top risks in ranking order will be presented to the Risk and Audit Scrutiny Committee on 31 October 2023, with presentation following at Social Work Resources Committee on 6 December 2023. 6. Three lines model 6.1. The Council has introduced the ‘three lines of defence model,’ developed by the Institute of Internal Auditors, to provide greater assurance of the adequacy of control measures in place for strategic risks. 6.2. The intention of the model is to ensure that top risks are mitigated through ‘three lines of defence’, which are: Line 1 Control by operational management Line 2 Control and compliance by functions that have an oversight role (for example Risk Management) Line 3 Independent assurance 6.3. The development of this model has been underway across each resource throughout 2022/23 and will continue during 2023/24. 7. Major projects, partnerships, or change 7.1. Within Social Work Resources, 13 partnerships have been identified. Highlighted risks for partners include the current unprecedented financial challenges and workforce pressures faced by health and social care. 7.2. The South Lanarkshire Integration Joint Board (IJB) has an approved risk management strategy and a risk register in place which details the organisation’s approach to risk and how it will identify and manage risks to mitigate against subsequent impact. 34
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The IJB has identified 8 risks including: • 4 very high/high risks – demand pressures; workforce availability; financial sustainability; external provider resilience • 4 medium/lower risks – public protection; public sector duties; transformation; National Care Service 7.3. IJB members are currently engaged in discussions with partners regarding transformational change across health and social care to address budgetary pressures and recurrent funding gaps whilst continuing to protect staff and support those most vulnerable within our communities. 8. National Risk Register 8.1. The latest version of the National Risk Register was published on 3 August 2023, identifying the most serious risks facing the United Kingdom and assisting responders, businesses and members of the public to plan, prepare and respond to risk. It focuses on 9 risk themes, these are: • Terrorism • Cyber • State threats • Geographic and diplomatic • Accidents and systems failures • Natural and environmental hazards • Human, animal and plant health • Societal • Conflict and instability 8.2. In terms of social care, the document highlights the risks faced by local authorities in relation to cyber-attacks, severe weather, and complex major provider failure, which has the potential to impact on market capacity across multiple local authority areas and directly affect individuals with care and support needs. The full document can be accessed at: National Risk Register - 2023 9. Next steps 9.1. 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 regularly to Committee. 9.2. Moreover, future reports and proposals brought before Social Work Resources Committee will show the correlation and read across with the top risks to assure Committee that such proposals are geared towards providing further levels of mitigation. 9.3. A further report on the outcome of the review of the Council’s top risks will be provided at the next meeting. 10. Employee Implications 10.1. Time will be required for the Resource Risk Management Group to manage the Resource Risk Register and Risk Control Plan. 35
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11. Financial Implications 11.1. 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. 12. Climate Change, Sustainability and Environmental Implications 12.1. Sustainable development issues are included within the Council’s top risk register through being linked directly to the Council Plan objective ‘make communities safer, stronger and sustainable’ 13. Other Implications 13.1. 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 the reputation of the resource. 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 existing policy, function or strategy and therefore, no impact assessment is required. 14.2. Consultation on the content of this report has been undertaken with the Resource Management Team. Professor Soumen Sengupta Director, Health and Social Care 22 August 2023 Link(s) to Council Values/Priorities/Outcomes Accountable, effective, efficient and transparent Previous References • Social Work Resources Committee – 28 June 2023 List of Background Papers • None Contact for Further Information If you would like to inspect the background papers or want further information, please contact:- Ciana Stewart, Planning and Performance Manager Ciana.stewart@southlanarkshire.gov.uk 36
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Appendix One – Risk scoring matrix, 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. 37
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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 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. 38
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Appendix Two Social Work Resources Risk Register (August 2023) Extract of risks with residual score category of Very High Sample of Controls Risk Category Key Risk Inherent risk score 1st line of defence: Operational management 2nd line of defence: Corporate functions (not internal audit) that oversee or who specialise in compliance or the management of risk (CMT) 3rd line of defence independent assurance (internal/external audit and any other scrutiny or regulatory body) Residual Risk Score 1 1 Very High (15-25) Funding and Budgetary Pressures Description • Risk that services have to re-prioritised as a result of reductions in budgets • Reduction in early intervention and prevention activity as a result of having to respond to statutory duties such a public protection 25 Budget holder responsibility and monitoring. Care Packages linked to finance module Voluntary Sector commissioned services can lever additional funding to the area Revenue and Capital budget monitoring reports to SW Committee Four weekly monitoring and reporting of financial performance to CMT COSLA role in support of LA’s and links to Scottish Government Audit Scotland reports and briefings 20 39
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2 1 Very High (15-25) Workforce Availability and Capacity Description • Lack of capacity and skills to meet increased service demands. • National shortage of skilled workforce across all sectors • Recruitment, selection, and retention of Social Care Staff challenging • Growing demographic and post pandemic service demands • Workforce profile shows an ageing workforce within social care • Competition with other industry sectors and Local Authorities 25 Prioritising of workloads and escalation processes within the management team Social Care and Social Work Critical Functions Framework Care at Home social media recruitment campaign (Everyday heroes) Workforce Monitoring reports to SWC Personnel targeted recruitment campaigns Increase use of social media to recruit Care Academy Workforce Strategy for Health and Social Care Scotland SSSC (Scottish Social Services Council) registration requirements 20 40
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3 1 Very High (15-25) Meeting Public Protection and Legislative Duties Description • Ability to meet increased demands and risks with regards Public Protection (Child Protection, Adult Support and Protection, MAPPA and Gender Based Violence) • Meeting all legislative duties pertaining to assessment, support planning and reviews 25 System of prioritisation agreed and operational across areas such as child protection Readily available operational and strategic management information regarding compliance with timescales/targets for Public Protection ASP decision making support tool for staff. Wellbeing portal for all staff to access. Risk Assessment for Service Users PPE support to all who require A risk assessment is part of care management function. Mandatory training and LOL courses for all staff, specific legislation LOL’s available. Workforce updates to all SW Committee Meetings. Serious Incident recording and action Previous inspections reports by CI: SDS, Children’s Services and ASP inspection. All registered care services have oversight by Care Inspectorate Other inspection: Mental Welfare Commission reviews 20 41
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4 1 Very High (15-25) Market and Provider Capacity Description • Capacity within the market of social care providers to meet rising demand and complexity • Supply chain challenges within the social care market, for example workforce availability impacting on available capacity • Social care providers ability to maintain compliance with national standards and quality of service delivery • Annual contractual discussions with regards to agreeing rates for social care providers 25 Quality Assurance & Commissioning Team in place Fieldwork teams aligned to local providers as point of contact Procurement Network Oversight meetings in place Mapping tool developed in support of care at home service Oversight of all social care registered providers operating within South Lanarkshire Corporate procurement support to ensure social care providers comply with agreed frameworks and contracts Care Inspectorate regulation of all care services Scottish Care support of independent, private, voluntary care providers. Social Work Scotland Care Market intelligence shared. 20 42
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5 1 Very High (15-25) Winter Demand Pressures Description • Increased service demand beyond normal levels as a result of the impact of seasonal Flu, other respiratory conditions and increased unwellness in the population • Impact on workforce availability due to potential increases in sickness/absence • Impact of adverse weather on service delivery 25 Planning for Winter 2023/2024 commenced in July 2023 All social care staff offered flu and COVID 19 vaccines. Covid and Flu Vaccine Programme for public Care at home mapping of all cases geographically to assist with scheduling and prioritisation Maximising Planned Date of Discharge, Discharge Without Delay and Home First The Council has a multi-agency approach across Lanarkshire with key partners in terms of responding winter demand. Key partners include North Lanarkshire Council, NHS Lanarkshire and the two IJBs for North and South. The annual Winter Plan for Lanarkshire outlines key actions in responding to increases in demand. NHS Scotland, Public Health Scotland, Healthier Scotland driving forward Winter 2023 Vaccines programme. Overall Resilience Planning across Lanarkshire and nationally 20 43
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Report Agenda Item Report to: Social Work Resources Committee Date of Meeting: 27 September 2023 Report by: Director, Health and Social Care Executive Director (Finance and Corporate Resources) Subject: Strengthening Arrangements for Self-Directed Support 1. Purpose of Report 1.1. The purpose of the report is to:- [purpose] to seek approval to delete the existing post of Operations Manager and convert to a full time Fieldwork Manager. [1purpose] 2. Recommendation(s) 2.1. The Committee is asked to approve the following recommendation(s):- [recs] (1) that the content of the report be noted; and (2) that Committee approves the change to establishment outlined at 5.1. 3. Background 3.1. Self-Directed Support (SDS) aims to improve the lives of people with social care needs by empowering them to be equal partners in decisions about their care and support. Four fundamental principles of SDS are built into the Social Care (Self- directed Support) (Scotland) Act 2013: participation and dignity, involvement, informed choice and collaboration. This means social care should be provided in a way that gives people choice and control over their own lives and which respects and promotes their human rights. 3.2. The Act and its recently updated Guidance (November 2022) tells local authorities what they must do to give access to SDS in a way that supports people's rights to choice, dignity and being able to take part in the life of their communities, namely: 3.2.1. Treat supported people with dignity and respect at all times, including when they first assess someone for support. 3.2.2. Offer the four SDS options and explain what each of them mean in a balanced and impartial way, and how they would work for the supported person's unique circumstances. 3.2.3. Make sure that supported people have a say in planning what their support looks like and that they have as much involvement as they want in decisions about their support. 3.2.4. Make sure that supported people have enough information to understand what is available and to make the choices which are right for them. This should include information about where to find independent support to help them choose. 7 45
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3.2.5. Make sure that supported people have opportunities to challenge and ask questions about any aspect of their support and are given enough time to understand and participate in decisions about their support, particularly when it is being stopped or changed. 3.3. There are four main options or ways of directing support. When making these choices, a supported person can choose to have lots of direct control over their care and support, or choose to leave most of the decisions and work to the local authority, or choose a mix of these: 3.3.1. Option 1 – the supported person receives a direct payment. The local authority will decide how much money they will give to the supported person towards their support. The supported person receives this money and uses it to arrange their own support, which can include employing staff and/or buying goods and services. The supported person has full choice and control and also has the most responsibility for arranging support, which may include employer responsibilities. 3.3.2. Option 2 – the supported person decides on the support they want, and support is arranged on their behalf. The local authority will decide how much money they will give to the supported person towards their support. The supported person can use the money to choose goods and services, for example from a registered support provider, and then the support is arranged on their behalf. This can be arranged by the local authority or a third party (such as a support provider) managing the money on behalf of the supported person. This way, the supported person has full choice and control over how their support is arranged but does not have to manage the money. 3.3.3. Option 3 – after discussion with the supported person, the local authority decides and arranges support. The local authority will decide how much money can be spent. The supported person asks the local authority to choose and arrange the support that it thinks is right for them. With this choice the supported person is not responsible for arranging support and has less direct choice and control over how support is arranged. 3.3.4. Option 4 – the supported person uses a mixture of ways to arrange their care and support. Some people will want to have direct control of how some parts of their support is arranged but not other parts. Option 4 lets the supported person pick the parts they want to have direct control over and what parts they want to leave to the local authority. 3.5. The diagram overleaf illustrates the key stages in a person's pathway to accessing SDS. The assessment of eligible needs and the identification of resources are all part of the same process, which starts with the good conversation and ends in a budgeted support plan and the offer of the four SDS options. 46
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3.6. SDS is one of the areas captured within the national Local Government Benchmarking Framework (LGBF) published by the Improvement Service, specifically: Self-Directed Support (Direct payments and managed personalised budgets) spend on adults 18+ as a percentage of total social work spend on adults 18+ 3.7. Since 2010-11, the proportion of total social work spend in South Lanarkshire allocated via option 1 and option 2 has grown steadily from 1.77% to 3.98%. It was recognised that many of our care at home recipients did not go through the same SDS process and did not exercise choice. 3.8. As reported in the 2022 LGBF results, South Lanarkshire Council was “ranked” 24 in Scotland in respect of the indicator above; and that the benchmark set within the LGBF is for 8.16% total social work spend to be allocated to options 1 and 2. 3.9. Several key developments have been introduced to strengthen our approach to SDS in South Lanarkshire, including introduction of the revised Living the Life You Choose assessment; and commencing a review of SDS public information provision. 3.10. Previous reports to Committee established a review team concentrating on SDS activity and also supporting locality teams to target the substantial level of reviews that were necessary to comply with the Council’s statutory duties. 3.11. Committee has also previously approved changes to the establishment of the Community Addiction and Recovery Service (CAReS) which resulted in a post of Operations Manager being transferred to the SDS Team. 3.12. The current team structure includes a 0.5 wte Fieldwork Manager post and a full time Operations Manager. A revision to the structure would provide for greater consistency and equity in roles and responsibilities. 47
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4. Proposals 4.1. The proposal is to delete the post of Operations Manager and convert to a full-time Fieldwork Manager. 4.2. This proposal will ensure that the structure is consistent with other fieldwork services in localities and provide a net saving overall. 5. Employee Implications 5.1. The proposed changes will result in a net reduction of 0.5 wte with a recurring saving overall. Post Current Proposed Grade SCP Range Hourly Rate Annual Salary Gross Cost inc on costs 31.55% Total Costs Fieldwork Manager 0.5 1 G5 L1 96-97 £31.25 - £31.73 £57,028 - £57,904 £74,308 - £75,449 £39,277 - £39,880 Operations Manager 1 0 G4 L2 82-83 £25.37 - £25.77 £46,298 - £47,028 £60,326 - £61,277 (£60,326 - £61,277) Total 1.5 1 (£21,049 - £21,397 6. Financial Implications 6.1. The cost of the staffing proposals can be met within existing allocations and will deliver a net saving overall. 7. Climate Change, Sustainability and Environmental Implications 7.1. There are no implications for Climate Change, sustainability or the environment in terms of the information contained in this report. 8. Other Implications 8.1. The proposals contained in this report will contribute to the mitigation of a number of risks within the Social Work Resources Risk Register, notably: lack of capacity and skills to provide and meet increased service demands (very high) the Council fails to meet statutory and legislative duties in respect of Self direct Support (SDS) the Council does not fully deliver the strategic outcomes of the IJB as outlined in their Strategic Commissioning Plan (very high) 8.2. Risk mitigation of the above would be supported here by the further provision of career progression opportunities and a more appropriate infrastructure to support frontline staff. 48
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8.3. There are no other issues associated with this report. 9. Equality Impact Assessment and Consultation Arrangements 9.1. This report does not introduce a new policy, function or strategy or recommend a change to an existing policy, function or strategy and, therefore, no impact assessment is required. Professor Soumen Sengupta Director, Health and Social Care Paul Manning Executive Director (Finance and Corporate Resources) 27 August 2023 Link(s) to Council Values/Priorities/Outcomes Focused on people and their needs Ambitious, self-aware and improving We will work to put people first and reduce inequality We will work to recover, progress and improve Caring, connected, sustainable communities People live the healthiest lives possible Previous References none List of Background Papers none Contact for Further Information If you would like to inspect the background papers or want further information, please contact:- Ian Beattie, Head of Health and Social Care Ext: 3701 (Phone: 01698 453701) Email: Ian.Beattie@southlanarkshire.gov.uk 49
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