DOCUMENT PACK (Corporate Services Committee 02 11 22) BOOKMARKED
West Dunbartonshire Council · 2 November 2022
Back to Corporate Services Committee — 2 November 2022 and its agenda
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Agenda Corporate Services Committee Date: Wednesday, 2 November 2022 Time: 14:00 Format: Hybrid Meeting Contact: Ashley MacIntyre, Committee Officer ashley.macintyre@west-dunbarton.gov.uk Dear Member Please attend a meeting of the Corporate Services Committee as detailed above. Members will have the option to attend the meeting remotely or in person at the Civic Space, 16 Church Street, Dumbarton. The business is shown on the attached agenda. Yours faithfully PETER HESSETT Chief Executive Page 1
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Distribution:- Councillor Daniel Lennie (Chair) Councillor Karen Conaghan Councillor Ian Dickson Councillor Diane Docherty Councillor David McBride Councillor James McElhill Councillor Michelle McGinty (Vice-Chair) Councillor June McKay Councillor Lawrence O’Neill Councillor Martin Rooney Councillor Gordon Scanlan Councillor Clare Steel Chief Executive Chief Officers Date of issue: 20 October 2022 Audio Streaming Audio recordings of the meeting (including the attendance or contribution of any party participating or making a contribution) will be published on the Council’s website and the Council’s host’s webcast/audio stream platform. You should be aware that the Council is a Data Controller under the General Data Protection Regulation. Data collected during this audio stream will be retained in accordance with the Council’s Privacy Notice and Retention Schedules including, but not limited to, for the purpose of keeping historical records and making those records available via the Council’s internet site. Page 2
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CORPORATE SERVICES COMMITTEE WEDNESDAY, 2 NOVEMBER 2022 AGENDA 1 STATEMENT BY CHAIR 2 APOLOGIES 3 DECLARATIONS OF INTEREST Members are invited to declare if they have an interest in any of the items of business on this agenda and the reasons for such declarations. 4 RECORDING OF VOTES The Committee is asked to agree that all votes taken during the meeting be done by roll call vote to ensure an accurate record. 5 MINUTES OF PREVIOUS MEETING 7 - 12 Submit for approval as a correct record, the Minutes of Meeting of the Corporate Services Committee held on 17 August 2022. 6 MINUTES OF JOINT CONSULTATIVE FORUM 13 - 18 Submit for information and where necessary ratification, the Minutes of Meeting of the Joint Consultative Forum held on 8 September 2022. 7 OPEN FORUM The Committee is asked to note that no open forum questions have been submitted by members of the public. 8 CITIZEN, CULTURE AND FACILITIES DELIVERY PLAN 19 - 41 2022/23 Submit report by the Chief Officer – Citizen, Culture and Facilities providing the Citizen, Culture and Facilities Delivery Plan 2022/23. Page 3
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9 PEOPLE AND TECHNOLOGY DELIVERY PLAN 2022/23 43 - 59 Submit report by the Chief Officer – People and Technology providing the People and Technology Delivery Plan 2022/23. 10 REGULATORY AND REGENERATION DELIVERY PLAN 61 - 89 2022/23 Submit report by the Chief Officer – Regulatory and Regeneration providing the Regulatory and Regeneration Delivery Plan 2022/23. 11 RESOURCES DELIVERY PLAN 2022/23 91 - 109 Submit report by the Chief Officer – Resources providing the Resources Delivery Plan 2022/23. 12 SUPPLY, DISTRIBUTION AND PROPERTY DELIVERY 111 - 125 PLAN 2022/23 Submit report by the Chief Officer – Supply, Distribution and Property providing the Corporate Procurement Unit priorities within the Supply Distribution and Property (SD&P) Delivery Plan 2022/23. 13 ANNUAL PROCUREMENT REPORT 127 - 179 Submit report by the Chief Officer – Supply, Distribution and Property providing for information the Annual Procurement Report for 2021/22. 14 CORPORATE SERVICES BUDGETARY CONTROL REPORT 181 - 208 TO 31 AUGUST 2022 (PERIOD 5) Submit report by the Chief Officer – Resources advising on the performance of the Corporate Services budget for the period to 31 August 2022. 15 VARIOUS GRANT APPLICATIONS TO DUMBARTON 209 – 214 COMMON GOOD Submit report by the Chief Officer – Resources providing details of three grant applications to Dumbarton Common Good for consideration. 16/ Page 4
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16 COUNCIL WORKFORCE PLAN 2017-2022: UPDATE 215 - 261 AND ANNUAL ACTION PLAN 2021/22 Submit report by the Chief Officer – People and Technology providing an update on the Council’s workforce planning activity for 2021/22. 17 BI-ANNUAL WORKFORCE MONITORING REPORT 263 - 270 Submit report by the Chief Officer – People and Technology providing workforce monitoring information relating to the period 1 April 2022 to 30 September 2022. 18 STRATEGIC RISKS 2022-2027 271 - 295 Submit report by the Chief Officer – People and Technology setting out proposed changes to the strategic risks for 2022-2027 following the Strategic Plan developments. 19 THE PUBLIC INTEREST DISCLOSURE POLICY 297 - 315 AMENDMENTS AND ADDITIONS Submit report by the Chief Officer – People and Technology providing an update on amendments made to The Public Interest Disclosure Policy resulting from recommendations made following an investigation by Internal Audit. Page 5
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CORPORATE SERVICES COMMITTEE At a Hybrid Meeting of the Corporate Services Committee held in the Civic Space, 16 Church Street, Dumbarton on Wednesday, 17 August 2022 at 2.02 p.m. Present: Councillors Karen Conaghan, Ian Dickson, Diane Docherty, Craig Edward*, Daniel Lennie, David McBride, June McKay, Martin Rooney, Gordon Scanlan and Hazel Sorrell. * arrived later in the meeting. Attending: Peter Hessett, Chief Executive; Angela Wilson, Chief Officer – Supply, Distribution and Property; Laurence Slavin, Chief Officer – Resources; Amanda Graham, Chief Officer – Citizen, Culture and Facilities; Alan Douglas, Manager of Legal Services; Pamela Clifford, Manager of Planning, Building Standards and Environmental Health; Arun Menon, Business Support Manager; Alison McBride, Strategic People and Change Lead; Annabel Travers, Procurement Manager; Adrian Gray, Finance Business Partner; Karen Shannon, Section Head – Financial, Administration and Control; Lisa MacGregor, HR Advisor; and Ashley MacIntyre and Gabriella Gonda, Committee Officers. Apologies: Apologies for absence were intimated on behalf of Councillors Michelle McGinty and James McElhill. Councillor Daniel Lennie in the Chair STATEMENT BY CHAIR – AUDIO STREAMING Councillor Lennie, Chair, advised that the meeting was being audio streamed and broadcast live to the internet and would be available for playback. DECLARATIONS OF INTEREST Councillors Diane Docherty, Daniel Lennie, June McKay and Gordon Scanlan declared an interest in Item 18 as Directors of Clydebank Municipal Bank and intimated that they would leave the meeting during consideration of the item. ITEM 5 Page 7
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RECORDING OF VOTES The Committee agreed that all votes taken during the meeting would be done by roll call vote to ensure an accurate record. MINUTES OF JOINT CONSULTATIVE FORUM The Minutes of Meeting of the Joint Consultative Forum held on 16 June 2022 were submitted and all decisions contained therein were approved. OPEN FORUM The Committee noted that no open forum questions had been submitted by members of the public. INTERIM CHANGE TO PAY FREQUENCY A report was submitted by the Chief Officer – People and Technology seeking agreement of the proposed interim change to the 2-weekly payrun. After discussion and having heard the Business Support Manager in further explanation of the report and in answer to Members’ questions, the Committee agreed to approve the interim change to the 2-weekly payrun which will transition employees to the 4-weekly payrun from 1 October 2022. This will initially be for a 12 month period with a review thereafter. RESPECT AT WORK POLICY AND PROCEDURE A report was submitted by the Chief Officer – People and Technology informing on the new Respect at Work Policy and Procedure, seeking approval for implementation and noting the planned approach for a Resolution Framework. After discussion and having heard the HR Advisor in further explanation of the report and in answer to Members’ questions, the Committee agreed to approve the Respect at Work Policy and Procedure (Appendix 1 to the report). Note: Councillor Craig Edward joined the meeting during consideration of this item. DECLARATION OF INTEREST Councillor Craig Edward declared an interest in Item 18 as a Director of Clydebank Municipal Bank and intimated that he would leave the meeting during consideration of the item. Page 8
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WDC ‘PEOPLE FIRST’ STRATEGY A report was submitted by the Chief Officer – People and Technology providing an update on the proposed ‘people’ route to support delivery of the Council’s ambitious strategic plan. After discussion and having heard the Strategic People and Change Lead in further explanation of the report and in answer to Members’ questions, the Committee agreed to note the new ‘People First’ Strategy which puts people at the centre of Council transformation. PEOPLE AND TECHNOLOGY DELIVERY PLAN 2021/22 YEAR END PROGRESS A report was submitted by the Chief Officer – People and Technology presenting the year-end progress report for the 2021/22 Delivery Plan. After discussion and having heard the Strategic People and Change Lead and the Business Support Manager in further explanation of the report and in answer to Members’ questions, the Committee agreed to note progress made on the delivery of the 2021/22 plan. REGULATORY AND REGENERATION DELIVERY PLAN YEAR END PROGRESS AND NEW DELIVERY PLAN A report was submitted by the Strategic Managers – Regulatory and Regeneration providing the year-end progress of the 2021/22 Delivery Plan. After discussion and having heard the Chief Executive, the Manager of Legal Services and the Manager of Planning, Building Standards and Environmental Health in further explanation of the report and in answer to Members’ questions, the Committee agreed to note progress made on the delivery of the 2021/22 plan. PROCUREMENT DELIVERY PLAN 2021/22 YEAR END PROGRESS A report was submitted by the Chief Officer – Supply, Distribution and Property providing the year-end progress of the 2021/22 Delivery Plan. After discussion and having heard the Chief Officer – Supply, Distribution and Property and the Procurement Manager in further explanation of the report and in answer to Members’ questions, the Committee agreed to note progress made on the delivery of the 2021/22 plan. Page 9
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CITIZEN, CULTURE AND FACILITIES DELIVERY PLAN 2021/22 YEAR END PROGRESS A report was submitted by the Chief Officer – Citizen, Culture and Facilities providing the year-end progress of the 2021/22 Delivery Plan. After discussion and having heard the Chief Officer – Citizen, Culture and Facilities in further explanation of the report and in answer to Members’ questions, the Committee agreed to note progress made on the delivery of the 2021/22 plan. RESOURCES DELIVERY PLAN 2021/22 YEAR END PROGRESS A report was submitted by the Chief Officer – Resources providing the year-end progress of the 2021/22 Delivery Plan. After discussion and having heard the Chief Officer – Resources and the Business Support Manager in further explanation of the report and in answer to Members’ questions, the Committee agreed to note progress made on the delivery of the 2021/22 plan. CORPORATE SERVICES BUDGETARY CONTROL REPORT TO 30 JUNE 2022 (PERIOD 3) A report was submitted by the Chief Officer – Resources advising on the performance of the Corporate Services budget for the period to 30 June 2022. After discussion and having heard the Finance Business Partner in further explanation of the report, the Committee agreed:- (1) to note that the revenue account currently showed a projected annual favourable variance of -£0.314m (-0.93% of the total budget); and (2) to note that the capital account was showing a projected in-year underspend of -£0.655m (-10.1% of in-year budget) due to 2 projects showing projected underspends as a result of delays to these projects with explanations for delays detailed in Appendix 6 to the report. The project life projection was currently showing a projected underspend of £-0.096m (-1.0% of project life budget). UPDATE OF VOLUNTARY GRANTS 2021/22 A report was submitted by the Chief Officer – Resources providing an update of the voluntary grants administered and awarded by West Dunbartonshire Community and Volunteering Services (WDCVS) in 2021/22 in respect of Community Chest, Playschemes, Cultural and Social Transport Support Funding Grants on behalf of the Council and providing information on the position regarding the Provost’s Fund and the Dumbarton Common Good Fund. Page 10
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After discussion and having heard the Chief Officer – Resources in further explanation of the report and in answer to Members’ questions, the Committee agreed:- (1) to note the position of the grants paid out by WDCVS, the Provost’s Fund and the Dumbarton Common Good Fund; and (2) to approve a top-up payment of £2,710.96 to be made to the Provost’s Fund as detailed in paragraph 4.10 of the report. EXCLUSION OF PRESS AND PUBLIC The Committee agreed to approve the following resolution:- “That under Section 50A (4) of the Local Government (Scotland) Act 1973 the press and public be excluded from the meeting for the following items of business on the grounds that it may involve the likely disclosure of exempt information as defined in Paragraph 1 of Part 1 of Schedule 7A of the Act”. APPOINTMENT OF CHAIR At this point in the meeting, the Manager of Legal Services advised that, in the absence of the Chair and Vice Chair, the Committee was required to appoint a Chair, for the remainder of the meeting, from amongst its Members. The Committee agreed that Councillor Rooney be appointed Chair for the remainder of the meeting. Accordingly, Councillor Rooney assumed the Chair and the business of the meeting resumed. DECLARATIONS OF INTEREST Councillors Diane Docherty, Craig Edward, Daniel Lennie, June McKay and Gordon Scanlan having earlier declared an interest in the following item of business, left the meeting at this point. CLYDEBANK MUNICIPAL BANK A report was submitted by the Chief Officer – Resources regarding Clydebank Municipal Bank Limited (CMB). After discussion and having heard the Chief Officer – Resources and the Section Head – Financial, Administration and Control in further explanation of the report and in answer to Members’ questions, the Committee agreed to note recommendations 1 and 2 of the report and that the report be considered by the Board of Directors. Page 11
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The meeting closed at 3.37 p.m. Page 12
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JOINT CONSULTATIVE FORUM At a Meeting of the Joint Consultative Forum held in the Civic Space, 16 Church Street, Dumbarton on Thursday, 8 September 2022 at 2.00 p.m. Present: Councillors Jim Bollan, Karen Conaghan, Craig Edward, David McBride, Martin Rooney and Hazel Sorrell; Michael Dolan and James Halfpenny* (EIS); Derek Hutchison and John Wagner (GMB); Aly McCulloch and Susan Shannon (UNISON); and Chris Rossi and Margaret Wood (Unite). *Arrived later in the meeting. Attending: Amanda Graham, Chief Officer – Citizen, Culture & Facilities; Laura Mason, Chief Education Officer; Victoria Rogers, Chief Officer – People & Technology; Laurence Slavin, Chief Officer – Resources; Angela Wilson, Chief Officer – Supply, Distribution & Property; Alison McBride, Strategic People & Change Manager; Sylvia Chatfield, Head of Mental Health, Learning Disability & Addictions, Health & Social Care Partnership (HSCP); Lesley James, Head of Children's Health, Care & Criminal Justice; Audrey Slater, Head of HR, HSCP; Claire Cusick, Senior Education Officer – Services for Children & Young People; Louise Hastings, People & Change Partner; Lorraine Mair, Organisational Development & Change Lead; Alan Douglas, Manager of Legal Services; and Scott Kelly, Committee Officer. Apologies: Apologies for absence were intimated on behalf Councillor Daniel Lennie; David Scott (GMB); and Sean Davenport and David Smith (UNISON). APPOINTMENT OF CHAIR, VICE CHAIR AND JOINT SECRETARIES The Manager of Legal Services invited the Forum to consider, in terms of its constitution, a number of appointments for the next year and it was agreed:- (1) that Councillor David McBride be appointed as the Chair of the Forum; (2) that David Smith (UNISON) and John Wagner (GMB) be appointed as joint Vice Chairs; and (3) that Victoria Rogers, Chief Officer – People & Technology, be appointed as the Joint Secretary for the Council Side and Chris Rossi be appointed as Joint Secretary for the Trades Union Side. Councillor McBride then assumed the Chair. ITEM 6 Page 13
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Councillor David McBride in the Chair DECLARATIONS OF INTEREST It was noted that there were no declarations of interest in any of the items of business on the agenda. MINUTES OF PREVIOUS MEETING The Minutes of Meeting of the Joint Consultative Forum held on 16 June 2022 were submitted and approved as a correct record. PRESENTATION: STRESS MANAGEMENT FRAMEWORK REVIEW Louise Hastings, People & Change Partner, gave a presentation on the Stress Management Framework Review. The main points covered in the presentation were:- • That personal stress remains one of the top three reasons for sickness absence. • That the review of the framework was important in order to ensure that a pro- active approach to work-related stress is in place and that improved data could help to identify root causes and appropriate early interventions. • The importance of the employee voice in terms of fair work. • That a number of focus groups had been completed with employees and trades union representatives across a range of service areas within the Council and that the Employee Wellbeing Group was taking forward actions to improve the experience of employees and managers. Following discussion, the Forum agreed to note the information contained in the presentation. ORGANISATIONAL DEVELOPMENT, CHANGE & DIGITAL (ODC&D) UPDATE A report was submitted by the Chief Officer – People & Technology providing an update on:- (a) progress across the full range of learning and development opportunities for all employees; and (b) the introduction of the Digital Skills Support Framework. Page 14
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After discussion and having heard the Organisational Development & Change Lead, the People & Change Partner and the Chief Officer – Citizen, Culture & Facilities in explanation of the report and in answer to Members’ questions, the Forum agreed to note the progress made and to continue to support learning and development for all employees. Note: Mr Halfpenny entered the meeting during consideration of this item. ANNUAL MONITORING REPORT – EMPLOYMENT EQUALITIES A report was submitted by the Chief Officer – People & Technology advising of employment equalities matters for the year 2021/22. After discussion and having heard the Strategic People & Change Manager and the Head of HR, HSCP, in explanation of the report and in answer to Members’ questions, the Forum agreed to note the contents of the report. TRADES UNION ISSUES Dignity and Respect Policy (item requested by Joint Trades Union) Having heard Ms Wood, it was noted that the trades union and HR officers continued to be in discussion in relation to this matter and that consequently it would not be raised at the present meeting. Length of Time Taken for Investigations (item requested by Joint Trades Union) Following discussion, the Forum agreed:- (1) to note the concerns expressed in relation to the length of time taken for investigations to conclude; (2) to note that delays could arise for a number of reasons including employees, managers or trades union representatives being unwell, on leave or otherwise unavailable; and (3) to note that there was no trend which could determine a consistent reason for delays but that statistics would continue to be monitored and reported bi- annually to the Forum, and that a report was due to be submitted to the next meeting. Early Years (item requested by Joint Trades Union) The Forum heard from Ms Wood who advised that concerns had been raised by Early Years employees in relation to the Early Years action plan and that a mass meeting had been scheduled in order that the matter could be discussed further. Page 15
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In response the Chief Education Officer advised that the actions contained in the plan had been identified following a survey of Early Years employees and that she would be happy to receive further feedback from them and to continue to meet with Ms Wood and other trades union representatives to develop solutions to the employees’ concerns. Care in the Third Sector (item requested by Joint Trades Union) The Forum heard from Ms Wood who expressed concern at the involvement of third sector organisations in providing residential care and with care sometimes being provided by agency staff. In response the Head of Children's Health, Care & Criminal Justice and the Head of Mental Health, Learning Disability & Addictions informed the Forum:- (a) that it was a matter for individuals to decide for themselves which organisation would provide their care; and (b) that third sector organisations were distinct from private sector ones in being not-for-profit. Following discussion, it was agreed that a briefing note would be provided to members of the Forum detailing the background to this matter, the choices which are available to individuals in relation to their care, and the services which are provided by the Health & Social Care Partnership. Social Work (item requested by Joint Trades Union) The Forum heard from Ms Wood who advised that employees in the Children & Families service had expressed concerns in relation to the availability of suitable venues to accommodate supervised family contact. In response the Head of Children's Health, Care & Criminal Justice advised the Forum:- (a) that she had met with trades union colleagues to discuss this matter and that a briefing paper had been provided to them; (b) that a result of the pandemic there were fewer suitable venues and that contact opportunities were limited; and (c) that three consultation meetings had been arranged with employees to discuss the matter further and that it was hoped that agreement on a way forward would be reached soon. Page 16
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Violence Against Staff in Schools (item requested by EIS) The Forum heard from Mr Dolan who raised concerns in relation to: (i) an increase in violent incidents in schools; (ii) the system in place for reporting such incidents being cumbersome; (iii) the system for teacher/pupil contact through the internet not having a secure firewall; and (iv) offending pupils not being removed from their school. Mr Dolan requested that consideration be given to: (i) an increase in resources to tackle the issue; (ii) an increase in the number of available Additional Support Needs places in schools; (iii) a bespoke system being introduced for reporting violent incidents in schools; (iv) an improved policy of supporting employees who feel threatened; and (v) a technical review of the online system of contact between teachers and pupils to ensure that inappropriate material cannot be passed via the system. In response the Chief Education Officer stated:- (1) that officers would continue to discuss with the trades union possible changes to the system for reporting violent incidents; (2) that she understood that there had only been one incident relating to inappropriate material having been passed from a pupil to a teacher via the internet but that she would provide an update to Mr Dolan on the firewall at their next meeting; (3) that officers took seriously the reports of employees feeling frightened or threatened; (4) that the Council had an obligation to provide education to pupils in the local authority area and that action was being taken to seek more Additional Support Needs places in view of there being more pupils who experience difficulties with communication; and (5) that a draft action plan to address the issues raised by Mr Dolan had been developed and a copy provided to him, and that she would welcome his feedback in advance of the their next meeting. Following discussion and having heard the Chief Education Officer and the Senior Education Officer – Services for Children & Young People in answer to Members’ questions, the Forum noted the position in respect of this matter, and that officers and the trades union would work together to improve the situation. Having heard the Manager of Legal Services, the Forum noted that it would be helpful if, when intimating agenda items in the future, the trades union could include more detail of the issue they wished to raise at the meeting and the actions they would like to be considered, in order that officers could be in a better position to respond to the issues at the meeting. Page 17
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PROGRAMME OF FUTURE MEETINGS The Forum agreed:- (1) that its future meetings should be held as face to face meetings; and (2) the undernoted dates, times and venues for future meetings:- • Thursday, 1 December 2022 at 2.00 p.m. in the Council Chambers, Clydebank Town Hall. • Thursday, 16 March 2023 at 2.00 p.m. in the Civic Space, 16 Church Street, Dumbarton. • Thursday, 8 June 2023 at 2.00 p.m. in the Council Chambers, Clydebank Town Hall. • Thursday, 7 September 2023 at 2.00 p.m. in the Civic Space, 16 Church Street, Dumbarton. The meeting closed at 4.20 p.m. Page 18
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WEST DUNBARTONSHIRE COUNCIL Report by Chief Officer – Citizen, Culture and Facilities Corporate Services Committee : 2 November 2022 Subject: Citizen, Culture and Facilities Delivery Plan 2022/23 1 Purpose 1.1 The purpose of this report is to provide members with the Citizen, Culture and Facilities Delivery Plan 2022/23. 2 Recommendations 2.1 It is recommended that Committee notes the contents of the Plan. 3 Background 3.1 In line with the Strategic Planning & Performance Framework, each Chief Officer develops an annual Delivery Plan which sets out actions to help deliver the Strategic Plan and address the performance challenges and service priorities identified in the planning process. The Plan also provides an overview of services and resources, including employees and budgets, sets out the performance indicators (PIs) for monitoring progress and considers the relevant risks. 3.2 Following the local government election in May 2022, a new five-year Strategic Plan was developed in consultation with stakeholders and submitted to Council for approval in October. This sets out the Council’s priorities, objectives and key PIs, providing clear direction for the development of the first set of annual delivery plans, of which the Citizen, Culture and Facilities Delivery Plan is one of eight. 3.3 The implementation of the Plan will be monitored by the management team with interim progress reported to Corporate Services Committee in February 2023 and year-end progress in May 2023. 4 Main Issues 4.1 The Citizen, Culture and Facilities 2022/23 Delivery Plan is included at Appendix 1. This sets out the achievements and challenges over the past year, as well as the priorities for 2022/23. 4.2 Key priorities for 2022/23 include: • develop the Council’s Strategic Plan 2022-2027; • undertake review and design of strategic performance reporting; • progress plans for launch of free school meal rollout; • support integration of payment and cashless software in schools; ITEM 8 Page 19
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• review structure of Facilities Management; • progress the development of Glencairn House; • develop a heritage strategy focussed on wellbeing; • progress digitalision of materials from Council’s historic archive; • complete capital projects in libraries and museums; • review Town Hall arrangements; • implement complaints management process enhancements; • explore enhanced telephony technology solutions; • implement the Fit for Future Actions for Contact Centre and online • develop Strategic Communications Strategy and communications campaign road map; 5 People Implications 5.1 There are no direct people implications arising from this report. 6 Financial & Procurement Implications 6.1 There are no direct financial or procurement implications arising from this report. 7 Risk Analysis 7.1 Failure to deliver on the actions assigned to Citizen, Culture and Facilities, may have a direct impact on the delivery of the Council’s Strategic Plan. It is essential that remedial action is taken to ensure strategic delivery plans achieve the commitments detailed and approved. 8 Equalities Impact Assessment 8.1 Screening and impact assessments will be carried out on specific activities as required. 9 Consultation 9.1 The delivery plans were developed through consultation with officers from the strategic service areas. 10 Strategic Assessment 10.1 The delivery plans set out actions to support the successful delivery of the strategic priorities and objectives of the Council. Chief Officer: Amanda Graham Page 20
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Service Area: Citizen, Culture and Facilities Date: 30 September 2022 _____________________________________________________________ Person to Contact: Karen Connelly Performance & Strategy Business Partner karen.Connelly@west-dunbarton.gov.uk Appendices: Appendix 1: Citizen, Culture and Facilities Delivery Plan 2022/23 Background Papers: Strategic Plan 2022/27 - Council, 26 October 2022 Strategic Planning & Performance Framework 2022/27 Wards Affected: All Page 21
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2022/23 CITIZEN, CULTURE AND FACILITIES Appendix 1 Page 23
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Contents 1. Introduction ............................................................................................................................................................................3 2. Performance Review .............................................................................................................................................................3 3. Strategic Assessment ............................................................................................................................................................6 4. Resources ........................................................................................................................................................................... 12 Appendix 1: Action Plan ................................................................................................................................................................. 15 Page 24
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1. Introduction Citizen, Culture and Facilities comprises a wide range of services covering Citizen Services, Communications, Facilities Management, Libraries and Cultural Services and Performance and Strategy. It is one of eight strategic areas responsible for delivering the Council’s Strategic Plan. Key actions to help achieve this are set out in this Delivery Plan, together with actions to address any performance challenges and service priorities identified in the planning process. The progress of this Plan will be monitored and managed by the management team and reported to Corporate Services Committee twice yearly, at mid-year and year-end. 2. Performance Review The Citizen, Culture and Facilities management team completed a detailed review of 2021/22 performance, focussing on the following • 2021/22 Delivery Plan year end progress; • 2021/22 Quality Standards year end progress; • Local Government Benchmarking Framework (LGBF) comparative data; • Citizens’ Panel feedback; • Telephone Survey feedback; • Complaints; • Continuous Improvement (Fit for Future reviews) • Other benchmarking/feedback This review highlighted our key achievements in 2021/22 as well as the challenges to be addressed in 2022/23. These are summarised below. Key Achievements in 2021/22 Listed below are some of the major achievements in each service area despite the unprecedented challenges the Covid-19 pandemic has created including responding to restrictions and additional duties in identifying new ways of delivering services. All services achieve many other key outcomes for the Council and its residents throughout the year which are not recorded here but are as important. Citizen, Libraries and Digital Services Page 25
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Successfully managed and processed 2106 self-Isolation support grants totalling £1,053,000. Successful funding applications for almost £60k to develop projects around Sustainability and Disengaged Learners. Major refurbishment of Alexandria Library, including significant upgrades to Adult and Children’s library spaces. Strategic Communications, Culture & Performance • Delivered strategic communications support and advice, providing 24-7 media management to protect the Council’s reputation and continued to expand the reach of the Council’s social media channels increasing the audience to over 40,000 and growing engagement across our platforms to 640,000, • Staged the first virtual employee recognition event online to ensure employees’ contributions and efforts were highlighted and they continued to feel valued. • Generated additional income for the Council through Performance, Strategic Planning and Equalities support to external organisations. • Supported the strategic management team with provision of data and performance information during the pandemic including, national and local data, performance information and support with Equality Impact Assessments for reopening of services. • Achieved external funding target for the redevelopment of Glencairn House as part of the successful bid to the UK Government’s Levelling Up Fund. This project will see the transformation of the oldest building on Dumbarton High Street, developing new library space and bringing new focus to the Council’s historic museum and archive collections. • Took forward plans to deliver a new museum space in Clydebank Library; a new museum space in Alexandria Library and enhance displays within Clydebank Town Hall. Facilities Management • Achievement of the Soil Association’s independent and nationally recognised Food for Life Bronze Award Served Here for the Primary School and Early Years meals service. • Successfully rolled out provision of free school meals to all Primary 4 & 5 pupils in line with the Scottish Government initiative, resulting in all pupils from P1- P5 now being offered free school lunches • Supported enhanced cleaning arrangements across Council buildings and education facilities during the Covid-19 pandemic. Key Challenges from 2021/22 Page 26
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• The principle challenge over the last year has continued to be in relation to the Covid-19 pandemic. Challenges faced included adapting to ever changing legislation and guidance to ensure continued delivery of frontline services and provision of strategic communications. • Responding to the longer term impact of Covid-19 and particularly in the context of health and wellbeing • Delays in the capital programme, and in particular building works, impacted on the reopening of Clydebank and Alexandria Libraries and progress of work across the cultural assets • Office closures in addition to changing working arrangements and service provision across most frontline services resulted in a wide range of additional responsibilities including providing increased frontline advice and support through the Contact Centre when other Council services were not operating as normal. Citizen, Libraries and Digital Services • Management of the Isolation Support Grants impacted on service delivery due to the significantly high demand, changing guidance and qualifying criteria along with challenging processing timelines. • Management of Complaints has become more complex and time consuming due to pressures of the pandemic and the impact on Council services and their ability to deliver pre-pandemic levels of performance. • Considerable reduction in the number of physical visits to Libraries as a result of ongoing Covid-19 restrictions. • Lack of progress of Employee Training and Engagement Programme due to Covid-19 restrictions making face-to-face training impractical. • The Cookie Law, requires websites to gain consent to store or retrieve any information on personal devices, this has greatly affected our Google analytics data making it more difficult to tell how well the website is performing or which pages are working as planned. • The Accessibility Regulations have resulted in a range of additional responsibilities and resource to ensure both web and intranet content is compliant. Communications, Offices & Town Hall & Culture • In communications, the team focused all efforts on the pandemic response to ensure citizens were aware of impacts on service delivery and of restrictions as they evolved. In addition significant capacity went into amplifying key national messaging around compliance, FACTS, testing and vaccinations and promoting to both citizens and employees. This in turn disrupted campaign activity planned during 2021/22. • The closure of the Town Hall since March 2020 continued to have a significant impact on income with all scheduled events cancelled. • With physical access to buildings impaired or prevented, the Arts and Heritage team was forced to suspend its exhibitions programme. Similarly, in person arts development activity could not proceed as planned. In line with the wider sector, where possible activity moved online. Page 27
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Facilities Management • The pandemic pressures presented significant staffing challenges in the recruitment and training of additional staff required to deliver an enhanced level of service to our clients. • The significant Covid Infection / isolation rates at times within WDC resulted in challenging losses of key staff which in turn resulted in adaptations to service provision. 3. Strategic Assessment The Citizen, Culture and Facilities management team completed a strategic assessment to determine the major influences on service delivery and priorities in 2022/23. These are summarised below. Financial Challenges. The entire public sector is facing significant financial challenges. The Council is currently faced with an estimated cumulative funding gap in 2023/24 of £18.3m rising to £24.2m in 2024/25. Funding pressures relating to Covid will continue in 2022/23, and whilst some Covid funding from the Scottish Government was carried forward for use in 2022/23, it may not be sufficient due to the ongoing unpredictability of the impact of the pandemic on people’s lives and local businesses. We will continue to monitor the overall financial position of the Council and updates on estimated future budget gaps will be reported to Elected Members throughout 2022/23. These challenges mean further action is required to balance our budget and protect services for residents. This will mean that, within CCF, available funding will be reduced over time and we will need to reconfigure how we work and what we do to deliver further efficiencies Budget Sensitivity Analysis Within this service, budgets identified as being more susceptible to fluctuations is the Town Hall in respect of rising utility costs and Facilities Management as a result of pressure on food costs in Catering. The Town Hall is also susceptible to fluctuations depending on levels of income that are achieved. Page 28
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Citizen, Libraries and Digital Services Telephony Enhancements The telephony system was upgraded in December 2019 and throughout 2021/22 we will explore further improvements alongside our ICT colleagues. These improvements will include exploring call recording and call wait time announcements in our contact center environment. We will also explore the transfer of our Emergency Out of Hours telephone numbers to this new technology. Complaints The coordination of the corporate complaints process will become more challenging due to the work style changes including hybrid office and home working across all Councils services. Adequate communication channels with key person responsibility in each service will be required to ensure satisfactory and timely responses and regulatory time lines are adhered to. We will ensure we are a key stakeholder in the corporate wide programme to adapt processes and procedures to fit with the new work style model. Fit for Future Action Plan – Housing Repairs Contact Centre Following the Fit for Future service review undertaken in June 2021, an action plan is being taken forward which will address the key findings over a five year period 2021-2026. These include improving and streamlining the customer journey, the website and online forms. Recommendations raised in relation to systems, process, out of hours service, online platform, staffing including availability of training and development to support employee wellbeing, are all being addressed in the plan. Some actions were identified for Citizen Services which will be progressed over 22-23. Wellbeing Support for Citizens As society emerges from the pandemic, Libraries will be restarting, renewing and strengthening activities aimed at supporting the social, economic, physical and mental wellbeing of citizens. With support from external funding, Libraries will embark on a dedicated programme of wellbeing events and educational support, specifically targeting those learners who have become disengaged through disrupted learning. Libraries Sustainability Libraries are a key player in the green economy and with support from external funding will be developing new processes, practices, programmes and activities which encourage a greater understanding of environmental impact and climate change. A funded post will lead on the actions and engage with internal and external stakeholders, as well as citizens to foster more sustainable practices. Page 29
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Digital Technology Accessibility regulations mean public sector organisations have a legal duty to ensure their websites and mobile applications meet accessibility requirements. In 2021/22 we concentrated on the internet to make sure this was accessible for all of our citizens. In 2022/23 we will continually test accessibility of the internet but concentrate on getting the intranet to the same standard. We will optimise content; work with service areas to make sure their content is accessible, ensure new features are accessible and continue to remove pdfs, posters and leaflets that are not accessible and do not meet these regulations. In addition to this we will work with the digital online forms group to make the process as customer friendly and streamlined as possible for citizens and employees. Strategic Communications, Culture & Performance Communications Strategy A new Communications Strategy will be developed and presented to align with the new Strategic Plan for period 2022-27. A communication strategy enables effective communication with and between employees and meet core organisational objectives. It sets out how we will engage with colleagues, citizens and partners. It ensures that everyone involved has adequate information to communicate the Council’s key messages, maintaining consistency in the workplace and preventing any ambiguity. This will supersede the current 2017-22 communications strategy. Campaign Activity Roadmap From both a national and a Council wide perspective there are a number of key initiatives across a number of frontline services that will require formal communication campaigns to ensure the objectives are met, the target audience is reached and the key messages are provided effectively. The Campaign Roadmap will be developed to support activity and ensure alignment with the strategic plan. Communication support for new Administration Support the new Council elected at the Local Government Elections in May 2022. This includes developing and delivering a suite of Elected Members information/ awareness sessions to reflect any changes introduced with the new Administration and providing formal training as required. Glencairn House (Strathleven Place) Having achieved external funding to support the redevelopment of Glencairn House as a combined museum/library facility via WDC’s successful Levelling Up Fund bid, work is underway to progress this project. A design concept has been delivered and detailed designs are now in development. A programme of community engagement will be undertaken to help inform the developed building design, as well as engage citizens with storytelling linked to Dumbarton’s history and heritage. Page 30
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Clydebank Museum – Library A new museum for Clydebank in the basement of the town’s library is under development and, despite being impacted by the Covid-19 pandemic, the project is expected to complete by end 2022. Delivery of this project will create an engaging new heritage offer for both citizens and visitors from beyond the local area, highlighting the rich history of Clydebank. Alexandria Museum The creation of a new museum space, alongside a new multi-use space for the benefit of the local community within the first floor of Alexandria Library was impacted by the Covid-19 pandemic and compounded by the challenge of undertaking structural works in a historic building. A new lift has been installed in the building, enabling level access to the upper floor for the first time and the project is anticipated to complete at the end of the summer. The new museum will explore the history of Alexandria and the Vale of Leven, and will be launched alongside a National Lottery Heritage Fund enabled project to deliver a programme of inspiring and creative activity to engage the community and celebrate the Vale’s unique heritage. Dalmuir Gallery In August 2021 the Cultural Committee approved investment of £541k as part of a project to transform Dalmuir Library, with the aim of creating a cultural venue in the heart of Dalmuir. It is anticipated that work to progress the detailed design for this project will commence during 2022/23, with delivery of this new cultural asset expected by end 2024. Heritage Strategy The Arts and Heritage team is progressing delivery of a new Heritage Strategy during 2022 that focuses on how culture and heritage can support the wider priorities associated with recovery from the Covid 19 pandemic, and in particular helping to improve the health and wellbeing of West Dunbartonshire’s citizens. This draft heritage strategy will align to the new Council Strategic Plan 2022/27 and will launch during 2022-23. Digitisation Programme In September 2019 the Cultural Committee approved a revenue generating project to digitise materials from West Dunbartonshire Council’s historic archive and local history collections. Although the tendering process for this project was impacted by the Covid 19 pandemic, a contract has now been awarded. The process of digitising these historic records will commence during 2022, enabling wider access to records for research purposes as well as crucially helping to preserve these historic documents. Ultimately, this project will enable remote searches of these records globally via a subscription genealogy research website, generating important revenue for the Arts and Heritage service. Page 31
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Clydebank Town Hall redevelopment project and future approach In January 2020 the Cultural Committee approved a spend of £0.95m on improving Clydebank Town Hall. A number of changes were made to the scope and details of the works most notably a move from developing a purpose built museum and gallery capable of hosting major exhibitions to a space which can stage inhouse exhibitions on a short term basis. Post Covid, the focus is on successful delivery of pre-booked events planned throughout 2022 and working to reestablish bookings and programming for 2023 and future years. Strategic Plan - 2022-2027 In line with the Council’s approach to strategic planning, work will begin in 2022/23 with key stakeholders including the new administration to develop the new Strategic Plan which will set the vision and direction for Council services over the next five years. The new Strategic Plan will inform the delivery of Council services and provide a context for decision-making at a service level. Strategic Performance Framework In line with the Council’s Strategic Plan, work will being to review our current reporting mechanisms to ensure we are able to identify early any improvements and ensure we are meeting our statutory obligation to Public Performance Reporting. The Strategic Framework 2022-27 brings together the statutory and best practice requirements on the Council approach to performance reporting and scrutiny. Good performance reporting enables the Council to ensure strategic priorities are being met and best value delivered and allows residents to see how we are performing. Facilities Management Improvement Plan – Facilities Management A review of the FM management structure will be undertaken to respond to recent Scottish Government policy changes and resultant service expansion, provide additional support for frontline employees and ultimately deliver a more efficient and sustainable service aligned to delivering the requirements of FM. Scottish Government – Free School Meal Rollout Following the successful rollout of free school meals for pupils in primaries 4 and 5 in August 2021 and Jan 2022 respectively, plans are ongoing to accommodate the final phase of the rollout to P6 and P7 pupils. This was scheduled for August 2022 however the Scottish Government has paused the rollout pending detailed examination of the cost requirements for some Councils. During 2022/23 FM will continue with the remaining Page 32
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kitchen upgrade works and equipment purchases in preparation for recommencement of the rollout once a revised implementation date is announced by Scottish Government. The final tranche of additional catering staff will be recruited once revised implementation dates are known. Integration with Educational Services’ new Automated Payment & Cashless Catering Software Facilities Management is working with colleagues from Educational Services in supporting the specification of requirements and evaluation of a new system for Automated Payments /Cashless Catering, kitchen management information and nutritional analysis package. The work is being led and financed by Education however there are several components of the system which will be utilised by catering staff and it is therefore important that these meet FM requirements. The Food and Nutrition Co-ordinator has been involved to date and will continue to work with Education colleagues to determine the optimum system. Evaluation/Options Appraisal will take place during 2022 with the new system being in place before the end of the financial year. Council Wide Climate Change Strategy The Council has developed a Climate Change Strategy in response to Scotland’s climate emergency and to provide a route map towards meeting Scotland’s national net zero carbon target by 2045. This Strategy has informed the development of a Climate Change Action Plan for 2022/23 to ensure environmental actions are devolved to relevant service areas and climate change action is mainstreamed across Council policies, operations and the wider public. Progress against the actions assigned to CCF will be monitored. Continuous Improvement To support continuous improvement, the Council has an established programme of Fit for Future service reviews. Using a range of tools, information is gathered and reviewed to identify improvements and to ensure our services are efficient and that we make best use of our resources. During 2022/23 we will continually assess the performance of the services within CCF with a view to determining if any services would benefit from a Fit for Future service review. Facilities Management will participate in the programme in 2022/23. Action Plan The challenges identified in Section 2 and the key factors identified in Section 3 have informed Citizen, Culture and Facilities priorities for 2022/23. Appendix 1 sets out the action plan to address them. It also includes: • performance indicators and targets that will enable progress to be monitored and reported to stakeholders; • strategic workforce actions to address workforce issues identified in the planning process; and Page 33
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• strategic and/or service risks, including those relating to the pandemic. In relation to the latter, strategic risks represent the potential for the Council to take advantage of opportunities or fail to meet stated strategic objectives and those that require strategic leadership; while service risks relate to service delivery and represent the potential for impact on individual services, or the experience of those who work within the services, i.e. employees, partners, contractors and volunteers or service users and clients in receipt of the services provided. In identifying the relevant risks for 2022/23 and actions to mitigate them, the aim is to improve or maintain the current position (i.e. the current risk score) set out in the appendix. 4. Resources Finance Citizen, Culture and Facilities has a net revenue budget of £17.88m and a capital budget of £3.345m in 2022/23. A breakdown by service area is set out below. We will make the best use of the resources available to deliver on key priority areas and secure external/match funding where this is possible. Service Area Gross Expenditure 2022/23 (£m) Gross Income 2022/23 (£m) Net Expenditure 2022/23 (£m) Capital Budget 2022/23 (£m) Performance & Strategy 0.3567 0.0000 0.3567 0.000 Communications and Marketing 0.3545 -0.0217 0.3328 0.000 Citizen Service 1.2850 0.0000 1.2850 0.000 Libraries 1.8365 -0.0250 1.8115 1.635 Arts and Heritage 0.4394 -0.0689 0.3705 1.67 Clydebank Town Hall 0.5115 -0.0530 0.4585 0.000 Office Accommodation 1.4753 -0.2000 1.2753 0.000 Facilities Management 0.4164 -0.0200 0.3964 0.000 Page 34
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Leisure Management 4.3321 -0.7585 3.5736 0.04 Building Cleaning 1.9925 -0.2891 1.7034 0.000 Building Cleaning - PPP 0.7458 -1.0769 -0.3311 0.000 Facilities Assistants 2.1705 -0.0706 2.0999 0.000 Events 0.1759 -0.0871 0.0888 0.000 Catering Services 5.7632 -1.3089 4.4542 0.000 Total 21.8553 -3.9797 17.8756 3.3450 Employees Employee Numbers The headcount and full time equivalent staff in each service area (as of 31st March 2022) are as follows: Absence in 2021/22 Service Area Headcount FTE Comms Events & Engage (Including Town Hall) 15 14.78 Customer Services 48 45.59 Facilities Management 570 346.76 Libraries & Culture 57 41.92 Strat Org Pol & Perform 5 4.82 TOTAL 695 450.88 Page 35
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The quarterly absence statistics for Citizen, Culture and Facilities are shown below together with the Council average for the same periods for comparison. The figures have been lower that the Council average throughout 2021/22: Absence in 2021/22 Quarter 1 Quarter 2 Quarter 3 Quarter 4 Annual FTE days lost per FTE employee Citizen, Culture and Facilities 2.93 2.93 4.36 5.33 13.81 COUNCIL WIDE TOTAL 3.27 3.58 4.5 5.03 14.55 Page 36
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Appendix 1: Action Plan 1. Our Communities Objective 2. Our residents health and wellbeing remains a priority Performance Indicator Owner Number of attendances per 1,000 population for indoor sports and leisure facilities John Anderson % of pupil medical dietary requests met Amanda Graham Action Due Date Owner Progress plans for launch of Free school meal rollout (final phase) 31-Mar-2023 Amanda Graham Objective 3. Our residents are supported to increase life and learning skills Performance Indicator Owner Total number of visits to funded and part funded museums and heritage centres (in person & virtual) per 1,000 population Sarah Christie Total number of library visits (physical and virtual) per 1,000 population David Main Cost per visit to libraries David Main Page 37
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Performance Indicator Owner Cost per museum visit £ Sarah Christie % of adults satisfied with libraries David Main % of adults satisfied with museums and galleries Sarah Christie Action Due Date Owner Progress the development of Glencairn House as an inspiring cultural hub Phase 3 31-Mar-2023 Sarah Christie Develop and launch an innovative heritage strategy, reflecting the investment in the cultural offering for the area 31-Mar-2023 Sarah Christie Progress digitalision of materials from Councils historic archive and history collections 31-Mar-2023 Sarah Christie Progress investment projects in Alexandria library, Clydebank museum and Dalmuir gallery 31-Mar-2023 Sarah Christie Progress Libraries Investment and Enhancement Programme 31-Mar-2023 David Main Successfully deliver the £421k capital investment across the branch network and finalise the branding improvements at all branches. 31-Mar-2023 David Main 4. Our Council Objective 10. Our workforce is resilient and skilled where digital technology supports service delivery for our residents Page 38
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Action Due Date Owner Develop and implement wellbeing, employee engagement, equality and training plans to enable capabilities, improved resilience and promotion of a diverse workforce. 31-Mar-2023 Amanda Graham Develop and implement employee life cycle plans in line with the People First Strategy to attract and retain the workforce. 31-Mar-2023 Amanda Graham Implement service review process including role design, use of new technology and new ways of working to add resilience, address gaps, and establish opportunities for efficiencies 31-Mar-2023 Amanda Graham Develop and implement training plans and development opportunities to improve capabilities and resilience within the workforce. 31-Mar-2023 Amanda Graham Objective 11. Our Council is adaptable and focused on delivering best value for our residents Performance Indicator Owner Percentage of complaints received by the Council that are resolved at Stage 1 Stephen Daly Percentage of complaints received by the Council that are resolved at Stage 2 Stephen Daly % of telephone calls answered within 2 minutes by Contact Centre as a proportion of all calls answered. Stephen Daly % of telephone calls answered within 2 minutes by Repairs Contact Centre as a proportion of all calls answered. Stephen Daly No. of transactions undertaken online Stephen Daly Action Due Date Owner Implement required complaints management process enhancements 31-Mar-2023 Stephen Daly Explore enhanced telephony technology solutions 31-Mar-2023 Stephen Daly Implement the Fit for Future Actions for Contact Centre and On-line from Housing Repairs Report – Phase 1 31-Mar-2023 Stephen Daly Page 39
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Action Due Date Owner Further Review Town Hall arrangements 31-Mar-2023 Amanda Graham Review structure of Facilities Management Service 31-Mar-2023 Amanda Graham Support progress of integration of payment and cashless software 31-Mar-2023 Amanda Graham Undertake planning and preparation of new Council Strategic Plan 2022-2027 31-Mar-2023 Amanda Graham Risk Description Current Assessment Target Assessment Date Reviewed Owner Risk of Failure to meet citizen expectation and service standards Risk of citizen dissatisfaction due to us not doing what we say we will when we say we will. 29-Sep-2022 Amanda Graham Failure to effectively manage and learn from complaints There is a risk of damage to the Council's reputation. If complaints are not handled effectively, there can be an adverse effect on the public perception of the Council which can lead to a lack of trust in the services provided. 29-Sep-2022 Stephen Daly Objective 12. Our residents are engaged and empowered Performance Indicator Owner Percentage of residents who are satisfied with the Council website Stephen Daly % of press enquiries responded to within deadline as a proportion of all press enquiries Amanda Graham % of stage 1 complaints responded to within 5 working days. Stephen Daly Page 40
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Performance Indicator Owner % of stage 2 complaints responded to within 20 working days. Stephen Daly No. of transactions undertaken online Stephen Daly % of residents who feel the Council communicates well with them Amanda Graham Residents satisfaction with Council services overall Amanda Graham Percentage of citizens who agree the Council listens to community views when designing and delivering services Amanda Graham Action Due Date Owner Enhance intranet content and ensure compliance with accessibility 31-Mar-2023 Stephen Daly Develop Strategic Communications Strategy 31-Mar-2023 Amanda Graham Prepare and implement a communications campaign road map 31-Mar-2023 Amanda Graham Undertake review and design of strategic performance reporting ensuring compliance with statutory obligations. 31-Mar-2023 Amanda Graham Risk Description Current Assessment Target Assessment Date Reviewed Owner Risk of Ineffective Communications / Reputation Risk Ineffective use of corporate communication channels may result in messages that are inconsistent with authorised responsibilities or established performance measures. Employees without intranet access or email access may not receive communications. Not effectively managing corporate responses to adverse events may lead to an erosion of the Council's reputation. 29-Sep-2022 Amanda Graham Page 41
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WEST DUNBARTONSHIRE COUNCIL Report by Chief Officer – People and Technology Corporate Services Committee : 2 November 2022 Subject: People and Technology Delivery Plan 2022/23 1 Purpose 1.1 The purpose of this report is to provide members with the People and Technology Delivery Plan 2022/23. 2 Recommendations 2.1 It is recommended that Committee notes the contents of the Plan. 3 Background 3.1 In line with the Strategic Planning & Performance Framework, each Chief Officer develops an annual Delivery Plan which sets out actions to help deliver the Strategic Plan and address the performance challenges and service priorities identified in the planning process. The Plan also provides an overview of services and resources, including employees and budgets, sets out the performance indicators (PIs) for monitoring progress and considers the relevant risks. 3.2 Following the local government election in May 2022, a new five-year Strategic Plan was developed in consultation with stakeholders and submitted to Council for approval in October. This sets out the Council’s priorities, objectives and key PIs, providing clear direction for the development of the first set of annual delivery plans, of which the People and Technology Delivery Plan is one of eight. 3.3 The implementation of this Plan will be monitored by the management team with interim progress reported to Corporate Services Committee in February 2023 and year-end progress in May 2023. 4 Main Issues 4.1 The Plan for 2022/23 is set out at Appendix 1. Key priorities for 2022/23 include: ICT infrastructure improvements, including supporting hybrid working, and ensuring cyber security; Digital Transformation and Continuous Improvement, ensuring services are sustainable, adaptable and innovative; Sustainable Employment and Organisational Design and supporting Service and Community Resilience. 5 People Implications ITEM 9 Page 43
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5.1 There are no direct people implications arising from this report. 6 Financial & Procurement Implications 6.1 There are no direct financial or procurement implications arising from this report. 7 Risk Analysis 7.1 Failure to deliver on the actions assigned to People and Technology may have a direct impact on the delivery of the Council’s Strategic Plan. It is essential that remedial action is taken to ensure strategic Delivery Plans achieve the commitments detailed and approved. 8 Equalities Impact Assessment 8.1 Screening and impact assessments will be carried out on specific activities as required. 9 Consultation 9.1 The Delivery Plans were developed through consultation with officers from the strategic service areas. 10 Strategic Assessment 10.1 The Delivery Plans set out actions to support the successful delivery of the strategic priorities and objectives of the Council. Chief Officer: Victoria Rogers Service Area: People and Technology Date: 30 September 2022 _____________________________________________________________ Person to Contact: Nicola Docherty Nicola.docherty@west-dunbarton.gov.uk Appendices: Appendix 1: People and Technology Delivery Plan 2022/23 Background Papers: Strategic Plan 2022/27 - Council, 26 October 2022 Strategic Planning & Performance Framework 2022/27 Wards Affected: All Page 44
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2022-23 DELIVERY PLAN People and Technology Appendix 1 Page 45
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Contents 1. Introduction ............................................................................................................................................................................2 2. Performance Review .............................................................................................................................................................2 3. Strategic Assessment ............................................................................................................................................................5 4. Resources .............................................................................................................................................................................9 Appendix 1: Action Plan ................................................................................................................................................................. 11 Page 46
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1. Introduction People and Technology comprises a wide range of services covering Strategic HR, Organisational Development & Change and Digital, ICT, Transactional Services (HR advice, pensions and pay) and Health, Safety and Risk and Organisational Resilience. It is one of 8 strategic areas responsible for delivering the Council’s Strategic Plan. Key actions to help achieve that are set out in this Delivery Plan, together with actions to address any performance issues and service priorities identified in the planning process. The progress of this Plan will be monitored and managed by the management team and reported to Corporate Services Committee twice yearly, at mid-year and year-end. 2. Performance Review The management team completed a detailed review of 2021/22 performance, focusing on the following: • 2021/22 Delivery Plan year end progress; • 2021/22 Quality Standards year end progress; • Local Government Benchmarking Framework (LGBF) comparative data; • Association for Public Service Excellence (APSE) comparative data; • Continuous Improvement (Fit for Future reviews); • ICT Annual Customer Satisfaction Survey; • National Digital Office programmes; • Cabinet Office and Scottish Government Security compliance and guidance; and • Other benchmarking/feedback etc. This review highlighted our key achievements in 2021/22 as well as the challenges to be addressed in 2022/23. These are summarised below. Key Achievements 2021/22 Page 47
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Over the last few years, the People and Technology teams have played a pivotal role in supporting the workforce throughout the pandemic with Risk Assessments, DSE, Wellbeing, Workforce updates, ICT support, remote access set up, device loans, e- learning and return to office help and support. It is anticipated that this support will remain in place for the foreseeable future and that the teams will continue to respond as required. People and Change • Promoted the wellbeing of the workforce with support, regular information and a full suite of wellbeing opportunities. • Recognised, with a national award, as one of the top ten flexible employers. • Introduced new leadership development & digital skills programmes. • Introduced Fit for Future reviews, holistically reviewing services with a people-centred approach, using service design and identifying both recommendations for improvement and savings. • Improved visibility and usage of workforce data via the console and working with Digital Office undertaking a data deep dive and data maturity assessment. • Created a consistent approach to H&S reporting, a communication plan and improvement within the FIGTREE system. • Completed Trickle rollout across workforce and committed to promote learning with the Trade Union Learning Agreement. • Managed the vaccination centres support teams, recruiting approx. 60 Kickstart employees from WDC local area, creating jobs and experience for young people aged 18-24. ICT • Delivered ICT Security training course materials and Cyber Security Awareness sessions for Senior Management Teams and delivered phishing exercises across organisation as well as implementing a vulnerability scanning tool. • Delivered ICT installations within Renton Campus and Clydebank Care home and Health Centre, delivered ICT improvements to Alexandria and Clydebank libraries in conjunction with Asset Management team’s improvement project and implemented a new virtualisation solution for Valuation Joint Board improving setup and resilience. • Carried out multiple system upgrades Citrix, VMWare, and removal of Office 2010, progression of the 365 migration project and continued rollout of MS Teams, delivered new solutions to update ‘off network’ devices which are used for remote working. • Network infrastructure improvements including 5Ghz wireless connectivity across organisation; upgraded backup solution; replaced network distribution layers switches at High Schools and upgraded bandwidth to a number of primary schools and libraries. Page 48
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• Provided an appointment service for users and onsite cluster support during pandemic and Return to Office ICT support, increased service desk telephone service hours, provided loan laptops and new mobile phones despite worldwide supply chain issues, and replaced end of life data phones. • Supported service transformation projects - Cash Receipting upgrade, Fit for Future reviews, Comino Disposal Module implementation (pending sign off from Information Management team in Regulatory Services) and cloud transition for criminal justice LSCMI system. Transactional Support • Continued to develop enhancements to the Workforce Management System (WMS) solution facilitating increased functionality to simplify data gathering and reporting for users. This included a range of upgrades to the system minimising downtime for users; further Covid-19 data capture e.g. adverse vaccine reaction, Employee Workstyle Status, New Long Covid Code for Absence Recording; capturing and management of SSSC Counter signatory information; ICT Licences recording per post • Implemented electronic timesheets submission within Home Care and Facilities Management saving time both in transactional teams and service admin teams • Completed payroll audit on time and processed multiple, multi-year pay awards • The team has also been successful in developing automations within key process areas which will continue into 2022/23. Challenges • Building leadership/digital/specialist skills across the workforce. • Improve data quality and improve data usage, rules and ethical decision making. • Maintaining momentum across all areas without further resource/investment. • Using Trickle to improve and create a more proactive approach to employee engagement/employee voice/Fair work ensuring our people feel valued and supported. • Creating a collaborative council wide approach to transformation, using service design and making best use of people/tools/systems to improve service delivery. • Managing and mitigating Cyber Security threats in hybrid working environments (on premise/remote) including updating off network windows devices to ensure they are secure. Raising user awareness, risk assessments and investigating new and replacement technologies have helped to manage this challenge and will continue to be required. Page 49
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• Deploying new technologies and upgrading existing technologies in a hybrid working environment when dependency is heightened e.g. upgrades and maintenance of netscaler and citrix environments. • Supporting home working users in hybrid working environments as unable to connect to WDC off network devices as well as using an appointment services to deliver cluster support model in corporate and education environments whilst maintaining the safety of the ICT Team. • Sourcing ICT hardware with supply chain issues. • Managing storage growth and backups and encouraging service areas to carry out housekeeping tasks in line with their retention policies. • Increased revenue costs as organisations /suppliers move from capital-based license model to revenue funded or when transitioning to cloud based services e.g. MS licencing and supplier hosting costs. • Maintaining a range of WMS developments with increased workload pressured combined with challenges presented by Covid-19. • Continued technical challenges with Frontier (WMS). • Development of automations with transactional processes due to technical challenges in how the automation solution interacts with a range of back office systems. • Deployment of iConnect – an online solution for submission of pension data to pension office due to technical challenges with our WMS. • Processing Pay Award not only due to the late notification but also the nature of the agreement which spanned across two tax years. 3. Strategic Assessment The People and Technology management team completed a strategic assessment to determine the major influences on service delivery and priorities in 2022/23. These are summarised below. Financial Challenges The entire public sector is facing significant financial challenges. The Council are currently faced with an estimated cumulative funding gap in 2023/24 of £18.3m rising to £24.2m in 2024/25. Funding pressures relating to COVID will continue in 2022/23, and whilst there is still some carried forward COVID funding from the Scottish Government available for use in 2022/23, it is difficult to assess whether it will continue to be sufficient due to the ongoing unpredictability of the impact of the pandemic on Page 50
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people’s lives and local businesses. We will continue to monitor the overall financial position of the Council and updates on estimated future budget gaps will be reported to Elected Members throughout 2022/23. These challenges mean further action is required to balance our budget and protect services for residents. This will mean that, within People and Technology, available funding will be reduced and we will need to reconfigure how we work and what we do to deliver further efficiencies. In addition to this, maintaining the Security and Integrity of the Councils systems and data within financial constraints whilst managing and mitigating Cyber Security threats in a hybrid, on premise/remote working environment, which requires raising user awareness, undertaking risk assessments and investigating /delivering new and replacement technologies, will remain a priority for the year ahead. Sustainable Employment and Organisational Design Continuing to ensure employees skillset/development continues to grow and be supported. If not prioritised, recruitment and retention difficulties may be exacerbated with attendance, well-being and workforce motivation impacted. Skills may not keep pace with new skills/tools/developments with WDC becoming poorly placed to capitalise/deliver on improvements Continue to manage council risk and ensure sound Health & Safety practices are embedded. Poor H&S practice creates significant risk for the council both in financial and reputational damage. Sound H&S practice supports employee engagement and collaboration with good workforce practices, without this commitment employee engagement will suffer. Transformation and Continuous Improvement ICT Service delivery model arising from COVID-19 will require a review and potential redesign of the Council’s IT infrastructure architecture. Managing remote/hybrid technical environments will involve redesign, investment in new and or replacement technologies as well as upskilling the ICT team. Some changes have already been implemented and this will continue. ICT will review the existing technologies, assess alongside in-flight technology implementations (e.g. 365 implementation) to maximise the investments made, decommission where possible and streamline the range of technologies ICT need to support and users need to access. Page 51
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Digital Transformation The Scottish Digital Office conducted a Digital Maturity assessment in 2019 providing a baseline of WDC’s digital approach and awareness of it across the authority. This was a positive start for WDC and has helped set the vision for the digital team focussing on “digital skills” and “making better use of data”. To facilitate this, the service needs a joined up approach to supporting digital transformation, growing employee skills and working with citizens to adapt and change how services are delivered. To do this structures require to be reviewed and resources (financial and workforce) need to be identified to ensure plans and processes are in place alongside the ability to constantly monitor progress on keeping pace with digital transformation and technology. To support this the Digital Transformation Board has been widened to allow a more holistic, one council approach to be adopted. This has created a wider virtual digital team and ensured focus and resource to be employed and prioritised to ensure delivery of the council’s strategic aims. The speed of technological advancement has been rapidly increasing and will continue to do so. This will impact on employees, citizens and services as the Council seeks to both capitalise and adapt to these. Additional support and upskilling has been evident with the rapid deployment of MS Teams and online Committee Meetings. In 2022/23 we will continue to build good data practices/structures council wide. Managing and maximising data usage and improving skills is key to ensure employees and users understand benefits and threats. If this is not continued it increases the potential for both reputational and financial risks. It will also impact on decisions and understanding on progressing improvement activity and planning for the same. We will also continue to support development of the WMS to aid wider process and digital transformation and continue to develop automations within transactional processes through collaborative practice, service design and maximising digital practice, through the Fit for Future programme. Technology is developing quickly and WDC need to ensure that they keep pace in order to capitalise on the benefits this brings to service improvement, costs and delivery. This must be looked at collaboratively with users and employees to ensure understanding, best practice and skills required. The Council will continue its journey around Robotic Process Automation, which is now starting to be widely considered in a number of Scottish Local Authorities. We believe this approach complements the wider digital transformation programme and its three key work streams - Better Use of Data, Digital Skills, and Digital Leadership. Page 52
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Service and Community Resilience The Civil Contingencies Officer has continued to support West Dunbartonshire’s resilience planning, response and recovery arrangements associated with Covid 19. This includes representing the Council at regional Single Point of Contact (SPOC) Vaccination Programme meetings, supporting the Council’s Core Vaccination Group (chaired by CO P&T for period 21/22) and support to the Strategic / Operational Resilience Groups (SRG / ORG). CCS have participated previously in the WDC Experiential Learning programme (previously on hold due to Covid response) and intend to support this activity, should it be re- established in 2022-23. Additionally, CCS intends to support arrangements for providing an overview of civil contingencies to Elected Members, following the 2022 Local Government Elections. In addition, Service Areas will be encouraged to revisit their system and business continuity requirements for their new ways of working as adopted during the pandemic. Budget Sensitivity Analysis Budget Sensitivity Analysis In reviewing the service budget projections, consideration has been given to sensitivity of these budgets, in particular for higher risk/ higher value budgets which may have a significant impact on budgetary control and future budget projections. The analysis has considered sensitivity around demand, costs and charges, and income levels. Within this service, no budgets have been identified as being more susceptible to fluctuations however the UK’s exit from the European Union may impact on the supply costs for goods and services such as IT equipment and associated license and maintenance costs. Action Plan The challenges identified in Section 2 and the key factors identified in Section 3 have informed People and Technology priorities for 2022/23. Appendix 1 sets out the action plan to address them, including the relevant risks and the performance indicators and targets that will enable progress to be monitored and reported to stakeholders. It also incorporates the Strategic workforce actions as well as the performance indicators that we use to measure and monitor the People and Technology Quality Standards that help to define what users of our services can expect to receive, and remind both the organisation and our employees of the challenges and obligations they face in delivering best value services. The Council has identified risks at both a strategic and service level. Strategic risks represent the potential for the Council to take advantage of opportunities or fail to meet stated strategic objectives and those that require strategic leadership. Service risks relate to service delivery and represent the potential for impact on individual services, or the experience of those who work within the services, i.e. employees, partners, contractors and volunteers or service users and clients in receipt of the services provided. Page 53
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In planning for 2022/23, the People and Technology team considered the Council’s strategic risks and identified risks specific to the service including risks relating to the pandemic. These are set out in the action plan at Appendix 1 alongside actions to mitigate these, with the aim of improving or maintaining the current position (i.e. the current risk score). 4. Resources Finance People and Technology has a net revenue budget of £7.142m and a capital budget of £1.641m in 2022/23. A breakdown by service area is set out below. We will make the best use of the resources available to deliver on key priority areas and secure external/match funding where this is possible. Service Area Gross Expenditure 2022/23 (£m) Gross Income 2022/23 (£m) Net Expenditure 2022/23 (£) Capital Budget 22/23 (£) Transactional 0.793m -0.074m 0.719m 0.000m HR & Risk 1.327m 0.000m 1.327m 0.000m ICT 4.959m -0.430m 4.529m 1.641m Change & OD 0.621m -0.054m 0.567m 0.000m Total 7.700m -0.558m 7.142m 1.641m Employees Employee Numbers The headcount and full time equivalent staff in each service area (as of 31st March 2022) are as follows: Service Area Headcount FTE Business Support 21 19.29 Health and Safety 7 6.41 Page 54
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Absence in 2021/22 The quarterly absence statistics for People and Technology are shown below together with the Council average for the same periods for comparison. The figures for People and Technology have been [lower/higher] that the Council average throughout 2021/22: Absence in 2021/22 Quarter 1 Quarter 2 Quarter 3 Quarter 4 Annual FTE days lost per FTE employee Strategic team 1.30 2.61 1.61 1.39 4.27 COUNCIL WIDE TOTAL 3.27 3.58 4.50 5.03 14.55 ICT 52.11 46.90 People and Change 27 26.10 TOTAL 106 98.70 Page 55
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Appendix 1: Action Plan 4. Our Council Objective 10. Our workforce is resilient and skilled where digital technology supports service delivery for our residents Performance Indicator Owner Percentage of ICT helpdesk incidents fixed with half day of being logged. James Gallacher % of our workforce who have declared a disability Alison McBride % of our workforce who have stated they are LGBT Alison McBride % of our workforce who are from a Black minority ethnic group Alison McBride Disability pay gap Alison McBride The percentage of the highest paid 5% employees who are women Alison McBride Gender pay gap Alison McBride Percentage of Council employees who agree or strongly agree that in general, my morale at work is good Alison McBride % employee attendance improvement rate (teachers & local govt.) Alison McBride Action Due Date Owner Page 56
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Action Due Date Owner Secure the Council’s Technology Infrastructure 31-Mar-2023 James Gallacher Enhance Security and Cyber awareness programmes tailored for hybrid working 31-Mar-2023 James Gallacher Review and implement ICT processes and service improvements in line with new technologies 31-Mar-2023 James Gallacher Upskill ICT team in new tools and processes 31-Mar-2023 James Gallacher Identify and understanding the workforce needs to ensure sound workforce planning activities such as skills gaps, succession planning and employees are supported throughout their career 31-Mar-2023 Alison McBride Investigate root cause analysis, employee feedback and data in relation to workforce behaviour and practice and respond accordingly with improvements. 31-Mar-2023 Alison McBride Implement the actions from the Equalities Outcome Monitoring Plan 31-Mar-2023 Alison McBride Develop and implement wellbeing, employee engagement, equality and training plans to enable capabilities, improved resilience and promotion of a diverse workforce. 31-Mar-2023 Alison McBride Develop and implement employee life cycle plans in line with the People First Strategy to attract and retain the workforce. 31-Mar-2023 Alison McBride Implement service review process including role design, use of new technology and new ways of working to add resilience, address gaps, and establish opportunities for efficiencies 31-Mar-2023 Alison McBride Develop and implement training plans and development opportunities to improve capabilities and resilience within the workforce. 31-Mar-2023 Alison McBride Risk Description Current Assessment Target Assessment Date Reviewed Owner Page 57
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Risk Description Current Assessment Target Assessment Date Reviewed Owner Workforce Management System not fit for purpose There is a risk that the WMS system is not fit-for- purpose thereby requiring manual workarounds restricting the level of automation impacting on efficiencies 28-Sept-2022 Arun Menon Challenges in protecting the Health and Safety of Employees and Others Failure to meet the Council’s duty to protect the health, safety and welfare of its employees and other people who might be affected by its business 28-Sept-2022 Alison McBride Complexities in ensuring an appropriately resourced and resilient workforce Failure to ensure that there is an appropriately resourced and resilient workforce in place to meet future organisational needs, in effectively executing the Council’s 2022-27 Strategic Plan. 05-Sep-2022 Alison McBride Threat of Cyber-attack Data, systems and/or infrastructure are impacted as result of security attacks which are increasing in number at a time when this threat is already placing demands on resources to deliver increased levels of security controls. 29- Sept-2022 James Gallacher Objective 11. Our Council is adaptable and focused on delivering best value for our residents Action Due Date Owner Page 58
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Action Due Date Owner Implement statutory Payroll changes 31-Mar-2023 Arun Menon Undertake annual Payroll Audit 21-Dec-2023 Arun Menon Continue to develop automations around HR & payroll system, sickness absence and pension calculations and wider council services 31-Mar-2023 Arun Menon Embed H&S commitments with service delivery and workforce planning. Build and support workforce groups to promote good practice 31-Mar-2023 Alison McBride Continue to build on data usage/skills to improve decision making and accountability. Raising user awareness, risk assessments and investigating technology implications 31-Mar-2023 Alison McBride Create a collaborative council wide approach to transformation, using service design and making best use of people/tools/systems to improve service delivery 31-Mar-2023 Alison McBride Risk Description Current Assessment Target Assessment Date Reviewed Owner Keeping abreast of developments in the innovative use of Information Technologies Failure to keep pace with changing technology environment 29-Sept-2022 James Gallacher Page 59
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WEST DUNBARTONSHIRE COUNCIL Report by Chief Officer - Regulatory & Regeneration Corporate Services Committee : 2 November 2022 Subject: Regulatory & Regeneration Delivery Plan 2022/23 1 Purpose 1.1 The purpose of this report is to provide members with the Regulatory & Regeneration Delivery Plan 2022/23. 2 Recommendations 2.1 It is recommended that Committee notes the contents of the Plan. 3 Background 3.1 In line with the Strategic Planning & Performance Framework, each Chief Officer develops an annual Delivery Plan which sets out actions to help deliver the Strategic Plan and address the performance challenges and service priorities identified in the planning process. The Plan also provides an overview of services and resources, including employees and budgets, sets out the performance indicators (PIs) for monitoring progress and considers the relevant risks. 3.2 Following the local government election in May 2022, a new five-year Strategic Plan was developed in consultation with stakeholders and submitted to Council for approval in October. This sets out the Council’s priorities, objectives and key PIs, providing clear direction for the development of the first set of annual delivery plans, of which the Regulatory & Regeneration Delivery Plan is one of eight. 3.3 The implementation of this Plan will be monitored by the management team with interim progress reported to Corporate Services Committee in February 2023 and year-end progress in May 2023. The economic development elements of the Plan will also be reported to Infrastructure, Regeneration and Economic Development Committee. 4 Main Issues 4.1 The Plan for 2022/23 is set out at Appendix 1. 4.2 Key priorities for 2022/23 include: • delivering sustainable, quality services within the context of significant financial challenges; • delivering key regeneration sites across West Dunbartonshire; • promoting the next phase of the Queens Quay housing and providing legal and planning input to the New Affordable Housing Programme; ITEM 10 Page 61
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• exploring commercial opportunities in our town centres and wider regeneration sites; • supporting town centres to recover following the pandemic; • implementing the Climate Change Action Plan to support the implementation of the Climate Change Strategy; • developing a new Economic Development Strategy and action plan; • implementing the action plan to set up the new Council following the local government election in May; • planning and organising the nomination process for Community Councils and subsequent elections; • providing legal services to West Dunbartonshire Energy LLP; • providing legal advice on the emerging National Care Service; • training service data ambassadors for the Corporate Data Information Management System (MAGIC) and evaluating its use; • implementing the Fit for Future Improvement Plan for Building Standards; • completing the business case and for IDOX Electronic Document Management System for Planning & Business Standards; • implementing the provisions of the Scottish Government’s fourth National Planning Framework (NPF4) for West Dunbartonshire’s planning policies and priorities, adopting Local Development Plan 2 (LDP2) and commencing work on LDP3; • completing the first phase of the Rediscovering the Antonine Wall Project and preparing for phase two; • commencing implementation of the Shaping Places for Wellbeing pilot in Clydebank; and • conducting property inspections of host properties identified through the Super Sponsor Scheme (Homes for Ukraine). 5 People Implications 5.1 There are no direct people implications arising from this report. 6 Financial & Procurement Implications 6.1 There are no direct financial or procurement implications arising from this report. 7 Risk Analysis 7.1 Failure to deliver on the actions assigned to Regulatory & Regeneration may have a direct impact on the delivery of the Council’s Strategic Plan. It is essential that remedial action is taken to ensure strategic delivery plans achieve the commitments detailed and approved. 8 Equalities Impact Assessment 8.1 Screening and impact assessments will be carried out on specific activities as required. Page 62
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9 Consultation 9.1 The delivery plans were developed through consultation with officers from the strategic service areas. 10 Strategic Assessment 10.1 The delivery plans set out actions to support the successful delivery of the strategic priorities and objectives of the Council. Chief Officer: Alan Douglas Service Area: Regulatory & Regeneration Date: 5 October 2022 _____________________________________________________________ Person to Contact: Lynn Henderson lynn.henderson@west-dunbarton.gov.uk Appendices: Appendix 1: Regulatory & Regeneration Delivery Plan 2022/23 Background Papers: Strategic Plan 2022/27 - Council, 26 October 2022 Strategic Planning & Performance Framework 2022/27 Wards Affected: All Page 63
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2022/23 REGULATORY & REGENERATION Appendix 1: Regulatory & Regeneration Delivery Plan 2022/23 Appendix 1 Page 65
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Contents 1. Introduction .................................................................................................................................................................................................... 2 2. Performance Review ...................................................................................................................................................................................... 2 3. Strategic Assessment .................................................................................................................................................................................... 7 4. Resources .................................................................................................................................................................................................... 16 Appendix 1: Action Plan .......................................................................................................................................................................................... 18 Page 66
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1. Introduction Regulatory & Regeneration comprises a wide range of services covering legal, trading standards, licensing, records management, planning, building standards, environmental health, democratic and registration services, and economic development. It is one of 8 strategic areas responsible for delivering the Council’s Strategic Plan. Key actions to help achieve that are set out in this Delivery Plan, together with actions to address any performance issues and service priorities identified in the planning process. The progress of this Plan will be monitored and managed by the management team and reported to Corporate Services Committee twice yearly, at mid-year and year-end. 2. Performance Review The management team completed a detailed review of 2021/22 performance, focusing on the following: • 2021/22 Delivery Plan year end progress; • 2021/22 Quality Standards year end progress; • Local Government Benchmarking Framework (LGBF) comparative data; • Association for Public Service Excellence (APSE) comparative data; • 2021/22 Planning Performance Framework; • 2021/22 Building Standards Performance Report; • Citizens’ Panel feedback; • Telephone Survey feedback; • Complaints; • Continuous Improvement (Fit for Future reviews); • Other benchmarking/feedback/ etc. This review highlighted our key achievements in 2021/22 as well as the challenges to be addressed in 2022/23. These are summarised below. Page 67
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Key Achievements in 2021/22 Listed below are some of the major achievements in each service area that were particularly challenging or unusual. All services achieve many other fantastic outcomes for the Council and its residents throughout the year which are not recorded here but are often as important. Cross Service • Services across R&R continued to meet the significant challenges posed by the pandemic, delivering services as efficiently and effectively as possible with limited impact on service users. • There was strong collaborative working by Regeneration, Planning, Building Standards, Environmental Health and Legal Services on key regeneration sites. • The District Heating Network at Queens Quay became fully operational, winning two prestigious awards in its first year: o District Heating Network at The European Heat Pump Awards, Heat Pump City of the Year category, for the most efficient, smart and sustainable project of the year; and o Carbon Reduction Award at the Scottish Green Energy Awards. • Commenced remediation work at the Exxon site at Bowling and appointed the contractor for the infrastructure works. • Created the Clydebank Development Framework with Regeneration, Planning and Asset Management to provide a 15 year vision for Clydebank, with the aim of re-establishing a distinct town centre heart. • 146 new social housing units were constructed at Queens Quay, which will bring the first of approximately 1,200 households to the waterfront site by August 2022. • Entered into a legal agreement with the Malin Group for the initial stages of a major marine development at the former Carless site which will see millions of pounds of private, Council and Scottish Government monies invested in a Marine Technology Park creating jobs and economic opportunities. • Prepared and approved the Alexandria Town Centre Masterplan. Democratic & Registration Services • Planned and conducted the Scottish Parliamentary Elections in May 2021, including implementing significant additional measures to ensure a safe election in the midst of the pandemic and addressing the increase in number of postal voters. • Delivered a hybrid committee system, enabling formal committee meetings to be conducted successfully in person or at home by elected members. Page 68
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• Planned and delivered a commemorative concert for the 80th anniversary of the Clydebank Blitz in partnership with the Royal Scottish National Orchestra. • Safely re-introduced civil ceremonies in the midst of the pandemic. Legal Services & Trading Standards • Entered into a new arrangement with Food Standards Scotland to inspect animal feed in three local authority areas. • The Trading Standards Team, as part of a Society of Trading Standards Scotland initiative, was awarded the Touchstone Award for Hallmarking for valuable work around counterfeit precious metals. • Agreed terms with hub West Scotland for the delivery of the new Faifley Campus including oversight of a complex procurement of the main contractor. • Contracts & Property delivered the acquisition of the Artizan Centre including 24 tenanted shopping units within a demanding timescale and undertook the often complex legal work necessary to bring in £2.7 M in capital receipts from Land Disposal. • Managed court and tribunal cases to successful resolution during the pandemic with new ways of working brought about by significant changes in the court and tribunal systems. • Supported licensed businesses through the fast tracking of occasional licence applications and turnaround of permissions to allow outdoor areas in line with the permissive approach from the Scottish Government. Planning, Building Standards & Environmental Health • Building Standards played a proactive role in facilitating the reopening of Cameron House after the tragic fire in 2017 and the opening of the new Renton Campus under very tight timescales. • Improved the performance of Planning and Building Standards indicators (details to follow at year end). • The ‘Rediscovering the Antonine Wall’ Project was recognised on an international level, receiving the Honourable Mention for the European Archaeological Heritage Prize 2021 and shortlisted as a finalist for an Association for Heritage Interpretation award for the sculpture and distance stone at Nethercroy. • Achieved planning decisions and controls on two quarry sites providing mineral provision for next 20 years for the local and wider area. • Environmental Health worked in close partnership with NHS and Scottish Government partners to establish the first dual testing community test site in Scotland for symptomatic and asymptomatic COVID-19 cases in Clydebank East in December 2021. • Appointed a new Public Health Compliance Officer in April 2021 to offer advice, guidance and support to local businesses on COVID-19 compliance matters, with over 280 pro-active COVID-19 inspections taking place. • Worked in partnership with the Improvement Service and Scottish Government to establish a National Dog Control Notice database. Page 69
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Economic Development • Provided support to 201 new business start-ups and held 37 free business skills webinars for 202 different clients including start-up and established businesses during a very challenging period. • Supported businesses by delivering over £31m of COVID-19 grants to over 1,500 businesses over the period of the pandemic. • Agreed the Climate Change action plan with key services in our drive to net zero. • Secured £20m UK levelling up funding to transform Dumbarton town centre, including the redevelopment of Glencairn House, the purchase and regeneration of the Artizan Shopping centre, and the delivery of connections from Dumbarton Central to the Town Centre, all of which will have a significant impact on Dumbarton and the town centre vibrancy. Key Challenges in 2021/22 Cross Service • The loss, recruitment and training of key staff across Regulatory and Regeneration was a particular challenge in 2021/22 when demands on all services were higher than normal as a result of the pandemic. • The national skills shortage of qualified and experienced officers in Planning, Environmental Health, Trading Standards, and Building Standards continued in 2021/22, resulting in reduced staff complements across many services, increased demands on existing and inexperienced staff, and a high staff turnover. This is a challenge experienced by most local authorities and has resulted in alternative service delivery models, including the use of agency staff. Democratic & Registration Services • The adequate staffing of the Scottish parliament election in May 2021, both at the polls and at the count, was particularly challenging due to the shortage of experienced staff willing to take the additional COVID risk of working during the election. Legal Services & Trading Standards • Due to a national shortage of qualified Trading Standards Officers, the service operated throughout 2021/22 at substantially less than a full staff complement, requiring Trading Standards to prioritise statutory functions and COVID-19 public protection duties. • Home working without contact within legal teams increased re-work and missed opportunities for collegiate working. Planning, Building Standards & Environmental Health • Guidance re implementation of the Planning (Scotland) Act 2019, including consultation on the draft National Planning Framework 4 and Local Development Planning Regulations and Guidance, highlighted the additional skills and resources that will be required to implement these. Page 70
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• Issues relating to housing land impacting on the adoption of LDP2 and the Supreme Court challenge of the planning permission issued through appeal for housing development at Farm Road, Duntocher (Duntiglennan Fields). • The suspension of programmed food safety inspections from mid-March 2020 until 1 October 2021 resulted in a backlog. With between 70 to 80 inspections due per month, this had a significant impact on Environmental Health staff resources in 2021/22 which will continue in 2022/23. • The pressures of the pandemic impacted on service delivery, particularly within Environmental Health which assumed a wide range of additional responsibilities. As well as resuming food safety inspections in October 2021, the service dealt with over 440 COVID related service requests, including support and advice to over 365 school and early education case notifications from Education colleagues. • The tragic and sudden death of the Environmental Health Manager in January 2022 placed additional challenges on the service in the last quarter of 2021/22. Economic Development • Delivering private sector homes at Queens Quay was a challenge in 2021/22. We will continue to seek to ensure Queens Quay Housing is delivered by our commercial partner in the year ahead. • Securing agreement to connect West College Scotland and the Golden Jubilee Hospital to the District Heating Network has been a challenge in 2021/22, with continued effort necessary in 2022/23. • The impact of the pandemic on the business community during 2021/22 was significant and the recovery process in the year ahead will be supported by Business Gateway’s continued intervention and distribution of the Scottish Government’s COVID-19 grants. Page 71
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3. Strategic Assessment The Regulatory & Regeneration management team completed a strategic assessment to determine the major influences on service delivery and priorities in 2022/23. The key factors are summarised below. Key Factors Financial Challenges The entire public sector is facing significant financial challenges. The Council are currently faced with an estimated cumulative funding gap in 2023/24 of £18.3m rising to £24.2m in 2024/25. Funding pressures relating to COVID will continue in 2022/23, and whilst there is still some carried forward COVID funding from the Scottish Government available for use in 2022/23, it is difficult to assess whether it will continue to be sufficient due to the ongoing unpredictability of the impact of the pandemic on people’s lives and local businesses. We will continue to monitor the overall financial position of the Council and updates on estimated future budget gaps will be reported to Elected Members throughout 2022/23. These challenges mean further action is required to balance our budget and protect services for residents. This will mean that within R&R, available funding will be reduced over time and we will need to reconfigure how we work, what we do, where we work, and potentially reduce the number of people employed. In this context, we will aim to continue to provide a sustainable, quality service to internal clients and the public. Budget Sensitivity Analysis In reviewing the service budget projections, consideration has been given to the sensitivity of these budgets, in particular for higher risk/ higher value budgets which may have a significant impact on budgetary control and future budget projections. The analysis has considered sensitivity around demand, costs and charges, and income levels. Within this service, budgets which have been identified as being more susceptible to fluctuations include: • Planning and Building Standards Income - 2022/23 budget £0.85m • Licensing Income - 2022/23 budget £0.40m Page 72
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Income levels have continued to be affected in the current year by the COVID-19 pandemic and in other years by local and national economic activity and is difficult to project with accuracy due to the income being demand led and whether income will recover to its pre pandemic level. Deliver Key Regeneration Sites A number of key regeneration projects will be taken forward in the coming year including: • the Exxon project, with detailed design works and final business case due to be delivered by November 2022; • the North Clyde Riverside, an ambitious long term vision to promote the redevelopment of our riverside sites from Clydebank to Dumbarton; • key actions in the Alexandria Masterplan and Clydebank Development Framework, both of which aim to develop their respective town centres; • the Scottish Marine Technology Park (SMTP) at the Carless site in Dalmuir; and • a range of projects funded through the £20m Levelling Up fund, including the redevelopment of Glencairn House, the purchase and regeneration of the Artizan Shopping centre, and connecting Dumbarton Central to the Town Centre, all of which will have a significant impact on Dumbarton and the town centre vibrancy. Actions: Deliver key regeneration sites across West Dunbartonshire; Ensure regenerations sites are progressed to enable high quality development to be achieved on the ground; and Monitor the development of the key regeneration sites to ensure they comply with the approved consent Queens Quay Infrastructure works for this 80 acre residential waterfront development were completed in 2020/21. The focus in the year ahead will be securing housing developments across the site in partnership with site owner Clydeside Regeneration Ltd. The site wide design codes, which set out a vision for the Clydebank site and ensure all new developments meet the same high standards, are complete and efforts to promote and market the plots will be critical to ensure the Council’s investment sees economic as well as commercial returns. This continues to be a challenge, particularly in relation to flatted private homes which the market is finding difficult to make commercially viable. Action: Promote the next phase of Queens Quay Housing Page 73
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Commercial Opportunities The regeneration team will seek to identify commercialisation opportunities for new development opportunities in conjunction with the private sector. We will seek to progress discussions with developers who may wish to enter a partnership with the Council to achieve joint benefits from a commercial, housing and low carbon perspective. The Regeneration Capital Fund with £12.77m and external funding of £1m will need to be allocated across a number of projects. The Fund’s key operating principles and allocations to specific projects agreed by Committee will be progressed. Projects linked to the Scottish Marine Technology Park (SMTP) at the Carless site and, importantly, the expansion of the District Heating Network to the Golden Jubilee Hospital and beyond, will be progressed over this period. Mission Clyde is the Scottish Government’s latest flagship infrastructure approach to Regeneration along the length of the River Clyde. West Dunbartonshire sits well in term of potential areas for consideration of Mission Clyde funding with sites such as the Exxon project, Carless, the Golden Jubilee Hospital and Queens Quay already seen as key contributors to Mission Clyde. Officers have secured £2m of external (Scottish Government) funding for the Carless site in partnership with the Malin group and Cemineral have secured £179k to develop their cement handling facility at Rothesay Dock in Clydebank. The Council has also committed £2m from the Regeneration Fund to support the development of the Marine Technology Park. The UK Government’s Levelling UP funding has enabled the Council to acquire and part demolish the Artizan shopping centre in Dumbarton, reducing the retail capacity of the town. The regeneration of the shopping centre will provide a reduced source of Council income in the future with limited retail capacity, however anticipate income from potential new Council tax from housing on the site. Action: Explore commercial opportunities in our town centres and wider regeneration sites Supporting Business Recovery Assisting town centres to recover from the pandemic will continue to be a focus in 2022/23, and we will prioritise support for High Street businesses. An unexpected benefit of the pandemic is people demanding more from their local areas and town centres, so we will continue to develop projects to make our town centres attractive places, and take advantage of the Town Centre Fund and Place Based Investment funds provided by Scottish Government. Page 74
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Underpinning the delivery of our Town Centre Recovery Plan and Masterplanning of Towns is the Scottish Government’s policy driver on creating ‘20 minute neighbourhoods’. The approved Clydebank Development Framework includes the disposal and development of the former Playdrome site, a transport hub at Clydebank Station, improved connections between the town centre and Queens Quay, with a linear green park from Canal south to Transport Interchange, and related community-led activity, all as part of a cohesive plan for Clydebank. Action: Support Town Centre Recovery Climate Change Strategy and Action Plan The Council has developed a Climate Change Strategy in response to Scotland’s climate emergency and to provide a route map towards meeting Scotland’s national net zero carbon target by 2045. This Strategy has informed the development of a Climate Change Action Plan for 2022/23 to ensure environmental actions are devolved to relevant service areas and climate change action is mainstreamed across council policies, operations and the wider public. Progress against the plan will be monitored and reported to the senior management team and to Council on a regular basis. Action: Co-ordinate, monitor and report the progress of the Council’s Climate Change Action Plan for 2022/23 Economic Development Strategy A new Economic Development Strategy will be presented to Council in 2022/23 with a vision that ‘By 2025, West Dunbartonshire will have an inclusive and vibrant economy through the creation of fairer jobs, a drive towards net Zero, and the development of prosperous places in partnership with our communities and businesses’. The strategy will identify the key strategic priority for the Council in delivering economic growth and improved wellbeing in our communities. It will also align with the new Strategic Plan for 2022-27, the recent City Region Strategy and anticipated Scottish Government transformation strategy. This will supersede the current 2015-20 Economic Strategy and a series of actions will be developed and presented to the IRED committee for approval. Action: Develop a new Economic Development Strategy and action plan Page 75
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Scottish Local Government Elections The Scottish Local Government elections are held every 5 years with the most recent taking place in May 2022. As well as planning and conducting the elections as would normally be the case, the elections in May were more challenging due to the additional measures required to run them safely in the midst of the continuing pandemic. Action: Plan and conduct the Scottish Local Government Elections Planning and Setting Up the New Council We will plan for and set up the new Council which will be elected at the Local Government Elections in May. This may include developing and agreeing a new committee structure and committee timetables, reviewing and revising standing orders and other governance procedures to reflect any changes made by the newly formed Administration. Action: Implement the action plan to set up the new Council Community Council Elections Community Councils are elected every 4 years to bring local people together to improve their neighbourhoods. There are places for up to 17 Community Councils in West Dunbartonshire, with elections due to be held in Autumn 2022 following a delay as a result of the pandemic. We will plan and organise the nomination process for Community Councils and where necessary hold elections to identify successful candidates. This will involve training new staff in this process as a result of staff turnover. Action: Plan and organise the nomination process for Community Councils and where necessary hold elections to identify successful candidates Legal and Planning Support to the New Affordable Housing Programme The Council has undertaken an ambitious programme to develop hundreds of new affordable homes for rent by the end of 2022/23. This programme will make a significant contribution towards meeting currently unmet housing demand, halt population decline and promote West Dunbartonshire as a place to live. Page 76
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The programme will continue to be supported by Legal Services in the form of contractual and conveyancing advice and support. Planning will continue to support the provision of quality affordable housing, adopting a place–based approach through engaging in pre application advice, with support from the Placemaking Co-ordinator and the Place and Design Panel. Action: Provide further legal and planning support in relation to the delivery of the new affordable housing programme District Heating Network The District Heating Network provides low carbon heating and cooling solutions to the Queens Quay regeneration site. It aims to significantly reduce fuel poverty and deprivation within some of the poorer neighbourhoods of West Dunbartonshire and, crucially, contribute to key climate change targets. As the District Heating Network matures, it is anticipated that new customer and expansion opportunities will arise. Legal services will negotiate heat supply agreements and network expansion agreements with customers and suppliers as the expansion progresses. Action: Provide legal services to West Dunbartonshire Energy LLP in relation to heat supply agreements and network supply contracts National Care Service An independent review of adult social care, published in February 2021, recommended the creation of a National Care Service to deliver social care in Scotland. This was followed by a public consultation by the Scottish Government on creating a more comprehensive community health and social care service that supports people of all ages. Feedback from the consultation will inform legislation expected to be introduced to Parliament in summer 2022, with a National Care Service anticipated by 2026. Legal Services will provide advice, guidance and support in any arrangements associated with the transition to a national care service. Action: Provide legal advice, guidance and support on the emerging National Care Service Corporate Data Information Management System (MAGIC) The new mapping system that we have implemented takes advantage of rapidly evolving data technology to provide better service delivery. Fundamental to the new system is ease of data sharing and that it integrates with other systems and supports mobile and flexible Page 77
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working. In order to maximise its use as a corporate resource and fulfil its potential, the Geographical Information System (GIS) officer is working collaboratively to identify data ambassadors in services that would benefit from the mapping system such as Roads, Waste, Greenspace, HSCP, Elections, and Education. Action: Designate and train service data ambassadors for the Corporate Data Information Management System (MAGIC) system and evaluate its use Fit for Future Improvement Plan - Building Standards Following the Fit for Future service review undertaken in October 2021, an improvement plan is being taken forward which will address the key findings. These include improving and streamlining the customer journey, the website and online forms. Further refinement of automation and improving IT systems will be taken forward with the implementation of Enterprise, a performance management tool to improve efficiency and performance, and the move towards a full IDOX solution for workflow management. Matters raised in relation to staffing vacancies, turnover, hierarchy, and spans of control, together with the availability of training and development to support employee wellbeing, are all being addressed in the plan. In addition, a new Planning and Building Standards Service structure to meet future business needs will be taken forward in 2022/23. Action: Implement the Fit for Future Improvement Plan for Building Standards Full IDOX Electronic Document Management System Planning and Building Standards strive to continuously improve service quality and performance and, like most Scottish local authorities, we are on a digital transformation journey to support this. Moving in line with all other 31 local authorities, we are preparing a business case to move from our current system to full IDOX electronic document management. A recent Fit for Future service review has highlighted that this will streamline our processes, save time and in turn increase our performance, bring savings and improve customer delivery and satisfaction. Action: Complete business case and seek Council capital funding for IDOX Electronic Document Management System for Planning & Business Standards Page 78
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New Development Planning System The Scottish Government’s fourth National Planning Framework (NPF4) is a long term plan for Scotland that guides spatial development, sets out national planning policies, designates national developments, and highlights regional spatial priorities. It is currently in development with the final version due to be submitted to the Scottish Parliament for approval in autumn 2022. This will strongly influence West Dunbartonshire’s Local Development Plan 3 (LDP3) and Local Place Plans. In 2022/23, we will implement the provisions of NPF4 as they apply to West Dunbartonshire, adopt Local Development Plan 2 (LFP2) and begin formal work in late 2022 on LDP3. Action: Implement the provisions of NPF4 for West Dunbartonshire’s planning policies and priorities, adopt LDP2 and commence work on LDP3 Rediscovering the Antonine Wall The first of its type, this Project has brought together five local authorities with Historic Environment Scotland to increase awareness, understanding and engagement with the Antonine Wall World Heritage Site and to better connect communities and visitors to the Wall. It has been immensely successful in raising the profile of the Wall due to the creation of new and interesting attractions in areas that were harder to understand and appreciate and had little interpretive content to attract visitors other than those with a particular interest in Roman heritage. The sculptures, distance stones and play parks in particular, are helping less traditional audiences to actively engage with, explore and understand the heritage of the Wall and the Roman occupation of Scotland. The Project is due to be completed by the end of 2022. However, all five local authorities and Historic Environment Scotland have committed to funding for an additional 2 years beyond 2022. This second phase of the project ‘Re-imaging the Antonine Wall’ will focus on regeneration, reinterpretation, access, and commercial opportunities and improved visitor offers at key locations. It will also look at properties currently on the Buildings at Risk Register and focus on targeted development for the 5 Council areas. Action: Complete the Rediscovering the Antonine Wall Project and start preparation for Phase 2: Re-imaging the Antoine Wall Shaping Places for Wellbeing Programme The Shaping Places for Wellbeing Programme is a delivery partnership between the Improvement Service and Public Health Scotland, funded and supported by the Health Foundation and Scottish Government with the support of COSLA. Clydebank is one of 4 pilot community areas selected with the ambition of improving wellbeing and reducing inequalities. Planning and HSCP will work together with a Project Officer from Page 79
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the Programme and officers from Public Health Scotland and information derived from the pilot will influence spatial policies, land use, future projects and funding allocation. Action: Commence implementation of the Shaping Places for Wellbeing pilot in Clydebank Supporting the Homes for Ukraine Scheme The Homes for Ukraine scheme, set up by the UK government in March 2022, allows hosts to sponsor people fleeing from the conflict by offering them accommodation. The Scottish Government’s Super Sponsor Scheme, which acts alongside Homes for Ukraine, removes the need for applicants to be matched to a host before they are permitted to travel to Scotland, with applicants matched via a public sector matching service upon arrival. As part of the process, local authorities are required to undertake a number of checks including person checks, identity checks, safe guarding checks and property inspection checks. This work is undertaken jointly with a number of Council services, with Environmental Health responsible for inspecting host properties to ensure they meet minimum safety and habitation standards. Inspections have been carried out on over 100 properties in the past 6 months, with significant resource implications for the team. This work will continue in 2022/23 as the Scottish Government launches a new campaign in October 2022 to identify further hosts willing to accommodate refugees. Action: Conduct property inspection of host properties identified through the Super Sponsor Scheme (Homes for Ukraine) Action Plan The challenges identified in Section 2 and the key factors identified in Section 3 have informed Regulatory & Regeneration priorities for 2022/23. Appendix 1 sets out the action plan to address them. It also includes: • performance indicators that will enable progress to be monitored and reported to stakeholders; • strategic workforce actions to address workforce issues identified in the planning process; and • strategic and/or service risks, including those relating to the pandemic. In relation to the latter, strategic risks represent the potential for the Council to take advantage of opportunities or fail to meet stated strategic objectives and those that require strategic leadership. Service risks relate to service delivery and represent the potential for impact on individual services, or the experience of those who work within the services, i.e. employees, partners, contractors and volunteers or service users and clients in receipt of the services provided. In identifying the relevant risks for 22/23 and actions to mitigate them, we aim to improve or maintain the current position (i.e. the current risk score) set out in the appendix. Page 80
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4. Resources Finance Regulatory & Regeneration has a net revenue budget of £3.142m and a capital budget of £16.898m in 2022/23. A breakdown by service area is set out below. We will make the best use of the resources available to deliver on key priority areas and secure external/match funding where this is possible. Service Area Gross Expenditure 2022/23 (£m) Gross Income 2022/23 (£m) Net Expenditure 2022/23 (£m) Capital Budget 2022/23 (£) Democratic & Registration 0.907m -0.119m 0.788m 0.000m Environmental Health 1.198m -0.407m 0.791m 1.091m Licensing 0.300m -0.398m -0.097m 0.000m Legal Services & Trading Standards 1.115m -0.181m 0.934m 0.026m Building & Planning 1.328m -0.846m 0.482m 0.000m Economic Development 1.476m -1.231m 0.246m 15.781m TOTAL 6.324m -3.182m 3.142m 16.898m Employees Employee Numbers The headcount and full time equivalent staff in each service area (as of 31st March 2022) are as follows: Page 81
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Absence in 2021/22 The quarterly absence figures for Regulatory & Regeneration are shown below together with the Council average for the same periods for comparison. The overall figure for R&R was significantly lower that the Council average for 2021/22: Absence in 2021/22 Quarter 1 Quarter 2 Quarter 3 Quarter 4 Annual FTE days lost per FTE employee Regulatory 3.14 4.17 2.06 1.67 9.25 COUNCIL WIDE TOTAL 3.27 3.58 4.50 5.03 14.55 Service Area Headcount FTE Democratic & Registration 35 21.3 Economic Development 21 16.8 Legal Services 22 23.2 Planning and Building 44 42.7 Regulatory Management 3 3.0 TOTAL 125 107.05 Page 82
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Appendix 1: Action Plan Our communities Our residents health and wellbeing remains a priority Performance Indicator Owner % of air quality monitoring stations complying with the national objective for nitrogen dioxide at the nearest building façades of residential properties , schools, hospitals and care homes (40ug/m3 NO2 ) Mark Walsh Percentage of highest priority pest control service requests responded to within 2 working days John Stevenson Percentage of service users (businesses) very satisfied or fairly satisfied with the service they received from environmental health Eilidh Paton Percentage of service users (citizens) satisfied or very satisfied with the service they received from environmental health John Stevenson Percentage of businesses and activities regulated by environmental health who are substantially compliant with legislative requirements John Stevenson Food Law: Percentage of food businesses in the highest risk category (1 to 6 monthly inspections by Food & Business Group) that were inspected on time Eilidh Paton Food Law: Percentage of food businesses in the high risk category (12 monthly inspections by Food & Business Group) that were inspected on time Eilidh Paton Number of reports of bogus/cold callers Annemarie Clelland Total annual redress won for consumers by Trading Standards Group (£) Annemarie Clelland Action Due Date Owner Commence implementation of the Shaping Places for Wellbeing pilot in Clydebank 31-Mar-2023 Pamela Clifford Conduct property inspections of host properties identified through the Super Sponsor Scheme (Homes for Ukraine) 31-Mar-2023 John Stevenson Page 83
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Our Environment Our local environment is protected, enhanced and valued Performance Indicator Owner Air Quality: PM10 Concentration Mark Walsh Our resources are used in an environmentally sustainable way Performance Indicator Owner Tonnage of carbon dioxide emissions from Council operations and assets Adam Armour - Florence Action Due Date Owner Co-ordinate, monitor and report the progress of the Council’s Climate Change Action Plan for 2022/23 31-Mar-2023 Adam Armour - Florence Risk Description Current Assessment Target Assessment Owner Inability to reduce carbon footprint in line with targets The risk that the Council will be unable to achieve net zero emissions by 2045, both in relation to mitigating carbon emissions and adapting to the impacts of climate change. Net zero refers to achieving an overall balance between emissions produced and emissions taken out of the atmosphere. This target has been developed in a way that mirrors the emission reduction trajectory set by the Scottish Government in light of the Climate Emergency. Adam Armour- Florence Page 84
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Our neighbourhoods are sustainable and attractive Performance Indicator Owner Percentage of private landlord applications administered and processed within 21 days John Stevenson Action Due Date Owner Provide further legal and planning support to the delivery of the new affordable housing programme 31-Mar-2023 Alan Douglas Promote the next phase of Queens Quay Housing 31-Mar-2023 Pamela Clifford; Gillian McNamara Our Economy Our area has the infrastructure for sustainable and inclusive growth where businesses can flourish Performance Indicator Owner Number of businesses given advice and assistance to start up through Business Gateway Gillian Scholes No of business gateway start-ups per 10,000 population Gillian Scholes Cost of Economic Development & Tourism per 1,000 population Gillian Scholes Proportion of properties receiving superfast broadband Gillian Scholes Town Vacancy Rates Alan Williamson Immediately available employment land as a % of total land allocated for employment purposes Alan Williamson Action Due Date Owner Deliver key regeneration sites across West Dunbartonshire 31-Mar-2023 Gillian McNamara Explore commercial opportunities in our town centres and wider regeneration sites 31-Mar-2023 Gillian McNamara Page 85
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Action Due Date Owner Support Town Centre Recovery 31-Mar-2023 Gillian McNamara Develop a new Economic Development Strategy and action plan 31-Mar-2023 Gillian McNamara; Gillian Scholes Ensure regeneration sites are progressed to enable high quality development to be achieved on the ground 31-Mar-2023 Pamela Clifford Monitor the development of the key regeneration sites to ensure they comply with the approved consent 31-Mar-2023 Pamela Clifford Risk Description Current Assessment Target Assessment Owner Affordability of the Exxon City Deal Project There is a risk that the affordability of delivering the City Deal Exxon project is beyond the resources being made available from Glasgow City Region City Deal. Gillian McNamara Failure to deliver Queens Quay Masterplan Following completion of Council investment there is a risk the housing plot sales do not materialise in the next 3-7 years, with implications for the return on investment and the business case for the District Heating Network. Pamela Clifford; Gillian McNamara Inability to meet demands of Council to progress regeneration projects within desired timescales The number and complexity of regeneration projects is putting considerable strain on the resources available which can be exacerbated by delays out with the control of the service and when pinch points on different projects occur at roughly the same time. Pamela Clifford; Alan Douglas; Gillian McNamara Page 86
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Our Council Our workforce is resilient and skilled where digital technology supports service delivery for our residents Action Due Date Owner Develop and implement wellbeing, employee engagement, equality and training plans to enable capabilities, improved resilience and promotion of a diverse workforce 31-Mar-2023 Management Team Develop and implement employee life cycle plans in line with the People First Strategy to attract and retain the workforce 31-Mar-2023 Management Team Implement service review process including role design, use of new technology and new ways of working to add resilience, address gaps, and establish opportunities for efficiencies 31-Mar-2023 Management Team Develop and implement training plans and development opportunities to improve capabilities and resilience within the workforce 31-Mar-2023 Management Team Our Council is adaptable and focused on delivering best value for our residents Performance Indicator Owner Planning applications (major developments) - average number of weeks to decision Pamela Clifford Planning applications (householder) - average number of weeks to decision Pamela Clifford Planning applications (local development, excluding householder) - average number of weeks to decision Pamela Clifford Percentage of Environmental Health service requests from citizens first responded to within 2 working days John Stevenson Percentage of building warrant applications responded to within 20 working days Judi Ferguson Action Due Date Owner Provide legal services to West Dunbartonshire Energy LLP in relation to heat supply agreements and network supply contracts 31-Mar-2023 Alan Douglas Complete business case and seek Council capital funding for IDOX Electronic Document Management System for Planning & Business Standards 31-Mar-2023 Pamela Clifford Page 87
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Action Due Date Owner Provide legal advice, guidance and support on the emerging National Care Service 31-Mar-2023 Alan Douglas Designate and train service data ambassadors for the Corporate Data Information Management system (MAGIC) and evaluate its use 31-Mar-2023 Pamela Clifford Implement Fit for Future improvement plan for Building Standards 31-Mar-2023 Pamela Clifford Complete the Rediscovering the Antonine Wall Project and start preparation for Phase 2: Re-imaging the Antoine Wall 31-Mar-2023 Pamela Clifford Implement the provisions of National Planning Framework 4 for West Dunbartonshire’s planning policies and priorities, adopt LDP 2 and commence work on LDP3 31-Mar-2023 Pamela Clifford Complete the co-ordination of the refurbishment of civic areas of Clydebank Town Hall 31-Mar-2023 George Hawthorn Risk Description Current Assessment Target Assessment Owner Failure to monitor and enforce regulatory areas with public risk The Council fails to comply with statutory regulatory duties in respect of environmental health, trading standards and licensing laws. Annemarie Clelland; John Stevenson; Michael McDougal Income for services continues to be dramatically reduced as a result of the COVID-19 pandemic Relates to registration, licensing, planning and building control which have been impacted as a result of the COVID-19 pandemic. Alan Douglas Failure to adequately respond to an emergency situation such as a multiple fatality workplace accident, outbreak of food borne communicable disease, a There is a national shortage of qualified staff in Environmental Health, across Scotland. This impacts on West Dunbartonshire Council. Vacancy levels at WDC might impact on our ability to respond to emergencies. John Stevenson Page 88
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Risk Description Current Assessment Target Assessment Owner major public health incident or pandemic Inability to recruit successfully to enable performance to be maintained There is a current issue with recruitment of qualified staff in various parts of the service. Pamela Clifford; John Stevenson Our residents are engaged and empowered Performance Indicator Owner Percentage of Council and Committee minutes produced within 3 clear working days of the meeting Christine McCaffary % of committee agendas published within standing order timescales George Hawthorn; Christine McCaffary Action Due Date Owner Plan and conduct the Scottish Local Government Elections in May 2022 31-May-2022 George Hawthorn Implement the action plan to set up the new Council following the Local Government Elections 31-Mar-2023 George Hawthorn Plan and organise the nomination process for Community Councils and where necessary hold elections to identify successful candidates 31-Dec-2022 George Hawthorn Page 89
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WEST DUNBARTONSHIRE COUNCIL Report by Chief Officer - Resources Corporate Services Committee : 2 November 2022 Subject: Resources Delivery Plan 2022/23 1 Purpose 1.1 The purpose of this report is to provide members with the Resources Delivery Plan 2022/23. 2 Recommendations 2.1 It is recommended that Committee notes the contents of the Plan. 3 Background 3.1 In line with the Strategic Planning & Performance Framework, each Chief Officer develops an annual Delivery Plan which sets out actions to help deliver the Strategic Plan and address the performance challenges and service priorities identified in the planning process. The Plan also provides an overview of services and resources, including employees and budgets, sets out the performance indicators (PIs) for monitoring progress and considers the relevant risks. 3.2 Following the local government election in May 2022, a new five-year Strategic Plan was developed in consultation with stakeholders and submitted to Council for approval in October. This sets out the Council’s priorities, objectives and key PIs, providing clear direction for the development of the first set of annual delivery plans, of which the Resources Delivery Plan is one of eight. 3.3 The implementation of this Plan will be monitored by the management team with interim progress reported to Corporate Services Committee in February 2023 and year-end progress in May 2023. 4 Main Issues 4.1 The Resources Delivery Plan for 2022/23 is set out at Appendix 1. 4.2 Key priorities for 2022/23 include: delivering sustainable, quality services within the context of significant financial challenges; responding to the change to the Accounting Code of Practice in relation to leasing; developing and providing financial services to West Dunbartonshire Energy Limited; automating appropriate reconciliation processes; supporting key transformational projects across the Council; reviewing the capital programme and associated monitoring and reporting processes; addressing the negative impact of wider economic factors on rent arrears, Council Tax collection and ITEM 11 Page 91
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corporate debt; automating Council processes and information provision; and ensuring compliance with the Code of Good Governance. 5 People Implications 5.1 There are no direct people implications arising from this report. 6 Financial & Procurement Implications 6.1 There are no direct financial or procurement implications arising from this report. 7 Risk Analysis 7.1 Failure to deliver on the actions assigned to Resources may have a direct impact on the delivery of the Council’s Strategic Plan. It is essential that remedial action is taken to ensure strategic delivery plans achieve the commitments detailed and approved. 8 Equalities Impact Assessment 8.1 Screening and impact assessments will be carried out on specific activities as required. 9 Consultation 9.1 The delivery plans were developed through consultation with officers from the strategic service areas. 10 Strategic Assessment 10.1 The delivery plans set out actions to support the successful delivery of the strategic priorities and objectives of the Council. Chief Officer: Laurence Slavin Service Area: Resources Date: 5 October 2022 _____________________________________________________________ Person to Contact: Lynn Henderson lynn.henderson@west-dunbarton.gov.uk Appendices: Appendix 1: Resources Delivery Plan 2022/23 Background Papers: Strategic Plan 2022/27 - Council, 26 October 2022 Strategic Planning & Performance Framework 2022/27 Wards Affected: All Page 92
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2022/23 RESOURCES Appendix 1: Resources Delivery Plan 2022/23 Appendix 1 Page 93
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Contents 1. Introduction ........................................................................................................................................................................... 2 2. Performance Review ............................................................................................................................................................. 2 3. Strategic Assessment ........................................................................................................................................................... 5 4. Resources ............................................................................................................................................................................. 9 Appendix 1: Action Plan ................................................................................................................................................................. 11 Page 94
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1. Introduction Resources comprises Finance, Business Support and Internal Audit & Fraud. It provides accountancy, treasury management, internal audit and fraud, and business support services to the Council and external clients including the West Dunbartonshire Leisure Trust, the Valuation Joint Board, Clydebank Property Company, charities and trusts, Clydebank Municipal Bank, and West Dunbartonshire Energy Ltd. Company. In addition, it provides direct services to residents of West Dunbartonshire. It is one of 8 strategic areas responsible for delivering the Council’s Strategic Plan. Key actions to help achieve that are set out in this Delivery Plan, together with actions to address any performance issues and service priorities identified in the planning process. The progress of this Plan will be monitored and managed by the management team and reported to Corporate Services Committee twice yearly, at mid-year and year-end. 2. Performance Review The Resources management team completed a detailed review of 2021/22 performance, focusing on the following: • 2021/22 Delivery Plan year-end progress • 2021/22 Quality Standards year-end progress • Local Government Benchmarking Framework (LGBF) comparative data • Complaints • Benchmarking within the Audit service. This review highlighted our key achievements in 2021/22 as well as the challenges to be addressed in 2022/23. These are summarised below. Key Achievements in 2021/22 Service Wide • Managed a smooth transition to a new Chief Officer (appointed January 2022) just prior to the Council setting its 2022/23 revenue and capital budget. Page 95
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Finance • Completed a number of audited Financial Statements within statutory deadlines, with no qualifications, under very challenging circumstances due to the pandemic and a material increase in funding streams requiring careful management. • Developed systems to provide financial support to the District Heating Network, a new subsidiary company of the Council. • Continued to deliver service and financial returns to public sector bodies with a new streamlined staffing structure. • Supported transformation projects within the Council, including a number of ad hoc one-off projects, for example, the District Heating Network, ongoing development of revised costing models and financial reporting within Housing Maintenance Trading Account. Business Support • Processed £2m in Free School Meals and hardship payments to families in need throughout the pandemic. • Processed £0.571m in clothing grants to parents and carers of 4,234 school pupils. • Processed £2.5m in Discretionary Housing Payments to assist the most vulnerable tenants with housing costs. • Increased efficiency by developing automation solutions to process Free School Meals, Clothing Grants and Discretionary Housing payments. • Supported the processing of Business Grants and a range of rates reliefs for businesses in the council area. • Improved the efficiency of the creditor payments process through enhanced automation. Internal Audit & Fraud • Finalised the 2020/21 annual audit plan and progressed the 2021/22 audit plan. • Delivered actual savings and re-billings of £286,142 against an annual target of £250,000 through the Corporate Fraud Team. Key Challenges in 2021/22 Finance • Reconciling and managing a significant number of additional funding streams (mainly due to COVID and Scottish Government priorities). • Developing processes to ensure compliance with the new requirements of the Accounting Codes of Practice e.g. significant changes in accounting for leasing. Page 96
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• Achieving delivery of service and national requirements with a new streamlined staffing structure and an extended audit period. • Providing personal development for staff and service resilience by allocating new roles to a number of the team resulting in a significant learning curve for many senior officers, whilst continuing to provide a quality service to customers. Business Support • Level of rent arrears was aggravated by the impact of COVID. • Collection of Sundry Debt was greatly impacted by COVID which is being managed in line with the Corporate Debt policy and a range of flexible measures. • Managing levels of service delivery with the levels of budget cuts. • Delivering council wide automations. • Maintaining corporate administration support service levels throughout the disruption of COVID was challenging, for example, staff absence. This was over and above accommodating additional requests from services, where increased or additional service provision was required in response to COVID or other initiatives. Internal Audit & Fraud • Completing the 2020/21 and progressing the 2021/22 Audit Plans were hindered by staff illness, turnover, recruitment difficulties as well as other priorities. Page 97
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3. Strategic Assessment The Resources management team completed a strategic assessment to determine the major influences on service delivery and priorities in 2022/23. The key factors are summarised below. Key Factors Financial Challenges The entire public sector is facing significant financial challenges. The Council are currently faced with an estimated cumulative funding gap in 2023/24 of £18.3m rising to £24.2m in 2024/25. Funding pressures relating to COVID will continue in 2022/23, and whilst there is still some carried forward COVID funding from the Scottish Government available for use in 2022/23, it is difficult to assess whether it will continue to be sufficient due to the ongoing unpredictability of the impact of the pandemic on people’s lives and local businesses. We will continue to monitor the overall financial position of the Council and updates on estimated future budget gaps will be reported to Elected Members throughout 2022/23. These challenges mean further action is required to balance our budget and protect services for residents. This will mean that, within Resources, available funding will be reduced and we will need to reconfigure how we work and what we do to deliver further efficiencies. To deliver the Council’s objectives and meet those financial challenges, the Resources management team will implement the actions set out in the action plan in Appendix 2 under strong financial governance and sustainable budget management. Budget Sensitivity Analysis In reviewing the service budget projections, consideration has been given to the sensitivity of these budgets, in particular for higher risk/ higher value budgets which may have a significant impact on budgetary control and future budget projections. The analysis has considered sensitivity around demand, costs and charges, and income levels. Within Resources there were no budgets identified as being more susceptible to fluctuations. Page 98
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Accounting Code of Practice – Change Regarding Leasing There has been a change to the Code of Practice on Local Authority Accounting issued by CIPFA (the Chartered Institute of Public Finance & Accountancy) in relation to leasing, which was due to be in place for 1 April 2022 but has subsequently been delayed until 1 April 2023. Going forward, this results in a significant change in the way leasing costs are presented within the Financial Statements and costs are presented within the Treasury Management Strategy. This change requires us to gather and analyse a significant amount of corporate-wide information, ensure awareness of the changes for both members and officers and change the current processes for both Financial Statements and the Treasury Strategy. We will continue to gather and analyse information received to ensure we are prepared for the inclusion in the Financial Statements 2023/24. Accounts for West Dunbartonshire Energy Limited The District Heating System provides low carbon heating and cooling solutions to the Queens Quay regeneration site. It aims to significantly reduce fuel poverty and deprivation within some of the poorer neighbourhoods of West Dunbartonshire and, crucially, contribute to key climate change targets. West Dunbartonshire Energy Limited, established in 2021, will progress the district heating network at Queens Quay. Resources requires to develop and provide financial services to the new company. This increases workload on an ongoing basis within current resources. In 2022/23 we will develop and provide services including the development of a company structure within the ledger system, reconciliations, Financial Statement preparation, budget preparation and monitoring, VAT returns, ledger control, and invoicing. Automation of Reconciliations (including VAT) Reconciliations and VAT processes are carried out manually. This is time consuming and introduces the risk of errors. In order to address this, work is currently underway to review specific reconciliations and VAT processes for automation where this is appropriate. Longer term this will reduce manual input and the risk of manual error. Resource Services Support for Transformational Projects and Future Saving Options As the Council continues to transform services internally and to the public, the need for financial expertise and input is paramount. Without this, there is the potential for projections of future costs and income to be inaccurate which could materially affect the Council’s ongoing financial position. To address this, we will continue to develop our staff to ensure they have the appropriate knowledge to support services and Page 99
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transformational projects within the Council and engage closely with services to ensure we have a thorough understanding of the challenges they face and plan an active role in the progression of transformational projects and the development of saving options. Review of Capital Programme, Monitoring and Reporting The Council receives a general capital grant from the Scottish Government each year (approximately £6m). Any spend above this level, not funded from other grants, is funded from borrowing. Capital spend funded from borrowing results in revenue loan charges until the borrowing is fully repaid. Therefore any reduction in the capital programme will result in revenue savings over a longer period of time. Furthermore there is extensive monitoring and reporting of the Capital Programme to Council and Service Committees. Whilst it is important that robust monitoring is in place, it needs to be delivered in a way which finds a balance between transparent and effective reporting and not being excessively resource intensive. During 2022/23, we will review the current capital programme and the supporting reporting procedures to ensure the programme is affordable and reporting is efficient and effective. Increased Corporate Debt Due to the wider economic factors impacting on the collection of rent, Council Tax and sundry debt, the Council is finding it more difficult to collect all the money it is owed resulting in increased levels of debt across a range of debt types. This has been exacerbated by the impact of the COVID pandemic. In 2022/23, we will: • Review ways of decreasing corporate debt through continued improvements to debt collection processes in relation to sundry, NDR, Council Tax and rent. • Continue to review ways to improve rent collection rates in conjunction with Housing and W4U. Automation of Processes and Information Provision Staff across the Council are employed in manual processes and information provision, such as processing invoices and updating transactional spreadsheets. Many such processes can be automated, providing benefits such as faster service delivery, improved quality and greater flexibility, as well as enabling staff to refocus on more complex and meaningful tasks rather than those that are repetitive and mundane. In 2022/23, we will maximise automation opportunities across the organisation to improve efficiency. Page 100
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Code of Good Governance COVID required changes to governance, risk management and control procedures operating within the Council. In light of this, we will revise the Code of Good Governance, continue to ensure Council compliance with the Code, report this to Audit Committee and embed it within the Annual Governance Statement. Action Plan The challenges identified in Section 2 and the key factors identified in Section 3 have informed Resources priorities for 2022/23. Appendix 1 sets out the action plan to address them. It also includes: • performance indicators and targets that will enable progress to be monitored and reported to stakeholders • strategic workforce actions to address workforce issues identified in the planning process • strategic and/or service risks, including those relating to the pandemic. In relation to the latter, strategic risks represent the potential for the Council to take advantage of opportunities or fail to meet stated strategic objectives and those that require strategic leadership. Service risks relate to service delivery and represent the potential for impact on individual services, or the experience of those who work within the services, i.e. employees, partners, contractors and volunteers or service users and clients in receipt of the services provided. In identifying the relevant risks for 2022/23 and actions to mitigate them, the aim is to improve or maintain the current position (i.e. the current risk score) set out in the appendix. Page 101
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4. Resources Finance Resources has a net revenue budget of £5.522m and a capital budget of £0.073m in 2022/23. A breakdown by service area is set out below. We will make the best use of the resources available to deliver on key priority areas and secure external/match funding where this is possible. Service Area Gross Expenditure 2022/23 (£m) Gross Income 2022/23 (£m) Net Expenditure 2022/23 (£m) Capital Budget 2022/23 (£m) Finance 1.653 0.255 1.398 0.073 Audit and Fraud 0.431 0.300 0.131 0.000 Business Support 40.061 38.700 1.360 0.000 Central Administration Support (CAS) 2.646 0.013 2.633 0.000 TOTAL 44.791 39.268 5.522 0.073 Employees Employee Numbers The headcount and full time equivalent employees in each service area (as at 31 March 2022) are as follows: Resources Headcount FTE Finance 45 38.04 Audit and Fraud 9 7.17 Business Support 185 161.81 TOTAL 239 207.01 Page 102
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Absence in 2021/22 The quarterly absence statistics for Resources are shown below together with the Council average for the same periods for comparison. The figures for Resources have been lower than the Council average throughout 2021/22: Absence in 2021/22 Quarter 1 Quarter 2 Quarter 3 Quarter 4 Annual FTE days lost per FTE employee Resources 1.90 1.49 1.24 1.40 5.83 COUNCIL WIDE TOTAL 3.27 3.58 4.50 5.03 14.55 Page 103
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Appendix 1: Action Plan Our Economy Our area has the infrastructure for sustainable and inclusive growth where businesses can flourish Performance Indicator Owner Number of invoices paid within 30 calendar days of receipt as a percentage of all invoices paid Stella Kinloch Our partnerships support economic development to deliver increased prosperity for our area Performance Indicator Owner The time for processing applications for new Housing Benefits claims from the date of receipt of the application to the day on which the claim is decided Ryan Chalmers The time for processing applications for notifications of changes of circumstances for Housing Benefits from the date of receipt of the application to the day on which the claim is decided. Ryan Chalmers Our Council Our workforce is resilient and skilled where digital technology supports service delivery for our residents Action Due Date Owner Develop and implement wellbeing, employee engagement, equality and training plans to enable capabilities, improved resilience and promotion of a diverse workforce 31-Mar-2023 Management Team Page 104
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Action Due Date Owner Develop and implement employee life cycle plans in line with the People First Strategy to attract and retain the workforce 31-Mar-2023 Management Team Implement service review process including role design, use of new technology and new ways of working to add resilience, address gaps, and establish opportunities for efficiencies 31-Mar-2023 Management Team Develop and implement training plans and development opportunities to improve capabilities and resilience within the workforce 31-Mar-2023 Management Team Our Council is adaptable and focused on delivering best value for our residents Performance Indicator Owner Value of outstanding sundry debt as a percentage of total that is more than 90 days old from date of invoice Ryan Chalmers Rent collected as a % of total rent due Ryan Chalmers Percentage of corporate fraud savings target achieved Andi Priestman Support services as a % of total gross expenditure Adrian Gray Cost of collecting council tax per dwelling £ Ryan Chalmers Percentage of income due from council tax received by the end of the year % Ryan Chalmers Current tenants' arrears as a percentage of total rent due % Ryan Chalmers Gross rent arrears (all tenants) as at 31 March each year as a percentage of rent due for the reporting year Ryan Chalmers Income generated as a % of total revenue budget Gillian McNeilly Action Due Date Owner Review ways of decreasing corporate debt through continued improvements to debt collection processes in relation to sundry, NDR, Council Tax and rent 31-Mar-2023 Ryan Chalmers Page 105
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Action Due Date Owner Review ways to improve rent collection rates in conjunction with Housing and W4U 31-Mar-2023 Ryan Chalmers; Stefan Kristmanns Maximise automation opportunities across the organisation to improve efficiency 31-Mar-2023 Arun Menon Risk Description Current Assessment Target Assessment Owner Debt is not recovered efficiently or effectively, with inherent risk of financial loss The processes deployed in collection of monies owed to the council are inefficient and ineffective resulting in money not collected on time or having to be written off Ryan Chalmers Increase in the level of rent arrears due to the level of Welfare Reform changes and general state of economy The Council sees an increase in its level of rent arrears due to lower disposable income and national changes to the national benefits regime and the ongoing economic position Ryan Chalmers Our residents are engaged and empowered Performance Indicator Owner % of council resources directed by communities Clare English; Gillian McNeilly; Elaine Troup Page 106
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Strong financial governance and sustainable budget management (Service Objective) Performance Indicator Owner Amount of free reserves as a percentage of the prudential reserve target - HRA Gillian McNeilly Amount of free reserves as a percentage of the prudential reserve target - General services Gillian McNeilly Percentage variance to budget projected (General Services budget) Gillian McNeilly Percentage of Audit Plan completed Andi Priestman Action Due Date Owner Revise the Code of Good Governance 31-Mar-2023 Andi Priestman Ensure continued compliance with the Code of Good Governance during 2022/23 31-Mar-2023 Andi Priestman Prepare and submit draft Annual Governance Statement for 2021/22 to the Audit Committee 30-Jun-2022 Andi Priestman Continue to improve and deliver the Assurance Statement for 2021/22 to support the Annual Governance Statement 30-Jun-2022 Andi Priestman Complete the Internal Audit & Corporate Fraud Plan 2021/22 and report to Audit Committee as part of the Annual Assurance Statement 31-Aug-2022 Andi Priestman Implement the change to the Accounting Code of Practice in relation to leasing 31-Mar-2023 Jackie Nicol- Thomson Develop and provide financial services to West Dunbartonshire Energy Limited 31-Mar-2023 Adrian Gray; Gillian McNeilly Review reconciliations and VAT processes for automation and implement those identified as appropriate 31-Mar-2023 Gillian McNeilly; Karen Shannon Review capital programme, monitoring and reporting 31-Mar-2023 Gillian McNeilly Review financial arrangements against the CIPFA financial code of practice 30-Sep-2022 Gillian McNeilly Page 107
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Risk Description Current Assessment Target Assessment Owner Failure to provide assurance of the system of financial controls Either Internal Audit or External Audit is unable to provide assurances on the Council's financial control environment Andi Priestman Failure to meet statutory deadlines for external returns (including HMRC) and financial statements Finance Services failing to meet statutory deadlines resulting in lost revenue or penalty costs Gillian McNeilly Financial projections are significantly incorrect Financial projections for both capital and revenue are significantly incorrect for various reasons – including unexpected costs – resulting in insufficient reserves being held Gillian McNeilly Significant financial funding reductions / limitations from Scottish Government It is expected that the Council will be faced with significant ongoing funding reductions/limited increases from the Scottish Government settlement. This is based on recent settlements and ongoing projected population change with West Dunbartonshire. This coincides with a period where costs are expected to rise in relation to social care due to an aging population; inflationary increases with RPI at a level not seen since 1991; post-COVID-19 ongoing costs; likely increased cost of borrowing as interest rates increase and pay award pressures linked to inflation. The ongoing population decline of West Dunbartonshire versus the average population for the whole of Scotland leads directly to funding reductions with marginal impact on service delivery cost/need. Pay awards and other inflationary pressures are Gillian McNeilly Page 108
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Risk Description Current Assessment Target Assessment Owner expected to continue to be higher than any settlement position. Covid-19 introduces a risk in relation to the potential net cost to the Council versus the ongoing funding support and/or financial flexibilities provided by the Scottish Government, though this is anticipated to be fully funded. Page 109
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WEST DUNBARTONSHIRE COUNCIL Report by Chief Officer – Supply, Distribution & Property Corporate Services Committee : 2 November 2022 Subject: Supply, Distribution & Property Delivery Plan 2022/23 Corporate Procurement Unit 1 Purpose 1.1 The purpose of this report is to provide members with the Corporate Procurement Unit priorities within the Supply Distribution & Property (SD&P) Delivery Plan 2022/23. 2 Recommendations 2.1 It is recommended that Committee notes the contents of the Plan. 3 Background 3.1 In line with the Strategic Planning & Performance Framework, each Chief Officer develops an annual Delivery Plan which sets out actions to help deliver the Strategic Plan and address the performance challenges and service priorities identified in the planning process. The Plan also provides an overview of services and resources, including employees and budgets, sets out the performance indicators (PIs) for monitoring progress and considers the relevant risks. 3.2 Following the local government election in May 2022, a new five-year Strategic Plan was developed in consultation with stakeholders and submitted to Council for approval in October. This sets out the Council’s priorities, objectives and key PIs, providing clear direction for the development of the first set of annual delivery plans, of which the Supply Distribution & Property Delivery Plan is one of eight. 3.3 The implementation of the Corporate Procurement Unit priorities within the SD&P Delivery Plan will be monitored by the management team with interim progress reported to Corporate Services Committee in February 2023 and year-end progress in May 2023. 4 Main Issues 4.1 An extract from the SD&P 2022/23 Delivery Plan is included at Appendix 1. This sets out the achievements and challenges for Corporate Procurement Unit over the past year, as well as the priorities for 2022/23. 4.2 They include: Continue to incorporate social benefits in the contract activity; Implement the Fit for Future Action Plan for Procurement – P2P Phase 1; ITEM 12 Page 111
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deliver procurement savings and benefits; and refresh contract and supply management Policy. 5 People Implications 5.1 There are no direct people implications arising from this report. 6 Financial & Procurement Implications 6.1 There are no direct financial or procurement implications arising from this report. 7 Risk Analysis 7.1 Failure to deliver on the actions assigned to SD&P including Corporate Procurement Unit, may have a direct impact on the delivery of the Council’s Strategic Plan. It is essential that remedial action is taken to ensure strategic delivery plans achieve the commitments detailed and approved. 8 Equalities Impact Assessment 8.1 Screening and impact assessments will be carried out on specific activities as required. 9 Consultation 9.1 The delivery plans were developed through consultation with officers from the strategic service areas. 10 Strategic Assessment 10.1 The delivery plans set out actions to support the successful delivery of the strategic priorities and objectives of the Council. Chief Officer: Angela Wilson Service Area: Supply Distribution & Property Date: 30 September 2022 _____________________________________________________________ Person to Contact: Karen Connelly karen.Connelly@west-dunbarton.gov.uk Appendices: Appendix 1: Corporate Procurement Unit Extract from the Supply, Distribution & Property Delivery Plan 2022/23 Background Papers: Strategic Plan 2022/27 - Council, 26 October 2022 Page 112
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Strategic Planning & Performance Framework 2022/27 Wards Affected: All Page 113
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2022/23 SUPPLY, DISTRIBUTION AND PROPERTY – Corporate Procurement Unit Extract Appendix 1 Page 115
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Contents 1. Introduction .................................................................................................................................................................................................... 3 2. Performance Review ...................................................................................................................................................................................... 3 3. Strategic Assessment .................................................................................................................................................................................... 5 4. Resources ...................................................................................................................................................................................................... 7 Appendix 1: Action Plan ............................................................................................................................................................................................ 9 Page 116
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1. Introduction Supply, Distribution and Property comprises a wide range of services covering Corporate Asset Management, Building Services, Housing Asset & Investment and the Corporate Procurement Unit (CPU). It is one of 8 strategic areas responsible for delivering the Council’s Strategic Plan. Key actions to help achieve that are set out in this Delivery Plan, together with actions to address any performance issues and service priorities identified in the planning process. The progress of this Plan for will be monitored and managed by the management team and reported to Corporate Services Committee twice yearly, at mid-year and year-end for Corporate Procurement Unit (CPU). 2. Performance Review The Supply, Distribution and Property management team completed a detailed review of 2021/22 performance, focusing on the following: • 2021/22 Delivery Plan year end progress; • 2021/22 Quality Standards year end progress; • Local Government Benchmarking Framework (LGBF) comparative data; • Telephone Survey feedback; • Complaints; • Continuous Improvement (Fit for Future reviews) • Other benchmarking/feedback. This review highlighted our key achievements in 2021/22 as well as the challenges to be addressed in 2022/23. These are summarised below. Key Achievements in 2021/22 Listed below are some of the major achievements in each service area. Despite the unprecedented challenges the coronavirus pandemic has created including restrictions and additional duties, each service within SD&P has found new ways of continuing the delivery of critical front line services. The service achieved many other outcomes throughout the year which are not recorded here but are as important. Page 117
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Corporate Procurement Unit • Delivered a new 5 year Procurement Strategy. • Increased the procurement spend compliance to 98% in 2020/2021 and at the first six months of 2021/2022, was also 98%. • Delivered annual performance procurement savings of £0.732m. • Increased procurement spend on local enterprises and suppliers who have a presence in West Dunbartonshire to 43.1%. • Collaborated with partners to make a positive contribution to sustainability through procurement decisions • Collaborated with partners and suppliers to deliver and increase local social and community benefits. Key Challenges from 2021/22 Workforce. • The principle challenge has continued to be in relation to the COVID-19 pandemic. Including adapting to changing legislation and guidance to ensure continued delivery of front line services and safe working conditions for employees. • The turnover coupled with the time taken to replace, recruit and train employees across Supply Distribution and Property was a particular challenge in 2021/22 when demands on all services were higher than normal as a result of the pandemic. • Exceptionally high levels of sickness/ isolation particularly in Building Services had significant impact on our ability to deliver maintenance and repairs and projects. • The national skills shortage of qualified and experienced officers in Building Services, Procurement, and Corporate Asset Management, resulted in reduced workforce numbers, increased demands on existing teams and a high staff turnover. This has resulted in alternative service delivery models being introduced. Corporate Procurement Unit • Increased scrutiny at both local and national level including funding applications, monitoring and reporting required a significant amount of management time impacting on service delivery. Page 118
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3. Strategic Assessment The Supply Distribution and Property management team completed a strategic assessment to determine the major influences on service delivery and priorities in 2022/23. These are summarised below. Financial Challenges The entire public sector is facing significant financial challenges. The Council are currently faced with an estimated cumulative funding gap in 2023/24 of £18.3m rising to £24.2m in 2024/25. Funding pressures relating to COVID-19 will continue in 2022/23, and whilst there is still some carried forward COVID-19 funding from the Scottish Government available for use in 2022/23, it is difficult to assess whether it will continue to be sufficient due to the ongoing unpredictability of the impact of the pandemic on people’s lives and local businesses. We will continue to monitor the overall financial position of the Council and updates on estimated future budget gaps will be reported to Elected Members throughout 2022/23. These challenges mean further action is required to balance our budget and protect services for residents. This will mean that, within Supply Distribution and Property available funding will be reduced and we will need to reconfigure how we work and what we do to deliver further efficiencies Budget Sensitivity Analysis In reviewing the service budget projections, consideration has been given to sensitivity of these budgets, in particular for higher risk/ higher value budgets which may have a significant impact on budgetary control and future budget projections. The analysis has considered sensitivity around demand, costs and charges, and income levels. Within this service, budgets which have been identified as being more susceptible to fluctuations include: • Building Materials; 2022/23 budget - £3.5M. Nationally there has been a significant inflation in cost of building supplies and materials as well as challenges with supply due to increased energy, transport and raw material costs. Higher material costs will be passed onto client budgets through service recharges and any cost increase will put pressure on client maintenance and investment budgets. • Labour costs; 2022/23 budget - £20.1M. Nationally there continues to be challenges in recruitment and retention of staff due to a skills shortage of qualified and experienced officers. This impacts both our workforce and that of sub-contractors. • Transport fuel costs - 2022/23 budget £750,000. The price of petrol/diesel can fluctuate a great deal based on market prices. Also changes in working practices to allow for social distancing will affect the costs since now, for example, two vehicles need to be driven to a job whereas one would have sufficed pre COVID-19. Higher fuel and hire costs will be passed onto client budgets through service recharges and any cost increase will put pressure on client maintenance and investment budgets. Page 119
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• Capital Plan - Nationally there has been a significant inflation in cost of building supplies and materials and in some cases shortfall in supplies. For some projects this may need to increased costs or slippage in delivery of the capital projects. Corporate Procurement Unit CPU – Improvement Plan Following the Fit for Future service review of Procurement an action plan is being progressed to address key findings over a 3 year period, 2021/2024. This includes streamlining the customer experience, improving on line guidance and forms, improving process and procedural documents, user training and service engagement together with team resilience and communication. Contract Supplier Management Policy The refresh of the Contract and Supplier Management Policy will be progressed and aims to ensure that suppliers and Council officers adhere to their agreed contractual obligations including social benefit delivery. CPU – Strategy The Councils Procurement Strategy sets out the vision, objectives and actions to direct procurement activity reflecting national and local policies, and key focus areas. Progress against these, including delivering savings and benefits continue to be monitored. Council Wide Climate Change Strategy The Council has developed a Climate Change Strategy in response to Scotland’s climate emergency and to provide a route map towards meeting Scotland’s national net zero carbon target by 2045. This Strategy has informed the development of a Climate Change Action Plan for 2022/23 to ensure environmental actions are devolved to relevant service areas and climate change action is mainstreamed across council policies, operations and the wider public. Progress against the actions assigned to SD&P will be monitored. Continuous Improvement To support continuous improvement, the Council has an established programme of Fit for Future service reviews. Using a range of tools, that encapsulates service design, maturity assessments and employee engagement, information is gathered and reviewed to identify improvements and to ensure our services are efficient and that we make best use of our resources. During 2022/2023 we will assess the performance of the services within SD&P with a view to determining if any service would benefit from a Fit for Future service review. Page 120
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Action Plan The challenges identified in Section 2 and the key factors identified in Section 3 have informed SD&P priorities for 2022/2023. Appendix 1 sets out the action plan to address them. It also includes: • performance indicators and targets that will enable progress to be monitored and reported to stakeholders; • strategic workforce actions to address workforce issues identified in the planning process; and • strategic and/or service risks, including those relating to the pandemic. The Council has identified risks at both a strategic and service level. Strategic risks represent the potential for the Council to take advantage of opportunities or fail to meet stated strategic objectives and those that require strategic leadership; while service risks relate to service delivery and represent the potential for impact on individual services, or the experience of those who work within the services, i.e. employees, partners, contractors and volunteers or service users and clients in receipt of the services provided. In identifying the relevant risks for 2022/2023 and actions to mitigate them, the aim is to improve or maintain the current position (i.e. the current risk score) set out in the appendix. 4. Resources Finance Supply Distribution and Property has a net revenue budget of £2.73m (net income) and a capital budget of £6.20m in 2022/2023. A breakdown by service area is set out below. We will make the best use of the resources available to deliver on key priority areas and secure external/match funding where this is possible. Function Gross Expenditure 2022/23 (£m) Gross Income 2022/23 (£m) Net Expenditure 2022/23 (£m) Capital Budget 2022/23 (£m) Consultancy Services 0.845 (0.235) 0.610 0.000 Corporate Assets 2.628 (4.781) (2.153) 0.000 Capital Investment Team 0.557 (0.719) (0.162) 2.785 Private Sector Housing Grant 0.525 (0.446) 0.079 0.000 Corporate Asset Maintenance 4.862 (5.128) (0.266) 3.337 Page 121
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Housing Asset Maintenance & Investment 0.494 (0.412) 0.082 0.000 CPU 0.981 (0.500) 0.481 0.000 HMTA 18.395 (19.796) (1.401) 0.078 Total 29.287 (32.017) (2.730) 6.200 Employees Employee Numbers (data to be confirmed) The headcount and full time equivalent staff in each service area (as of 31st March 2022) are as follows: Absence in 2021/22 The quarterly absence statistics for Supply Distribution and Property are shown below together with the Council average for the same periods for comparison. The figures have been higher than the Council average overall in 2021/2022: Absence in 2021/22 Quarter 1 Quarter 2 Quarter 3 Quarter 4 Annual FTE days lost per FTE employee Supply, Distribution & Property 5.4 5.00 4.41 4.56 17.20 COUNCIL WIDE TOTAL 3.27 3.58 4.5 5.03 14.55 Service Area Headcount FTE Corporate Asset Management 43 36.10 Housing Asset & Investment 10 8.80 Maintenance & Repairs 347 336.12 CPU 19 17.14 TOTAL 419 398.16 Page 122
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Appendix 1: Action Plan 3. Our Economy Objective 7. Our area has the infrastructure for sustainable and inclusive growth where businesses can flourish Performance Indicator Owner % of Contract & Supplier Management scorecards delivered where the Supplier at a minimum, meets the Social Benefits expectations. Annabel Travers % of procurement spent on local small/medium-sized enterprises and SMEs who have a presence in West Dunbartonshire Annabel Travers Action Due Date Owner Continue to incorporate social benefits in the contract activity. 31-Mar-2023 Annabel Travers 4. Our Council Page 123
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Objective 10. Our workforce is resilient and skilled where digital technology supports service delivery for our residents Action Due Date Owner Develop and implement wellbeing, employee engagement, equality and training plans to enable capabilities, improved resilience and promotion of a diverse workforce. 31-Mar-2023 Annabel Travers Develop and implement employee life cycle plans in line with the People First Strategy to attract and retain the workforce. 31-Mar-2023 Annabel Travers Implement service review process including role design, use of new technology and new ways of working to add resilience, address gaps, and establish opportunities for efficiencies 31-Mar-2023 Annabel Travers Develop and implement training plans and development opportunities to improve capabilities and resilience within the workforce. 31-Mar-2023 Annabel Travers Objective 11. Our Council is adaptable and focused on delivering best value for our residents Performance Indicator Owner % of Contract & Supplier Management scorecards delivered where the Supplier at a minimum, meets the Cost expectations. Annabel Travers % of Contract & Supplier Management scorecards delivered where the Supplier at a minimum, meets the quality expectations Annabel Travers % of Contract & Supplier Management scorecards delivered where the Supplier at a minimum, meets the Service Annabel Travers Page 124
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Performance Indicator Owner expectations. % of C&SM scorecards submitted against the total number due Annabel Travers Annual Cash Savings target achieved Annabel Travers % of Contract award notices published within 30 calendar days from award letter being sent Annabel Travers Action Due Date Owner Implement the Fit for Future Action Plan for Procurement– P2P Phase 1 31-Mar-2023 Annabel Travers Deliver Procurement Savings and Benefits 31-Mar-2023 Annabel Travers Refresh the Contract and Supply Management Policy 31-Mar-2023 Annabel Travers Risk Description Current Assessment Target Assessment Date Reviewed Owner Failure to secure best value of procurement spend and ensure compliance with financial regulations Improved procurement management process, contract strategies, planning, monitoring and reporting in collaboration with services will continue to mitigate against non-compliant procurement spend 01-Sept-2022 Angela Wilson Failure to continue to achieve increased savings from procurement activity As second or third generation revenue contracts seldom deliver the same cost savings as first generation, the contract strategies need to focus on governance, operating models, total cost of ownership, service quality and innovation 01-Sept-2022 Angela Wilson Page 125
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WEST DUNBARTONSHIRE COUNCIL Report by Chief Officer – Supply, Distribution and Property Services Corporate Services Committee : 2 November 2022 ___________________________________________________________________ Subject: Annual Procurement Report 1. Purpose 1.1 The purpose of this report is to note the Annual Procurement Report for 2021/22. 2. Recommendations 2.1 It is recommended that Members note the Annual Procurement Report for 2021/22 as outlined in Appendix 1. 3. Background 3.1 The Procurement Reform (Scotland) Act 2014 (the Act) requires the Council to publish an Annual Procurement Report (APR) which summarises the performance of the Council in delivering its Procurement Strategy. 3.2 The APR relates specifically to regulated procurement which is defined as: “…any procurement from £50k for Supplies and Services contracts and from £2m for Works contracts. A regulated procurement is completed when the award notice is published or where the procurement process otherwise comes to an end.” 4. Main Issues 4.1 The Council’s total regulated procurement spend for 2021/22, excluding West Dunbartonshire’s Health and Social Care Partnership (WD HSCP), was 98% / £77.283m. Further, the Council’s compliant regulated procurement spend, including WD HSCP, was 93% / £118.248m. 4.2 The APR 2021/22, that includes WD HSCP’s procurement spend, can be found at Appendix 1. Members should note that the format is designed to ensure compliance in publishing information required in line with the Act. It highlights progress made over the past financial year on regulated procurements undertaken and sets out the compliant regulated procurements awarded. 4.3 Key details within the APR 2021/22 includes: • A summary of 51 regulated contracts completed; • Review of regulated procurement compliance - 93% / £118.248m; • Social (community) benefits summary; • Supported businesses and social enterprises summary; and the • Sustainability summary 5. People Implications 5.1 There are no people implications arising from this report. ITEM 13 Page 127
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6. Financial and Procurement Implications 6.1 There are no direct financial or procurement implications arising from this report. However, it is important that all officers of the Council supports the actions required to continuously improve procurement compliance. 7. Risk Analysis 7.1 There is a risk that improved performance, process and capability in procurement is not achieved, however this can be mitigated through the delivery of the Procurement Strategy. 8. Equalities Impact Assessment (EIA) 8.1 An EIA is not required with this report. 9. Consultation 9.1 Ongoing engagement continues across service management teams to progress procurement compliance and social benefits. 10. Strategic Assessment 10.1 This report support’s the Council’s aims in terms of providing open, accountable and accessible local government and supporting the following strategic priority: • A strong local economy and improved employment opportunities; • Meaning community engagement with active empowered and informed citizens who feel safe and engaged; and • Open, accountable and accessible local government. Name: Angela Wilson Designation: Chief Officer – Supply, Distribution and Property Services Date: 2 November 2022 Person to Contact: Annabel Travers, Procurement Manager, annabel.travers@west-dunbarton.gov.uk. Appendices: Annual Procurement Report - 2021/22 Background Papers: Procurement Improvement, 8 September 2021, Corporate Services Committee Page 128
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Annual Procurement Report 2021 / 2022 Appendix 1 Page 129
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2 | P a g e Contents Introduction Page 3 Summary of regulated procurement completed Page 4 Review of regulated procurement compliance Page 5 Social (community) benefits summary Page 6 Supported businesses and social enterprises Page 10 Sustainability Page 13 Future regulated procurements Page 16 Annual Procurement Report owner Page 16 Appendix 1: Outcomes achieved Page 17 Annex A: Summary of regulated procurements Page 19 Annex B: Regulated procurements Page 24 Annex C: Non-compliant regulated spend Page 31 Annex D: Future regulated procurement Page 34 Page 130
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3 | P a g e 1. Introduction 1.1 In accordance with Section 15 of the Procurement Reform (Scotland) Act 2014, the Council published its Sustainable Procurement & Commercial Strategy (Strategy) for the period 2021 to 2026. Section 18(2) (a) of the Procurement Reform (Scotland) Act 2014 requires the Council to detail “...a summary of the regulated procurements that have been completed during the year covered by the report". This Annual Procurement Report (APR) outlines the key elements of regulated procurements for the period 1 April 2021 – 31 March 2022. 1.2 The Strategy is closely aligned to the Council’s vision, values and ethos and describes the role procurement has in supporting the delivery of the Council’s Strategic Plan. It sets out the key procurement objectives of the Council for 2021 to 2026. The delivery of these objectives will support the Council as it continues to face significant challenges, including: • Resilience planning; • Impact of EU withdrawal; • Inflation in cost of supplies, global supply chain shortages; • Building a stronger community through commissioning services which aim to give more power to the community and promote community action; • Supporting services to meet financial requirements; • Continuing to proactively engage with all sectors across the local economy; • Sustainability and Climate Change duties 1.3 Appendix 1 and Annex A to D sets out the regulated procurement achievements, actions and future plans for the Council, which includes West Dunbartonshire Health and Social Care Partnership (WD HSCP). Regulated procurement refers to any procurement from £50k for Supplies and Services contracts and from £2m for Works contracts. A regulated procurement is completed when the award notice is published or where the procurement process otherwise comes to an end. Regulated procurements can refer to procurements delivered through new contracts or from utilising framework agreements (FA) or dynamic purchasing systems (DPS). 1.4 The Council maintains a public Contract Register which provides information on current contracts. The Tendering Committee approves new contracts for Supplies, Services and Works with a value from £50k and Social Care and Other Specific Services from the Light Touch Regime threshold (currently from £663,540). Page 131
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4 | P a g e 1.5 The Scottish Government’s Annex A: Summary of Regulated Procurements, is detailed in this report. As well as the mandatory data, the Council has gone further by detailing additional data including the data pertaining to businesses in the community. 2. Summary of regulated procurement completed 2.1 Details of regulated procurements awarded by the Council between 1 April 2021 and 31 March 2022 can be found at Annex B: Regulated Procurements and Annex A. Collaborations with other public bodies to maximise mutual benefits, where appropriate, are included in the regulated procurements. This includes Scottish Government, CoSLA, Crown Commercial Services, Scotland Excel and the Council all acting as the contracting authority when procuring Supplies, Services and Works. 2.2 17 regulated contracts where appropriately awarded without a competitive procurement process: Reason Regulated Contract Response to COVID-19 CO2 Monitors for Education People based Provision of Residential Housing Support Services for Adults Aged 16 and Over Provision of Residential Housing Support Services for Young People Aged 16-21 Years Provision of Dumbarton Area Council on Alcohol’s Community Based Alcohol Support Service Provision of Alcohol Related Brain Damage Community Support Services Provision of Recovery Group Programmes – Community Services for those Affected by Substance Misuse Provision of Home Care and Housing Support Services (2121-21) Provision of Care at Home, Housing Support and Respite Services for Those Living With Dementia Provision of Home Care and Housing Support Services (2021-25) Provision of Home Care and Housing Support Services (2021-26) Page 132
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5 | P a g e Reason Regulated Contract People based Provision of Home Care and Housing Support Services (2021-28) Provision of Learning Disability Services - Community Based Support Service Provision of Children's Residential Care and Education Services Including Short Breaks Provision of LD Services: Supported Living Service (2122-07) Provision of LD Services: Supported Living Service (2122-08) Provision of LD Services: Supported Living Service (2122-09) Provision of LD Services: Supported Living Service (2122-10) 3. Review of regulated procurement compliance 3.1 Based on an analysis of spend data, of the £127,605,938 regulated procurement spend, 93% / £118,247,791 (Council and WD HSCP) was compliant with regulated procurements. Further, of the £78,947,631 regulated procurement spend, 98% / £77,282,507 (Council only) was compliant with regulated procurements: Spend Type Total Regulated Spend Compliant Regulated Spend Non-Compliant Regulated Spend Percentage Compliant Supplies £12,255,960 £12,130,185 £125,775 99% Services £79,084,852 £69,852,480 £9,232,371 88% Works £36,265,126 £36,265,126 £0 100% Total £127,605,938 £118,247,791 £9,358,147 93% 3.2 The summary detail is shown in Annex C: Non-Compliant Regulated Spend and also highlights where further work is required to achieve increased rates of compliance. Where there has been non-compliance with procedures, this is partly due to service priorities which included the response to COVID-19 and the combined value of spend across various services being more than the Financial Regulation limits. Page 133
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6 | P a g e 4. Social (community) benefits summary 4.1 The Council is committed to working with our local community and businesses to maximise local social value - one of the five strategic aims in the Council’s Strategic Plan is for a strong local economy and improved employment opportunities. 4.2 The Council has implemented specific clauses within procurement contracts from £50k, known as social benefit clauses. Social benefit clauses are requirements which deliver wider benefits to our local community in addition to the core purpose of a contract. These clauses can be used to build a range of economic, social or environmental benefits into Council contracts through a range of options which may include, but are not limited to: • Employment, work experience, training or modern apprenticeship opportunities; • Education engagement and curriculum support activities; • Support for community and environment projects through donation of money, labour, equipment or materials; and • Other initiatives to support and develop local businesses, community groups and the local third sector 4.3 The social benefits questionnaire is part of the procurement documentation issued to all bidders of Council tenders and includes target social benefits points based on the annual value of the contract. This is a transparent, fair and accountable approach for assessing the impact of Social Benefits. Details of the social benefits points delivered (regulated and non-regulated contracts) in 2021/22 can be found in the table below: Procurement Title Social Benefits Cleaning Services for Homeless and Void Properties Sub-contracted services to a local laundrette Sub-contracted services to a local company Reducing plastic by using washable cloths and refillables Transport provided to Clifftop Projects for a group outing Donated to West Dunbartonshire Community Foodshare toy bank appeal Page 134
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7 | P a g e Procurement Title Social Benefits Cleaning Services for Homeless and Void Properties Donated to West Dunbartonshire Community Foodshare Maintenance of Wet Central Heating Systems & Ancillary Equipment* Recruited an apprenticeship Two employees recruited Purchasing sustainable materials Set a manned office Used local providers Provision of Community Based Psychological Services/Counselling and Supported Recovery Services for Adults* Sub-contracted services Three employees recruited Provision of Digital TV Maintenance Services* Donated paints to a local project Donated to £600 of food for Thought and West Dunbartonshire Community Foodshare Provision of Window Cleaning Services for 6 Council Buildings** Recruited a member of staff Donated to Drumchapel Tennis Club Asbestos Surveys for External Wall Insulation Programme* Donated £50 to Unity-Enterprise Donated to West Dunbartonshire Community Foodshare Removed and recycled waste Tyres - Cars and Vans Donated to Food for Thought Emergency Contract for Processing & Treatment of Waste Wood** Donated 2 tonne of compost to Renton Community Garden Page 135
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8 | P a g e Procurement Title Social Benefits Treatment and Disposal of Recyclable and Residual Waste for Inert Soil & Rubble* One employee recruited Processing & Treatment of Mixed Scrap Metal* Donated £500 of materials to Alternatives building project at Knowetop farm Provision of Dumbarton Area Council on Alcohol’s Community Based Alcohol Support Service Commissioned catering services from Food for Thought Uses eco-friendly cleaning products Commissioned local room hire contracts Provision of Alcohol Related Brain Damage Community Support Services Sub-contracted to Kenny McDonald Decorators to paint the Clydebank premises Provision of Recovery Group Programmes – Community Services for those Affected by Substance Misuse Sub-contracted services to AJM Joiners, David Caldwell Plumbing & Electrical and Innovation Flooring Services Four employees recruited Provision of Care at Home, Housing Support and Respite Services for Those Living With Dementia Two employees recruited Provision of Home Care and Housing Support Services - Carman Care Four employees recruited Provision of LD Services: Supported Living Service - Enable One employee recruited Presented at a Care Career event at the Golden Jubilee Provision of Home Care and Housing Support – Joans Carers Eight employees recruited Provision Children's Residential Care and Education Services Including Short Breaks Donated £500 to the Bonhill Community Garden project and £500 to Clydebank Community Sports Hub Provision of Learning Disability Services - Community Based Support Service Recruited a member of staff Page 136
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9 | P a g e Procurement Title Social Benefits Provision of Learning Disability Services - Community Based Support Service Arranged for a Centre 81 Gardener to present at an allotment where members learned about planting, growing and harvesting Used Aunties Tea Room in Dumbarton, The Fountain Café in Alexandria, Dalmuir Café in Dalmuir, SixtyAte Bar, Titan Bar, McMonagle’s and Chandlers in Clydebank for group outings. Accommodation Based Services One employee recruited Drama teacher and Literacy teacher are subcontracted to deliver workshops to clients Community Link Worker Donated food items to Men's Health Scotland, Clydebank Reception, Processing & Treatment of Bulky Waste One employee recruited Building Materials** Delivered two mentoring workshops Playdrome** Work experience for four pupils Residential Housing Support Services for Young People aged 16-21 years Two employees recruited Work experience for two pupils Provision of LD Services: Supported Living Service – Cornerstone Community Care Recruited two members of staff Recruited two Kickstart apprentices Use of local providers Provision of LD Services: Supported Living Service - Share Scotland Two employees recruited Sub-contracting to the local Dumbarton Foot Clinic and Cleanfast * Regulated contract awarded in a previous year ** Non-regulated contract Page 137
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10 | P a g e 4.4 The national virtual “Meet the Buyer” event took place in June 2021 with representatives from the public sector including the Council. This event allowed suppliers to engage with virtual exhibitors from the public sector, private contractors and business support providers. It was scheduled in the alternative format and aimed to support efforts towards economic recovery from the COVID- 19 pandemic. 4.5 A “Talking Tenders” supplier event took place in March 2022 supported by the Supplier Development Programme. This event was specifically aligned to local businesses keen to find out more about the tender opportunities for the Sub- contractor and Specialist Contractors contracts. 23 businesses attended this event. 5. Supported businesses and social enterprises 5.1 A supported business’ primary aim is the social and professional integration of disabled or disadvantaged persons. At least 30% of the employees of those businesses must be disabled or disadvantaged. This is delivered, not only through the supplies, services and works they deliver, but also by providing meaningful employment, training and social support for those who may otherwise be excluded from the workplace. 5.2 There are no supported businesses located within the West Dunbartonshire area and there was no regulated contracts awarded to supported businesses during 2021/22. However, the Council has supported business non-regulated contracts awarded during 2021/22 and in addition, live regulated contracts awarded before 2021/22: Supplier 2021/22 Spend Hansel Alliance £57,724 Hey Girls CIC £22,710 The Royal British Legion T/A Britain's Bravest Manufacturing Company £ 4,782 Lady Hague Poppy Factory £31 Page 138
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11 | P a g e 5.3 Social enterprises aim to make a profit but unlike traditional businesses, they reinvest or donate their profits to create positive social change. They empower communities, tackle social problems and create jobs - particularly for people who are at a disadvantage in the standard jobs market. According to the Social Enterprise Census 2017, there was 5,600 social enterprises operating in Scotland with 68 located within the West Dunbartonshire area. 5.4 From the data that was available on social enterprises, of the Council’s regulated procurement spend, there was 35 social enterprises that the Council spent with in 2021/22 with 7 social enterprises with a base in West Dunbartonshire. Also detailed below is the non-regulated procurement spend on social enterprises in 2021/22: Social Enterprise Providers Spend in 2021/22 Cornerstone Community Care £4,144,010 Richmond Fellowship £1,629,818 Quarriers Homes £1,555,264 Erskine Hospital £882,572 Share Scotland £824,010 Enable £659,913 Kibble Education and Care Centre £651,354 East Park £605,478 Carman Care* £584,317 Carevisions £583,735 Arisaig Services £561,455 Alternatives* £420,427 Harmeny Education Trust Limited £422,843 Blue Triangle £347,949 Page 139
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12 | P a g e Social Enterprise Providers Spend in 2021/22 Scottish Autism £284,687 Swiis Foster Care Ltd £281,303 The Mungo Foundation £278,822 Dumbarton District Women's Aid* £233,813 Unity Enterprise £231,877 JMT Care Services Limited £216,570 Sense Scotland £204,034 Clydebank Womens Aid* £190,528 Lomond & Clyde Care & Repair Ltd* £181,639 William Simpson's Home £129,148 Foster Care Connect £127,406 Balnacraig School £126,643 Ben View Resource Centre* £97,463 Scottish Association Of Mental Health £82,680 Camphill Blair Drummond Trust Ltd £82,208 Neighbourhood Networks £70,008 Home From Home (Scotland) Ltd* £61,167 Hansel Alliance £57,724 Sacro £57,259 Fostering Relations Ltd £51,053 Garvald West Linton Limited – non regulated £50,395 Page 140
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13 | P a g e Social Enterprise Providers Spend in 2021/22 David Cargill House – non regulated £39,143 Hey Girls CIC – non regulated £22,710 The Wise Group – non regulated £14,799 Spruce Carpets Ltd – non regulated £3,223 Libertie Project Ltd – non regulated £2,060 MHSCOT– non regulated £1,500 Green Aspirations Scotland CIC – non regulated £900 St Andrew's First Aid – non regulated £355 Whiteinch Centre Ltd – non regulated £154 * Based in West Dunbartonshire 6. Sustainability 6.1 The sustainable procurement policies and guidelines from the Scottish Government identifies a range of policies, tools and procedures that enable compliance with the Sustainable Procurement Duty. Further, the Council produced a Climate Change Strategy and Action Plan to set out the foundations for a plan of action and response to Scotland’s Climate Emergency and 2045 net zero carbon reduction target. 6.2 Everything procured, from construction works to waste services to janitorial supplies has an impact on the environment and society. Therefore, the Council is able to make a positive contribution to sustainability through its procurement decisions. The Sustainability in Procurement Guidance details how the Council will meet its commitments to sustainable procurement. 6.3 Examples of procurement activity in 2021/22 which has contributed to the Council’s compliance with Sustainability Duties including Climate Change Duties and Circular Economy are: Page 141
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14 | P a g e Procurement Title Sustainability Duties Smollett Fountain Tactical Urbanism Trial Civil Works* Recycling of any used materials Tyres - Cars and Vans Recycling of tyres Tyres - Trucks Recycling of tyres Purchase of Gritters Vehicles are compliant with the current regulations and have the latest emission reduction technology reducing the impact of Council fleet on air quality The new vehicles are fuel efficient and will emit less NOX, SOX and CO2 Emissions than the current models and will be compliant with Euro VI standards Reception, Processing & Treatment of Bulky Waste The contract applies the waste hierarchy in line with Zero Waste Scotland’s guidance. Quantifiable actions and targets are held Reception, Processing & Treatment of Residual Waste The contract applies the waste hierarchy in line with Zero Waste Scotland’s guidance. Quantifiable actions and targets are held Cleaning Services for Homeless and Void Properties Reducing the plastic by using washable cloths and refilling products St Mary's Boiler Replacement* Energy Related Products (ERP) rating of 93%/'A' rated and meet the UK Government buying standards for domestic boilers Provision of Corporate Taxi Services - WDN10N Lubricant oils and tyres are recycled and reduces omissions by introducing electric cars Provision of Corporate Taxi Services - WD014N Lubricant oils and tyres are recycled and reduces omissions by introducing electric cars Processing & Treatment of Textiles* Generates 100% diversion or reuse and diversion from landfill. The contract applies the waste hierarchy in line with Zero Waste Scotland’s guidance with quantifiable actions and targets held and monitored Page 142
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15 | P a g e Procurement Title Sustainability Duties Library Refurbishment* Intelligent route planning to reduce fuel consumption, following a vehicle upkeep / replacement programme to ensure the most efficient fleet possible and encouraging staff to reduce emissions and use public transport (e.g.: through a bus fare subsidy scheme) FSC and / or PEFC certified to ensure the timber / timber products have been sustainably produced Library Refurbishment* FSC and / or PEFC certified to ensure the timber / timber products have been sustainably produced Uses recycled materials and also recycles the product at end- of-life Supply & Installation of Library Furniture Sourcing timber from sustainable sources Reduces fuel consumption and advising staff to use public transport where required Sustainable fabrics for chairs Collection, Processing & Treatment of Mixed Glass* Generates 100% diversion or reuse and diversion from landfill The contract applies the waste hierarchy in line with Zero Waste Scotland’s guidance with quantifiable actions and targets held and monitored Processing & Treatment of Co- mingled Recyclate Generates 100% diversion or reuse and diversion from landfill The contract applies the waste hierarchy in line with Zero Waste Scotland’s guidance with quantifiable actions and targets held and monitored Reception, Processing & Treatment of Non- Shredded Wood* Generates 100% diversion or reuse and diversion from landfill Compactors for Dalmoak Reduction in fuel consumption due to less lorry trips to waste disposal site Demolition of Former Willox Park Care Home* All materials arising from the works are sorted - removed from site and whenever possible re-used, re-manufactured or recycled to recover some of their inherent value * Non regulated contracts Page 143
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16 | P a g e 7. Future regulated procurements 7.1 Over the next two years, there will be a mix of recurring requirements and one-off opportunities. A summary of procurements anticipated in the next two years is provided in Annex D: Future Regulated Procurement. This doesn’t include ad-hoc or reactive requirements and until full scoping activities are undertaken and the contract strategies are complete, the timeline, contracting approach and values may be subject to change. 8. The Annual Procurement Report owner Annabel Travers Procurement Manager Page 144
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Appendix 1: Outcomes Achieved A strong local economy and improved job opportunities A growing economy Performance Indicator 2019/20 Value 2020/21 Value 2020/21 Target 2021/22 Target 2021/22 Value % of procurement spent on local enterprises and / or who have a presence in West Dunbartonshire New indicator 31.6% 36% 38% 43.1% Action Due Date Improving access to the Council’s contracts 31-Mar-22 Increased employment and training opportunities Performance Indicator 2019/20 Value 2020/21 Value 2020/21 Target 2021/22 Target 2021/22 Value % of Contract & Supplier Management scorecards delivered where the Supplier at a minimum, meets the Social Benefits expectations New indicator 95% 96.4% Action Due Date Deliver procurement savings and benefits 31-Mar-22 Supported individuals, families and carers living independently and with dignity Efficient and effective frontline services that improve the everyday lives of residents A continuously improving Council delivering best value Page 145
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18 | P a g e Performance Indicator 2019/20 Value 2020/21 Value 2020/21 Target 2021/22 Target 2021/22 Value Annual Cash Savings target achieved £544,022 £1,024,595 £400,000 £400,000 £732,235 % of contracts that are compliant 90.3% 97.9% 100% 100% 93% % of Contract & Supplier Management scorecards submitted against the total number due 55% 75% 75% 85% 68% % of Contract & Supplier Management scorecards delivered where the Supplier at a minimum, meets the Cost expectations New indicator 95% 85% % of Contract & Supplier Management scorecards delivered where the Supplier at a minimum, meets the Quality expectations New indicator 95% 96.9% Percentage of Contract & Supplier Management scorecards delivered where the Supplier at a minimum, meets the Service expectations New indicator 95% 90% Action Due Date Deliver procurement savings and benefits 31-Mar-22 Maximise procurement efficiency and collaboration 31-Mar-22 Embed procurement sustainability 31-Mar-22 Page 146
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19 | P a g e Annex A: Summary of Regulated Procurements 1) Organisation and Report Details a) Contracting Authority Name West Dunbartonshire Council b) Period of the annual procurement report 1 April 2021 – 31 March 2022 c) Required by s18 Procurement Reform (Scotland) Act 2014 to prepare an annual procurement report? Yes 2. Summary of Regulated Procurements Completed 1 April 2021 – 31 March 2022 a) Total number of regulated contracts awarded within the report period 51 b) Total value of regulated contracts awarded within the report period £27,284,136 c) Total number of unique suppliers awarded a place on a regulated contract awarded during the period 47 i) how many of these unique suppliers are SMEs 18 ii) how many of these unique suppliers how many are Third sector bodies 15 Additional Information Award of regulated Supplies contracts 10 / £2,663,612 Award of regulated Service contracts 41 / £24,620,524 Page 147
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20 | P a g e Additional Information - continued Award of regulated contracts with local unique SMEs 5 / £1,756,774 Award of regulated contracts with unique SMEs who have a presence in West Dunbartonshire 4 / £1,732,542 Award of regulated contracts to local Third sector bodies 1 / £575,956 3. Review of Regulated Procurements Compliance a) Number of regulated contracts awarded within the period that complied with your Procurement Strategy 51 b) Number of regulated contracts awarded within the period that did not comply with your Procurement Strategy 0 4. Community Benefit Requirements Summary a) Total number of regulated contracts awarded with a value of £4 million or greater 1 b) Total number of regulated contracts awarded with a value of £4 million or greater that contain Community Benefit Requirements 1 c) Total number of regulated contracts awarded with a value of less than £4 million that contain a Community Benefit Requirements 24 Page 148
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21 | P a g e Key Contract Information on community benefit requirements imposed as part of a regulated procurement that were fulfilled during the period: d) Number of Jobs Filled by Priority Groups Not measured in this way* e) Number of Apprenticeships Filled by Priority Groups Not measured in this way* f) Number of Work Placements for Priority Groups Not measured in this way* g) Number of Qualifications Achieved Through Training by Priority Groups Not measured in this way* h) Total Value of contracts sub-contracted to SMEs Not measured in this way* i) Total Value of contracts sub-contracted to Social Enterprises Not measured j) Total Value of contracts sub-contracted to Supported Businesses Not measured k) Other community benefit(s) fulfilled Not measured in this way* * The Council have implemented a more simple measure of local social benefits that supports the aims of the Council’s Strategic Plan Additional Information Social benefits points during the period covered by the report for all contracts 107 5. Fair Work and the real Living Wage a) Number of regulated contracts awarded during the period that included a Fair Work criterion 10 Page 149
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22 | P a g e 5. Fair Work and the real Living Wage - continued b) Number of unique suppliers who have committed to pay the real Living Wage in the delivery of a regulated contract awarded during the period 43 c) Number of unique suppliers who are accredited Living Wage employers and were awarded a regulated contract awarded during the period 16 d) Number of unique suppliers who have signed up to the Scottish Business Pledge and were awarded a regulated contract awarded during the period 4 6. Payment Performance a) Number of valid invoices received during the reporting period 73,760 b) Percentage of invoices paid on time during the period (“On time” means within the time period set out in the contract terms) 90.74% c) Number of regulated contracts awarded during the period containing a contract term requiring the prompt payment of invoices in public contract supply chains 7 d) Number of concerns raised by sub-contractors about the timely payment of invoices within the supply chain of public contracts Not measured 7. Supported Businesses Summary a) Total number of regulated contracts awarded to supported businesses during the period 0 b) Total spend with supported businesses during the period, including: £85,247 i) spend within the reporting year on regulated contracts Not measured Page 150
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23 | P a g e 7. Supported Businesses Summary - continued ii) spend within the reporting year on non-regulated contracts Not measured 8. Spend and Savings Summary a) Total procurement spend for the period covered by the annual procurement report £142,949,129 (all spend) b) Total procurement spend with SMEs during the period covered by the annual procurement report Minimum of £49,766,133 (all spend) c) Total procurement spend with Third sector bodies during the period covered by the report Minimum of £23,980.428 (all spend) d) Percentage of total procurement spend through collaborative contracts £80,153,725 (all spend) e) Total targeted cash savings for the period covered by the annual procurement report £400,000 i) targeted cash savings for Cat A contracts Not measured ii) targeted cash savings for Cat B contracts Not measured iii) targeted cash savings for Cat C contracts Not measured f) Total delivered cash savings for the period covered by the annual procurement report £732,235 i) delivered cash savings for Cat A contracts Not measured ii) delivered cash savings for Cat B contracts Not measured iii) delivered cash savings for Cat C contracts Not measured Page 151
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24 | P a g e 8. Spend and Savings Summary - continued g) Total non-cash savings value Not measured 9. Future Regulated Procurements 1 April 2022 – 31 March 2024 a) Total number of regulated procurements expected to commence in the next two financial years 121 (including 38 regulated contracts already placed) b) Total estimated value of regulated procurements expected to commence in the next two financial years £524,839,257 (including £42M of regulated contracts already placed and excluding where the value is to be determined) Annex B: Regulated Procurements Procurement Title Appointed Supplier Estimated Total Value Award Date Start Date End Date (excluding extensions) Provision of Banking Services Clydesdale Bank Card Services £62,913 08/03/2021* 01/04/2021 01/04/2024 Provision of Alcohol Related Brain Damage Community Support Services The Richmond Fellowship Scotland £196,000 30/03/2021* 01/04/2021 31/03/2023 Carefirst Support and Maintenance OLM Systems Limited £270,000 21/04/2021 01/04/2021 31/03/2024 Page 152
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25 | P a g e Procurement Title Appointed Supplier Estimated Total Value Award Date Start Date End Date (excluding extensions) Provision of Home Care and Housing Support Services Hands-On Homecare £270,473 31/03/2021* 01/04/2021 31/03/2025 Provision of Home Care and Housing Support Services Carman Care £449,609 31/03/2021* 01/04/2021 31/03/2023 Provision of Home Care and Housing Support Joan Carers £471,058 31/03/2021* 01/04/2021 31/03/2022 Provision of Dumbarton Area Council on Alcohol’s Community Based Alcohol Support Service DACA £532,000 31/03/2021* 01/04/2021 31/03/2023 Provision of Home Care and Housing Support Services Carewatch Dunbartonshire £567,830 31/03/2021* 01/04/2021 31/03/2023 Provision of Recovery Group Programmes – Community Services for those Affected by Substance Misuse Alternatives £575,956 30/03/2021* 01/04/2021 31/03/2023 Provision of Home Care and Housing Support Services Alltogether Care Services Ltd £601,980 31/03/2021* 01/04/2021 31/03/2022 Provision of Care at Home, Housing Support and Respite Services for Those Living With Dementia Caledonia Social Care £655,745 31/03/2021* 01/04/2021 31/03/2024 Page 153
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26 | P a g e Procurement Title Appointed Supplier Estimated Total Value Award Date Start Date End Date (excluding extensions) Replace End of Life Network Distribution Layer Switches Capita It Services Limited £105,575 20/11/2020* 13/04/2021 12/04/2022 Provision of Microsoft 365, Phase 2 - Implementation Sword IT Solutions Limited £130,350 15/04/2021 15/04/2021 14/04/2022 Tyres - Cars and Vans McConechys Tyre Services Ltd £70,796 23/04/2021 03/05/2021 01/05/2023 Tyres - Trucks McConechys Tyre Services Ltd £76,916 23/04/2021 03/05/2021 01/05/2023 Provision of a Community Link Worker Health and Social Care Alliance Scotland £1,059,211 03/06/2021 03/05/2021 02/05/2024 Provision of 24 Hour Residential Nursing - Victoria House Ram 217 Ltd T/A Victoria House £110,181 26/05/2021 26/05/2021 26/05/2025 Purchase of Gritters ECON Engineering Limited £545,784 13/05/2021 27/05/2021 27/05/2024 Reception, Processing & Treatment of Bulky Waste Barr Environmental Ltd £3,225,000 25/05/2021 01/06/2021 31/12/2023 Reception, Processing & Treatment of Residual Waste Barr Environmental Ltd £5,738,063 25/05/2021 01/06/2021 31/12/2023 Page 154
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27 | P a g e Procurement Title Appointed Supplier Estimated Total Value Award Date Start Date End Date (excluding extensions) Provision of Learning Disability Services - Community Based Support Service Neighbourhood Networks £140,000 07/06/2021 07/06/2021 06/06/2023 Provision of Accommodation Based Services Unity Enterprise £406,000 21/06/2021 21/06/2021 20/06/2023 Provision of 24 Hour Residential Nursing Care within a Care Home Setting Alderwood Care Home £149,001 24/06/2021 24/06/2021 23/06/2023 Renewal of Citrix NetScaler Licenses XMA Limited £173,727 15/06/2021 30/06/2021 30/06/2022 Microsoft Licenses for Education IT Estate Insight Direct (UK) Ltd £89,520 15/06/2021 01/07/2021 30/06/2022 Provision of Residential Housing Support Services for Young People Aged 16- 21 years Action for Children £156,600 14/06/2021 01/07/2021 30/06/2022 Provision of Residential Housing Support Services for Adults aged 16 and Over Blue Triangle £382,116 14/06/2021 01/07/2021 30/06/2022 Cleaning Services for Homeless and Void Properties Campbell Cleaning Services £539,869 07/07/2021 12/07/2021 12/07/2023 Page 155
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28 | P a g e Procurement Title Appointed Supplier Estimated Total Value Award Date Start Date End Date (excluding extensions) Clydebank Town Hall Gallery Redesign Consultancy Brown & Wallace LLP £55,650 30/07/2021 30/07/2021 31/03/2022 Provision of Children's Residential Care and Education Services Including Short Breaks Cora Foundation £1,455,724 24/08/2021 01/08/2021 31/07/2023 Server Maintenance Renewal Park Place Technologies Ltd £54,070 23/07/2021 04/09/2021 03/09/2022 Provision of Corporate Taxi Services - WDN10N OK Taxi Group £51,300 30/07/2021 16/08/2021 15/08/2024 Provision of Corporate Taxi Services - WD014N OK Taxi Group £59,850 30/07/2021 16/08/2021 15/08/2024 Business Gateway Workshops & Expert Help Services Business Development Advisers Ltd £85,680 30/09/2021 30/09/2021 29/09/2023 Supply & Installation of Library Furniture FG Library Products £205,000 20/09/2021 26/10/2021 24/09/2022 Collection, Processing & Treatment of Mixed Glass Sibelco Green Solutions UK Limited -£57,600 08/10/2021 01/11/2021 30/09/2024 CO2 Monitors for Education Flamefast UK Ltd £121,950 27/10/2021 01/11/2021 31/01/2022 Page 156
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29 | P a g e Procurement Title Appointed Supplier Estimated Total Value Award Date Start Date End Date (excluding extensions) Provision of LD Services: Supported Living Service Enable £312,871 24/11/2021 01/11/2021 23/10/2022 Provision of LD Services: Supported Living Service Quarriers £465,469 24/11/2021 01/11/2021 31/10/2022 Provision of LD Services: Supported Living Service Share Scotland £811,606 24/11/2021 01/11/2021 31/10/2022 Provision of LD Services: Supported Living Service Cornerstone Community Care £2,732,985 24/11/2021 01/11/2021 31/10/2022 Provision of Emergency Placement for 24hr Residential / Nursing Care Little Sisters of the Poor Greenock Scio £158,845 02/11/2021 02/11/2021 02/11/2025 Network Access Layer Switches Capita Business Services Ltd £513,257 12/11/2021 12/11/2021 11/11/2022 Processing & Treatment of Co-mingled Recyclate Enva Scotland Limited £972,000 18/11/2021 18/11/2021 17/11/2025 Compactors for Dalmoak Bergmann Direct Ltd £85,776 01/12/2021 06/12/2021 06/04/2022 Page 157
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30 | P a g e Procurement Title Appointed Supplier Estimated Total Value Award Date Start Date End Date (excluding extensions) Glencairn House Refurbishment Architectural Services Turner and Townsend Project Management Ltd (Page/Park) £150,000 23/02/2022 23/02/2022 22/06/2022 Provision of Emergency Placement for 24hr Residential The Mungo Foundation £204,000 10/05/2022 10/02/2022 08/05/2026 SIP Trunking Project - Telephone Line Replacement Capita Business Services Ltd £195,051 25/02/2022 25/02/2022 24/02/2025 Managed Work for Housing Benefit and Council Tax Reduction Claims NEC Software Solutions UK Ltd £115,383 04/03/2022 15/03/2022 14/03/2024 Provision of Emergency Placement for 24hr Residential Alpha Care Management Services Ltd - Carnbroe Care Centre £657,200 31/03/2022 31/03/2022 30/03/2026 * Indicates an award date than was before 1 April 2021 Page 158
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31 | P a g e Annex C: Non-Compliant Regulated Spend Procurement Title Estimated Annual Spend Actions Provision of Home Care and Housing Support £2,637,985 Elements of care requirements are progressing and engaging with Services on the procurement process on other aspects of care Provision of Learning Disability Supported Living Services £1,532,586 Elements of care requirements are progressing and engaging with Services on the procurement process on other aspects of care Provision of Adult Mental Health Services £1,199,218 Engaging with Services on the procurement process Provision of Childrens Residential Care and Education Services £1,063,010 Progressing with the procurement process Provision of Residential Placements and Respite for Adults with Learning and Physical Disabilities and Mental Health Needs £557,610 Elements of care requirements are progressing and engaging with Services on the procurement process on other aspects of care Design, Supply and Erection, Dismantling of Scaffolding £328,937 Contract now in place Provision of Social Care Agency Workers £303,888 Contract not now needed Page 159
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32 | P a g e Procurement Title Estimated Annual Spend Actions Provision of 24 Hour Residential Nursing Care within a Care Home Setting £283,365 Engaging with Services on the procurement process Provision of Removals of Furniture and Equipment £180,114 Engaging with Services on the procurement process Provision of Support to Young People & Families £170,785 Engaging with Services on the procurement process Provision of Training for Educators £89,600 Engaging with Services on the procurement process Provision of Glyphosate to Roads £86,250 Engaging with Services on the procurement process Provision of Education Materials £77,539 Engaging with Services on the procurement process Provision of Wellbeing Counselling Services £76,000 Engaging with Services on the procurement process Provision of Incidental Plant Hire £70,275 Progressing with the procurement process Provision of Energy Efficient Homes Services £63,885 Engaging with Services on the procurement process Provision of Recycled Fixtures and Fittings £61,167 Engaging with Services on the procurement process Page 160
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33 | P a g e Procurement Title Estimated Annual Spend Actions Provision of Carers Support and Advice Services £60,966 Progressing with the procurement process Provision of Independent Parenting Capacity Assessment £59,874 Engaging with Services on the procurement process Provision of Play Activities and Opportunities £55,500 Engaging with Services on the procurement process Provision of Specialist Vehicle Accident Recovery and Repair Services £52,448 Engaging with Services on the procurement process Provision of Metal and Steel Work Repairs Services £52,273 Engaging with Services on the procurement process Provision of Licensing for Rent Analysis Software £51,775 Engaging with Services on the procurement process Provision of Mentoring for Care Experienced & Vulnerable Young People to Raise Attainment & Improve Life Chances £39,531 Engaging with Services on the procurement process Provision of Recovery Group Programmes £32,449 Engaging with Services on the procurement process * This table includes partial compliance spend Page 161
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34 | P a g e Annex D: Future Regulated Procurement Procurement Title Estimated Total Value New / Extended / Re-Let Contract Notice Advertised Estimated Award Date Estimated Start Date Provision of Emergency Placement for 24hr Residential £204,000 Re-Let N/A 10/05/2022 10/02/2022* Payment Processing Services £160,000 Re-Let N/A 26/11/2021* 01/04/2022 Payment Processing Solutions £106,667 Re-Let N/A 04/03/2021* 01/04/2022 Insurance Services for Right to Buy Block Buildings Administered by WDC £2,179,176 Re-Let N/A 09/03/2022 01/04/2022 Clydebank - Provision of Support and Advocacy for Women Experiencing Domestic Abuse £334,000 Re-Let N/A 10/05/2022 01/04/2022 Page 162
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35 | P a g e Procurement Title Estimated Total Value New / Extended / Re-Let Contract Notice Advertised Estimated Award Date Estimated Start Date Dumbarton - Provision of Support and Advocacy for Women Experiencing Domestic Abuse £334,000 Re-Let N/A 10/05/2022 01/04/2022 ICT Device Replacement £496,532 Re-Let N/A 10/05/2022 01/04/2022 ICT Device Replacement £395,479 Re-Let N/A 10/05/2022 01/04/2022 Provision of Emergency Placement for 24hr Residential £568,000 Re-Let N/A 10/05/2022 04/04/2022 Emergency Care Package to Enable Client Discharge from Hospital £124,000 New N/A 10/05/2022 27/04/2022 Provision of 24Hour Residential / Nursing Care Within a Care Home Setting - P25787 £149,656 Re-Let N/A 10/05/2022 09/05/2022 Page 163
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36 | P a g e Procurement Title Estimated Total Value New / Extended / Re-Let Contract Notice Advertised Estimated Award Date Estimated Start Date Appointment of a Delivery Agent for Elements of the Exxon Site Development £1,000,000 New N/A 10/05/2022 06/06/2022 Provision of 24Hour Residential / Nursing Care Within a Care Home Setting - P75288 £64,199 Re-Let N/A 10/05/2022 07/06/2022 Emergency Provision of 24Hr Residential / Nursing Care Within a Care Home Setting (P29862) £64,199 Re-Let N/A 10/05/2022 27/06/2022 Microsoft Licenses for Education IT Estate £62,814 Re-Let N/A 10/05/2022 01/07/2022 Renewal of Citrix NetScaler Licenses £199,025 Re-Let N/A 10/05/2022 01/07/2022 Procurement of Online Payments System and Cashless Catering System £32,500** Re-Let N/A 10/05/2022 01/07/2022 Page 164
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37 | P a g e Procurement Title Estimated Total Value New / Extended / Re-Let Contract Notice Advertised Estimated Award Date Estimated Start Date Provision of Insurance Services (including Claims Handling) for West Dunbartonshire Council (WDC) & West Dunbartonshire Leisure Trust (WDLT) £228,668 Re-Let N/A 10/05/2022 01/08/2022 Provision of Insurance Services (including Claims Handling) for West Dunbartonshire Council (WDC) & West Dunbartonshire Leisure Trust (WDLT) £3,320,613 Re-Let N/A 10/05/2022 01/08/2022 24 Hour Residential Nursing Care (NCHC) - Eastwood Court £153,920 Re-Let N/A 03/08/2021* 03/08/2022 24 Hour Residential Nursing Care (NCHC) - Silverburn £153,920 Re-Let N/A 03/08/2021* 03/08/2022 24 Hour Residential Nursing Care (NCHC) - Eastbank £153,920 Re-Let N/A 03/08/2021* 03/08/2022 Page 165
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38 | P a g e Procurement Title Estimated Total Value New / Extended / Re-Let Contract Notice Advertised Estimated Award Date Estimated Start Date 24 Hour Residential Nursing Care (NCHC) - Summerlee House £153,920 Re-Let N/A 03/08/2021* 03/08/2022 Subcontractors Lot 1 Landscaping Rank 1 £1,550,000 Re-Let 03/03/2022 10/05/2022 08/08/2022 Subcontractors Lot 1 Landscaping Rank 2 £1,550,000 Re-Let 03/03/2022 10/05/2022 08/08/2022 Subcontractors Lot 4 Scaffolding £1,150,000 Re-Let 03/03/2022 10/05/2022 08/08/2022 Subcontractors Lot 8 Plumbing £150,000 Re-Let 03/03/2022 10/05/2022 08/08/2022 Subcontractors Lot 9 Small Jobs Rank 1 £650,000 Re-Let 03/03/2022 10/05/2022 08/08/2022 Subcontractors Lot 9 Small Jobs Rank 2 £650,000 Re-Let 03/03/2022 10/05/2022 08/08/2022 Subcontractors Lot 9 Small Jobs Rank 3 £650,000 Re-Let 03/03/2022 10/05/2022 08/08/2022 Page 166
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39 | P a g e Procurement Title Estimated Total Value New / Extended / Re-Let Contract Notice Advertised Estimated Award Date Estimated Start Date Subcontractors Lot 9 Small Jobs Rank 3 £650,000 Re-Let 03/03/2022 10/05/2022 08/08/2022 Subcontractors Lot 11 External Building Fabrics Rank 1 £6,000,000 Re-Let 03/03/2022 10/05/2022 08/08/2022 Subcontractors Lot 11 External Building Fabrics Rank 2 £6,000,000 Re-Let 03/03/2022 10/05/2022 08/08/2022 Subcontractors Lot 11 External Building Fabrics Rank 3 £6,000,000 Re-Let 03/03/2022 10/05/2022 08/08/2022 Subcontractors Lot 11 External Building Fabrics Rank 4 £6,000,000 Re-Let 03/03/2022 10/05/2022 08/08/2022 Subcontractors Asbestos Surveys £192,000 Re-Let N/A 10/05/2022 09/08/2022 Server Maintenance Renewal £58,183 Re-Let N/A 10/05/2022 03/09/2022 Page 167
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40 | P a g e Procurement Title Estimated Total Value New / Extended / Re-Let Contract Notice Advertised Estimated Award Date Estimated Start Date Supply and Fit of AV Equipment at Denny Civic Theatre, Dumbarton £261,426 New N/A 10/05/2022 02/10/2022 Provision of ICT Device Replacement £747,000 New N/A Qtr 3 - 2022/23 Qtr 3 - 2022/23 Provision of Detailed Design for Gruggies Burn Flood Alleviation Scheme £1,000,000 New N/A Qtr 3 - 2022/23 Qtr 3 - 2022/23 Exxon Site, Bowling, Redevelopment £34,000,000 New N/A Qtr 3 - 2022/23 Qtr 3 - 2022/23 Provision of a Cycle to Work Scheme £250,000 Re-Let N/A Qtr 3 - 2022/23 Qtr 3 - 2022/23 Provision of Microsoft 365 Backup Solution £100,000 Re-Let N/A Qtr 3 - 2022/23 Qtr 3 - 2022/23 Page 168
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41 | P a g e Procurement Title Estimated Total Value New / Extended / Re-Let Contract Notice Advertised Estimated Award Date Estimated Start Date Provision of a Microsoft Enterprise Agreement - Corporate 365 Licencing £1,754,448 Re-Let N/A Qtr 3 - 2022/23 Qtr 3 - 2022/23 Provision of Removals of Furniture and Equipment £720,456 Re-Let Qtr 3 - 2022/23 Qtr 4 - 2022/23 Qtr 4 - 2022/23 Provision of Training for Educators £358,400 Re-Let Qtr 3 - 2022/23 Qtr 4 - 2022/23 Qtr 4 - 2022/23 Provision of Glyphosate to Roads £345,000 Re-Let Qtr 3 - 2022/23 Qtr 4 - 2022/23 Qtr 4 - 2022/23 Provision of Education Materials £310,156 Re-Let Qtr 3 - 2022/23 Qtr 4 - 2022/23 Qtr 4 - 2022/23 Provision of Wellbeing Counselling Services £304,000 Re-Let Qtr 3 - 2022/23 Qtr 4 - 2022/23 Qtr 4 - 2022/23 Provision of Incidental Plant Hire £281,100 Re-Let N/A Qtr 4 - 2022/23 Qtr 4 - 2022/23 Provision of Energy Efficient Homes Services £255,540 Re-Let N/A Qtr 4 - 2022/23 Qtr 4 - 2022/23 Page 169
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42 | P a g e Procurement Title Estimated Total Value New / Extended / Re-Let Contract Notice Advertised Estimated Award Date Estimated Start Date Provision of Recycled Fixtures and Fittings £244,668 Re-Let Qtr 3 - 2022/23 Qtr 4 - 2022/23 Qtr 4 - 2022/23 Provision of Metal and Steel Work Repairs Services £209,092 Re-Let N/A Qtr 4 - 2022/23 Qtr 4 - 2022/23 Provision of Licensing for Rent Analysis Software £207,100 Re-Let N/A Qtr 4 - 2022/23 Qtr 4 - 2022/23 Provision of Play Activities and Opportunities £222,000 Re-Let Qtr 3 - 2022/23 Qtr 4 - 2022/23 Qtr 4 - 2022/23 Provision of Specialist Vehicle Accident Recovery and Repair Services £209,792 Re-Let Qtr 3 - 2022/23 Qtr 4 - 2022/23 Qtr 4 - 2022/23 Provision of Passivhaus Appraisal £1,200,000 New N/A Qtr 4 - 2022/23 Qtr 4 - 2022/23 Alexandria Master Plan Consultant TBD New N/A Qtr 4 - 2022/23 Qtr 4 - 2022/23 Page 170
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43 | P a g e Procurement Title Estimated Total Value New / Extended / Re-Let Contract Notice Advertised Estimated Award Date Estimated Start Date Treatment of Organic Waste £999,500 Re-Let N/A Qtr 4 - 2022/23 Qtr 4 - 2022/23 Provision of Fire Risk Assessments) and Fire Engineering Reports for Multi Storey Flats £50,000 New N/A Qtr 4 - 2022/23 Qtr 4 - 2022/23 Design & Construction of Play Areas £500,000 New N/A Qtr 4 - 2022/23 Qtr 4 - 2022/23 Provision of Object Based Storage to Replace the Data Domains £150,000 New N/A Qtr 4 - 2022/23 Qtr 4 - 2022/23 Provision of ICT Security Partner £75,000 New N/A Qtr 1 - 2023/24 Qtr 1 - 2023/24 VJB ISDN Telephony Replacement £50,000 New N/A Qtr 1 - 2023/24 Qtr 1 - 2023/24 Provision of Multi Function Devices £1,650,000 Re-Let N/A Qtr 1 - 2023/24 Qtr 1 - 2023/24 Page 171
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44 | P a g e Procurement Title Estimated Total Value New / Extended / Re-Let Contract Notice Advertised Estimated Award Date Estimated Start Date Provision of Mentoring for Care Experienced & Vulnerable Young People to Raise Attainment & Improve Life Chances £118,593 Re-Let N/A Qtr 1 - 2023/24 Qtr 1 - 2023/24 Connecting Dunbarton Regeneration Works £2,388,985 New N/A Qtr 1 - 2023/24 Qtr 1 - 2023/24 Provision of Road Civils Infrasture Works £2,500,000 Re-Let N/A Qtr 1 - 2023/24 Qtr 1 - 2023/24 Glencairn House Redevelopment & Major Refurbishment £11,200,000 New Qtr 4 - 2022/23 Qtr 1 - 2023/24 Qtr 1 - 2023/24 Provision of Home Care and Housing Support £7,913,955 New Qtr 4 - 2022/23 Qtr 1 - 2023/24 Qtr 1 - 2023/24 Provision of Learning Disability Supported Living Services £4,597,758 New / Re-Let Qtr 4 - 2022/23 Qtr 1 - 2023/24 Qtr 1 - 2023/24 Page 172
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45 | P a g e Procurement Title Estimated Total Value New / Extended / Re-Let Contract Notice Advertised Estimated Award Date Estimated Start Date Provision of Adult Mental Health Services £3,597,654 New / Re-Let Qtr 4 - 2022/23 Qtr 1 - 2023/24 Qtr 1 - 2023/24 Provision of Childrens Residential Care and Education Services £3,189,030 New / Re-Let Qtr 4 - 2022/23 Qtr 1 - 2023/24 Qtr 1 - 2023/24 Provision of Residential Placements and Respite for Adults with Learning and Physical Disabilities and Mental Health Needs £1,672,830 New / Re-Let Qtr 4 - 2022/23 Qtr 1 - 2023/24 Qtr 1 - 2023/24 Provision of 24 Hour Residential Nursing Care within a Care Home Setting £850,095 New / Re-Let Qtr 4 - 2022/23 Qtr 1 - 2023/24 Qtr 1 - 2023/24 Provision of Support to Young People & Families £512,355 New / Re-Let Qtr 4 - 2022/23 Qtr 1 - 2023/24 Qtr 1 - 2023/24 Provision of Carers Support and Advice Services £182,898 New / Re-Let Qtr 4 - 2022/23 Qtr 1 - 2023/24 Qtr 1 - 2023/24 Page 173
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46 | P a g e Procurement Title Estimated Total Value New / Extended / Re-Let Contract Notice Advertised Estimated Award Date Estimated Start Date Provision of Independent Parenting Capacity Assessment £179,622 Re-Let Qtr 4 - 2022/23 Qtr 1 - 2023/24 Qtr 1 - 2023/24 Provision of Recovery Group Programmes £97,347 Re-Let Qtr 4 - 2022/23 Qtr 1 - 2023/24 Qtr 1 - 2023/24 Upgrade for Obsolete Heating Controls (BEMS) £151,000 New Qtr 4 - 2022/23 Qtr 1 - 2023/24 Qtr 1 - 2023/24 Supply of Car and Van Tyres TBD New N/A Qtr 1 - 2023/24 Qtr 1 - 2023/24 Supply of Truck Tyres TBD New N/A Qtr 1 - 2023/24 Qtr 1 - 2023/24 Provision of Solar Panel Maintenance TBD New Qtr 4 - 2022/23 Qtr 1 - 2023/24 Qtr 1 - 2023/24 Provision of Care and Repair Services for Homeowners £210,417 Re-Let Qtr 4 - 2022/23 Qtr 1 - 2023/24 Qtr 1 - 2023/24 Page 174
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47 | P a g e Procurement Title Estimated Total Value New / Extended / Re-Let Contract Notice Advertised Estimated Award Date Estimated Start Date Provision of Small Plant Hire, Repair and Ancillary Supplies & Services £720,000 Re-Let Qtr 4 - 2022/23 Qtr 1 - 2023/24 Qtr 1 - 2023/24 Supply of Electricity for the District Heating Network TBD Re-Let N/A Qtr 1 - 2023/24 Qtr 1 - 2023/24 Supply of Natural Gas for the District Heating Network TBD Re-Let N/A Qtr 1 - 2023/24 Qtr 1 - 2023/24 Provision of Dunbartonshire Argyll & Bute Valuation Joint Board Print and Mail Services £420,000 Re-Let Qtr 4 - 2022/23 Qtr 1 - 2023/24 Qtr 1 - 2023/24 Supply of Roadstone Materials £150,000 Re-Let N/A Qtr 1 - 2023/24 Qtr 1 - 2023/24 Supply of Domestic Furniture and Furnishings £1,500,000 Re-Let N/A Qtr 1 - 2023/24 Qtr 1 - 2023/24 Suppy of Personal Protective Equipment TBD Re-Let N/A Qtr 1 - 2023/24 Qtr 1 - 2023/24 Page 175
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48 | P a g e Procurement Title Estimated Total Value New / Extended / Re-Let Contract Notice Advertised Estimated Award Date Estimated Start Date New Build Willox Park New Sheltered Housing £3,570,000 New Qtr 1 - 2023/24 Qtr 2 - 2023/24 Qtr 2 - 2023/24 Provision of a Digital Upgrade of the Community Alarm System £924,000 New Qtr 2 - 2023/24 Qtr 3 - 2023/24 Qtr 3 - 2023/24 Provision of Catering Concession - Clydebank Town Hall TBD Re-Let Qtr 2 - 2023/24 Qtr 3 - 2023/24 Qtr 3 - 2023/24 Provision of Depot Rationalisation TBD New TBD TBD TBD Supply of Fruit and Vegetables TBD Re-Let TBD TBD TBD Purchase of 3 x Tractors £150,000 New TBD TBD TBD Solar Panels for Clydebank Leisure Centre £61,000 New TBD TBD TBD Provision of Fresh Meats, Cooked Meats and Fresh Fish TBD Re-Let TBD TBD TBD Page 176
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49 | P a g e Procurement Title Estimated Total Value New / Extended / Re-Let Contract Notice Advertised Estimated Award Date Estimated Start Date Provision of First Aid Materials TBD Re-Let TBD TBD TBD Provision of Frozen Foods TBD Re-Let TBD TBD TBD Provision of Driver Training £176,719 Re-Let TBD TBD TBD Provision of a Fleet Management Solution £149,573 Re-Let TBD TBD TBD Hire of JCB Telehandler for Waste Loading £133,159 Re-Let TBD TBD TBD Provision of Paint & Sundries £1,101,842 Re-Let TBD TBD TBD Provision to Glass and Glazing £206,791 Re-Let TBD TBD TBD Provision of Environment, Interpretation and Communication Design Branding £184,785 Re-Let TBD TBD TBD Page 177
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50 | P a g e Procurement Title Estimated Total Value New / Extended / Re-Let Contract Notice Advertised Estimated Award Date Estimated Start Date Provision of Weed Control On All Hard and Soft Landscaped Areas Throughout West Dunbartonshire £100,000 Re-Let TBD TBD TBD Purchase of Vans, Light Goods Vehicles and Heavy Goods Vehicles £3,400,000 New N/A TBD TBD New Build of West Bridgend Community Centre £2,500,000 New TBD TBD TBD Road Improvement of the A813 TBD New TBD TBD TBD Road Improvement of the A811 TBD New TBD TBD TBD New Build Development Queens Quay Site £6,000,000 New TBD TBD TBD Provision of Postal Services £300,000 Re-Let TBD TBD TBD Page 178
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51 | P a g e Procurement Title Estimated Total Value New / Extended / Re-Let Contract Notice Advertised Estimated Award Date Estimated Start Date Provision of Exxon Environmental Insurance TBD New TBD TBD TBD Provision of Noise Insulation Scheme £86,000 New TBD TBD TBD Provision of A Waste Transfer Station TBD New TBD TBD TBD Provision of Three Council's Waste Services £83,000,000 (WDC Spend) New TBD TBD TBD Provision Services for Queens Quay District Heating £81,280 Re-Let TBD TBD TBD Provision of Biomass Energy for Dumbarton Academy & Gartocharn Primary School £250,000 New TBD TBD TBD Provision of Dalmuir Municipal Golf Course PGA Professional TBD Re-Let TBD TBD TBD * Indicates an award / start date than was before 1 April 2022 **Regulated if extended Page 179
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WEST DUNBARTONSHIRE COUNCIL Report by the Chief Officer - Resources Corporate Services Committee : 2 November 2022 ___________________________________________________________________ Subject: Corporate Services Budgetary Control Report to 31 August 2022 (Period 05) 1. Purpose 1.1 The purpose of this report is to advise the Committee on the performance of the Corporate Services budget for the period to 31 August 2022. 2. Recommendations 2.1 Members are asked to: i) note that the revenue account currently shows a projected annual adverse variance of £0.119m (0.36% of the total budget) and ii) note that the capital account is showing a projected in-year underspend of -£0.778m (-10.4% of in-year budget) due to 2 projects showing projected underspends as a result of delays to these projects with explanations for delays detailed in Appendix 6. The project life projection is currently showing a projected underspend of £-0.047m (- 0.4% of project life budget). 3. Background 3.1 Revenue Budget At the meeting of West Dunbartonshire Council on 9 March 2022, Members agreed the revenue estimates for 2022/23. A total net budget of £33.919m was approved for services under the remit for Corporate Services at that time. Since then the following adjustments have been made to the original budget agreed: Description £m Budget Agreed March 2021 33.919 June Council - Cost of Living Fund Allocation 0.065 Vacant posts removed to sundry services -0.593 Centralisation of Mobile Phones to ICT 0.014 Excess Welfare Fund budget moved to sundry services -0.065 33.338 ITEM 14 Page 181
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3.2 Due to the current financial challenges facing the Council recruitment restrictions have been implemented and the filling of vacancies is subject to active review. For variances linked to this action (beyond the budgeted turnover targets), in year savings through not filling vacancies, are now being removed from services and held in a central code. This has resulted in a number of favourable service variance being removed from services and held centrally (currently £0.593m). This has no impact on the overall projected outturn of the Council, just on how that outturn is reported. A few services have still to have a final position agreed with the Chief Officer, so have not been centralised as at period 5, meaning any favourable variances in relation to their vacancies are still being reported within the service figures however this will be updated in future budget control reports. 3.3 With vacancy savings being removed from service budgets and transferred to a central budget, other projected overspends identified within services are now more clearly reported. This demonstrates that, if the Council were to only meet the budgeted turnover level of vacancies there would be a far more significant overspend which highlights the extent to which the Council cannot afford to operate with its current full establishment. 3.4 The effects of removing the vacancy savings from service budgets to a central budget as at Period 5 are noted below: Service with Vacancy Transfers at Period 5 Variance in BCR £000 Vacancy Savings Moved to Central Budget £000 Variance if Vacancies not Removed £000 Resources 48 78 (30) Regulatory and Regeneration 312 355 (43) People and Technology (59) 160 (219) Corporate Services P5 total (593) 593 0 3.5 Capital Budget At the meeting of Council on 9 March 2022, Members also agreed the updated 10 year General Services Capital Plan for 2022/2023 to 2031/32. The next three years from 2022/23 to 2024/25 have been approved in detail with the remaining 7 years being indicative at this stage. The total project life budget approved for projects that have either commenced or are due to commence in that period total for Corporate Services was £11.080m. 4. Main Issues Revenue Budget Page 182
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4.1 The summary report at Appendix 1 identifies a projected annual adverse variance (overspend) of £0.119m (0.36% of the total budget). Detailed service reports are attached as Appendix 2. It should be noted however that this assumes the budgeted 2% pay award. In light of the most recent pay award negotiations it is likely that the actual pay award will be higher than 2%. Based on the current offer being negotiated which is around 5%, the increase in cost would be an additional £1.002m of which £0.762m will be covered by additional Scottish Government funding leaving a balance of £0.240m to be added to the projected 2022-23 outturn. 4.2 There are seven projected annual variances in excess of £0.050m. Notes on these variances are highlighted and noted within Appendix 3, with additional information on action being taken to minimise or mitigate overspends where possible. 4.3 Although the report indicates that expenditure is adverse in comparison to that anticipated during the budget exercise, the present variance should be viewed in the knowledge that there are a number of variable factors which could arise between now and 31 March 2023 and which could affect the year end results. Capital Budget 4.4 Appendices 4 to 6 highlight 2 projects showing an in-year underspend, 13 projects on target and 2 projects showing an in-year overspend. The overall Corporate Services programme summary report at Appendix 5 shows that there is a projected £0.778m (10.4% of the total programmed budget) to be re-phased in future years. There are two significant variances within the Capital Budget, these are shown in the following table. See Appendix 6 for more details. Project Variance £m ICT Security & DR -0.297 ICT Modernisation -0.472 5. People Implications 5.1 There are no people implications. 6. Financial and Procurement Implications 6.1 Other than the financial position noted above, there are no financial or procurement implications from this budgetary control report. 7. Risk Analysis Page 183
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7.1 The main financial risks to the ongoing financial position relate to unforeseen costs being identified between now and the end of the financial year. This can affect all service areas 8. Equalities Impact Assessment (EIA) 8.1 No equalities impact assessment was required in relation to this report. 9. Consultation 9.1 All services involved in delivering the revenue and capital budgets have been consulted in the compilation of this report. 10. Strategic Assessment 10.1 Proper budgetary control and sound financial practice are cornerstones of good governance and support Council and officers to pursue the 5 strategic priorities of the Council’s Strategic Plan. This report forms part of the financial governance of the Council. __________________ Laurence Slavin Chief Officer Resources Date: 14 October 2022 ________________________________________________________________ Person to Contact: Adrian Gray, Finance Business Partner Council Offices, 16 Church Street, Dumbarton Telephone: (01389) 737838 E-mail: adrian.gray@west-dunbarton.gov.uk Appendices: Appendix 1 - Revenue Budgetary Control 2022/23 – Summary Report Appendix 2 - Revenue Budgetary Control 2022/23 – Service Reports Appendix 3 - Analysis of Revenue Variances over £50,000 Appendix 4 - Overall Capital Programme Summary Financials Appendix 5 - Capital Programme – Red Status Appendix 6 - Capital Programme – Green Status Background Papers: Ledger output – Period 05 Page 184
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General Services Revenue Estimates 2022/23 – Council 9 March 2022 General Services Capital Strategy 2021/22 to 2030/31 - Council 9 March 2022 Wards Affected All Wards Page 185
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WEST DUNBARTONSHIRE COUNCIL REVENUE BUDGETARY CONTROL 2022/23 CORPORATE SERVICES SUMMARY PERIOD END DATE 31 August 2022 Total Budget 2022/23 Spend to Date 2022/23 Forecast Spend Annual RAG Status Net Variance attributable to covid Underlying Variance excluding covid £000 £000 £000 £000 % £000 £000 Audit 105 144 105 0 0% 0 0 Finance 1,398 592 1,429 32 2% 0 32 Rent Rebates & Allowances (341) 1,034 (341) 0 0% 0 0 Revenues & Benefits 2,103 1,053 2,147 44 2% 0 44 Finance Service Centre 303 110 312 9 3% 0 9 Cost of Collection of Rates 19 (14) (4) (23) -121% 0 (23) Cost of Collection of Council Tax (790) (113) (790) 0 0% 0 0 Central Admin Support 2,558 1,030 2,545 (13) -1% 0 (13) Procurement 482 303 479 (3) -1% 0 (3) Democratic and Registration Service 756 297 774 19 2% 0 19 Environmental Health 699 294 750 51 7% 0 51 Licensing (117) (27) (99) 18 16% 0 18 Legal Services/Trading Standards 824 367 790 (34) -4% 0 (34) Planning 377 226 629 252 67% 0 252 Transactional Services 743 301 746 3 0% 0 3 Human Resources (including risk) 1,283 517 1,283 0 0% 0 0 Information Services 4,502 2,495 4,440 (62) -1% 0 (62) Change Support 497 177 496 (1) 0% 0 (1) Communications & Marketing 333 107 325 (8) -2% 0 (8) Citizen Services 1,284 541 1,305 21 2% 3 19 Performance & Strategy 357 80 315 (42) -12% 0 (42) Clydebank Town Hall 458 49 458 (0) 0% 0 (0) Office Accomodation 1,275 396 1,285 9 1% 0 9 Libraries 1,811 594 1,777 (35) -2% (27) (8) Arts and Heritage 371 134 346 (24) -7% 0 (24) Catering Services 4,454 1,668 4,383 (71) -2% 0 (71) Building Cleaning 1,703 882 1,661 (42) -2% 0 (42) Building Cleaning PPP (331) (171) (331) (0) 0% 0 (0) Facilities Assistants 2,100 801 2,119 19 1% 0 19 Facilities Management 396 126 397 0 0% 0 0 Leisure Management 3,638 2,298 3,639 1 0% 0 1 Events 89 80 89 0 0% 0 0 33,338 16,371 33,458 119 0.36% (24) 144 Service / Subjective Summary Variance 2022/23 Total Net Expenditure Appendix 1 Page 187
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WEST DUNBARTONSHIRE COUNCIL REVENUE BUDGETARY CONTROL 2022/23 CORPORATE SERVICES COMMITTEE DETAIL PERIOD END DATE 31 August 2022 Total Budget 2022/23 YTD Spend 2022/23 Forecast Spend 2022/23 RAG Status £000 £000 £000 £000 % Employee 28,621 10,867 28,613 (8) (0%) Property 2,108 549 2,137 30 1% Transport and Plant 168 29 153 (15) (9%) Supplies, Services and Admin 5,670 2,507 5,673 3 0% Payments to Other Bodies 6,277 3,367 6,509 232 4% Other 36,747 14,127 36,747 0 0% Gross Expenditure 79,591 31,446 79,832 242 0% Income (46,252) (15,074) (46,374) (122) (0%) Net Expenditure 33,338 16,371 33,458 119 0% £000 £000 £000 £000 % Employee 402 153 402 0 0% Property 0 0% Transport and Plant 1 0 0 (1) (100%) Supplies, Services and Admin 2 2 3 1 50% Payments to Other Bodies 0 0% Other 0 0% Gross Expenditure 405 155 405 0 0% Income (300) (11) (300) 0 0% Net Expenditure 105 144 105 0 0% £000 £000 £000 £000 % Employee 1,617 655 1,667 50 3% Property 0 0% Transport and Plant 0 0 0 (0) (100%) Supplies, Services and Admin 33 6 46 13 38% Payments to Other Bodies 2 2 2 0 0% Other 0 0% Gross Expenditure 1,653 663 1,715 63 4% Income (255) (71) (286) (31) (12%) Net Expenditure 1,398 592 1,429 32 2% £000 £000 £000 £000 % Employee 0 0% Property 0 0% Transport and Plant 0 0% Supplies, Services and Admin 0 0% Payments to Other Bodies 0 0% Other 36,747 14,127 36,747 0 0% Gross Expenditure 36,747 14,127 36,747 0 0% Income (37,088) (13,093) (37,088) 0 0% Net Expenditure (341) 1,034 (341) 0 0% £000 £000 £000 £000 % Employee 1,803 750 1,850 47 3% Property 0 0% Transport and Plant 2 0 1 (1) (58%) Supplies, Services and Admin 32 7 29 (3) (10%) Payments to Other Bodies 895 632 1,079 184 21% Other 0 0% Gross Expenditure 2,733 1,389 2,959 226 8% Income (629) (336) (812) (183) (29%) Net Expenditure 2,103 1,053 2,147 44 2% Finance Rent Rebates & Allowances Revenues & Benefits Service Summary Variance 2022/23 All Services Audit Appendix 2 Page 189
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WEST DUNBARTONSHIRE COUNCIL REVENUE BUDGETARY CONTROL 2022/23 CORPORATE SERVICES COMMITTEE DETAIL PERIOD END DATE 31 August 2022 Total Budget 2022/23 YTD Spend 2022/23 Forecast Spend 2022/23 RAG Status Service Summary Variance 2022/23 £000 £000 £000 £000 % Employee 259 106 268 9 3% Property 0 0 0 0 0% Transport and Plant 0 0 0 0 0% Supplies, Services and Admin 44 4 44 0 0% Payments to Other Bodies 0 0% Other 0 0% Gross Expenditure 303 110 312 9 3% Income 0 0 0 0 0% Net Expenditure 303 110 312 9 3% £000 £000 £000 £000 % Employee 0 0% Property 0 0% Transport and Plant 0 0% Supplies, Services and Admin 5 0 5 1 11% Payments to Other Bodies 100 15 105 5 5% Other 0 0% Gross Expenditure 104 15 110 6 5% Income (85) (29) (114) (29) (34%) Net Expenditure 19 (14) (4) (23) (121%) £000 £000 £000 £000 % Employee 0 0% Property 0 0% Transport and Plant 0 0% Supplies, Services and Admin 69 25 69 0 0% Payments to Other Bodies 33 12 33 0 0% Other 0 0% Gross Expenditure 102 36 102 0 0% Income (892) (149) (892) 0 0% Net Expenditure (790) (113) (790) 0 0% £000 £000 £000 £000 % Employee 905 304 905 0 0% Property 0 0 0 0 0% Transport and Plant 0 0 0 0 0% Supplies, Services and Admin 3 2 3 1 19% Payments to Other Bodies 73 0 73 0 0% Other 0 0 0 0 0% Gross Expenditure 981 306 982 1 0% Income (500) (3) (503) (3) (1%) Net Expenditure 482 303 479 (3) (1%) £000 £000 £000 £000 % Employee 864 337 863 (1) (0%) Property 0 0 0 0 0% Transport and Plant 1 1 2 1 100% Supplies, Services and Admin 9 10 11 2 22% Payments to Other Bodies 0 0% Other 0 0% Gross Expenditure 874 348 876 2 0% Income (119) (51) (102) 17 14% Net Expenditure 756 297 774 19 2% Finance Service Centre Democratic and Registration Service Cost of Collection of Rates Cost of Collection of Council Tax Procurement Page 190
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WEST DUNBARTONSHIRE COUNCIL REVENUE BUDGETARY CONTROL 2022/23 CORPORATE SERVICES COMMITTEE DETAIL PERIOD END DATE 31 August 2022 Total Budget 2022/23 YTD Spend 2022/23 Forecast Spend 2022/23 RAG Status Service Summary Variance 2022/23 £000 £000 £000 £000 % Employee 2,489 952 2,452 (37) (1%) Property 0 0 0 0 0% Transport and Plant 1 0 0 (1) (100%) Supplies, Services and Admin 12 6 12 0 0% Payments to Other Bodies 69 75 105 36 52% Other 0 0% Gross Expenditure 2,571 1,032 2,569 (2) (0%) Income (13) (3) (24) (11) (85%) Net Expenditure 2,558 1,030 2,545 (13) (1%) £000 £000 £000 £000 % Employee 988 361 988 1 0% Property 7 2 7 0 0% Transport and Plant 12 4 11 (1) (8%) Supplies, Services and Admin 22 7 21 (1) (5%) Payments to Other Bodies 78 34 78 0 0% Other 0 0% Gross Expenditure 1,107 408 1,105 (2) (0%) Income (407) (114) (355) 52 13% Net Expenditure 699 294 750 51 7% £000 £000 £000 £000 % Employee 263 88 262 (1) (0%) Property 0 0% Transport and Plant 1 0 0 (1) (100%) Supplies, Services and Admin 7 1 7 1 8% Payments to Other Bodies 10 0 10 0 3% Other 0 0% Gross Expenditure 280 89 279 (1) (0%) Income (398) (116) (378) 20 5% Net Expenditure (117) (27) (99) 18 (16%) £000 £000 £000 £000 % Employee 982 363 981 (1) (0%) Property 0 0% Transport and Plant 4 1 3 (1) (25%) Supplies, Services and Admin 18 9 17 (1) (4%) Payments to Other Bodies 2 3 4 2 100% Other 0 0% Gross Expenditure 1,005 376 1,005 (0) (0%) Income (181) (10) (215) (34) (19%) Net Expenditure 824 367 790 (34) (4%) £000 £000 £000 £000 % Employee 1,066 394 1,065 (1) (0%) Property 0 0% Transport and Plant 5 0 1 (4) (80%) Supplies, Services and Admin 22 7 24 2 9% Payments to Other Bodies 130 21 130 0 0% Other 0 0% Gross Expenditure 1,223 422 1,220 (3) (0%) Income (846) (196) (591) 255 30% Net Expenditure 377 226 629 252 67% Central Admin Support Environmental Health Legal Services/Trading Standards Licensing Planning Page 191
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WEST DUNBARTONSHIRE COUNCIL REVENUE BUDGETARY CONTROL 2022/23 CORPORATE SERVICES COMMITTEE DETAIL PERIOD END DATE 31 August 2022 Total Budget 2022/23 YTD Spend 2022/23 Forecast Spend 2022/23 RAG Status Service Summary Variance 2022/23 £000 £000 £000 £000 % Employee 812 294 814 2 0% Property 0 0% Transport and Plant 0 0 0 0 0% Supplies, Services and Admin 5 2 5 0 0% Payments to Other Bodies 0 0% Other 0 0% Gross Expenditure 817 296 819 2 0% Income (74) 5 (73) 1 1% Net Expenditure 743 301 746 3 0% £000 £000 £000 £000 % Employee 1,014 374 1,013 (1) (0%) Property 0 0 0 0 0% Transport and Plant 2 0 1 (1) (50%) Supplies, Services and Admin 5 5 7 2 40% Payments to Other Bodies 262 138 262 0 0% Other 0 0% Gross Expenditure 1,283 517 1,283 0 0% Income 0 0 0 0 0% Net Expenditure 1,283 517 1,283 0 0% £000 £000 £000 £000 % Employee 2,064 789 2,064 (0) (0%) Property 0 0% Transport and Plant 3 0 1 (2) (70%) Supplies, Services and Admin 2,847 1,795 2,781 (66) (2%) Payments to Other Bodies 19 3 19 0 0% Other 0 0% Gross Expenditure 4,934 2,587 4,865 (69) (1%) Income (432) (92) (425) 7 2% Net Expenditure 4,502 2,495 4,440 (62) (1%) £000 £000 £000 £000 % Employee 550 189 550 (1) (0%) Property 0 0% Transport and Plant 0 0 0 (0) (100%) Supplies, Services and Admin 0 0 1 0 400% Payments to Other Bodies 0 0% Other 0 0% Gross Expenditure 551 189 550 (1) (0%) Income (54) (12) (54) 0 0% Net Expenditure 497 177 496 (1) (0%) £000 £000 £000 £000 % Employee 340 121 331 (9) (3%) Property 0 0 0 0 0% Transport and Plant 1 0 1 0 0% Supplies, Services and Admin 14 2 15 1 4% Payments to Other Bodies 0 0 0 0 0% Other 0 0 0 0 0% Gross Expenditure 354 123 346 (8) (2%) Income (22) (16) (22) 0 0% Net Expenditure 333 107 325 (8) (2%) Transactional Services Human Resources (including risk) Information Services Change Support Communications & Marketing Page 192
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WEST DUNBARTONSHIRE COUNCIL REVENUE BUDGETARY CONTROL 2022/23 CORPORATE SERVICES COMMITTEE DETAIL PERIOD END DATE 31 August 2022 Total Budget 2022/23 YTD Spend 2022/23 Forecast Spend 2022/23 RAG Status Service Summary Variance 2022/23 £000 £000 £000 £000 % Employee 1,263 530 1,283 20 2% Property 0 0 0 0 0% Transport and Plant 0 0 0 0 0% Supplies, Services and Admin 20 11 21 1 6% Payments to Other Bodies 0 0 0 0 0% Other 0 0 0 0 0% Gross Expenditure 1,284 541 1,305 21 2% Income 0 0 0 0 0% Net Expenditure 1,284 541 1,305 21 2% £000 £000 £000 £000 % Employee 332 101 313 (19) (6%) Property 0 0 0 0 0% Transport and Plant 1 0 1 0 0% Supplies, Services and Admin 3 0 3 0 1% Payments to Other Bodies 22 2 22 0 0% Other 0 0 0 0 0% Gross Expenditure 357 103 338 (19) (5%) Income 0 (23) (23) (23) 0% Net Expenditure 357 80 315 (42) (12%) £000 £000 £000 £000 % Employee 242 42 236 (5) (2%) Property 219 24 219 0 0% Transport and Plant 0 0 0 0 0% Supplies, Services and Admin 51 31 52 1 2% Payments to Other Bodies 0 10 4 4 0% Other 0 0 0 0 0% Gross Expenditure 511 106 511 (0) (0%) Income (53) (58) (53) 0 0% Net Expenditure 458 49 458 (0) (0%) £000 £000 £000 £000 % Employee 95 34 95 0 0% Property 1,306 354 1,315 9 1% Transport and Plant 1 0 1 0 0% Supplies, Services and Admin 54 8 54 0 0% Payments to Other Bodies 20 (0) 20 (0) (0%) Other 0 0 0 0 0% Gross Expenditure 1,475 396 1,485 9 1% Income (200) 0 (200) 0 0% Net Expenditure 1,275 396 1,285 9 1% £000 £000 £000 £000 % Employee 1,308 465 1,291 (17) (1%) Property 264 43 274 10 4% Transport and Plant 16 4 16 0 1% Supplies, Services and Admin 248 120 255 7 3% Payments to Other Bodies 0 0 0 0 0% Other 0 0 0 0 0% Gross Expenditure 1,836 632 1,836 (1) (0%) Income (25) (38) (59) (34) (137%) Net Expenditure 1,811 594 1,777 (35) (2%) Citizen Services Performance & Strategy Office Accomodation Clydebank Town Hall Libraries Page 193
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WEST DUNBARTONSHIRE COUNCIL REVENUE BUDGETARY CONTROL 2022/23 CORPORATE SERVICES COMMITTEE DETAIL PERIOD END DATE 31 August 2022 Total Budget 2022/23 YTD Spend 2022/23 Forecast Spend 2022/23 RAG Status Service Summary Variance 2022/23 £000 £000 £000 £000 % Employee 358 110 333 (25) (7%) Property 3 0 3 0 0% Transport and Plant 0 0 0 0 0% Supplies, Services and Admin 35 10 35 0 1% Payments to Other Bodies 43 14 43 0 0% Other 0 0 0 0 0% Gross Expenditure 439 134 415 (24) (6%) Income (69) 0 (69) 0 0% Net Expenditure 371 134 346 (24) (7%) £000 £000 £000 £000 % Employee 3,573 1,290 3,464 (109) (3%) Property 70 20 70 0 0% Transport and Plant 111 18 109 (2) (2%) Supplies, Services and Admin 1,982 386 2,021 40 2% Payments to Other Bodies 29 16 29 0 0% Other 0 0 0 0 0% Gross Expenditure 5,763 1,731 5,692 (71) (1%) Income (1,309) (63) (1,309) 0 0% Net Expenditure 4,454 1,668 4,383 (71) (2%) £000 £000 £000 £000 % Employee 1,805 860 1,888 82 5% Property 164 66 165 0 0% Transport and Plant 2 1 2 0 0% Supplies, Services and Admin 21 8 21 0 0% Payments to Other Bodies 0 0 0 0 0% Other 0 0 0 0 0% Gross Expenditure 1,992 934 2,074 82 4% Income (289) (52) (414) (124) (43%) Net Expenditure 1,703 882 1,661 (42) (2%) £000 £000 £000 £000 % Employee 692 255 692 (0) (0%) Property 42 22 42 0 0% Transport and Plant 0 0 0 0 0% Supplies, Services and Admin 12 1 12 0 0% Payments to Other Bodies 0 0 0 0 0% Other 0 0 0 0 0% Gross Expenditure 746 278 746 (0) (0%) Income (1,077) (449) (1,077) 0 0% Net Expenditure (331) (171) (331) (0) 0% £000 £000 £000 £000 % Employee 2,125 805 2,131 6 0% Property 31 19 42 11 33% Transport and Plant 1 0 1 0 0% Supplies, Services and Admin 13 2 15 2 16% Payments to Other Bodies 0 0 0 0 0% Other 0 0 0 0 0% Gross Expenditure 2,171 826 2,189 19 1% Income (71) (25) (71) 0 0% Net Expenditure 2,100 801 2,119 19 1% Arts and Heritage Catering Services Building Cleaning Building Cleaning PPP Facilities Assistants Page 194
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WEST DUNBARTONSHIRE COUNCIL REVENUE BUDGETARY CONTROL 2022/23 CORPORATE SERVICES COMMITTEE DETAIL PERIOD END DATE 31 August 2022 Total Budget 2022/23 YTD Spend 2022/23 Forecast Spend 2022/23 RAG Status Service Summary Variance 2022/23 £000 £000 £000 £000 % Employee 411 145 412 1 0% Property 0 0 0 0 0% Transport and Plant 2 0 2 0 0% Supplies, Services and Admin 3 2 4 1 26% Payments to Other Bodies 0 0 0 0 0% Other 0 0 0 0 0% Gross Expenditure 416 147 418 2 0% Income (20) (21) (21) (1) (6%) Net Expenditure 396 126 397 0 0% £000 £000 £000 £000 % Employee 0 0 0 0 0% Property 0 0 0 0 0% Transport and Plant 0 0 0 0 0% Supplies, Services and Admin 0 0 0 0 0% Payments to Other Bodies 4,397 2,297 4,397 1 0% Other 0 0 0 0 0% Gross Expenditure 4,397 2,298 4,397 1 0% Income (758) 0 (758) 0 0% Net Expenditure 3,638 2,298 3,639 1 0% £000 £000 £000 £000 % Employee 0 0 0 0 0% Property 2 (1) 2 0 0% Transport and Plant 0 0 0 0 0% Supplies, Services and Admin 80 37 80 0 0% Payments to Other Bodies 93 94 94 0 0% Other 0 0 0 0 0% Gross Expenditure 176 130 176 0 0% Income (87) (50) (87) 0 0% Net Expenditure 89 80 89 0 0% Facilities Management Leisure Management Events Page 195
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WEST DUNBARTONSHIRE COUNCIL REVENUE BUDGETARY CONTROL 2022/2023 ANALYSIS FOR VARIANCES OVER £50,000 PERIOD END DATE Total Budget Annual Spend RAG Status £000 £000 £000 % Finance 1,398 1,429 32 2% Service Description Main Issues / Reason for Variance Mitigating Action Anticipated Outcome Revenues & Benefits 2,103 2,147 44 2% Service Description Main Issues / Reason for Variance Mitigating Action Anticipated Outcome Environmental Health 699 750 51 7% Service Description Main Issues / Reason for Variance Mitigating Action Anticipated Outcome Planning 377 629 252 67% Service Description Main Issues / Reason for Variance Mitigating Action Anticipated Outcome Information Services 4,502 4,440 (62) -1% Service Description Main Issues / Reason for Variance Mitigating Action Anticipated Outcome This Service provides Building & Planning services The main reason for the adverse variance is that income is lower than budgeted due to cancelled or delayed building projects. The expected income shortfall has increased since P4 by a further £94k after a further review. This variance has been reported in previous months but was being offset in part by savings on staff costs caused by vacancies, the staffing vacancy savings have been removed in P5. No action required Overspend is anticipated This service area provides general ICT support to the Council and also supports transformational change and modernisation of working practices through technology Supplies and Services is favourable due to computer licence costs projected to cost less than budgeted. None required at this point. Underspend is projected. The 3 Groups within this service (Food and Business Group, Environmental Pollution Group and Community Health Protection Group) are responsible for all aspects of Environmental Health work. The main reason for the adverse variance is a reduction in expected income for pest control in particular. No action can be taken at this time Overspend is anticipated The service provided by this area deal with benefits, council tax and debt recovery. No action is possible at this time. Overspend is anticipated Additional Covid-19 self-isolation grants are being paid by this service with the cost being offset by additional funding. Vacancies being covered by overtime therefore targeted turnover savings not being fully achieved. The service provided by this area deals with Accountancy, Capital, Treasury, Reconciliations, Cash Office and Municipal Bank Main reason for adverse variance is full turnover savings are not being achieved, however this is being offset by an increase in anticipated income. The position continues to be monitored by management to identify any savings which may help reduce this position An adverse variance is likely 31 August 2022 Budget Details Variance Analysis Variance Appendix 3 Page 197
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Total Budget Annual Spend RAG Status £000 £000 £000 % Budget Details Variance Analysis Variance Catering Services 4,454 4,383 (71) -2% Service Description Main Issues / Reason for Variance Mitigating Action A review of the vacancies and overtime position going forward is underway Anticipated Outcome Building Cleaning 1,703 1,661 (42) -2% Service Description Main Issues / Reason for Variance Mitigating Action Anticipated Outcome Catering Services across WDC Overall variance is favourable due to vacancies. Increased spend negates some of the favourable variance due to a one off charge for the early termination charges for contract for vending machines and a higher level of overtime than predicted due to the vacancies. Overspend is anticpated This service provides cleaning services across all council buildings The reason for the favourable variance is the number of ongoing vacancies None required at present Underspend likely Page 198
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WEST DUNBARTONSHIRE COUNCIL GENERAL SERVICES CAPITAL PROGRAMME - CORPORATE SERVICES COMMITTEE OVERALL PROGRAMME SUMMARY MONTH END DATE PERIOD 5 Spend to Date Spend to Date £000 £000 Red 4 19% 45 2% 4 19% 3 0% Amber 0 0% 0 0% 0 0% 0 0% Green 17 81% 2,431 98% 17 81% 725 100% 21 100% 2,476 100% 21 100% 728 100% Budget Spend to Date Forecast Spend Forecast Variance Budget Spend to Date Forecast Spend Forecast Variance Slippage Over/ (Under) £000 £000 £000 £000 £000 £000 £000 £000 £000 £000 421 45 470 49 36 3 49 13 (36) 49 0 0 0 0 0 0 0 0 0 0 10,659 2,431 10,563 (96) 7,448 725 6,658 (791) (791) 0 11,080 2,476 11,033 (47) 7,484 728 6,707 (778) (827) 49 Projects are on target both in relation to overall budget and the forecast stages in the project life cycle and no issues are anticipated at this time TOTAL EXPENDITURE Projects are forecast to be overspent and/or significant delay to completion Amber Projects are either at risk of being overspent and/or delay in completion (although this is unquantifiable at present) or the project has any issues that require to be reported at this time Green TOTAL EXPENDITURE Project Life Financials Current Year Financials Red Projects are on target both in relation to overall budget and the forecast stages in the project life cycle and no issues are anticipated at this time 31 August 2022 Project Status Analysis Project Life Status Analysis Current Year Project Status Analysis Number of Projects at RAG Status % Projects at RAG Status % Project Spend at RAG Status Number of Projects at RAG Status % Projects at RAG Status % Project Spend at RAG Status Red Projects are forecast to be overspent and/or experience material delay to completion Amber Projects are either at risk of being overspent and/or delay in completion (although this is unquantifiable at present) or the project has any issues that require to be reported at this time Green Appendix 4 Page 199
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WEST DUNBARTONSHIRE COUNCIL GENERAL SERVICES CAPITAL PROGRAMME ANALYSIS OF PROJECTS AT RED ALERT STATUS PERIOD END DATE PERIOD 5 Budget Forecast Spend £000 £000 % £000 £000 % Project Life Financials 9 0 0% 9 0 0% Current Year Financials 3 0 0% 0 (3) -100% Project Description Project Manager David Thomson Chief Officer David Thomson Project Lifecycle 31-Mar-23 31-Mar-23 Project Life Financials 0 3 0% 3 3 0% Current Year Financials 0 3 0% 3 3 0% Project Description Project Manager David Thomson Chief Officer David Thomson Project Lifecycle 31-Mar-23 31-Mar-23 Project Life Financials 33 0 0% 33 0 0% Current Year Financials 33 0 0% 0 (33) -100% Project Description Project Manager Alan Douglas Chief Officer Peter Hessett Project Lifecycle 31-Mar-24 31-Mar-24 Replacement of laptops, monitors and other ICT equipment. Planned End Date Forecast End Date Main Issues / Reason for Variance Replacement of laptops, monitors and other ICT equipment. No further spend anticipated. Mitigating Action None available at this time. Anticipated Outcome Replacement of laptops and ICT equipment Legal Case Management System 31 August 2022 Budget Details Project Life Financials Spend to Date Variance Valuation Joint Board - Requisition of ICT Equipment Requisition ICT Equipment. Planned End Date Forecast End Date Main Issues / Reason for Variance This budget remains unspent and is likely to be carried forward into FY 23/24. Mitigating Action Valuation Joint Board - ICT Refresh FY 22/23 Forecast End Date Main Issues / Reason for Variance Budget has been rephased from 2021/22. The project could not proceed as originally planned as Officers are required to access the office and hardware the system will run on and COVID-19 restrictions have prevented this. The project will have to go back out to tender following the upgrade to Microsoft 365. The project will not be completed in this financial year. Mitigating Action Legal to discuss impact of Microsoft 365 with ICT. None available at this time. Anticipated Outcome Requisition of ICT Equipment. Legal Case Management System Anticipated Outcome Project to be completed in 2023/24. Planned End Date Appendix 5 Page 201
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WEST DUNBARTONSHIRE COUNCIL GENERAL SERVICES CAPITAL PROGRAMME ANALYSIS OF PROJECTS AT RED ALERT STATUS PERIOD END DATE PERIOD 5 Budget Forecast Spend £000 £000 % £000 £000 % 31 August 2022 Budget Details Project Life Financials Spend to Date Variance Valuation Joint Board - Requisition of ICT Equipment Project Life Financials 379 42 11% 425 46 12% Current Year Financials 0 0 0% 46 46 0% Project Description Project Manager Arun Menon Chief Officer Victoria Rogers Project Lifecycle 31-Mar-30 31-Mar-30 Main Issues / Reason for Variance Work continues on developments resulting in some spend in the current year. Mitigating Action None required. Anticipated Outcome Development of Workforce Management System. Development of Workforce Management System Project to develop the Workforce Management System. Planned End Date Forecast End Date Page 202
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WEST DUNBARTONSHIRE COUNCIL GENERAL SERVICES CAPITAL PROGRAMME ANALYSIS OF PROJECTS AT GREEN ALERT STATUS PERIOD END DATE PERIOD 5 Budget Forecast Spend £000 £000 % £000 £000 % Project Life Financials 30 0 0% 30 0 0% Current Year Financials 30 0 0% 30 0 0% Project Description Project Manager Karen Shannon Chief Officer Laurence Slavin Project Lifecycle 31-Mar-23 31-Mar-23 Project Life Financials 50 43 86% 51 1 1% Current Year Financials 7 0 0% 8 1 10% Project Description Project Manager Karen Shannon Chief Officer Laurence Slavin Project Lifecycle 31-Mar-23 31-Mar-23 Project Life Financials 40 5 12% 40 (0) 0% Current Year Financials 35 0 0% 35 0 0% Project Description Project Manager Karen Shannon Chief Officer Laurence Slavin Project Lifecycle 30-Sep-23 30-Sep-23 Main Issues / Reason for Variance The various claim forms and departmental reports have been reviewed and updated and the relevant online request forms were submitted to the Digital Sub-Group to be converted to Online Achieve Forms. The various claim forms and departmental reports have now been converted to Online Achieve Forms and are in the process of being tested. Once complete, the supplier will take matters forward with their design team. An anticipated timeline for completion of the project, taking into account the various stages i.e. development, testing, going live etc. will be drawn up in conjunction with the supplier at that time. Budget spend anticipated in 2022/23. Mitigating Action None required at this time. Mitigating Action None required at this time. Anticipated Outcome Upgraded version with PCI compliant telephone payment system. Electronic Insurance System Acquisition of a claims/incident management system supported by an electronic document management system. 31 August 2022 Budget Details Project Life Financials Spend to Date Variance Payment Card Industry Data Security Standard (PCIDSS) Module would ensure that WDC were compliant with the current requirements of PCIDSS for card payments without the need for numerous costly workarounds Planned End Date Forecast End Date Main Issues / Reason for Variance Budget was rephased to 2022-23 as version upgrade of the Council's cash receipting system is required beforehand and is currently underway. Anticipated Outcome Upgraded Electronic Insurance System. Enhancements to Cash Receipting System Main Issues / Reason for Variance Budget was rephased to 2022-2023 as this is a number of mini projects and the first part is the version upgrade which is actively progressing. After this upgrade we can move onto other enhancements which are anticipated to finish in September 2023. Mitigating Action None required at this time. Anticipated Outcome Enhancements to the cash receipting system including PCI compliant telephone payment system. To enhance the cash receipting system in the way payments are made and allocated to back office by increasing the level of security that is required for online payments made by customers Planned End Date Forecast End Date Planned End Date Forecast End Date Appendix 6 Page 203
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WEST DUNBARTONSHIRE COUNCIL GENERAL SERVICES CAPITAL PROGRAMME ANALYSIS OF PROJECTS AT GREEN ALERT STATUS PERIOD END DATE PERIOD 5 Budget Forecast Spend £000 £000 % £000 £000 % 31 August 2022 Budget Details Project Life Financials Spend to Date Variance Project Life Financials 60 5 8% 60 0 0% Current Year Financials 25 0 0% 25 0 0% Project Description Project Manager Adrian Gray Chief Officer Laurence Slavin Project Lifecycle 31-Mar-22 31-Oct-22 Project Life Financials 5 0 0% 5 0 0% Current Year Financials 5 0 0% 5 0 0% Project Description Project Manager Jackie Nicol Thomson Chief Officer Laurence Slavin Project Lifecycle 31-Mar-23 31-Mar-23 Project Life Financials 1,000 0 0% 1,000 0 0% Current Year Financials 1,000 0 0% 1,000 0 0% Project Description Project Manager Gillian McNeilly Chief Officer Laurence Slavin Project Lifecycle 31-Mar-23 31-Mar-23 Main Issues / Reason for Variance Delays in completion of required data cleansing prior to the upgrade have caused the start of the upgrade to be deemed too close to the financial year end to risk disruption to preparation of the draft final accounts. The upgrade will be delayed until October 2022. Cost of Living To support Council and community organisations with capital costs for cost of living initiatives. Planned End Date Forecast End Date Main Issues / Reason for Variance Working Group currently developing proposals for initiative. Mitigating Action None required Anticipated Outcome Initialive will assist with cost of living crisis IFRS 16 Database This is a system which will ensure that WDC has the correct level of information and adheres to correct reporting of IFRS16 - Leasing. Planned End Date Forecast End Date Main Issues / Reason for Variance The purchase of software to allow new accounting treatment of leases to be appropriately reported is on track. Full spend anticipated FY 2022/2023. Mitigating Action None required Anticipated Outcome Purchase of software for accounting for leases. Mitigating Action None possible at this time. Anticipated Outcome Development of Agresso system later than originally anticipated but within original budget. Agresso development The purpose of this project is to carry out an upgrade of the Agresso Finance System which was last upgraded in 2015. The requirement to upgrade is to maintain a level of support available from Unit 4 who have advised that support for older versions of the system is being reduced. Planned End Date Forecast End Date Page 204
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WEST DUNBARTONSHIRE COUNCIL GENERAL SERVICES CAPITAL PROGRAMME ANALYSIS OF PROJECTS AT GREEN ALERT STATUS PERIOD END DATE PERIOD 5 Budget Forecast Spend £000 £000 % £000 £000 % 31 August 2022 Budget Details Project Life Financials Spend to Date Variance Project Life Financials 53 13 25% 53 0 0% Current Year Financials 33 0 0% 33 0 0% Project Description Project Manager Alan Douglas Chief Officer Peter Hessett Project Lifecycle 31-Mar-24 31-Mar-24 Project Life Financials 30 0 0% 30 0 0% Current Year Financials 10 0 0% 10 0 0% Project Description Project Manager Pamela Clifford Chief Officer Peter Hessett Project Lifecycle 31-Mar-23 31-Mar-23 Project Life Financials 15 4 24% 15 0 0% Current Year Financials 11 0 0% 11 0 0% Project Description Project Manager Stephen Daly Chief Officer Amanda Graham Project Lifecycle 31-Mar-23 31-Mar-23 Anticipated Outcome Review of service requirements & telephony functionality will inform works to improve citizen experience. Planned End Date Forecast End Date Main Issues / Reason for Variance Improvements to Contact Centre telephony were completed as scheduled during 2021/2022. Further works have been scoped and agreed for improvement to Housing telephony, benefiting both residents and the Council. A review of the out of hours service is currently being undertaken including work to upgrade telephony. Any works will also incur professional fees for necessary scripting works. We are also exploring call recording technology across all the Contact Centre telephony. It is anticipated these projects will be completed during the financial year 2022/2023. Mitigating Action None required. Telephone System Upgrade To improve Housing Repairs telephone platform for incoming calls, providing improved Management Information. Anticipated Outcome Preservation of Historic Site. Planned End Date Forecast End Date Main Issues / Reason for Variance Council's capital contribution towards the multi-partner (five local authorities and Historic Environment Scotland) Rediscovering the Antonine Wall project will be paid by the end of the financial year. Mitigating Action None Required. Re -imagine Antonine Wall Council's capital contribution towards the multi-partner (five local authorities and Historic Environment Scotland) Rediscovering the Antonine Wall project which is also funded by the Heritage Lottery Fund. Trainee solicitor in place. Budget will be fully spent. Mitigating Action None required at this time. Anticipated Outcome Solicitor support for Capital Projects, with full budget spend anticipated. Solicitor Project Support for Capital Projects Solicitor costs to directly support capital projects Planned End Date Forecast End Date Main Issues / Reason for Variance Page 205
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WEST DUNBARTONSHIRE COUNCIL GENERAL SERVICES CAPITAL PROGRAMME ANALYSIS OF PROJECTS AT GREEN ALERT STATUS PERIOD END DATE PERIOD 5 Budget Forecast Spend £000 £000 % £000 £000 % 31 August 2022 Budget Details Project Life Financials Spend to Date Variance Project Life Financials 421 232 55% 421 (0) 0% Current Year Financials 91 3 3% 91 (0) 0% Project Description Project Manager David Main Chief Officer Amanda Graham Project Lifecycle 31-Mar-24 31-Mar-24 Project Life Financials 3,987 1,185 30% 4,000 13 0% Current Year Financials 1,662 (2) 0% 1,662 0 0% Project Description Project Manager Sarah Christie/Michelle Lynn Chief Officer Amanda Graham Project Lifecycle 31-Mar-23 31-Mar-23 Project Life Financials 1,700 43 3% 1,590 (110) -6% Current Year Financials 1,590 43 3% 1,590 0 0% Project Description Project Manager Michelle Lynn/ Sarah Christie Chief Officer Amanda Graham Project Lifecycle 31-Mar-24 31-Mar-24 Heritage Capital Fund Heritage Capital Fund. Main Issues / Reason for Variance Work is underway to progress furniture replacement at Dumbarton, Duntocher and Parkhall libraries during 2022/2023. Budget of £0.1m has been rephased to next financial year for Dalmuir library as work is currently scheduled for 2023/2024. Mitigating Action None required. Anticipated Outcome Project carried forward to align with Asset Management programme. Main Issues / Reason for Variance Project in design phase and planning application submitted August 2022. Mitigating Action None available at this time. Anticipated Outcome Re-development of Glencairn House in Dumbarton High Street to a purpose built library and museum, within budget albeit later than originally anticipated. Anticipated Outcome Project to be delivered on budget and within revised timescale. Glencairn House Re-development of Glencairn House in Dumbarton High St to a purpose built library and museum. Planned End Date Forecast End Date Planned End Date Forecast End Date None available at this time. Transformation of Infrastructure Libraries and Museums To improve performance and efficiency of Council's Libraries and Cultural Services. Planned End Date Forecast End Date Main Issues / Reason for Variance The original projected spend has been affected by internal and external delays due to the Covid 19 recovery, a reduction in the scope of the Clydebank Town Hall project, a change in the delivery date for the Clydebank Museum at Clydebank Library during the contract award stage, while the new Dalmuir Library and Gallery had to be rescheduled for approval in August 2021. Officers are now making progress to get projects back on track, projects will still be delivered in full, and a review of optimism bias will be undertaken in the projections for 2022/23. Mitigating Action Page 206
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WEST DUNBARTONSHIRE COUNCIL GENERAL SERVICES CAPITAL PROGRAMME ANALYSIS OF PROJECTS AT GREEN ALERT STATUS PERIOD END DATE PERIOD 5 Budget Forecast Spend £000 £000 % £000 £000 % 31 August 2022 Budget Details Project Life Financials Spend to Date Variance Project Life Financials 40 0 0% 40 0 0% Current Year Financials 40 0 0% 40 0 0% Project Description Project Manager John Anderson Chief Officer Amanda Graham Project Lifecycle 31-Mar-22 31-Mar-23 Project Life Financials 1,422 422 30% 1,422 0 0% Current Year Financials 1,422 422 30% 950 (472) -33% Project Description Project Manager Patricia Kerr Chief Officer Victoria Rogers Project Lifecycle 31-Mar-23 31-Mar-23 Project Life Financials 60 50 83% 60 0 0% Current Year Financials 17 7 40% 17 0 0% Project Description Project Manager Patricia Kerr Chief Officer Victoria Rogers Project Lifecycle 31-Oct-22 31-Oct-22 Mitigating Action None available at this time. Anticipated Outcome Technical aspect of the project is complete and WDC assisting with user testing. Delayed but on budget. Internet of Things Asset Tracking Asset Tracking. Planned End Date Forecast End Date Main Issues / Reason for Variance Technical aspect of the project is complete and WDC are assisting with user testing. Delayed but on budget. Anticipated Outcome Most of capital allocated to HSCP will be used to review/replace the current case management systems and will be rephased in line with the project plan. Supply chain delays may continue to impact delivery and spend. Planned End Date Forecast End Date Main Issues / Reason for Variance Some replacement Chrome book orders have been received by schools. Uplift and disposal of old devices being scheduled. Planning for MOB replacements to be issued to users but dependency on In Tune module of 365. Gathering inventory information for next batch of replacements. Mitigating Action Continue to escalate and meet framework suppliers to confirm delivery lead times. Investigate other procurement routes as well as adjust the project scope to replace where stock allows. ICT Modernisation This budget is to facilitate ICT infrastructure and modernise working practices. Mitigating Action None required Anticipated Outcome New floor fitted in Alexandria Community Sports Hall. Alexandria Community Centre Sports Hall re-flooring Alexandria Community Centre Sports Hall re-flooring Planned End Date Forecast End Date Main Issues / Reason for Variance The Alexandria Community Centre Sports Hall continues to be utilised as COVID-19 vaccine centre during 2022/23 and the work will be postponed until the last quarter of the financial year. Page 207
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WEST DUNBARTONSHIRE COUNCIL GENERAL SERVICES CAPITAL PROGRAMME ANALYSIS OF PROJECTS AT GREEN ALERT STATUS PERIOD END DATE PERIOD 5 Budget Forecast Spend £000 £000 % £000 £000 % 31 August 2022 Budget Details Project Life Financials Spend to Date Variance Project Life Financials 1,297 241 19% 1,297 0 0% Current Year Financials 1,297 241 19% 1,000 (297) -23% Project Description Project Manager Brian Miller/ Patricia Kerr Chief Officer Victoria Rogers Project Lifecycle 31-Mar-23 31-Mar-23 Project Life Financials 450 189 42% 450 0 0% Current Year Financials 173 11 7% 150 (23) -13% Project Description Project Manager Dorota Piotrowicz/ Patricia Kerr Chief Officer Victoria Rogers Project Lifecycle 30-Sep-23 30-Sep-23 Majority of budget spent but delayed. ICT Security & DR The project is for the enhancement of security systems, server replacement and the update of corporate applications to ensure compliance with 15/16 PSN requirements, to enhance the disaster recovery capabilities of WDC. Main Issues / Reason for Variance Project spend relates to internal and external resources to implement new systems, processes and user training skills. Mailbox migration aspect of the project delayed until cloud backup is implemented (procurement of backup in progress and target implementation is October 2022 following tendering committee approval). Implementation of device management functionality in 365 is on target to go live in September 2022. Information governance work stream baseline review is complete and implementation of action plan is at planning stage. Recruitment of resources to train end users and carry out mail migrations has started. Mitigating Action Continue to monitor the various work streams to accelerate aspects of the project where possible if suppliers can provide resource. Continue to assess where a) internal skills have developed, b) external resource is needed for introducing new functionality in the future to inform future bidding cycles and c) temporary recruitment/secondment is required. Anticipated Outcome Anticipated Outcome Anticipate the majority of budget being spent this financial year but some works are planned for the last quarter of the year for Public Sector Network (PSN) annual compliance submission. 365 Implementation Project services to delivery Microsoft 365 Implementation including 3rd party supplier, training, technical consultancy etc. Planned End Date Forecast End Date Planned End Date Forecast End Date Main Issues / Reason for Variance Storage Area Network (SAN) delivered and installation planning underway. Switch replacement in schools completed during the summer break. Switch replacement for Church Street at planning stage as required down time. Server replacement at scoping stage. Mitigating Action Monitor supply chain issues. Continue tendering processes and implementation stages for each project. Page 208
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WEST DUNBARTONSHIRE COUNCIL Report by Chief Officer - Resources Corporate Services Committee : 2 November 2022 __________________________________________________________________________________ Subject: Various Grant Applications to Dumbarton Common Good 1. Purpose of Report 1.1 The purpose of this report is to provide Members with details of three grant applications to Dumbarton Common Good for consideration. 2. Recommendations 2.1 The Committee is asked to approve the renewal for a further 3 years of the £36,000 annual grant to Bellsmyre Development Trust. 2.2 The Committee is asked to approve the permanent increase of £2,730 to the existing grant paid to cover the cost of the annual Levengrove Fireworks Display from 2023-24 and to note that prior approval has been given for the increase in 2022-23. The Committee is also asked to approve future increases in this budget to cover increased costs up to a ceiling of £20,000 at which time a report will be brought to Committee seeking permission to increase beyond the proposed ceiling. 2.3 The Committee is asked to note that an annual grant of £50,000 to be paid as a contribution to the annual Pipe Band Championships held in Levengrove Park, commencing 2023-24 will be included in the budget report to council in March 2023. 3. Background 3.1 Dumbarton Common Good Fund grants are administered by the West Dunbartonshire Council and are reported to the Committee as and when applications are received. 3.2 The value of fund as at 31 March 2022 was £581,312. 4. Main Issues Grant Applications to Dumbarton Common Good 4.1 At a meeting of West Dunbartonshire Council held on 27th November 2019 members agreed to provide an annual grant to Bellsmyre Development Trust of £36,000 to cover three operational years from February 2020 until January 2023. Bellsmyre Development Trust are applying for a continuation of this ITEM 15 Page 209
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arrangement for a further three years subject to the renewal of the service level agreement which also expires in January 2023. Appendix A summarises the aims of the group and advises on their current financial position. Committee is asked to approve an extension of the grant payment at a maximum of £36,000 per annum for the period from 1st February 2023 to 31 January 2026. 4.2 Dumbarton Common Good has provided an annual grant of £9,050 to fund the annual Fireworks Display held at Levengrove Park. The Chief Officer for Citizen, Culture and Facilities, has advised that the current grant is no longer sufficient to cover the cost of the event and has requested that the budget be increased by £2,730 to £11,780 which will be sufficient to cover the current cost. As the 2022-23 event in question will occur only 3 days after the date of the committee meeting prior approval was sought and given by the Chief Executive and Convenor of the Committee. Members are asked to note that prior approval for 2022-23 has been given and to approve the permanent increase to the grant from 2023-24. Members are also asked to agree that this budget can increase further in line with increased costs up to a ceiling of £20,000 at which time a new report would be brought before members seeking permission to exceed the proposed ceiling. 4.3 The Chief Officer for Citizen, Culture and Facilities has enquired whether Dumbarton Common Good can provide funding as a contribution towards the annual Pipe Bands Championship held in Levengrove Park. The council’s Events budget is under pressure and the amount it currently provides towards the Pipe Band Championships is insufficient to cover the current cost and a loss of income being experienced by the event. The request is to provide £50,000 per annum from 2023-24 financial year. This request will be included in the 23-24 budget report for a council decision on its inclusion. Members are asked to note this request will feature in the budget report to council in March 2023. 5. Option Appraisal 5.1 No option appraisal was required for this report. 6. People Implications 6.1 There are no people implications. 7. Financial and Procurement Implications 7.1 It is recommended that members agree to a 3 year continuation of the grant funding arrangement of £36,000 per annum to Bellsmyre Development Trust with a revised Service Level Agreement in place until 31 January 2026. 7.2 Approval has been agreed prior to the committee meeting to increase funding to Annual Fireworks display by £2,730 with the increased annual grant being £11,780 from 2022-23 financial year. It is recommended that members agree to the permanent increase of £2,730 from 2023-24 and also agree to a ceiling Page 210
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of £20,000 being placed on this budget to accommodate future increases in running costs. 7.3 It is recommended that members note that an annual grant of £50,000 to Pipe Band Championships commencing 2023-24 financial year will be included in the budget report to Council in March 2023. 8. Risk Analysis 8.1 The Council must consider financial and reputational risks when considering grant applications. The financial risk is not only that the Council and Common Good Fund remain within budget, but also that the organisations funded by the Council and the Common Good Fund are both viable in the long term and comply with the Conditions of Grant which cover issues such as discrimination, health and safety, insurance, etc. 9. Equalities Impact Assessment (EIA) 9.1 No equalities impact assessment was required in relation to this report. 10. Environmental Sustainability 10.1 No assessment of environmental sustainability was required in relation to this report. 11. Consultation 11.1 Legal and Financial Officers have been consulted in preparing this report. 11.2 All organisations are consulted regarding recommendations of grant prior to the report being submitted to Committee. 12. Strategic Assessment 12.1 Proper budgetary control and sound financial practice are cornerstones of good governance and support Council and officers to pursue the 5 strategic priorities of the Councils Strategic Plan. Laurence Slavin Chief Officer, Resources Date: 17 October 2022 ___________________________________________________________________ Person to Contact: Adrian Gray, Finance Business Partner, Church Street, Dumbarton, Email: adrian.gray @west-dunbarton.gov.uk Page 211
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Appendices Appendix A: Details of Grant Application Background Papers: Grant application summary information Individual group grant applications Wards Affected: Ward 3 Page 212
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Dumbarton Common Good Fund for consideration by Corporate Services Committee on 02 November 2022 (2022/2023 onwards) Organisation Purpose of organisation Purpose of grant Grant Requested and Officer Recommendation Bellsmyre Development Trust SCIO To alleviate poverty in the Bellsmyre Area through the provision of facilities, resources, activities and the generation of opportunities for all local residents To partially fund ongoing costs to allow the facilities and activities already established to continue on an ongoing basis. This is a request to extend existing arrangements for a further 3 years from Feb 23 to Jan 26. The purpose and main aims of Bellsmyre Development Trust are: Create a community organisation capable of developing and representing the community of Bellsmyre. Design and deliver a programme of activities, events and opportunities for local residents, in particular focussing on Children, Families and Senior Citizens Improving the aesthetic and environmental areas of the neighbourhood Relieving Poverty and Introducing services to support families and individuals affected by addictions Designing and building a Community Hub/Centre fit for purpose in the modern times. Project annual cost: £371,800 Project annual income £266,100 including £127,500 self-generated income. Grant request: £36,000 per annum on an ongoing basis with an updated Service Level Agreement developed. Officer Recommendation: Agree £36,000 per annum for further 3 years to January 2026. Number of members How often does it meet Bank Balance and Accounts Balance Appendix 1 Page 213
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900-1000 registered members, with 30 regular volunteers assisting; including 10 volunteer trustees Board Meetings are bi-monthly and the annual AGM takes place in April each year Accounts balance £62,472 per financial statements at 31st January 2022 (unrestricted). Current Bank Balance as at 14th October 2022 is £70,181 Page 214
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WEST DUNBARTONSHIRE COUNCIL Report by Chief Officer – People & Technology Corporate Services Committee : 2 November 2022 ___________________________________________________________________ Subject: Council Workforce Plan 2017-2022: Update & Annual Action Plan 2021/22 1. Purpose 1.1 The purpose of this report is to provide an update on the Council’s workforce planning activity for 2021/22. 2. Recommendations 2.1 The Committee is asked to: • Note progress during 2021/22 in delivering against the Council Workforce Plan; • Note the workforce profile as at 31st March 2022 and key changes; • Note development of planned actions for 2022/2023, linked to the People First Strategy & 5 year plan and • Note the Delivery Plans for each service include workforce annual action plans. 3. Background 3.1 The Council Workforce Plan 2017-2022 was approved by this Committee on 29th November 2017, having been developed in line with the Council’s revised Strategic Planning Framework. 3.2 The Council Workforce Plan is subject to ongoing monitoring and evaluation to ensure that it remains effective in delivering required outcomes and responsive to any changes in circumstances which subsequently arise. This report contains 3 sections and associated appendices: • The progress and achievements made over the last year (Appendix 1); • The current workforce profile, examining any changes (Appendix 2); and • Future actions for Workforce planning 2022/23 linked to the People First Strategy (Appendix 3). 3.3 Progress updates will be submitted to Corporate Services Committee on an annual basis, outlining progress to date and actions for the year ahead. The progress update at Service Level (Appendix 1) and the high level action plan for 2022/23 (Appendix 3) are attached. ITEM 16 Page 215
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3.4 Workforce annual action plans, for each Chief Officer Area are submitted to the relevant Committee as part of the Delivery Planning process. Separate reports are tabled at this committee. 3.5 Whilst separate planning processes exist in relation to West Dunbartonshire Health & Social Care Partnership (HSCP), appropriate alignment is in place to ensure that Council employees working within HSCP are included and benefit from all Council Wide initiatives and actions. 4. Main Issues 4.1 The attached (Appendix 1) updates on the annual workforce planning action plans for Services for 2021/22 under the areas addressed as follows: • Addressing the gap between current workforce supply and predicted future demand; • Addressing the gap between current and required workforce capabilities; • Improving resilience within teams; • Ensuring clear, effective and stable organisational design; • Addressing workforce diversity objectives; and • Improving use of technology and new ways of working. 4.2 Key Achievements 4.2.1 As expected, the principle focus over the last 2 years has been the COVID-19 pandemic, our response and recovery, adapting to ever changing legislation and guidance to ensure continued delivery of front line services and employee support. This has resulted in many changes to service delivery, working styles and individual service plans provide details of changes, challenges and achievements. 4.2.2 Services are reviewing and improving use of relevant data and the changing environment to predict future demand and explore opportunities to deliver services differently and more effectively. Where relevant, services considered the opportunities and benefits of cross service working and shared services as appropriate. 4.2.3 In 2021, West Dunbartonshire Council was named one of Scotland’s most flexible employers thanks to a range of initiatives designed to improve employees’ work-life balance. The award, from charity Flexibility Works, ranked the Council in the Top 10. Judges were impressed with the high volume of the Council’s workforce already working flexibly throughout the organisation, and praised the fact that all employees have a right to flexible working from their first day of employment with the application process supporting this from pre-employment stage. This commitment to flexibility will continue to adapt and evolve to support employees to work in a more agile and flexible way. Page 216
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4.2.4 In 2020/21, the innovative Fit for Future (FfF) service review process was introduced to further improve service delivery and identify potential savings. This programme uses a range of tools which encapsulate service design, and employee engagement. This information is gathered and reviewed to identify improvements, to ensure services are efficient and make best use of resources. The FfF approach supports and promotes better use of data, informed decision making, improved people practices and the identification of opportunities for digital solutions. 4.2.5 Each review informs the next and these are going from strength to strength, developing a robust and effective process across services. To date, 6 reviews have been completed: • FfF1 – Waste Services • FfF2 – Working 4 U • FfF3 – Repairs Contact Centre • FfF4 – Procurement • FfF5 – Building Standards • FfF6 – Housing Voids & Allocations A seventh FfF review is being conducted for Facilities Management and Catering and this will be completed by the end of 2022. 4.2.6 Surveys, self-evaluation and quality improvement exercises also continue to provide beneficial insight into areas for enhancement and have informed associated action plans. Services continue to work in a more cohesive fashion, promoting a one council approach in projects such as Integrated Housing Management System, Digital Transformation and Employee Wellbeing. 4.2.7 In recent years the council has placed great emphasis in supporting the development of the workforce, improving digital skills, embedding ‘be the best’ conversations, introducing skills passports and training plans whilst building resilience and career planning into service plans. Now, working more remotely, the need for these interactions is even more apparent and guiding managers to support their teams remotely has been a focus and will continue to be a priority. 4.2.8 The introduction of the Digital Skills Support Framework aims to ensure all employees have access to the support and information they need to grow and develop their digital skills both as an employee, for their role, and as a citizen of Scotland. There has been a marked increase in usage of the online learning platform (ilearn) and work continues around building and developing its modules and capability, particularly around reporting and accessibility. Fit for Future reviews continue to activate learning programmes were appropriate. 4.2.9 With an increased number of employees currently working from home, the continued development of online employee engagement practice is essential. Page 217
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Trickle, a digital platform for employee engagement is being further developed and informs new advances. It has been rolled out across 56 teams and currently has 1316 users. A programme of work is planned to promote Trickle and increase usage across Council commencing in September 2022. 4.2.10 A full on-boarding review was intended however this was paused due to other work priorities and resources. This project sought to review the systems and processes around recruitment, from attracting the right candidates to appointment and integrating and supporting a new employee into the organisation. The intention being to create a positive inspiring, informative and seamless journey from application to appointment and the first stages of employment. Whilst initial work commenced, this project has now been incorporated into the People First Strategy and associated 5 year plan commencing in 2022 with a spotlight on recruitment and on-boarding in years 1 and 2. An induction App was also created to push out helpful organisational information that would assist employees in the first few months. Further promotion, development and analysis of use is required. 4.2.11 Since its’ launch in late 2020, the workforce planning console has been successfully rolled out to the senior management network and continues to be the key source of workforce information. This allows managers to see their workforce information using real time data which has set West Dunbartonshire Council ahead of others, has supported better workforce planning and understanding whilst removing the need for report requests as they have been replaced by the console. Continuous improvement allows for feedback and development of this console with further developments being undertaken this year. 4.2.12 Throughout the Pandemic the Organisational Development, Change and Digital section has continued to adapt, redesigning how support is provided to managers and employees. The wider implications for the working environment following the pandemic, and innovations in technology, mean this is a key turning point in how we develop and deliver learning for the organisation. Significant work has been undertaken to redesign all internal delivery workshops and programmes to enable virtual facilitation, and incorporate latest practice and research including learning and support for digital skills, hybrid working and wellbeing. Additionally, work is also underway to review and update the behavioural frameworks, ACHIEVE and People Management, in line with current thinking and practice, including integration of digital skills and modern leadership. 4.2.13 Building on the positive equalities work already demonstrated such as flexible working and disability confident, a detailed action plan has been developed and is being progressed. This ambitious plan sets out how the equalities actions including how the responsibilities under the Public Sector Equality Duty can be better met. The vision is to create and promote West Dunbartonshire Council as an inclusive organisation that reflects the wider community. The action plan straddles many facets, including data and system development, communication, learning and development, policies and Page 218
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procedures with a focus to refine, ensure continuous review and improvement, reducing and removing barriers to employment for minority groups and implementing positive action. This year actions focused on data collection and verification with the Be Seen, Be Heard campaign, Improving information on our intranet and mandatory training, signing up to the Violence & Harassment Treaty and being part of the Equally Safe in Practice Pilot scheme. 4.2.14 With a revised approach to supporting employee wellbeing implemented in 2019/20, the focus through 2020 - 2022 has been to consolidate the key changes made to the infrastructure of the Employee Wellbeing Group and the associated communication channels thereby realising the benefits brought by these changes. This included but was not limited to clearer lines of communication through the Wellbeing Advocate and Wellbeing Manager groups, to ensure the right support was available to employees at the right time. The pandemic highlighted the importance of continuing to support employees’ mental health and, as a result, a rolling programme of learning opportunities, with targeted wellbeing content, were provided that enabled employees to reflect on and build their resilience during what was a professionally and personally challenging time. There have been welcome improvements in the Local Government Benchmarking Statistics related to attendance which reflects the work in this area and in 2021/22 79% of employees stated they felt valued by the organisation. 4.2.15 Employee engagement has been key in driving the employee wellbeing agenda forward with feedback from Wellbeing Advocates, Trickle (the employee engagement app) and pulse surveys informing the range of supports that were available. The introduction of the Winter Wellbeing Toolkit and the Wellbeing Round ups have provided a clear single point of reference for employees to access resources that support their physical and mental wellbeing as well as offering learning opportunities to support the different ways of working that have been adopted over the last 17 months. Additionally, the last year has seen employees being further encouraged by senior leaders to take small and important steps to take care of their wellbeing. Blogs from Chief Officers and the Chief Executive have stressed the importance of employees taking regular breaks, getting away from computer screens and working flexibly where possible to highlight that the Council values employees and the work they do. This work contributed to the Council Flexible Employers Award in 2020/21 and being shortlisted for Best Health and Wellbeing Strategy in the UK wide HR Excellence Awards. 4.2.16 Full details of the progress made against workforce planning actions across Services are contained in appendix 1. 4.4 The current workforce profile, 4.4.1 The workforce profile as at 31/3/22 is attached in Appendix 2, with comparisons made against the previous year and commentary on trends. The main observations are detailed below: Page 219
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4.4.2 When compared to the same period last year, there has been a headcount reduction of 27 across the council. This change is accounted for by a reduction in fixed term contracts of 25. Although there was an increase of 17 permanent contracts, the reduction also stems from 19 less apprenticeships. Reviewing the comparison data the overall workforce has steadily declined with the bulk of the reductions in Supply Distribution & Property and within Teams in the HSCP, Community care and Mental Health, Addictions and Learning Disabilities. 4.4.5 There has been a continuation of growth in permanent employment, which is a positive development, providing security and stability in times of uncertainty. This is however likely to change in the future as monitoring of the workforce is indicating further reductions in headcount and both permanent and temporary contracts. 4.4.6 The overall sex profile remains largely unchanged with an overall split of 27.1% male and 72.9% female. 4.4.7 There has been a 4.9%increase in turnover from 8.3% last year to 13.2%. Between 2016 and 2018, the turnover was between 8.6 and 8.7%, this reduced to 8% in 18/19 and further reduced to 7.9% in 19/20. The Pandemic and turnover in vaccination centres contributed to this. 4.4.8 This year the data showed that there is an increase in the percentage of employees working past the age of 65 (3.9% to 4.3%) and has steadily increased over the last 3 years, supporting the national profile of employees choosing to work longer for various reasons. The flexible working practices available in the council support this through flexible retirement, more flexible or part time working arrangements, retaining experience to support workplace transition. 4.5 Workforce Planning Actions for 2022/23 4.5.1 Commencing in 2022/23, a 5 year People First Plan has been developed focusing on key improvements of the Employee Life Cycle with spotlights on the following: • Year 1 – Recruitment • Year 2 – On Boarding • Year 3 – Development • Year 4 – Retention • Year 5 – Recognition 4.5.2 The People First Strategy will build on work already undertaken, analysing all aspects of recruitment from attracting candidates to integrating a new employee into the organisation and demonstrating our positive culture whilst at the same time incorporating the aspects of the Fair Work Convention. Part of this project will involve influencing how the Council is viewed and rated as an employer in order to attract and retain key skills and provide a workforce Page 220
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which can meet our service delivery requirements. This is paired with the development work, embedding and continuing to improve the exit interview process providing insights into the environment within services. Trends and feedback from this work will identify and inform future actions. 4.5.3 An increased focus will be on workforce planning actions which facilitate the achievement of the People First Strategy concentrating on supporting the internal and attracting the external recruitment markets, increasing and devising employee development opportunities, succession planning and development of talent pools and career development paths with a focus on increasing the diversification of our workforce. 4.5.4 The Council is currently developing a new 5 year Strategic Plan with Service Delivery Plans aligned to this. Workforce Actions plans will be embedded into service delivery plans and be featured under the Priority ‘Our Council’ and reported within Service Delivery plans mid and end of year. 4.5.5 In order to simplify the reporting and support the considerations around workforce planning in line with the People First Strategy the Workforce Priorities have been revised to 4 for 2022/23 as follows: 1. Our People (Workforce Profile) - Ensure resilience and engagement of the workforce. 2. Recruitment & Retention - Current and predicted future workforce gaps are addressed and core skill sets retained. 3. Structure & Roles - Service Structure and delivery model/s are stable (robustly supported by job evaluation and governance), fit for purpose and future requirements; 4. Skills & Capabilities - Current and future skills gaps and capabilities are addressed. Resilience (including continued Covid recovery), equalities and improved use of technologies and new ways of working remain imperative and will therefore be considered within and across the 4 priorities. 4.5.6 Appendix 3 provides further detail in relation to the revised workforce planning Priorities and their aims with a high level Workforce Plan linked to the 5 Year People First Strategy. Work will be undertaken with Services to ensure these initiatives are considered within their workforce plans and reflected in service specific actions. Cognisance will be taken of service level feedback in relation to activity and outputs of the People First Plan to inform the development and implementation of future actions ensuring service needs are met. 4.5.7 With the workforce planning console embedded into service planning processes, this year will focus on continuous improvement of data and improving the organisations future focus with the incorporation of finance data, concentrating also on projective data, leavers, recruitment and equality information. Page 221
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4.5.8 The Workforce Planning Framework will be reviewed in order to simplifying processes and further embed key workforce planning strategies. Guidance to managers will support this to further enable the workforce planning function. 4.5.9 The Fit for Future Reviews programme will continue across services, supporting and promoting better use of data, improved decision making and better people practices, fully utilising existing systems and technologies to improve service delivery and improving services for our citizens. 4.5.10 Continuous improvement initiatives, such as Lean six sigma, service design, coaching and mentoring and leadership development have been successfully embedded and will continue as core organisational deliverables. Services will continue to promote and engage in cross organisational working, and explore the opportunities that this provides, including the potential for retraining of employees into other areas. To support current budget gaps and future proof the plans for service delivery, succession planning and talent management will be key in further supporting this. 4.5.11 A significant area of development will be the digitalisation programme for the organisation, managed through the Digital Transformation Board and chaired by the Chief Officer for People & Technology. Digital developments have increased tenfold with the COVID pandemic. The work already carried out in this area greatly assisted with employees benefiting from improvements to their digital literacy over recent years. All employees and Elected Members working from home during the pandemic have benefited from the launch of online collaboration tools such as MS teams, Zoom etc. and this will continue to improve and evolve with the rollout of MS365. 4.5.12To ensure employees are not digitally excluded, the focus on digital literacy and skills will continue. The already highly successful Excel and Outlook courses provided by West College Scotland continues supporting improved data usage, understanding and promoting new and efficient ways of working. The Digital Skills Support Framework will also expand this to ensure every employee has access to digital skills support and information. 4.5.13The organisational culture and environment had changed markedly during the preparation to move to offices of the future. This has continued to evolve and improve in the last 2 years and will continue with a focus on wellbeing, working from home, employee engagement and promotion of more flexible working styles. As a forward thinking, innovative and creative council, we will continue to promote agile working where possible and support employees and managers across all service to embrace and embed the various flexible working options. As at the beginning of September 2022 7.15% of employees were working remotely, 6% classed as mobile between office, sites and home and 12.46% Flexibly at different locations. More office based employees are now working remotely and all employees have the opportunity for more flexible styles of working. It does however remain imperative that employees continue to come together for collaborative working face to face when Page 222
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required. 4.5.14 Monitoring the changing working environments will continue as employees are supported to work from various locations, more flexibly whilst balancing their work and personal commitments. This is considered essential not only in supporting employee’s wellbeing but also key to improved productivity. 4.5.15 Continued support of employees in a more virtual environment using trickle, webinars, on line training, surveys, employee forums and support to ensure that employees feel engaged, supported and valued will continue. Peer support groups/communities have been developed to allow for collaboration and networking e.g. wellbeing advocates and MS Teams ambassadors 4.5.16 Communication frameworks changed and evolved to support the organisation through the pandemic. This infrastructure will continue to be utilised to improve communication frameworks for national and local messages, improving the information transfer across the organisation and ensuring the workforce is well informed 4.5.16 The BAME profile has been identified as an area of focus for the Council’s equality outcome to ‘attract more diverse talent’ by reviewing policies and practices to ensure that there are no barriers to entering employment for these groups as set out in the Equalities Mainstreaming report. A Respect at Work Policy is being developed with key stakeholders in relation to Bullying, Harassment, Discrimination and Victimisation and feeding into a Resolution Framework planned for later in the year. 4.5.17 The Equalities agenda will focus on the Equally Safe at Work (ESAW) programme, an innovative employer accreditation programme to address sex inequality and violence against women and girls. Its aim is to support employers in reviewing workplace culture and ensuring that policies and practices are enhanced to address the barriers that women face at work. With 4 levels of award from Development to Gold the Council will commence work towards Foundation level by July 2023. 4.5.18 In 2019/20 a verification exercise was carried out to understand the composition of the workforce using the Workforce Management system. In order to increase reporting, a further exercise including a manual, paper exercise is planned for this year, previously delayed due to the Pandemic. 4.5.19 The Council has held the Armed Forces Gold Award for actions in support of Armed Forces, reservists and their family members since 2019. The Council will be due to re-validate the gold award in 2024 however actions to further support this community will be considered within our People First Strategy and equalities work including encouraging the recruitment and retention of Armed Forces Reservists and their family members. A fuller report detailing activity around this topic is scheduled for October Council Meeting. Page 223
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4.5.20 The main vehicle for pushing Service Redesign programmes is the Fit for Future Programme but this is also supported by the Automation Team and Digital Transformation Board. The introduction of MS365 will bring many opportunities and access to tools that services will require support with to ensure they can maximise benefits from the available applications. Service managers are reviewing workforce plans, structures and digital solutions to support service delivery and these are supported by the People & Change team in a number of ways such as change management, project support, training, automated forms, service design, employment advice and recruitment. 4.5.21 Now integrated into the organisational priorities, the Employee Wellbeing Strategy continues to focus on priority areas, responding to the needs of the organisation. There will be regular progress reports to PMRG and JCF including monitoring the impact of the resulting actions. 4.5.22 Full details of the 2022/23 High level action plan are attached as Appendix 3. 5. People Implications 5.1 Integration of workforce planning within wider organisational planning processes ensures that workforce issues are effectively identified and addressed. This supports the Council’s commitment to its’ employees in relation to all aspects of their employment, ensuring that employees’ needs are met and that efficient and modern services are effectively delivered both now and in the future. 6. Financial and Procurement Implications 6.1 There are no additional financial or procurement implications associated with this report. There are funding streams associated with the initiatives mentioned in this report but these are already secured. 7. Risk Analysis 7.1 A robust approach to workforce planning ensures that the Council identifies current and future needs and identifies potential risks to the council at an early stage. This proactive approach allows strategies and policies to be developed that ensure the continued delivery of best value services. 8. Equalities Impact Assessment (EIA) 8.1 A full EIA is not required in relation to the Council Workforce Plan as individual assessments will be undertaken in relation to each area of work referred to as it is progressed. Page 224
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9. Consultation 9.1 The Strategic Leadership Group have been involved in the development of the plan through preparation of the Delivery Plans and this report and associated appendices have been provided to the relevant trade unions on 7th October 2022. Further consultation will take place in relation to the future review of the Workforce Planning Framework with the Joint Trade Unions. 10. Strategic Assessment 10.1 This contents of this report and the workforce planning process supports the Council’s aim to make the best use of both financial and human resources resulting in a positive impact upon service provision. Victoria Rogers Chief Officer - People & Technology Date: 4th October 2022 Person to Contact: Lisa MacGregor, People and Change Partner 16 Church Street, Dumbarton Tel: 07949800801 Email: Lisa.MacGregor@west-dunbarton.gov.uk Appendices: Appendix 1 – Council Workforce Plan Progress update 2021/22 Appendix 2 – Workforce Profile 31st March 2022 Appendix 3 – High Level Workforce Action Plan – 2022/23 Background Papers: Council Workforce Plan 2017-2022 Strategic Lead Area Workforce Plans 2017-2022 Strategic Workforce Planning Framework Wards Affected: None Page 225
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Appendix 1 - Corp- WFP- 2021-22 – Summary of Service Actions (As at 31st March 2022) Overview of Key Successes Against Actions. People & Technology - Victoria Rogers, Chief Officer: • Workforce Management Console/Fit for Future Reviews - Supporting and promoting better use of data, improved decision making and better people practices is being considered as part of the close working between Automation team and the Digital team. All Fit for Future reviews supported by ICT. Ideas submitted re HR Console and ICT formed part of the testing phase. • Continued to review structures and role profiles across HR Connect and Payroll teams - Reviewed and considered on an ongoing basis and actively addressed through a range of measures. Supply, Distribution & Property – Angela Wilson, Chief Officer: • Implemented changes to the school estate • Deliver the allocated General Services Capital Investment Programme project scheduled for 2021/22 • Review current and future staffing requirements to ensure delivery of the HRA Capital Investment Programme for 2021/22 - Future staffing requirements assessed for Building Services in line pipeline of known projects Housing & Employability – Peter Barry, Chief Officer • Develop appropriate teams to deal with emerging service demands around poverty and social inclusion and Parental Employability Support to address child poverty - Employability partnership established and engaged a number of organisations to provide support for delivery of the Parental Employability Support Fund set within the context of a three year plan to deliver the ‘No One Left Behind agenda’. Citizen, Culture & Facilities – Amanda Graham, Chief Officer: • Work with Organisational Development & Change (OD&C) to develop input and training to address skills gaps in particular skills to support new digital technologies being used in service delivery - Increase in numbers accessing i learn modules. Opportunities to upskill colleagues in digital technologies will continue into 22-23 and be supported by the roll out OD&C digital skills framework. • Continue to roll out Future Leaders programme to those who have identified relevant training needs - New Leadership programmes such as Quantum have been 1. Addressing the gap between current workforce supply and predicted future demand Strategy Continue to implement the outputs of service reviews to address gap taking cognisance of opportunities to realise savings through voluntary turnover and consideration of management spans of control. Appendix 1 Page 227
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shared throughout service with those applicable/able to apply/access the relevant learning opportunities. Regulatory & Regeneration – Alan Douglas, Chief Officer (Previous Peter Hessett) • Continue to support culture of continuous improvement, developing quality improvement skills across middle managers - Staff are encouraged to participate in Team Leader/ Management courses - Quantum Leadership, using new skills in terms of current positions and transferring skills to the Team. Team Leaders/ Co-ordinators have participate in Team Leader and Manager Sessions throughout the year. A number of Team Leaders/ Co-ordinator have applied for the Quantum Leader course in 2022/23. • The Building Standards team participates in the Fit for Future Review in August 2021 – November 2021 and are presently implemented the recommendations of the Review through an Improvement Plan. • Exploring opportunities for cross organisational working - Considered but unable to share resources as all staff resources fully utilised due to Covid-19 pandemic. Resourcing - Laurence Slavin, Chief Officer: • Proactive identification of opportunities to develop the workforce -Considered as part of Be-the-best conversations and facilitated where vacancy arises though the range of organisational policies • Continue to support culture of continuous improvement, developing quality improvement skills across middle managers- Reviewed and considered on an ongoing basis as part of various improvement projects across business support Education & Early Learning – Laura Mason, Chief Officer: • Managed actions from early years expansion working group • Concluded induction of Early Years staff recruited through expansion • Develop opportunities for secondment and work experience in ASN and specialist settings -Opportunities developed in line with ASN strategy with rollout of opportunities continuing into 22-23 • Develop Leadership Pathways Model aligned to Professional Standards - Pathways developed and roll out continues. Roads & Neighbourhood, Gail MacFarlane, Chief Officer: • Develop service delivery model that meets the challenges caused by climate change, including extended growing season and more extreme flooding events in place - further evaluation and future scanning to commence. Page 228
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2. Addressing the gap between current and required additional workforce capabilities Strategy Continued review and implementation of associated training plans to enable capabilities to be developed within existing workforce Overview of Key Successes Against Actions. Overview of Key Successes Against Actions. People & Technology - Chief Officer Victoria Rogers: • Continue to utilise and embed Service design/Lean/Six Sigma skills • Support Digital Transformation implementation - ICT have instigated and/or contributed to several digital transformation projects including HR Console, 3 Internet of Things (loT) pilots, Full fibre infrastructure investigations and service changes projects such as IHMS, National Criminal Justice and Renton Primary school. • Build succession planning, explore and initiate workforce shadowing/ transfer opportunities across P&T • Continue to develop data analysis skills in People &Change team with a view to fully utilising existing systems/technologies • Current and future staffing requirements continued to be reviewed on an ongoing basis as part of various improvement projects across business support. • Strengthen skills levels within the Automation Centre of Excellence (CoE) - Measures continue to be put in place to strengthen automation CoE. Supply, Distribution & Property – Angela Wilson, Chief Officer: • Further develop leadership skills within services in line with the People Framework to support the changing remits and spans of control - Training provided where required to ensure staff/managers have appropriate skills and discussed at the Be the Best Conversations as part of support, training, retention and succession planning. Regular management team meetings and discussions undertaken to identify support needed. Housing & Employability – Peter Barry, Chief Officer: • Review development needs to support new ways of delivering services to ensure employees are equipped to work effectively - Established methods to ensure the teams are up to date with the knowledge and information required to deliver our services. Equipped people to work remotely and trained in the use of digital platforms to ensure maintained service provision. Regulatory & Regeneration – Alan Douglas, Chief Officer (Previous Peter Hessett) • Ensuring staff are adequately trained on changed legislation - Changes as a consequence of Brexit have been limited. Emergency legislation and subsequent updates introduced in response to Covid implemented in full. All staff are fully trained on changing legislation. Resourcing - Laurence Slavin, Chief Officer: • Build career paths that develop breadth of experience and depth of expertise at all levels by creating professional development frameworks and practical training opportunities - Reviewed and considered on an ongoing basis as part of various improvement projects across business support. Education & Early Learning – Laura Mason, Chief Officer Page 229
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• Review role profiles to ensure that they accurately reflect ‘one team’ approach that fosters cross skills development, resilience within teams and continuing development/broadening of employee skill set. • Ensure that through the recovery programmes for Equity for Excellence, secondment opportunities are provided to employees that enable opportunities for increased service resilience, talent development and succession planning. • Develop CLPL programme reflecting current needs of workforce post pandemic – digital learning and technologies, wellbeing, Mental health supports, counselling and coaching. Roads & Neighbourhood, Gail MacFarlane, Chief Officer: • Continue to support culture of continuous improvement, developing quality improvement skills across middle managers - i-learn courses complete. 3. Improve resilience within teams Strategy Develop and implement training plan in relation to critical roles Overview of Key Successes Against Actions. People & Technology - Victoria Rogers, Chief Officer: • Continued review of capacity across HR Connect and Payroll in line with process improvement, developments and business as usual to identify opportunities for building resilience - Reviewed on a regular basis as part of Be the best conversations and wider process improvement work. • Continued implementation of a one team approach ensuring cross skilling and development plans in Strategic HR team to aide team development. • Support implementation of Employee Wellbeing Strategy including providing representation on Employee Wellbeing Advocate and Managers Group and Employee engagement - Undertaken on a regular basis as part of Be the Best conversations and attendance on the Employee Wellbeing group. • Support implementation of Employee Wellbeing Strategy including providing representation on Employee Wellbeing Advocate and Managers Group and Employee engagement - Undertaken on a regular basis as part of Be the Best conversations and attendance on the Employee Wellbeing group. Supply, Distribution & Property – Angela Wilson, Chief Officer • Embed ‘Be the Best’ conversations into organizational culture to ensure opportunities exist to recognise employee contribution, employee wellbeing and learning and development to address improvements identified in the Employee Survey - Further work in 22/23 to progress across Building services. Be the Best conversation are a continual process. Weekly team meetings and regular conversations where policy, procedures, process, guidance, learnings, wellbeing, feedback, recruitment, retention, trainings, succession planning etc. Page 230
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Housing & Employability – Peter Barry, Chief Officer: • Develop resilience plans that respond to ongoing and future challenges relating to COVID 19 - Individual revised working practices due to covid and risk assessments for all aspects of housing operations functions. Ongoing review of working practices across service underway and a range of short term working groups. Staff guide developed to include management contact details, links to Health &Safety and range of procedures and risk assessments. Contact arrangements established in emergency situation. Regulatory & Regeneration – Alan Douglas, Chief Officer (Previous Peter Hessett): • Develop mentoring and training within teams- a continuous activity which is supported by the Be the Best conversations • Embed ‘Be the Best’ conversations into organisational culture to ensure opportunities exist to recognise employee contribution, employee wellbeing and learning and development - now embedded in all services and employees actively encouraged to attend in service and external training where appropriate. Resourcing - Laurence Slavin, Chief Officer: • Continue support implementation of Employee Wellbeing Strategy including providing representation on Employee Wellbeing Advocate and Managers Group. • Embed ‘Be the Best’ conversations into organizational culture to ensure opportunities exist to recognize employee contribution, employee wellbeing and learning and development - Reviewed and considered on an ongoing basis. Education & Early Learning – Laura Mason, Chief Officer: • Continue Implementation of leadership and management development framework in Early Years which enables collaborative working and sharing/celebrating of good practice - Ongoing process to support leaders in ELC. • Develop skillset of range of Children’s Services Staff to ensure it reflects service needs - All staff have undertaken a range of Career Long Professional Learning (CLPL) as well as multi-agency training and national presentations. There is more to be undertaken in the coming term. • Develop CLPL programme to reflect needs of staff supporting ASN and inclusion; reflecting national ASN review. Roads & Neighbourhood, Gail MacFarlane, Chief Officer: • Continue to support the implementation of the Employee Wellbeing Strategy including providing representation on Employee Wellbeing Advocate and Managers Group. - Departments are represented on relevant working groups. • Embed ‘Be the Best’ conversations into organizational culture to ensure opportunities exist to recognise employee contribution, employee wellbeing and learning and development. - embodied into the Department’s culture. Page 231
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4. Ensuring clear, effective and stable organisational design Strategy Planned service reviews within and across Strategic Lead Areas Supporting new ways of working and service delivery COVID specific actions Overview of Key Successes Against Actions. People & Technology - Chief Officer Victoria Rogers: • Supporting different work styles to best support home working and social distancing in line with COVID government guidance. • Improved communication frameworks with employees and managers to translate the national messages and government guidance. • Increased on line training provision for policy and practice to best support managers and employees as the organisational environment changes. Webinars, on line training. Supply, Distribution & Property – Angela Wilson, Chief Officer: • Full Implementation of revised Asset Management Structure. Housing & Employability – Peter Barry, Chief Officer: • Supporting key staff to apply for and secure external funding – using National programmes proposal to develop skills through Skills Development Scotland funding. Programmes awarded: Modern Apprenticeship; Foundation Apprenticeship; Employability Fund; Pathway Apprenticeships and Transitional Training Fund. Education & Early Learning – Laura Mason, Chief Officer: • Continue Implementation of a range of leadership models to support the development and opportunities available to employees. • Support service redesign reflecting growing need to support disengaged and Interrupted Learners - Re design well underway with Engaging learners pathways and expanded IL service in place. Planning for Choices extension well underway. Page 232
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5. Addressing workforce diversity objectives Strategy Develop and implement action plans in relation to the following: . Increase diversity in the Council workforce . Reduce the disability pay gap . Decrease occupational segregation . Outcomes of the Equal Pay Audits Overview of Key Successes Against Actions. P&T - Chief Officer Victoria Rogers: • Data verification exercise – delayed due to personnel changes and will commence in September for completion early 2023 • Devise equalities actions. • Annual equalities monitoring report completed. Supply, Distribution & Property – Angela Wilson, Chief Officer: • Consider and implement more flexible ways of working where possible –Full review of workstyles with many staff moving to remote or flexible where able. Page 233
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6. Improved use of technology and new ways of working Strategy . Implement Workplace of the Future Strategy . Develop and implement workforce and organisational development solutions Overview of Key Successes Against Actions. People & Technology - Chief Officer Victoria Rogers: • Utilise and support the development of the Workforce Management console to better inform decisions and service delivery plans Housing & Employability – Peter Barry: • Team continues to be provided with training and development to enable them to fully utilize IHMS and other systems- Facilitated drop in sessions for staff, will be reviewed thereafter for effectiveness/uptake. Regulatory & Regeneration – Alan Douglas, Chief Officer (Previous Peter Hessett) • Further improve the agility and flexibility of officers by provision of handheld mobile technology and the associated training- being explored. Resourcing - Laurence Slavin, Chief Officer: • Strengthen skills levels within the Automation Centre of Excellence (CoE) by regular skills development and retrospectives. Page 234
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Appendix 2 – Workforce Profile – 31st March 2022 Table 1.1 below relates to the year-end workforce profile as at 31st March 2022 and examines changes in that profile over time. 1. Headcount Table 1.1 When compared to the same period last year the headcount has decreased by 27 overall. This is due to reductions of 19 apprenticeships and 25 fixed term contracts but an increase of 17 permanent contracts. The casual/supply pool headcount has decreased by 120. Headcount Apprentice Fixed-Term Permanent Total Casual Invigilators Citizen Culture & Facilities 1 60 634 695 9 0 Education 8 104 958 1070 39 42 Housing & Employability 0 68 275 343 2 0 People & Technology 0 6 100 106 0 0 Regulatory & Regeneration 0 11 106 117 4 0 Resources 0 15 224 239 0 0 Roads & Neighbourhood 15 23 349 387 37 0 Supply, Distribution & Property 29 9 381 419 0 0 Vaccination Centre Team 0 10 2 12 7 0 Chief Exec Office 53 306 3029 3388 98 42 Child Health Care & Criminal Justi 0 20 247 267 17 0 Community Health & Care 0 13 955 968 40 0 Finance & Resources 0 1 4 5 0 0 Mental Health Addiction & Learn 1 14 142 157 0 0 Strategy, Planning & Health Impr 0 1 24 25 0 0 Health & Social Care Partnershi 1 49 1372 1422 57 0 Strategic Management 0 0 13 13 0 0 Local Government Employees To 54 355 4414 4823 155 42 Education (Teachers) 0 172 921 1093 224 0 Council Wide Total 54 527 5335 5916 379 42 Appendix 2 Page 235
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Table 1.2 shows this year’s figures compared to the last 4 years and illustrates a continuing reduction in apprenticeship roles returning to figures lower than 2018. It also captures the workforce growth showing the positive shift from temporary headcount to permanent. Table 1.2 Head count Variance Table 1.3 below provides more information on the variance across all services with the comparison data illustrating the steady reduction of the workforce. Notably Roads and Neighbourhood and Supply and Distribution have seen a significant shift in their demographic. They have both retained their significant apprenticeship allocation, with the majority of other areas reducing their allocation. Similarly the fixed term headcount has reduced with a corresponding increase in permanent headcount in Supply Distribution and Property, reflecting the work being carried out in this area to stabilise the workforce and provide permanent roles where possible. In Roads and Neighbourhood the temporary headcount has reduced significantly in the main due to the reduced seasonal greenspace contracts. Some Services such as Resources and Mental Health, Addiction and Learning Disabilities have been affected by resignations and retirements at this snap shot in time. Education Learning and Attainment, previously saw the anticipated increases associated with the Early Years expansion and additional grant funding from Scottish Government for COVID recovery. Covid funding is also reflected in the increase in temporary headcount for teachers. Total No. % of Total Yearly VariancNo. % of Total Yearly Variance No. % of Total Yearly Variance No. Yearly Variance 31/03/2018 71 1.20% -25% 490 8.6 15% 5127 90% 1% 5688 -1% 31/03/2019 74 1.30% 4% 579 10.1% 18% 5081 88% -1% 5734 1% 31/03/2020 89 1.50% 20% 581 9.9% 0% 5201 88.60% 2% 5871 2% 31/03/2021 73 1.20% -18% 552 9.3% -5% 5318 89.50% 2% 5943 1% 31/03/2022 54 1% -7% 527 9% -1% 5335 90.18% 1% 5916 -1% Overall Headcount Variance (31/03/2018 - 31/03/2022) Apprentice Fixed Term Permanent Page 236
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Table 1.3 Variance across services 2022 compared to 2021 Citizen Culture & Facilities 1 -2 60 21 634 1 695 20 Education 8 0 104 -21 958 18 1070 -3 Housing & Employability 0 -4 68 25 275 2 343 23 People & Technology 0 -4 6 -14 100 5 106 -13 Regulatory & Regeneration 0 0 11 1 106 3 117 4 Resources 0 0 15 -1 224 -8 239 -9 Roads & Neighbourhood 15 -7 23 2 349 -1 387 -6 Supply, Distribution & Property 29 1 9 -48 381 27 419 -20 Vaccination Centre Team 0 0 10 10 2 2 12 12 Chief Exec Office 53 -16 306 -25 3029 49 3388 8 Child Health Care & Criminal Justice 0 0 20 1 247 -4 267 -3 Community Health & Care 0 -1 13 -12 955 -4 968 -17 Finance & Resources 0 0 1 0 4 -1 5 -1 Mental Health Addiction & Learning 1 -2 14 -2 142 -11 157 -15 Strategy, Planning & Health Improve 0 0 1 -1 24 4 25 3 Health & Social Care Partnership 1 -3 49 -14 1372 -16 1422 -33 Strategic Management 0 0 0 0 13 0 13 0 Local Government Employees Tota 54 -19 355 -39 4414 33 4823 -25 Education (Teachers) 0 0 172 14 921 -16 1093 -2 Council Wide Total 54 -19 527 -25 5335 17 5916 -27 TotalPermanentApprentice Fixed-Term Page 237
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Table 1.4 Casual variance Table 1.4 shows the casual variance compared to last year and shows a significant decrease in casuals registered for work with WDC. Invigilators were previously reported in this category but have been separated as they are not covered by any bargaining group (Local Government or Teachers) and their pay is reclaimed by WDC and fully paid by SQA. 2022 compared to 2021 Casual Invigilators Citizen Culture & Facilities 9 -3 0 0 Education 39 -7 42 -15 Housing & Employability 2 -6 0 0 People & Technology 0 0 0 0 Regulatory & Regeneration 4 -1 0 0 Resources 0 0 0 0 Roads & Neighbourhood 37 3 0 0 Supply, Distribution & Property 0 0 0 0 Vaccination Centre Team 7 0 0 0 Chief Exec Office 98 -14 42 -15 Child Health Care & Criminal Justice 17 -6 0 0 Community Health & Care 40 -6 0 0 Finance & Resources 0 0 0 0 Mental Health Addiction & Learning Disabilities 0 0 0 0 Strategy, Planning & Health Improvement 0 0 0 0 Health & Social Care Partnership 57 -12 0 0 Strategic Management 0 0 0 0 Local Government Employees Total 155 -26 42 -15 Education (Teachers) 224 -64 0 0 Council Wide Total 379 -90 42 -15 Page 238
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Table 1.5 Overall FTE Variance The significant reduction in this area is accounted for by seasonal employees who are retained as casual in between seasonal contracts to allow for participation in casual work as required. Seasonable contracts commence early April and they still featured in the end of year statistics. Teachers were another area where there was a decrease in Supply staff. 2. Full time Equivalent Table 2.1 This year the growth is balanced at -1% across both FTE and Headcount demonstrating a very slight decrease in both headcount and working hours. Total No. % of Total Yearly VariancNo. % of Total Yearly Variance No. % of Total Yearly Variance No. Yearly Variance 31/03/2018 71 1.20% -25% 490 8.6 15% 5127 90% 1% 5688 -1% 31/03/2019 74 1.30% 4% 579 10.1% 18% 5081 88% -1% 5734 1% 31/03/2020 89 1.50% 20% 581 9.9% 0% 5201 88.60% 2% 5871 2% 31/03/2021 73 1.20% -18% 552 9.3% -5% 5318 89.50% 2% 5943 1% 31/03/2022 54 1% -7% 527 9% -1% 5335 90.18% 1% 5916 -1% Overall Headcount Variance (31/03/2018 - 31/03/2022) Apprentice Fixed Term Permanent Full time equivalent Apprentice Fixed-Term Permanent Total Citizen Culture & Facilities 1.00 33.78 416.09 450.88 Education 8.00 81.57 785.84 875.41 Housing & Employability 0.00 56.40 263.49 319.88 People & Technology 0.00 5.00 93.70 98.70 Regulatory & Regeneration 0.00 9.50 99.14 108.64 Resources 0.00 13.31 193.70 207.01 Roads & Neighbourhood 15.00 21.27 303.35 339.62 Supply, Distribution & Property 29.00 8.83 368.05 405.88 Vaccination Centre Team 0.00 5.53 2.00 7.53 Chief Exec Office 53.00 235.18 2525.37 2813.56 Child Health Care & Criminal Justice 0.00 17.35 221.25 238.60 Community Health & Care 0.00 10.72 708.69 719.41 Finance & Resources 0.00 1.00 3.50 4.50 Mental Health Addiction & Learning Disabilities 1.00 9.89 114.67 125.56 Strategy, Planning & Health Improvement 0.00 0.73 21.81 22.54 Health & Social Care Partnership 1.00 39.69 1069.92 1110.61 Strategic Management 0.00 0.00 13.00 13.00 Local Government Employees Total 54.00 274.88 3608.29 3937.17 Education (Teachers) 0.00 164.30 845.10 1009.40 Council Wide Total 54.00 439.18 4453.39 4946.57 Page 239
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3. Fixed Term Contracts There are 527 employees working on a fixed term basis and 132 of these hold fixed term contracts which have a duration exceeding 2 years (relevant for various employment rights). The table below illustrates the location of these employees and compares to last year. There has been a decrease in Fixed Term contracts within Building Services due to all fixed term employees being issued with permanent contracts. Table 3.1 Number of employees on fixed-term contract for longer than 2 years 2021 2022 Citizen Culture & Facilities 3 4 Education 37 28 Housing & Employability 18 23 People & Technology 0 0 Regulatory & Regeneration 7 4 Resources 3 4 Roads & Neighbourhood 20 18 Supply, Distribution & Property 49 21 Vaccination Centre Team 0 0 Chief Exec Office 137 102 Child Health Care & Criminal Justice 6 9 Community Health & Care 5 3 Finance & Resources 1 1 Mental Health Addiction & Learning Disabilities 5 5 Strategy, Planning & Health Improvement 1 0 Health & Social Care Partnership 18 18 Strategic Management 0 0 Local Government Employees Total 155 120 Education (Teachers) 11 12 Council Wide Total 166 132 Page 240
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4. Full time / Part time Split Table 4.1 The number of full time contracts has reduced this year by 16 and the number of part time contracts has decreased by 11 reflective of the drop in headcount. The percentage of part time contracts has decreased by 1% this year with 47% of the workforce term time, sessional or reduced working hours and 53% working a full time contract. Full-Time Part-Time Citizen Culture & Facilities 145 550 Education 430 640 Housing & Employability 281 62 People & Technology 90 16 Regulatory & Regeneration 93 24 Resources 142 97 Roads & Neighbourhood 292 95 Supply, Distribution & Property 375 44 Vaccination Centre Team 2 10 Chief Exec Office 1850 1538 Child Health Care & Criminal Justice 200 67 Community Health & Care 196 772 Finance & Resources 4 1 Mental Health Addiction & Learning Disabilities 71 86 Strategy, Planning & Health Improvement 17 8 Health & Social Care Partnership 488 934 Strategic Management 13 0 Local Government Employees Total 2351 2472 Education (Teachers) 809 284 Council Wide Total 3160 2756 Page 241
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5. Grade Profile Table 5.1 As shown above the most prominent grade amongst Local Government Employees remains Grade 3, followed by Grade 5. For teachers the most prominent grade is a Main Grade Teacher. 0 200 400 600 800 1000 1200 1400 1600 1800 2000 Number of staff under each grade Page 242
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6. Sex Profile Table 6.1 The sex profile remains fairly consistent with 73.4% of the workforce female and 26.6% male. There are no significant changes across the workforce with female predominance in Education and HSCP and male predominance in Roads and Neighbourhood and Supply Distribution and Property. Headcount Percentage Headcount Percentage Citizen Culture & Facilities 589 84.7% 106 15.3% Education 1004 93.8% 66 6.2% Housing & Employability 193 56.3% 150 43.7% People & Technology 55 51.9% 51 48.1% Regulatory & Regeneration 75 64.1% 42 35.9% Resources 203 84.9% 36 15.1% Roads & Neighbourhood 33 8.5% 354 91.5% Supply, Distribution & Property 64 15.3% 355 84.7% Vaccination Centre Team 3 25.0% 9 75.0% Chief Exec Office 2219 65.5% 1169 34.5% Child Health Care & Criminal Justice 209 78.3% 58 21.7% Community Health & Care 886 91.5% 82 8.5% Finance & Resources 5 100.0% 0 0.0% Mental Health Addiction & Learning Disabilities 103 65.6% 54 34.4% Strategy, Planning & Health Improvement 24 96.0% 1 4.0% Health & Social Care Partnership 1227 86.3% 195 13.7% Strategic Management 9 69.2% 4 30.8% Local Government Employees Total 3455 71.6% 1368 28.4% Education (Teachers) 887 81.2% 206 18.8% Council Wide Total 4342 73.4% 1574 26.6% Female Male Page 243
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7. Age Profile Table 7.1 The distribution curve for the age demographic across the council remains fairly consistent with previous years. The highest proportion of people are in the 50-54 and 55-59 age group. There has been a slight reduction in the 16-19 age group consistent with the reduction in modern apprenticeships. Although the percentage of employees working past 65 across the Demographics – Age (Percentage) 16-19 20-24 25-29 30-34 35-39 40-44 45-49 50-54 55-59 60-64 65+ Citizen, Culture & Facilities 0.7% 3.0% 4.9% 9.1% 10.2% 9.6% 7.9% 13.4% 17.8% 16.4% 6.9% Education 1.6% 4.4% 4.1% 3.1% 7.0% 11.4% 8.3% 15.2% 17.1% 19.6% 8.3% Housing & Employability 16.7% 41.7% 16.7% 0.0% 0.0% 0.0% 0.0% 8.3% 8.3% 0.0% 8.3% People & Technology 0.9% 4.5% 6.4% 8.3% 9.9% 11.5% 10.2% 15.1% 16.5% 12.2% 4.5% Regulatory & Regeneration 0.0% 3.0% 4.9% 10.5% 9.7% 14.6% 12.7% 13.1% 16.5% 11.2% 3.7% Resources 0.3% 2.3% 5.9% 7.2% 6.2% 8.3% 10.0% 16.0% 19.6% 17.1% 7.0% Roads & Neighbourhood 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 20.0% 40.0% 40.0% 0.0% 0.0% Supply, Distribution & Property 0.0% 1.9% 5.1% 7.0% 10.8% 15.3% 10.2% 17.2% 15.3% 10.8% 6.4% Vaccination Centre 16.7% 41.7% 16.7% 0.0% 0.0% 0.0% 0.0% 8.3% 8.3% 0.0% 8.3% Chief Exec Office 0.9% 4.5% 6.4% 8.3% 9.9% 11.5% 10.2% 15.1% 16.5% 12.2% 4.5% Child Health Care & Criminal Justice 0.0% 3.0% 4.9% 10.5% 9.7% 14.6% 12.7% 13.1% 16.5% 11.2% 3.7% Community Health & Care 0.3% 2.3% 5.9% 7.2% 6.2% 8.3% 10.0% 16.0% 19.6% 17.1% 7.0% Finance & Resources 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 20.0% 40.0% 40.0% 0.0% 0.0% Mental Health, Addictions & Learning Disabilities 0.0% 1.9% 5.1% 7.0% 10.8% 15.3% 10.2% 17.2% 15.3% 10.8% 6.4% Strategy, Planning & Health Imporovement 0.0% 0.0% 0.0% 4.0% 16.0% 28.0% 20.0% 16.0% 8.0% 8.0% 0.0% Health & Social Care Partnership 0.2% 2.3% 5.5% 7.7% 7.5% 10.5% 10.8% 15.7% 18.4% 15.1% 6.2% Strategic Management 0.0% 0.0% 0.0% 0.0% 0.0% 7.7% 23.1% 23.1% 30.8% 15.4% 0.0% Local Government Employee's Total 9.6% 3.9% 6.1% 8.1% 9.2% 11.2% 10.4% 15.3% 17.1% 13.0% 5.0% Education (Teachers) 0.0% 3.0% 13.9% 16.8% 16.7% 15.0% 9.9% 10.7% 8.1% 4.8% 1.1% Council Wide Total 0.5% 3.7% 7.6% 9.7% 10.5% 11.9% 10.3% 14.5% 15.4% 11.5% 4.3% Page 244
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council has stabilised local government employees have seen a decrease of 0.4% and teachers have shown an increase of 0.1% compared to last year. Housing and Employability has seen the most notable change in the last year with an increase of over 4% in the over 65 category to 8.3%. 8. Length of Service Table 8.1 The distribution of Length of service remains fairly consistent with the highest percentage serving 10 years or more. * Above data pertains to WDC service only (excluding continuous service with any public authority to which the redundancy Payments Modification Order (Local Government) 1983 (as amended applies). Length of service Headcount Percentage Headcount Percentage Headcount Percentage Citizen Culture & Facilities 109 15.7% 236 34.0% 350 50.4% Education 92 8.6% 464 43.4% 514 48.0% Housing & Employability 34 9.9% 131 38.2% 178 51.9% People & Technology 14 13.2% 36 34.0% 56 52.8% Regulatory & Regeneration 14 12.0% 39 33.3% 64 54.7% Resources 15 6.3% 66 27.6% 158 66.1% Roads & Neighbourhood 18 4.7% 119 30.7% 250 64.6% Supply, Distribution & Property 14 3.3% 183 43.7% 222 53.0% Vaccination Centre Team 8 66.7% 2 16.7% 2 16.7% Chief Exec Office 318 9.4% 1276 37.7% 1794 53.0% Child Health Care & Criminal Justice 22 8.2% 87 32.6% 158 59.2% Community Health & Care 106 11.0% 378 39.0% 484 50.0% Finance & Resources 0 0.0% 1 20.0% 4 80.0% Mental Health Addiction & Learning Disabilities 11 7.0% 56 35.7% 90 57.3% Strategy, Planning & Health Improvement 2 8.0% 3 12.0% 20 80.0% Health & Social Care Partnership 141 9.9% 525 36.9% 756 53.2% Strategic Management 2 15.4% 7 53.8% 4 30.8% Local Government Employees Total 461 9.6% 1808 37.5% 2554 53.0% Education (Teachers) 74 6.8% 493 45.1% 526 48.1% Council Wide Total 535 9.0% 2301 38.9% 3080 52.1% 10 or more yearsLess than 1 year 1 to 9 years Page 245
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9. New Start Table 9.1 535 new employees joined the council in 2021/22 which is an increase of 53 from last year and is also higher than the previous 2 years (2017/18, 2018/19) which saw 487 and 486 respectively. The table below shows this information by service and contract type. 10. Turnover Table 10.1 The information below presents crude turnover (i.e. based on all leavers) and shows an increase in turnover to 13.4% compared to last year, 8.3%. Between 2016-18, the turnover figure was between 8.6 and 8.7%, this reduced to 8% in 18/19 and further reduced to 7.9% in 19/20. It would appear that turnover was exceptionally high in 21/22 compared to previous years and this may be an impact of the Covid Pandemic. The leaver’s information in section 11 outlines that the vast majority of leavers were resignations, however the introduction of vaccination centres would have contributed to this. New Start Employees Apprentice Fixed-Term Permanent Total Citizen Culture & Facilities 1 47 61 109 Education 3 41 48 92 Housing & Employability 0 20 14 34 People & Technology 0 6 8 14 Regulatory & Regeneration 0 4 10 14 Resources 0 9 6 15 Roads & Neighbourhood 6 5 7 18 Supply, Distribution & Property 6 0 8 14 Vaccination Centre Team 0 8 0 8 Chief Exec Office 16 140 162 318 Child Health Care & Criminal Justice 0 5 17 22 Community Health & Care 0 4 102 106 Finance & Resources 0 0 0 0 Mental Health Addiction & Learning Disabilities 0 5 6 11 Strategy, Planning & Health Improvement 0 1 1 2 Health & Social Care Partnership 0 15 126 141 Strategic Management 0 0 2 2 Local Government Employees Total 16.0 155.0 290.0 461 Education (Teachers) 0 65 9 74 Council Wide Total 16 220 299 535 Page 246
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Turnover Staff at 1 April 2021 Staff at 1 April 2022 Average Leavers in Last 12 Months Turnover % Citizen Culture & Facilities 675 695 685 139 20.3% Education 1073 1070 1072 144 13.4% Housing & Employability 320 343 332 31 9.4% People & Technology 119 106 113 14 12.4% Regulatory & Regeneration 113 117 115 23 20.0% Resources 248 239 244 14 5.7% Roads & Neighbourhood 393 387 390 34 8.7% Supply, Distribution & Property 439 419 429 34 7.9% Vaccination Centre Team 0 12 6 48 800.0% Chief Exec Office 3380 3388 3384 481 14.2% Child Health Care & Criminal Justice 270 267 269 29 10.8% Community Health & Care 985 968 977 164 16.8% Finance & Resources 6 5 6 0 0.0% Mental Health Addiction & Learning Disabilities 172 157 165 21 12.8% Strategy, Planning & Health Improvement 22 25 24 4 17.0% Health & Social Care Partnership 1455 1422 1439 218 15.2% Strategic Management 13 13 13 3 23.1% Local Government Employees Total 4848 4823 4836 702 14.5% Education (Teachers) 1095 1093 1094 93 8.5% Council Wide Total 5943 5916 5930 795 13.4% Page 247
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11. Leavers Table 11.1 The numbers of leavers has increased to 795 employees leaving the organisation compared to 490 last year, 457 in 2020 and 475 in 2019. * Figures of under 5 have been removed and replaced with a * due to the possible identification of individuals. Service Death in Service Dismissal - End of Cont Dismissal - Ill Heath Dismissal - With Notice Employee Not Started Resignation Retiral - Age Retiral - Ill Health Retiral on Option (60+) Teacher - End Fixed Term Teacher - Other Teacher - Retirement Age Teacher - Retirement Other Teacher - Vol Resign Other Unused Casual Grand Total Citizen, Culture & Facilities * * 7 0 * 111 11 * 0 0 0 0 0 0 0 139 Education * 7 0 0 * 95 25 * 5 0 0 0 0 0 7 144 Housing & Employability 0 5 0 0 0 19 * * 0 0 0 0 0 0 * 31 People & Technology 0 * 0 0 0 9 * 0 0 0 0 0 0 0 0 14 Regulatory & Regeneration * 0 0 0 * 17 * * 0 0 0 0 0 0 0 23 Resources 0 0 0 0 * 9 * 0 0 0 0 0 0 0 0 14 Roads & Neighbourhood 4 12 * 0 0 11 * * * 0 0 0 0 0 0 34 Supply,Distribution & Property 0 * 0 * 0 23 5 * * 0 0 0 0 0 0 34 Vaccination Centre Team 0 22 0 * * 23 0 0 0 0 0 0 0 0 0 48 Chief Exec Office Total 4 46 9 3 7 317 55 12 8 0 0 0 0 0 10 481 Child Health Care & C J * 0 * 0 0 20 7 0 0 0 0 0 0 0 0 29 Community Health & Care * * 17 6 * 93 19 11 * 0 0 0 0 0 12 164 Finance & Resources 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 Mental Health Addic & LD 0 * 0 0 0 14 * * * 0 0 0 0 0 0 21 Strategy, Planning & HI 0 0 0 0 0 * * 0 0 0 0 0 0 0 0 4 HSCP Total 2 4 18 6 2 129 31 12 2 0 0 0 0 0 12 218 Strategic Management 0 0 0 0 0 2 0 0 * 0 0 0 0 0 0 3 Local Government Total 9 57 27 9 9 448 86 24 11 0 0 0 0 0 22 702 Education (Teachers) 0 * 0 0 0 39 12 0 * 27 4 1 2 3 0 93 Council Wide Total 9 60 27 9 9 487 98 24 13 27 4 1 2 3 22 795 Page 248
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12. Apprentices Table 12.1 The number of apprenticeships supported by the council across both level 2 and level 3 has continued to decrease from 73 last year. This is due to the impact of COVID with a reduction in apprentices recruited by departments as a result of the Pandemic in office based apprentices e.g. Business Administration, ICT, Customer Service, HR and budget implications. 13. Sickness Absence From 1st April 2021 to 31st March 2022, there was an increase in Council wide sickness absence of 40,901.6 FTE days lost (approximately 62%) compared to 2020/21. It should be noted that this is in the context of the return to the workplace for the majority of employees who had previously been unable to operate fully and were working from home, where possible, or were only able to carry out essential work. The impact of the Pandemic has most likely had an impact on people personally and professionally. Apprentices Level 2 Level 3 Total Citizen Culture & Facilities 0 1 1 Education 0 8 8 Housing & Employability 0 0 0 People & Technology 0 0 0 Regulatory & Regeneration 0 0 0 Resources 0 0 0 Roads & Neighbourhood 6 9 15 Supply, Distribution & Property 0 29 29 Vaccination Centre Team 0 0 0 Chief Exec Office 6 47 53 Child Health Care & Criminal Justice 0 0 0 Community Health & Care 0 0 0 Finance & Resources 0 0 0 Mental Health Addiction & Learning Disabilities 0 1 1 Strategy, Planning & Health Improvement 0 0 0 Health & Social Care Partnership 0 1 1 Strategic Management 0 0 0 Local Government Employees Total 6 48 54 Education (Teachers) 0 0 0 Council Wide Total 6 48 54 Page 249
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The table below illustrates the reasons for absence distribution across the year and Minor Illness is the highest category of absence followed by personal stress and acute medical conditions. Full details and analysis of sickness absence is covered in the wellbeing report submitted to committee. Table 13.1 Minor Illness Back Pain Musculo- skeletal Injuries Stress - Personal Recurring Medical Conditions Non Work Related Accident / Injuries Work Related Accidents / Injuries Mental Health Acute Medical Conditions Pregnancy Related Absence Drink or Drug Related Condition Stress - Work Related Notifiable Disease (Confirmed) Long Covid Citizen Culture & Facilities 441.25 4003.3 371.1 1087.8 2275.3 187.7 280.7 230.6 489.8 1918.9 58.9 0.0 589.2 2210.0 65.7 13768.8 6,095.87 13.81 Education (Support Staff) 364.92 4089.7 344.4 1221.1 2373.6 1499.0 184.9 182.1 1536.4 2361.3 452.4 0.0 664.5 5100.6 707.2 20717.2 5,093.26 13.96 Housing & Employability 410.70 722.6 170.6 400.6 503.1 114.1 75.2 115.9 359.7 772.1 22.9 0.0 495.4 487.5 36.6 4276.2 6,729.80 16.39 People & Technology 2,830.07 44.4 0.0 30.0 116.4 62.1 226.4 0.0 16.4 175.7 0.0 0.0 0.0 45.9 32.0 749.3 37,575.95 13.28 Regulatory & Regeneration 237.82 58.6 0.0 1.0 75.3 0.0 5.0 0.0 30.7 420.1 0.0 0.0 562.0 132.6 27.4 1312.7 3,565.84 14.99 Resources 733.56 245.8 14.4 93.7 537.4 147.7 86.3 31.4 43.1 3.0 90.7 0.0 61.6 128.4 5.0 1488.5 19,621.48 26.75 Roads & Neighbourhood 5.11 806.2 364.1 963.3 346.6 301.3 415.7 102.5 311.4 1620.6 0.0 0.0 237.1 752.6 249.3 6470.7 9.21 1.80 Supply Distribution & Property 410.70 1082.4 906.4 2059.2 1080.9 269.9 66.8 60.9 453.9 1351.3 27.9 0.0 324.5 1045.7 17.9 8747.5 6,729.80 16.39 Vaccination Centres 24.22 65.7 0.0 0.0 0.0 0.0 20.7 0.0 24.9 0.0 0.0 2.0 0.0 0.0 0.0 113.3 29.35 1.21 Chief Exec Office Total 2,830.07 11118.6 2171.0 5856.6 7308.6 2581.9 1361.7 723.4 3266.3 8622.9 652.7 2.0 2934.3 9903.2 1141.0 57644.3 37,575.95 13.28 Child Healthcare & Criminal Justice 237.82 539.9 121.1 85.0 676.3 36.4 299.4 0.0 480.6 1127.5 62.4 0.0 231.1 529.5 239.3 4428.6 3,565.84 14.99 Community Health & Care 733.56 4601.2 1922.2 4833.3 6678.0 590.1 713.4 533.1 931.4 5548.1 411.6 53.6 934.0 2692.3 1427.9 31869.9 19,621.48 26.75 Finance & Resources 5.11 0.0 0.0 18.4 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 18.4 9.21 1.80 Mental Health, Addiction & Learning Disabilities 129.74 416.8 57.6 631.0 265.6 245.6 207.6 40.0 628.3 570.7 113.6 0.0 446.9 316.3 32.1 3972.1 2,771.51 21.36 Strategy, Planning & Health Improvement 21.58 19.8 0.0 0.0 57.1 5.0 0.0 0.0 0.0 27.9 10.0 0.0 13.6 19.9 0.0 153.2 111.05 5.15 Health & Social Care Partnership 1,127.80 5577.6 2100.9 5567.7 7677.1 877.2 1220.4 573.1 2040.3 7274.1 597.6 53.6 1625.6 3558.0 1699.3 40442.3 26,079.09 23.12 Strategic Management 12.73 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.00 0.00 Strategic Management 12.73 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.00 0.00 LOCAL GOVERNMENT EMPLOYEES 3,970.60 16696.2 4271.9 11424.3 14985.7 3459.1 2582.1 1296.5 5306.6 15897.1 1250.3 55.6 4559.8 13461.2 2840.3 98086.6 63,655.04 16.03 Education (Teachers) 919.08 2078.4 107.9 450.4 1462.0 292.4 48.6 328.1 231.4 966.6 251.6 0.0 502.3 3752.9 322.0 10794.5 7,497.79 8.16 COUNCIL-WIDE TOTAL 4,889.68 18774.6 4379.8 11874.7 16447.7 3751.5 2630.7 1624.6 5538.0 16863.7 1501.9 55.6 5062.1 17214.0 3162.3 108881.1 71,152.83 14.55 Department FTE Employee s Absence Reasons Total Working Days Lost FTE Days Lost Total FTE Days Lost by FTE Employees Page 250
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Table 13.2 Absence Reason Working Minor Illness 18,774.6 Back Pain 4,379.8 Musculo-skeletal Injuries 11,874.7 Stress 16,447.7 Recurring Medical Conditions 3,751.5 Non Work Related Accidents / Injuries 2,630.7 Work Related Accidents / Injuries 1,624.6 Mental Health 5,538.0 Acute Medical Conditions 16,863.7 Pregnancy Related Absence 1,501.9 Drink or Drug Related Condition 55.6 Stress - Work Related 5,062.1 Notifiable Disease (Confirmed) 17,214.0 Long Covid 3,162.3 TOTAL 108,881.1 1.38% 0.05% 4.65% 2.90% 100% 15.49% Percentage of Lost Days 17.24% 4.02% 10.91% 15.11% 3.45% 2.42% 1.49% 5.09% 15.81% Page 251
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Employees with no absence The table below displays the number of employees who have had no absence during the year, which accounts for 31.7% of the overall workforce. A 20.7% regression from last year’s figure of 52.4%. Table 13.3 Absence No absence Total Citizen Culture & Facilities 70.6% 29.4% 100% Education 79.2% 20.8% 100% Housing & Employability 51.6% 48.4% 100% People & Technology 24.5% 75.5% 100% Regulatory & Regeneration 40.2% 59.8% 100% Resources 42.7% 57.3% 100% Roads & Neighbourhood 55.6% 44.4% 100% Supply, Distribution & Property 69.5% 30.5% 100% Vaccination Centre Team 58.3% 41.7% 100% Chief Exec Office 65.0% 35.0% 100% Child Health Care & Criminal Justice 58.8% 41.2% 100% Community Health & Care 76.2% 23.8% 100% Finance & Resources 40.0% 60.0% 100% Mental Health Addiction & Learning Disabilities 65.6% 34.4% 100% Strategy, Planning & Health Improvement 52.0% 48.0% 100% Health & Social Care Partnership 71.2% 28.8% 100% Strategic Management 0.0% 100.0% 100% Local Government Employees Total 66.7% 33.3% 100% Education (Teachers) 75.3% 24.7% 100% Council Wide Total 68.3% 31.7% 100% Page 252
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Appendix 3 - Workforce Plan 2022/23 This Appendix is split into 3 sections: 1. Workforce Planning Priorities and on-going actions 2. Workforce Planning - People First Strategy – 5 Year Plan 3. Workforce Planning Framework Actions 2022/23 1. Workforce Planning Priorities and On-going Actions The table below outlines the 4 revised Workforce Planning (WFP) priorities which will feature in Service Delivery Plans. Whilst People & Change are currently working on a new 5 Year plan, People First, a number of actions linked to workforce planning continue to be relevant and on-going. Services will take cognisance of these High Level Workforce Planning actions and reflect in their Service Delivery Workforce Plans. 1. Our People (Workforce Profile) - Ensure resilience and engagement of the workforce: Strategy Develop and implement wellbeing, employee engagement, equality and training plans to enable capabilities, improved resilience and promotion of a diverse workforce. Expected Outcomes Gap is addressed, whilst: • Improved resilience across teams leading to improving employee engagement and lower absence levels • Ensuring employees feel valued and results in improved practices, increased efficiency and productivity • Retention of knowledge and skills associated with critical roles, lowered turnover • Create a more agile and better informed workforce • Council workforce-related equality outcomes and actions are met and demonstrated by achievement of associated equality improvement targets. • Progressing on equality indicators and Equal Pay Analysis (pay and allowances) • Make better use of data for informed decision making • Use of expertise to drive improvement Appendix 3 Page 253
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Action Requirement Resources needed Measure of Outcome Due Date Assigned To Support Implementation of Equalities Action Plan Priorities for 2022/23 relate to Data Verification, actions to increase diversification of workforce, Equally Safe at Work (Development Stage) and Support of Armed Forces. Workforce Actions and outcomes embedded at Service level and used to inform workforce planning considerations and future actions. 31-Mar-2023 All Managers Continued use of the Workforce Management Console to support better use of data to inform decision making and improve workforce planning practice. Workforce Manager use of console data and feedback to develop further relating to need. Managers are able to embrace new developments. 31-Mar-2023 All Managers Continue to improve and develop employee engagement. Workforce Improved employee engagement and organisational alignment. Positive employee surveys, increased Champions for Trickle, wellbeing and Digital. Increased use of Trickle and employee forums for support. Improved culture and people management practices 31-Mar-2023 All Managers Continued support of implementation of Employee Wellbeing Strategy. Workforce Improved employee engagement and lower sickness absence rates. Sufficient representation on Employee Wellbeing Advocate and Managers Group. 31-Mar-2023 All Managers Ensure Be-the-best conversation are undertaken with all employees, supporting improved employee engagement and recognition, identifying training needs, personal and professional development goals Managers / Section Heads Be-the-best conversations conducted regularly with information linking to improved employee engagement, recognition, personal and professional development 31-Mar-2023 All Managers Page 254
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Continue to monitor and consider more flexible ways of working, considering people management policies and practices to better support the workforce. Workforce Improved flexibility which responds to needs of service and workforce, support improved work life balance and removal of barriers. 31-Mar-2023 All Managers 2. Recruitment & Retention – Current and predicted future workforce gaps are addressed and core skill sets retained Strategy Develop and implement employee life cycle plans in line with the People First Strategy to attract and retain the workforce Expected Outcome • Retention of knowledge and skills associated with critical roles (and avoiding associated turnover) • Council workforce-related equality outcomes are met and demonstrated by achievement of associated equality improvement targets. • Progressing on equality indicators • Attracting key skills into the workforce as an employer of choice • Ensuring staff are encouraged to re-train and re-align to newer digital skills to allow the Council to reduce attrition while making jobs interesting • Minimising requirement to recruit for new capabilities • Skills gaps are addressed and talent pool pipelines established Action Title Resources needed Measure of Outcome Due Date Assigned To Review of current and future staffing requirements linked to service delivery plan requirements, establishing any gaps to inform workforce planning and actions and outcomes. workforce Improved workforce planning activity (1/4ly reviews established) including scenario planning and early identification of actions to mitigate risks. Actions are targeted to need including training, recruitment, FFF reviews, employee wellbeing/engagement and development of internal and external talent pools. 31-Mar-2023 All Managers Page 255
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Succession planning in workforce reviewed including shadowing/transfer and development opportunities considered. Workforce Uptake of re/training and development opportunities including interest in council’s Digital projects. 31-Mar-2023 All Managers Continued consideration and implementation of one team approach within and across services ensuring cross skilling and resilience planning. Workforce Progression of individual/collective development interventions 31-Mar-2023 All Managers Review of roles and profiles in line with service improvements to reflect changes in service, council ethos and one team approach to improve recruitment & retention. Workforce Profiles that reflect service need, culture and positive impact on recruitment 31-Mar-2023 All Managers Continued support of the internal recruitment market and employee development opportunities supporting increased service resilience, talent development, succession planning and career development. Managers Increased employee development opportunities to aid succession planning. 31-Mar-2023 All Managers 3. Structure & Roles – Service Structure and delivery model/s are stable, fit for purpose and future requirements; Strategy Implement service review process including role design, use of new technology and new ways of working to add resilience, address gaps, and establish opportunities for efficiencies Expected Outcome • Ensuring service priorities are met whilst meeting budget considerations • Minimising risk of voluntary or compulsory redundancy • Enabling flexibility to address fluctuations in service demand • A systems-based approach is adopted council wide utilising a service design approach to organisational change to improve service delivery and ensure it meets the needs of citizens. Page 256
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• Improved efficiency and effectiveness of service provision • Continue with council wide digital transformation Action Title Resource needed Measure of Outcome Due Date Assigned To Priority/ Action links Continue to support a culture of continuous improvement identifying opportunities to develop the workforce and processes building resilience. Workforce/ Systems Monitor delivery plans and performance to inform action. Continue to utilise and embed Service design/Lean/Six Sigma skills. Efficiencies in processes identified and benefits realised. 31-Mar-2023 All Managers Support Fit for Future Reviews - promote better use of data, improved decision making and better people practices. Fully utilising existing systems and technologies Workforce Improved employee engagement and delivery of improved people practices via Fit for Future Reviews. 31-Mar-2023 All Managers Support the implementation of service review processes including role re-design, use of new technology and new ways of working to add resilience, address gaps, and establish opportunities for efficiencies Workforce Improved service provision 31 Mar 2023 All managers Support Digital Transformation implementation and plan and better use of Management information systems. Workforce /funding Evidence of capability and subsequent organisational impact 31-Mar-2023 All Managers Continue to develop and support the systems development in a more remote work environment. Workforce Successful transition to more remote practices and home and remote working, online solutions 31-Mar-2023 All Managers supported by IT 4. Skills & Capabilities – Current and future skills gaps and capabilities are addressed Page 257
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Strategy Develop and implement training plans and development opportunities to improve capabilities and resilience within the workforce. Expected Outcome • Ensuring service priorities are met as a result of application of those new capabilities • Ensuring staff are encouraged to develop new skills • Ensuring value for money in terms of training solutions • Minimising requirement to recruit for new capabilities • More accessible online training and employee support provision • Skills Gaps are minimised • Succession planning and knowledge transfer solutions Action Title Resources needed Measure of Outcome Due Date Assigned To Further develop leadership skills within relevant services in line with the people management framework. Workforce Well-developed leadership skills linked to succession planning and Service Delivery Needs. Collaborative and improved working practices. Reduction in ER issues. 31-Mar-2023 All Managers Continue to develop digital and data analysis skills in areas /service where this continues to be required Workforce Improved skills in digital and data analysis specific to systems. 31-Mar-2023 All Managers Robust scoping and implementation of training requirements linked to workforce planning actions to improve capabilities and resilience within the workforce. Workforce/ budget Training requirements are scoped and effective solutions found including knowledge transfer opportunities. 31-Mar-2023 All Managers Page 258
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2. Workforce Planning - People First Strategy – 5 Year Plan In line with the People First Strategy Workforce Planning Activity will be focused around the following High Level Actions in the table below. As work progresses in relation to this plan, specific actions will be developed and fed into the Workforce Planning Activity and are subject to change as the work progresses and in response to need. Year 1 Year 2 Year 3 Year 4 Year 5 Attraction and Recruitment On boarding Development Retention Off boarding Skills and recruitment gaps are forecast and identified timely and Workforce plans reflect how gaps can be filled (Buy, Build, Borrow or Bridge) effectively. Support Services to review job quality, role profiles and recruitment practices for improvement. Review of key talent pools and progress further development of pools at Service/Council level. Training & awareness of workforce Planning Processes and benefits of data usage. Development of Workforce Planning Console to incorporate employee data improvements relating to recruitment & on- boarding. Skills passport includes workforce planning training; framework, console and tools. Development of key Career Pathways with links to Learning pathways and training/development plans. Succession Planning with improved links to development opportunities and Leadership Development. Further development of internal talent pools Promotion of personal and professional development through Improved use of Be the Best (and other conversations) with an emphasis on quality of information to inform Workforce Planning for a focus on skills development, individual career aspirations and future requirements. Links to employee retention and development data to enhance Scenario Planning and impact on team and structures. Build and promote coaching & mentoring Consider promotional opportunities at Service Level as positive place to work informed by data analysis. Develop and further analyse exit interview information and destinations of leavers to inform WFP actions including role/structure design and development opportunities. Relevant benchmarking scoped for WFP actions relating to retention. Page 259
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Targeted attraction and recruitment (including increasing diversification of the Workforce) Consideration of promotion opportunities for Careers within the council. Review the Internal job market with a focus on succession planning, secondments and redeployment potential ensuring effective use of the Switch Policy. Better use of Scenario Planning. Support promotion of human centred management. Increasing use of equalities information to inform decision making in relation to Workforce Planning. the Workforce Planning channels including data gathering on personal and professional skills. Workforce Planning Policy, Strategy and processes informed by data and adapted accordingly. opportunities into Workforce Planning strategies. Support to build digital and data skills as integrated action of WFP. Improved use of market analytics to inform areas of risk for retention. Continued improvement to link WFP actions to the Strategic direction of the organisation and culture of change for continuous improvement Further develop workforce analytics in relation to turnover to predict areas of risk and inform of strategies to retain. Support methodologies to encourage returners for those who leave to develop career in another organisation. Page 260
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1. Workforce Planning Framework Actions 2022/23 Workforce Planning Actions Resources needed Measure of Outcome Due Date Assigned To Further Embed Workforce Planning with Services including regular reviews. Establish Workforce Plans Strategically aligned to service delivery plans and progress reported in line with these plans. Managers Service have Workforce plans in place embedded in Service Delivery Plans 31-Mar- 2023 Lisa MacGregor other People & Change Partners Review Workforce Planning Framework/Plan to incorporate 5 year period in line with People First Strategy Manager Revised 5 year Workforce Framework/plan in place linked to Strategic Priorities 01–Feb - 2023 Lisa MacGregor Engagement with Services of Revised Framework/Plan including knowledge transfer. People & Change & Managers Service are able to undertake and maximise effective use of workforce planning. From 01- Mar-2023 Lisa MacGregor & other People & Change Partners Further development of WFP Console with Focus on workforce projections, establishment/finance data, exit and equality data. People & Change and WFP console support Console functions and data are further developed to include higher level of equality and leaver information. Progress made in relation to the scoping and implementation of projective data and embedded use by service managers. 31-Mar- 2023 Lisa Macgregor Development of information feeding channels to ensure service level workforce planning reflects People First Strategy Plan and Service level outcomes influence People First Plan activity to meet service requirements. People & Change Team & Managers Actions in WFP and People First plans reflect feedback, requirements and needs met. On-going over 5 year plan People & Change Team Page 261
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WEST DUNBARTONSHIRE COUNCIL Report by Chief Officer – People and Technology Corporate Services Committee: 2 November 2022 ___________________________________________________________________ Subject: Bi-annual Workforce Monitoring Report 1. Purpose 1.1 The purpose of this report is to provide workforce monitoring information relating to the period 1st April 2022 to 30th September 2022. 2. Recommendations 2.1 The Committee is asked to note the content of the report. 3. Background 3.1 This report provides information on the workforce demographic, allowing for monitoring of trends and consideration of workforce impacts. Additionally, the report includes analysis of employees released through early retirement and voluntary severance, and the associated costs. This forms part of the ongoing monitoring process derived from the Audit Scotland Report “Bye now, pay later?” and follow up reports. 4. Main Issues 4.1 Table 1 provides headcount data for the Council per Chief Officer Area and includes apprentices, fixed term and permanent employees. When compared with the previous reporting period (1st October 2021 – 30th April 2022), the total headcount for the Council has decreased by 81. This is accounted for by decreases of 30 fixed term contracts and 60 permanent contracts. Apprenticeship contracts increased by 9 over the monitoring period. 4.2 When compared to the same period last year the headcount has decreased by 94 overall. This is due to reductions of 4 apprenticeships, 56 fixed term contracts and 34 permanent contracts. The casual headcount has decreased by 9. 4.3 Different to previous periods, these figures reflect a shifting picture as the organisation adjusts its’ workforce in response to significantly reduced levels of funding. ITEM 17 Page 263
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Table 1 – Headcount Data (as at 30th September 2022) 4.4 Monitoring the number of casual workers (including supply) is undertaken on a bi-annual basis and reported to the Performance and Monitoring Review Group. This ensures that the use of casual workers is in line with good practice while continuing to support the needs of organisational delivery. We also refresh the list on an annual basis removing those not used and/or no longer wish to provide casual work. Early Retirements and Voluntary Severance 4.5 During the last 6 months, no one was released through Early Retirement / Voluntary Severance. 4.6 The number of employees being released through voluntary early retirement/severance has continued to reduce in recent years with none being released during the current period. Table 2– ER/VS (Comparison to Previous periods) Council Wide 1 October 2020 – 31 March 2021 1 April – 30 September 2021 1 October 2021 – 31 March 2022 1 April – 30 September 2022 TOTALS 1 0 0 0 Retirement from age 55 4.7 The Local Government Pension Scheme allows scheme members to retire from age 55 without employer consent. The terms of this provision allow Headcount as at 30/09/2022 Status Department Service Apprentice Fixed-Term Permanent Grand Total Casual Chief Exec Office CitizenCultureFacilities 2 28 634 664 10 Educ Learning & Attain 8 84 951 1043 66 Housing & Employability 3 63 280 346 3 People & Technology 1 4 93 98 0 Regulatory&Regeneration 0 11 106 117 4 Resources 0 20 224 244 0 Roads & Neighbourhood 12 67 337 416 9 Supply,Distribu&Property 37 10 391 438 0 Chief Exec Office Total 63 287 3016 3366 92 HSCP Child Health Care & C J 0 23 242 265 17 Community Health & Care 0 26 917 943 53 Finance & Resources 0 1 5 6 0 Mental Health Addic & LD 0 14 139 153 1 Strategy, Planning & HI 0 1 26 27 0 HSCP Total 0 65 1329 1394 71 Strategic Management Strategic Management 0 0 12 12 0 Strategic Management Total 0 0 12 12 0 Teachers Educ Learning & Attain 0 145 918 1063 323 Teachers Total 0 145 918 1063 323 Grand Total 63 497 5275 5835 486 Headcount for Comparison Purposes Sep-22 63 497 5275 5835 486 Mar-22 54 527 5335 5916 399 Sep-21 67 553 5309 5929 495 Mar-21 73 552 5318 5943 519 Page 264
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members to access their pension benefits with an actuarial reduction applied (to compensate the fund for the member taking their benefits early). There are no consequential costs for the council. 4.8 Within this reporting period (1st April – 30th September 2022), 6 employees retired under this provision. 1 application was received during the period and is currently being progressed. This will be reported in the next monitoring period. Table 3 – Retirement from age 55+ (Comparison to Previous Periods) Council Wide 1 September 2020 – 31 March 2021 1 April – 30 September 2021 1 October 2021 – 31 March 2022 1 April – 30 September 2022 TOTALS 4 0 5 6 Early Retirements - Ill-health 4.9 In cases of early retirement on the grounds of ill-health, there are no direct capitalisation costs to the Council as this cost is borne by the pension fund. 4.10 The Local Government Pension Scheme and Scottish Teachers Pension Scheme 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. Under Local Government Pension Regulations Tier 1 relates to members with no reasonable prospect of obtaining gainful employment before the age of 65. 4.11 Tier 2 relates to members with a reasonable prospect of obtaining gainful employment before the age of 65. Under Scottish Teachers Pension Scheme Regulations the two tiers are Total Incapacity Benefits which relates to members who are unable to teach and whose ability to carry out any work is impaired by more than 90% and is likely permanently to be so. Partial Incapacity Benefits relates to members who are permanently unable to teach but be capable of undertaking other types of employment. 4.12 Table 4 below shows the number of employees who retired early on ill health grounds. In the period 1st April – 30th September 2022 there were 15 ill health retirements; 12 were approved at Tier 1 (Total Incapacity Benefits) and 3 at Tier 2 (Partial Incapacity Benefits). The total number of ill health retirements for the previous three reporting periods is also included for comparison purposes. Table 4 – Ill Health Retirements (Comparison to previous periods) Directorate Total 1 October 2020 – 31 March 2021 Total 1 April 2021 – 30 September 2021 Total 1 October 2021 – 31 March 2022 Total 1 April – 30 September 2022 HSCP 5 9 *7 8 Remainder of Council 0 4 7 TOTAL 5 13 17 15 Page 265
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*In accordance with data protection regulations directorates with 2 or fewer employees will be merged. 4.13 The female / male split of employees awarded Ill Health Retirement is 53% female and 47% male. This is higher for male employees but lower for female employees than the overall Council demographic split of 72.76% female and 27.24% male. 4.14 The demographic trend indicates the age range of employees awarded Ill health Retirement during this period between 60-65 years is at 47% a slight increase from last period. Compared to last period the age range of 50-54 years has risen from 14% in March 2022 to 33% in this reporting period. The age range 55-59 has decreased from 43% in March 2022 to 20% in this reporting period. Table 5 – Ill Health Retirements Age Range (Comparison to previous periods) Period Age Range 50-54 (No.) Age Range 50-54 (%) Age Range 55- 59 (No.) Age Range 55-59 (%) Age Range 60-65 (No.) Age Range 60-65 (%) Total Sept 2022 5 33% 3 20% 7 47% 15 March 2022 1 14% 3 43% 3 43% 7 Sept 2021 0 0 4 30% 9 70% 13 March 2021 2 28.5% 2 28.5% 3 43% 7 4.15 Employees have the right to appeal consideration for ill-health retirement if they are not satisfied with the decision through the Internal Disputes Resolution Process. 4.16 There were three appeals lodged at Stage 1 during the reporting period. One was referred back to Occupational Health for another opinion and the appeal was subsequently rejected. The second appeal was upheld and an award made in relation to flexible retirement. The third has been referred to colleagues in Scottish Pension Fund Office for their consideration and feedback is awaited. 4.17 There was one appeal being considered at Stage 2 by the Scottish Ministers from the previous period but the outcome remains outstanding. Flexible Retirement 4.18 Flexible retirement is available to members of the Local Government Pension Scheme, excluding teachers. The approval of those employees granted flexible retirement is monitored by the Chief Officer - People and Technology and the Chief Officer - Resources. Page 266
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4.19 A total of 25 new requests were received between 1st April – 30th September 2022. Of the planned retirement dates 3 fall within the current period and 22 fall within the next reporting period. 4.20 Of the planned retirement dates that fell within the current period 19 offers were issued and all were accepted. There is currently 1 Flexible Retirement in progress that will require a change of date meaning it will now fall into the next reporting period. One employee withdrew their request. 4.21 Every effort is being made to support flexible retirement requests where possible and services regularly revisit applications with a view to release. 4.22 The table below shows the number of flexible retirements released in the period, split by Chief Officer area for this year and previous three reporting periods for comparison purposes. 4.23 There has been a continued uptake for flexible retirement this period and for the year overall. It is anticipated that Flexible Retirement will continue to be a popular option for employees who wish to work in a reduced capacity and access their pension whilst enabling the Council to retain their skills and experience. Table 6 – Flexible Retirements (Comparison to previous period. Please note the change to reflect the new Chief Officer Areas) Chief Officer Area 1 October 2020 – 31 March 2021 Chief Officer Area 1 April 2021 – 30 September 2021 HSCP 9 HSCP *10 Remainder of Council *7 Remainder of Council TOTALS 15 TOTALS 10 Chief Officer Area 1 October 2021 – 31 March 2022 Chief Officer Area 1 April – 30 September 2022 HSCP 13 HSCP *5 Remainder of Council *15 Remainder of Council *14 TOTALS 28 TOTALS 19 * In accordance with data protection regulations directorates with 2 or fewer employees will be merged. Redeployment 4.24 Redeployment is monitored and delivered centrally by Strategic HR. Employees are added to the SWITCH register for a number of different reasons:- Page 267
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• Through organisational change employees may be displaced or placed in lower graded posts; • Due to ill-health they may become unable to continue in their substantive post; • Through Job Evaluation where a post is evaluated lower than the current grade; • Or where an employee is coming to the end of a fixed term contract and has more than 2 years’ service. 4.25 To support employees to return to their previous rate of pay all employees who have been matched but remain on pay protection are also retained on the register. 4.26 The table below details the number of employees who were on the redeployment register at the start of the reporting period (01/10/2021), the number who joined the register during the reporting period and the number who remain on the register at the end of the reporting period (31/03/2022). Table 7 Redeployment (Comparisons to previous periods) Reason Number of employees on the register at the start of the period (1/04/2022) Number of employees added during the period Number of Employees removed during the period Number of employees on the register at end of the period (30/09/2022) Ill Health (Capability) 0 0 0 0 Ill Health (Disability) 1 0 1 0 Organisational change 9 1 4 6 Incapability another process 1 0 0 1 TOTALS 11 1 5 7 Pay protection *9 3 1 11 *pay protection is shown separately as this may be related to job evaluation or organisational change 4.27 As detailed in Table 6, there were 11 employees on the redeployment register at the beginning of the reporting period. One employee joined during the period and 5 employees were removed from the register. One left the Council for other employment and four were placed in to roles on their substantive grades. 4 employees are currently on Long Term Sick Leave. 4.28 11 employees currently remain pay protected and on the SWITCH Register until they secure a post either on what was their substantive grade or the protection period ends, whichever is earlier. Support to obtain a post on their original grades continues to be provided across the Strategic Human Resources Team. 4.29 One employee in receipt of pay protection has been removed from the register completely due to securing a permanent position on their substantive grade; 3 of the 5 employees who were in promoted posts on a temporary Page 268
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basis have returned to their positions on reduced grades and pay protection has been re-started until the end of the pay protection period, 7th February 2023. 5. People Implications 5.1 There are no direct people implications for employees arising from the information presented in this report. However, it is important that the matters covered in this report are effectively monitored in line with employment legislation, the discretions policy and best practice. 6. Financial and Procurement Implications 6.1 There are no procurement implications with this report. All costs associated with early retirement or voluntary severance will be met from existing resources. Those released are done so on the basis of robust cost benefit analysis. 7. Risk Analysis 7.1 The early release of employees across the Council requires to be properly managed to minimise the risk of adversely impacting service levels through the loss of vital skills and experience. In line with Council commitment, redeployment of employees continues to be considered as a priority. 8. Equalities Impact Assessment (EIA) 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 equalities impact assessment is required. 9. Consultation 9.1 Consultation has taken place in line with agreed policies and procedures 10. Strategic Assessment 10.1 Undertaking workforce monitoring will support the Council’s aim to make the best use of both financial and human resources resulting in a positive impact upon service provision. Victoria Rogers Chief Officer – People and Technology Date: Person to Contact: Louise Hastings, 16 Church Street, Dumbarton Tel: 07792321839 Email: Louise.Hastings@west-dunbarton.gov.uk Appendices: None Page 269
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Background Papers: None Wards Affected: N/A Page 270
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WEST DUNBARTONSHIRE COUNCIL Report by Chief Officer – People & Technology Corporate Services Committee : 2 November 2022 ___________________________________________________________________ Subject: Strategic Risks 2022-2027 1. Purpose 1.1 To set out proposed changes to the strategic risks for 2022-2027 following the Strategic Plan developments. 2. Recommendations 2.1 It is recommended that the Committee agree: • The strategic risks as detailed at Appendix 1 3. Background 3.1 The Council’s 2017 – 2022 Strategic Risks came to a natural end on 31st March 2022. Following a review, new risks have been developed, as well as revisions to existing and proposed deletions of those no longer required. Table 1 includes details of risks to be carried forward into the next five year plan and those that are being retired. Table 2 includes details of the full suite of Strategic Risks proposed for 2022-2027. 3.2 The appended risks have been fully reviewed and re-assessment will be undertaken bi-annually before being reported to this committee. This report will also be submitted as agreed to the Audit Committee on a bi-annual basis. 4. Main Issues Strategic Risk 4.1 In line with the Council’s Risk Management Framework, an assessment of the Strategic Risks has taken place as detailed within Appendix 1. Each risk is managed through internal controls, linked actions and associated milestones with the objective being to reduce or stabilise the level of risk through completion of linked actions over a period of time and / or ensure mitigation factors are adequate should the risks actually materialise. 4.2 Table 1 represents a risk dashboard that includes information on the 2017-22 Strategic Risks. This gives information on the original risk rating, risk rating at completion of the Strategic Plan 31st March 2022 and the target rating. This ITEM 18 Page 271
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will also highlight those risks that have been retired and won’t be carried forward into the 2022-2027 Strategic Plan. Four Strategic Risks met their target, a further four progressed and were close to reaching their assigned targets. Four risks were off target and unlikely to reach their intended outcome. Table 1 Key Strategic Risk Information 2017 -2022 Strategic Risk Original Risk 2017 *2020 for SR012 Pandemic Risk on 31st March 2022 Target Risk 2022 Recommendation for 2022-27 SR 001 Significant financial funding reductions / limitations from Scottish Government Continue SR 002 School improvements. Continue SR 003 Council Assets. Continue but split into 3 SR 004 Information Technology. Continue SR 005 Partnerships. Continue but combine with SR006 SR 006 Citizens and Communities. As above SR 007 Health and Safety of Employees and Others Continue SR 008 Cyber Attack. Continue Page 272
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Table 2 Table 2 represents a risk dashboard that includes information on the new 2022-27 Strategic Risks. This gives information on the current rating and target rating. SR 009 Early Years Agenda. Retire SR 010 Resourced Workforce. Continue SR 011 EU Exit Retire SR 012 Pandemic (COVID) Retire Strategic Risk Current Risk 2022 Target Risk 2027 Risk Status SR 001 Significant financial funding reductions / limitations from Scottish Government SR 002 Challenges in implementing broad- ranging school improvement to raise attainment and achievement SR 003 Maintaining Council Assets that are fit for purpose SR 004 Keeping abreast of developments in the innovative use of Information Technologies Page 273
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SR 005 Engaging positively with Residents, Communities & Partnerships SR 006 Challenges in protecting the Health and Safety of Employees and Others SR 007 Complexities in ensuring an appropriately resourced and resilient workforce SR 008 Threat of Cyber Attack SR 009 Challenges in delivering effective services in relation to Roads & Neighbourhoods SR 010 Failure to maintain Housing Stock SR 011 Inability to reduce carbon footprint in line with targets Page 274
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Risk Methodology and Reporting 4.3 Each strategic risk is populated in Pentana in terms of the following template: • Risk title and code; • Description; • Ownership; • Potential effect; • Measures of impact; • Risk factors; • Internal controls; • Risk opportunity; and • Linked actions. 4.4 Each risk has been scored using a “4 x 4” matrix for likelihood and impact in relation to: • Current risk (with review dates set at pre-determined intervals); and • Target risk (i.e. 31 March 2027 - the duration of the Strategic Plan). The risk descriptors used in the “4 x 4” matrix are as follows: Likelihood Score Descriptor 1 Unlikely 2 Likely 3 Very likely 4 Certain Impact Score Descriptor 1 Minor 2 Moderate 3 Significant 4 Critical 4.5 For ownership, each strategic risk is “Managed By” a Chief Officer and “Assigned To” a Senior Officer. Strategic risks are also reported on a bi- annual basis to the Performance & Monitoring Review Group. Service Risk 4.6 Following the methodology in 4.3 to 4.4 above, each service has service owned operational risk registers in Pentana; these will be fully reviewed through the 2022/23 service planning process alongside development of the Council’s next five year strategic plan. Page 275
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4.7 Failure to implement broad-ranging school improvement to raise attainment and achievement SR002 SR002 did not reach its intended outcome due to the pandemic period. The pandemic affected national and local outcomes in education attainment and equity due to periods of school/ ELC closure; absence due to Covid and shielding. The risk reporting period ended on 31st March 2022 and The Education Service had a recovery strategy for attainment in place. This needed a full academic year (August 2021 to June 2022) to have an impact on attainment although employee and pupil absences due to Covid were still being experienced. However, in academic session 2021/22, a narrowing of the attainment gap and increase in attainment was achieved in the attainment levels in the Broad General Education at primary level. 4.8 Threat of Cyber-attack SR008 SR008 did not reach its target rating, due to a number of factors. The cyber threat continues to evolve with Ransomware being the biggest threat even during this period of Geo-political instability. Work has been undertaken to continue securing the Confidentiality, Integrity and Availability of our data and has resulted in procurement and implementation of new technologies such as scanning and remote control for end user device support alongside new processes for contact with end users have also been implemented to address some of the challenges. New ways of working, including increased remote access users, robotic process automations, digital transformations and adoption of Cloud based technologies all have an impact on the risk profile of the organisation and ICT continue to work with service areas to reduce and mitigate emerging risks. Lack of user awareness within organisations still remains one of the biggest Cyber Security threats, with a visible increase in Voice Phishing attempts being seen throughout the organisation. To combat this we have resumed physical training events to Elected Members, the Joint Consultative Forum and senior management within the Council. Face to face cyber security training combined with DPA and fraud awareness sessions has also resumed as part of the OD and change learning offerings, these have been well attended. Work continues to take place to improve our security posture in line with the national Public Sector Action plan (PSAP) and Public Sector Network (PSN) compliance. Vigilance of the National Cyber Security Centre (NCSC) Cyber Security guidance continues to remain in place in light of any changes regarding the geopolitical instability in Ukraine and the surrounding areas’ Page 276
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4.9 Retired Risks 4.9.1 SR009 Failure to Deliver the Early Years Agenda, SR011 EU Exit and SR012 Pandemic (Covid) have all been retired. SR 009 is being retired as the entitlement was met in May 2021 and the Council have met the Statutory Consultation requirements but, the quality of Early Learning Centre (ELC) and curriculum delivery of the new model will be closely monitored and supported by the central early years’ team. Outdoor expansion projects at various locations will be completed in the next few months. Additional projects are at various stages of planning/implementation: - Linnvale ELCC planning in place, building warrant and start date required - St Mary’s ELCC Alexandria – planning in place, building warrant and start date required - Christie Park Primary School – plans have been drawn up. - In respect of levels of success, 40 ELC settings (including 11 funded partner providers) have all been evaluated at good and above and meet the national standard criteria. 10 ELC were inspected by the Care Inspectorate between August 2021 and August 2022; evaluative grades awarded were good and above. None of the services were evaluated below the level of good. There is evidence of strong improvement and quality of provision at the 10 ELC in the sample of inspections last session. Published reports provide detailed evidence and answer key questions: How good is our care, play and learning? How good is our setting? How good is our leadership? and How good is our staff team? 4.9.2 SR011 is being retired. The UK has left the EU and although it remains important to acknowledge ongoing uncertainty, the incorporation of impacts is included in core risk frameworks. This allows the impacts of EU Exit to be monitored while increasing the efficiency/ effectiveness of the ongoing overall risk monitoring process. The risks are continuing to be monitored appropriately. If any particular area grows again in the future, the approach will be adapted to fit. The plans will similarly be stood down. 4.9.3 SR012 is being retired. There is no longer any national management of covid- 19. All covid-19 rules and restrictions have been lifted in Scotland. Masks are no longer required (other than in some health care settings), the Health & Safety Executive (HSE) no longer require covid-19 cases to be reported and there is an annual booster programme in place for certain groups. The Council has a resilience plan in place which can be lifted if necessary. The Scottish Government have in place a Covid Recovery Strategy: for a fairer future. The strategy focuses on the efforts required to tackle inequality and disadvantage. It will bolster the actions in the – NHS Recovery Plan, Education Recovery Plan and Justice Recovery Plan. 4.10 Following consultation with risk owners and a review of the proposed Strategic Plan and Priorities 2022-2027, the development of a new risk surrounding the Page 277
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Council’s targets in relation to our Carbon footprint was agreed ‘SR011 Inability to reduce carbon footprint in line with targets’. This target has been developed in a way that mirrors the emission reduction trajectory set by the Scottish Government in light of the Climate Emergency and visibility of our efforts to achieve these targets is important. 4.11 Council Assets has been split into three separate risks: ‘Challenges in delivering effective services in relation to Roads & Neighbourhoods’, ‘Failure to maintain Housing Stock’ and ‘Maintaining Council Assets that are fit for purpose’ This will allow a more focussed analysis of these risks and the mitigations in place to effectively manage them. 5. People Implications 5.1 There are no people implications associated with this report, other than in relation to the mitigation of risks 6. Financial and Procurement Implications 6.1 There are no financial and/or procurement implications directly associated with this report however there are in relation to the expenditure linked to mitigation. 7. Risk Analysis 7.1 Failure to ensure robust risk management is likely to result in the Council being criticised by External Auditors for not having an integrated approach to embedding risk management within the authority with the result that a “no scrutiny required” status would not be achieved. 7.2 Progressing with a robust risk management approach will demonstrate that the Council is taking ownership of risk management and ensuring effective measures are in place. The ability to demonstrate risk ownership should benefit the Council in terms of: • Understanding risk and its potential impact on the Council’s priorities and objectives; • Reducing insurance premiums going forward by recognising that a mature approach to risk management will contribute to a reduction in the number and value of claims across a range of insurance classifications; • Contributing towards incident prevention based upon post-incident investigation; • Meeting statutory/regulatory requirements; and Ensuring better partnership working with external and internal partners. 8. Equalities Impact Assessment (EIA) 8.1 EIA 548 notes the positive impacts of an approach to risk that integrates Page 278
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considerations on equalities, human rights health and social and economic impacts, that is aligned with the content of the new Strategic Plan. 9. Consultation 9.1 The strategic risks have been discussed with the Chief Officers and senior management. The reports to committee are available to the Trades Union and consultation undertaken as required. 10. Strategic Assessment 10.1 The Council will agreed its main strategic priorities for 2022-27 at its meeting on 26 October 2022. Due to timelines this report will be submitted prior to this meeting. However the proposed priorities are: • Our Communities - Resilient and Thriving • Our Environment - A Greener Future • Our Economy - Strong and Flourishing • Our Council - Inclusive & Adaptable 10.2 The strategic risks have been identified to complement the main strategic priorities. Name: Victoria Rogers Designation: Chief Officer People & Technology Date: 7 October 2022 Person to Contact: Anna Murray, Risk & Health and Safety Officer Email Anna.Murray@west-dunbarton.gov.uk Appendices: Appendix 1: Detailed Strategic Risk List Background Papers: Dunbartonshire Council Strategic Plan DRAFT 2022- 2027 (once available) Risk Management Framework EIA screening Page 279
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Strategic Risk Report Generated on: 14 October 2022 SR 01 Significant financial funding reductions / limitations from Scottish Government It is expected that the Council will be faced with significant ongoing funding reductions/limited increases from the Scottish Government settlement. This is based on recent settlements, the March 2022 Resource Spending Review which states that Council funding will remain as ‘flat cash’ (at current 2022/23 levels) until 2025/26 with a £100m added in 2026/27 – the real term impact of this (taking inflation into account) for the next four years is a 7% reduction between 2022/23 and 2026/27. This coincides with a period where costs are expected to rise in relation to social care due to an aging population; inflationary increases with RPI at a level not seen since 1991; post-COVID-19 ongoing costs; increases in the cost of borrowing as interest rates increase and pay award pressures linked to inflation. The ongoing population decline of West Dunbartonshire versus the average population for the whole of Scotland leads directly to funding reductions with marginal impact on service delivery cost/need. On a UK wide level September 2022 announcements in relation to changes in taxation by the UK Government may result in a reduction in public spending in order to fund these changes and it remains to be seen if this has an impact on the money made available for local government service delivery. Current Risk Matrix Last Review Date Current Rating Target Risk Matrix Target Date Target Rating Assigned To 04-Oct- 2022 12 31-Mar-2027 4 Gillian McNeilly Potential Effect Shortfall in finances and therefore the Council is unable to provide all services as intended. Measures of Impact - Reduction in government grant - Demographic change (population decline/growth, aging population) - Cost reduction required including cutting level and/or quality of service provision - Increased Debt (collection of Council Tax, HRA rents, etc) Risk Factors - Level of government grant - Lack of time to plan for changes in the level of grant funding due to single year settlements and settlement information from Scottish Government - General inflationary factors -Bank of England Base Rate increases -ongoing prevalence and impact of COVID-19 - Significant additional burdens - Capital receipts -EU Exit Internal Controls - 10 year Financial Strategy subject to regular review - Monitor and maintain General Services and Housing Revenue Account prudential targets - Reporting and monitoring of Treasury Management Strategy - Budgetary control process - Regular budgetary control and savings monitoring reports provided to CMT and Council / committees - Rigorous debt collection processes - Annual Internal Audit Plan - Work of External Auditors (external control) - Annual Governance Statement - Procurement Improvement Plan Latest Note As reported to the Council on 9 March 2022 the Scottish Parliament Information Centre (SPICE) analysis of the UK Budget highlighted that the total (unadjusted) Scottish block grant will increase from £36.7 billion (excluding COVID funding) in 2021/22 to £41.8 billion by 2024/25. This is a 2.4% real terms increase over the period of the Spending Review however this increase is front loaded, with a 7.7% real terms increase in 2022/23 (10.6% cash terms increase) followed by small percentage real term reductions in the following two years. Despite the 10.6% cash increase in the Scotland Block Grant in 2022/23 the Council’s general revenue grant in 2022/23 was virtually flat cash. As a flat cash allocation has occurred in the year where the Scotland Block Grant has increased significantly, and future year cash increases are far lower it is almost certain there will be reductions to Local Government funding in future years. Appendix 1 Page 281
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Risk Opportunity - Annual exercise to identify efficiencies - Projects to implement new ways of working (e.g. digitisation, asset management) - Enhance the reputation of the Council as an organisation which manages its finances soundly Linked Actions Code & Title Progress Status Assigned To RES/22-23/011 Review financial arrangements against the CIPFA financial code of practice Gillian McNeilly WFP/22-23/RES/03 Implement service review process including role design, use of new technology and new ways of working to add resilience, address gaps, and establish opportunities for efficiencies RES/22-23/010 Review capital programme, monitoring and reporting Gillian McNeilly RES/22-23/012 Maximise automation opportunities across the organisation to improve efficiency Arun Menon RES/22-23/001 Review ways of decreasing corporate debt through continued improvements to debt collection processes in relation to sundry, NDR, Council Tax and rent Ryan Chalmers RES/22-23/002 Review ways to improve rent collection rates in conjunction with Housing and W4U Ryan Chalmers; Stefan Kristmanns SR 02 Challenges in implementing broad-ranging school improvement to raise attainment and achievement This risk concerns the delivery of excellence and equity for our young people to support them to attain and achieve at the highest level. In particular, it is aimed at bridging the attainment gap and breaking the cycle of disadvantage. This also includes the focus on intervention at early years to improve life chances at all points on the learning journey. A key national and local priority is to accelerate progress with the aspirations to deliver improved attainment, tackle the poverty related attainment gap and recover from any negative impact of the pandemic. Scottish Equity funding devolved to local authorities aims to deliver on priorities between 2023-26. Current Risk Matrix Last Review Date Current Rating Target Risk Matrix Target Date Target Rating Assigned To 04-Oct- 2022 6 31-Mar-2027 2 Julie McGrogan Potential Effect The national expectation for education would not be delivered. Improved outcomes for young people would not be attained and achieved. The Council would fail to meet the needs of individual learners. The Service would fail to bridge the attainment gap and break the cycle of disadvantage. The Council would fail in its legal duty for the education of young people within West Dunbartonshire. There would be reputational damage to the service and the wider Council. There would be a lack of income generation from external funding sources. Measures of Impact Examination results - Her Majesty’s Inspectors of Education inspection reports - validation reports - stakeholder feedback - local learning community attainment data - control group model - small test of change model - risk matrix model - bespoke model of intervention for young people and families at early stages to improve on attendance/lateness; social and emotional health; supports for mental health issues; parenting/behaviour management skills and early linguistic & cognitive development - pre/post intervention assessment - increased expectation of raising attainment being the responsibility of all - school to school collaboration with locally initiated bottom-up enquiry - higher level of Science Technology and Maths subject uptake in secondary schools - increased numbers of learners entering STEM related career pathways - standardised literacy and numeracy tests Local authority stretch aims to be delivered by 2023; and monitored by national agencies against national benchmarks. Risk Factors Staff resources - adequate funding for projects - workforce development - effective leadership - accurate and timely data collection - accurate and timely reporting - effective communication with partners and external agencies - disrupted learning - staff absence - pupil absence - adapted model of delivery to ensure safety - limiting curriculum flexibility - learning style flexibility - impact of COVID on social and emotional wellbeing - risk to funding streams. There is a change to the local authority funding model for Scottish Equity Fund (SEF) with an annual tapered reduction of funding to WDC between 2022-2026. This will reduce resources available to deliver work streams related to SEF. Page 282
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Internal Controls -Raising Attainment Strategy -Project management by Senior Education Officer -Education Improvement Board chaired by Chief Education Officer -Scrutiny by Scottish Government and Education Scotland (progress reports produced and submitted) -WDC Improvement Framework -Termly progress reports submitted as part of Educational Service committee reports -Relevant Continuous Professional Development programme to support education staff -Meetings between WDC and Education Scotland/Her Majesty's Inspectors of Education -BGE Attainment and Performance Data -Literacy, Numeracy and HWB Steering Group -National Improvement Framework (NIF) -Education Recovery Plan Latest Note Building on achievements made since 2015 the service is developing plans to both accelerate and embed progress in academic sessions 2021/22 and 2022/23, these plans are being reviewed to reflect the refreshed SAC programme. The key risk to ongoing progress is SG's plan for a tapered SAC funding model between 2022 to 2026. In academic session 2021/22, a narrowing of the attainment gap and increase in attainment was achieved in the attainment levels in the Broad General Education at primary level. Risk Opportunity Improved attainment - improved attendance - reduced exclusions - reduced violent incidents - reduction requirement for targeted support over time - reduction requirement for specialist placements over time - improved learning & community engagement - children/pupils at risk identified earlier and more effectively - more empowered community providing self-sustaining peer support - increase in the percentage and range of positive destinations over time - increased access to digital learning resources Linked Actions Code & Title Progress Status Assigned To ELA/21-22/DP/01 Deliver the best start in learning Kathy Morrison ELA/21-22/DP/03 Increase attainment and positive destinations Andrew Brown; Julie McGrogan ELA/21-22/DP/04 Review and improve support for reducing inequity Claire Cusick ELA/21-22/DP/05 Develop empowered leadership to provide the highest quality of learning and teaching Claire Cusick; Julie McGrogan SR 03 Maintaining Council Assets that are fit for purpose The risk that the Council's assets and facilities are not fully fit for purpose with consequent adverse impact on our ability to deliver efficient and effective services. Assets included in this assessment are; the Council’s property portfolio and open space Current Risk Matrix Last Review Date Current Rating Target Risk Matrix Target Date Target Rating Assigned To 04-Oct- 2022 4 31-Mar-2027 2 Craig Jardine; Michelle Lynn Potential Effect - Assets are not utilised in the most effective and efficient manner - Service cannot be properly delivered to the satisfaction of service users - Service users seek alternative service provision -Increase in reactive maintenance costs/ demand/ volume -Council assets in poor conditions -Council assets fail to meet relevant standards Measures of Impact - Condition surveys - Suitability surveys - Customer perceptions of service delivery - Investment levels in upkeep and improvement of asset base and facilities -Asset user satisfaction - Operating costs and savings Risk Factors - Adequacy of funding available to improve asset base - Adequacy of staff resources allocated to the area of asset management - Council buildings/ assets deemed to be unfit for existing purpose - Economic conditions may reduce level of potential capital receipts from surplus property sales - Increase public liability claims -EU Exit Internal Controls - Corporate Asset Management Strategy (currently under review) Page 283
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- Learning Estate Strategy - Capital Investment Team - Capital project meetings are carried out monthly in addition to project specific meetings. - Property Asset Management Plan - Capital plan - Detailed asset database that shows relevant information on a property by property basis in relation to operational, non-operational - Sustainability Policy Latest Note The current plan will continue into 2022/23 but this risk has been split into 3; Maintaining Council Assets that are fit for purpose, Failure to maintain Housing Stock and Challenges in delivering effective services in relation to Roads & Neighborhood. The new 5 year Corporate Asset Management Strategy and Property Action Plan will be developed in 2022/23 to ensure it meets the aspirations of the new Strategic Plan. No change to risk matrix. Risk Opportunity -Enhance reputation of Council by being able to improve Council assets. -Estate, assets and service delivery (e.g. new school buildings, operational building upgrades, office and depot rationalisation projects) - Enhance employee "feel good" factor by providing modern office accommodation equipped with up to date IT facilities -Improved satisfaction from public building users - Secure external funding for development of assets (e.g. EC, lottery, Historic and Environment Scotland) - Prioritised Building Upgrade Plan - The effect of these energy efficiencies has demonstrated that significant savings and environmental benefit can be achieved through the utilisation of developing technology. Linked Actions Code & Title Progress Status Assigned To SD&P/22-23/CAM/04 Monitor the progress of disposal of key strategic sites over 22/23 Craig Jardine SD&P/22-23/CAM/03 Progress delivery of the Corporate Asset Management Strategy to align with the Councils Strategic Plan Craig Jardine SR 04 Keeping abreast of developments in the innovative use of Information Technologies Failure to keep pace with changing technology environment Current Risk Matrix Last Review Date Current Rating Target Risk Matrix Target Date Target Rating Assigned To 29-Sep- 2022 2 31-Mar-2027 2 Patricia Kerr; Brian Miller Potential Effect A lack of consistent, sufficiently robust service planning in respect of ICT arrangements is likely to result in the Council being ill prepared to meet future demands in key service areas and lacking the capacity to respond effectively to changing need such as increased requirement for remote working as identified during covid pandemic. Measures of Impact • Close relationship and working practices with Asset Management Service with regard to commissioning and decommissioning buildings. • Number of systems that have supplier maintenance contracts. • Invocation of Service Business Continuity Plans and ICT Disaster Recovery plan • Degree of compliance with security controls to prevent data loss through poor o/s patching, cyber attack, firewall configurations, switch replacements/upgrades etc • Fit for purpose primary and secondary data centres • Extent of wireless connections in the Council network – all schools and refurbished Office accommodation complete • Number of ICT Help Desk incidents resolved within half day - exceeded the target for 2021-22 and higher target set. • Extent of functionality development in key Council systems (i.e. lack of development beyond base system leading to ineffective management information) – several channel shift projects delivered and more are in progress. • Fit for purpose Council website, delivering information and services to a significant percentage of the Council's customers. • Provide efficient desktop services supporting laptops, chromebooks, PCs, Thin client terminals to meet changing workforce flexibility and property rationalisation requirements. 5-year Device replacement programme in place. • Implementation of mobile and flexible working, enabling a downsizing of required office accommodation Page 284
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as people to work more efficiently and to adopt a more flexible policy towards office accommodation and desk provision. • Broadband speed in the Council area - WDC has 2nd highest broadband speeds in Scotland. Investigating funding options for fibre network. Risk Factors • Insufficient resourcing of ICT developments so that benefits and opportunities identified are not realised • poor network security controls implemented for example • Lack of intrusion detections alerts, • failure to respond to audit / PSN test findings and recommendations, • insufficient resources allocated to security tasks. However Service redesign and ICT resources aligned to security tasks and improved monitoring processes and tools as well as additional tools purchased to help support remote working environment all help to mitigate this risk. • Poor Service Business Continuity Plans and/or Disaster Recovery Capability. • Poor project and programme change management arrangements. • Poor quality of mobile communication provision. • Poor uptake on channel shift. Internal Controls - Capital programme established for technology refresh projects - Information & Communication Technology (ICT) Policies such as ICT Security Framework - Governance structures such as ICT Steering Board, Education ICT Steering Board, Digital Transformation Board in place to support integrated planning and decision making in relation to ICT - Use of both internal IT resources from across the Council and skilled specialist advisers in key areas - Fit for purpose primary and secondary data centres Latest Note Sept 2022 - Replacement interconnect firewall between NHS and WDC now operational in Aurora house. New rule sets in place as agreed with WDC and NHS IT Services Microsoft Intune deployed to enable remote imaging of devices and goes live Oct 3rd. Logemin went live August 22 and enables remote control of all devices including mobile phones. Citrix Cloud Proof of concept in place and testing underway with ICT/service areas. Progress continues on implementation of a new authentication method for public access wireless Risk Opportunity -COVID-19 has increased the number of users and services working remotely. Several manual processes amended and driving process reviews across the Council. Opportunity to redesign infrastructure and introduce new tools and security measures to support hybrid working environments. - rapid deployment of conferencing technologies has helped drive demand and give visibility to importance and suitability of digital technologies and processes - annual network penetration tests and for PSN compliance audit - Annual External Audit on ICT Controls - Continued investment in ICT infrastructure and its focus on network security and resilience. - Provide appropriate technology for employees, pupils and service users as well as for ICT support teams such as Logmein for remote device support and Qualsys for device vulnerability scanning. - Rationalise IT systems - Provide Council employees with secure access to email and supporting systems at times and locations of choice as part of 365 project. - Increased use of mobile devices eg tablet devices, chromebooks and mobile phones. - Provide self service style systems to employees and the local community Linked Actions Code & Title Progress Status Assigned To P&T/22-23/ICT/03 Review and implement ICT processes and service improvements in line with new technologies James Gallacher P&T/22-23/ICT/03 Upskill ICT team in new tools and processes James Gallacher Page 285
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SR 05 Engaging positively with Residents, Communities & Partnerships The risk that the Council fails to adequately engage, establish and maintain positive relationships with local residents and communities in addition to partnership bodies. Current Risk Matrix Last Review Date Current Rating Target Risk Matrix Target Date Target Rating Assigned To 04-Oct- 2022 3 31-Mar-2027 2 Clare English; Elaine Troup Potential Effect Potential for tensions to develop with residents and local community groups Reputational damage to council services Degradation of trust in service provision A failure of strong partnerships could impact on the Councils obligations under Community Empowerment Act Measures of Impact Successful delivery of Local Outcome Improvement Plan (LOIP) and supporting plans positive partnership inspections Informed and engaged residents participating in consultation activity Telephone survey monthly, quarterly and annual measures Increased social media engagement and reach Risk Factors Inability to deliver improved outcomes which require strong partnership activity Council's reputation is adversely affected through a failed partnership arrangement Lack of appropriate staff development / skills may be lacking to support new model of service delivery inequity of engagement across the partnership on key local issues Council seen as unresponsive to community if feedback from engagement not acted upon Apathy within communities leads to little or no engagement Some community groups feel their voices are not being heard Internal Controls Robust partnership arrangements through community planning partnership Align the Council's strategic plan with the Local Outcome Improvement Plan (LOIP) Ensure that partners have signed up to deliver on the outcomes and targets set in the LOIP Develop data sharing protocols with partner agencies Participate in reform agenda as it impacts on Council area Ensure robust mechanisms for public feedback (Embedding the Strategic Engagement Framework) Annual budget consultation events Citizens Panel Open Forum questions at Council meetings Latest Note Citizens & Communities & Partnerships were previously two separate risks but have been combined for the next 5 year Strategic Plan. Whilst the Community Planning Partnership is now being managed under a shared service agreement, it is well established with strong partnership working arrangements in place reducing likelihood of this risk being realised. We continue to promote and ensure strong communications and engagement through the Engaging Communities Framework. As well as gathering resident feedback, we ensure that key information is communicated through a variety of media channels including online, social media and publications such as Housing News. Risk Opportunity Position West Dunbartonshire as a modernising Council Residents are more comfortable with the digital platform as a result of the enforced cessation of face to face services - this presents an opportunity to modernise communication Community Empowerment Act Participation requests Asset transfer Linked Actions Code & Title Progress Status Assigned To H&E/22-23/CT/01 Build community resilience and advance community empowerment including the development of a training programme to support the Community empowerment agenda Clare English H&E/22-23/CT/03 Explore alternative forms of funding to encourage less reliance on mainstream council funding Clare English H&E/22-23/CT/04 Deliver the objectives set out in the Community Empowerment Strategy and Action Plan through identified priority projects Clare English H&E/22-23/CT/05 Lead on the Council’s approach to Participatory Budgeting Mainstreaming across the organisation Clare English H&E/22-23/CT/06 Develop an Employee Volunteering Policy to support the ambitions of the Community Empowerment (Scotland) Act 2015 Clare English Page 286
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H&E/22-23/CT/07 Identify and implement improvements in partnership working between the CCTV team and key partners to promote feelings of safety in the area Clare English SR 06 Challenges in protecting the Health and Safety of Employees and Others Failure to meet the Council’s duty to protect the health, safety and welfare of its employees and other people who might be affected by its business Current Risk Matrix Last Review Date Current Rating Target Risk Matrix Target Date Target Rating Assigned To 28-Sep- 2022 4 31-Mar-2027 4 Alison McBride Potential Effect Risk of an employee, service user, pupil (young person) or member of the public being seriously / fatally injured by fault of the Council. There are various risks associated with the outcome: reputational risk regarding negative publicity; financial risk in terms of claims management compensation to the injured party; risk of prosecution by the HSE resulting in a fine and/or a Council Employee being subject to criminal charges. Measures of Impact Resources associated with in-house/HSE investigation. Service delivery impact in terms of injury-related absence and potentially enforced cessation of work activities. Impact of injury on employees/members of the public, legal proceedings, financial penalties, potential reputational damage and risk of criminal charges. Risk Factors Lack of resources, inadequate policies, practices and H&S strategy. Internal Controls •Competent health and safety advice readily available from the Corporate H&S team •Corporate health and safety plan developed and monitored via Pentana • Council has in place a robust H&S policy and Fire Risk Management Strategy that includes service specific health and safety plans, duties and responsibilities for Chief Officers, managers and employees. • Adequate H&S resources in place to that will allow statutory obligations in terms of the Health and Safety at Work etc. Act and the Management of Health and Safety at Work Regulations to be fulfilled. • Embedded H&S culture that discusses H&S issues at senior level and cascades throughout the organisation through the health and safety committee system. • Monthly reports to PMRG on organisational safety performance and issues. •Chief Officers attend service H&S committees on a quarterly basis. • Workplace inspection and audit programme. • Service risk profiling. • H&S training needs analysis for every employee group. • The Council has in place a Trade Union Health and Safety Partnership Agreement. • Council promotes health and safety training for TUs to diploma level. Latest Note The H&S team continue to review and streamline key service areas such risk, SMS and learning. Figtree has seen improvements in how risk assessments are managed and the team are looking to build on this with hazard reporting. A newsletter has also been developed to update and promote good practice. The team continue support all H&S committees and RPO's to ensure a consistent approach. The team also have improved the process in managing health surveillance with OH& line managers. Risk Opportunity Demonstrate to committees, elected members, Trade Unions, employees, the community and other external partners evidence of robust H&S culture. Linked Actions Code & Title Progress Status Assigned To P&T/22-23/P&C/03 Embed H&S commitments with service delivery and workforce planning. Build and support workforce groups to promote good practice Stephen Gallagher Page 287
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SR 07 Complexities in ensuring an appropriately resourced and resilient workforce Failure to ensure that there is an appropriately resourced and resilient workforce in place to meet future organisational needs, in effectively executing the Council’s 2022-27 Strategic Plan. Current Risk Matrix Last Review Date Current Rating Target Risk Matrix Target Date Target Rating Assigned To 05-Oct- 2022 4 31-Mar-2027 2 Alison McBride Potential Effect Inability to deliver services effectively Reduced level of service Lack of improvement or increase in staff absences Council underachieves as an organisation Low staff morale Employee conflict Increased turnover Inability to attract/recruit Measures of Impact - Access to and participation of employees in learning and development activities - Absence rate and trends - Employee turnover - Grievance, discipline and other monitoring information - Employee voice and associated actions - Reports from external scrutiny bodies and award bodies - Benchmarking with appropriate comparators Risk Factors - Inability to attract/recruit - Lack of appropriate development - inadequate skills -risk to new models of service delivery - Lack of resource/capability to deliver - Workforce unable to adapt to change Internal Controls - HR processes designed to meet service delivery needs - Develop new structures to reflect strategic priorities and aligned to Future Operation Model (FOM) - Align workforce plan to the Council's strategic planning processes (i.e. have the right people available at the right time with the right skills to fulfil properly all of the Council's strategic priorities) - Periodic review of pay arrangements in accordance with EHRC guidance (currently every 3 years) - Incorporation of succession planning into workforce planning framework - Identify training programmes to upskill staff - Effective use of SWITCH to support alternative careers - Flexible HR policies, in particular People First covering workforce planning, learning & development (including elearning), digital/continuous improvement, employee wellbeing & engagement. - Effective use of Occupational Health Service - Robust Be the Best Conversations process - Effective leadership and management behaviours, practice and programmes Latest Note Workforce planning has developed well alongside service delivery planning. This has been supported by better use of data in this area to inform decision making via the use of the console. New ACAS guidance (issued July 17) Return to Work and Hybrid Working reinforces the work WDC have undertaken to date, particularly around the workstyle exercise, employee consultation, remote working guidance, planned/ phased return and variations to contracts which all see WDC well placed in supporting the workforce. Further work to develop the approach to working flexibly has commenced. Despite a robust package of wellbeing resources being available, absence levels are being closely monitored, with stress and MSK absences prevalent. WDC continue to provide additional access to counselling. Development course for mid to senior leaders has commenced. Trickle rollout has now been completed for the whole of the organisation and will be realaunched to ensure this tool is better used for employee feedback and engagement. There will be a launch of the Trade Union Learning Agreement which encourages all employees to participate in regular learning and development. WDC Fit for Future programme continues to support services. Page 288
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Risk Opportunity - Identify previously unknown skills and talents in the workforce - Realise the potential of staff Linked Actions Code & Title Progress Status Assigned To WFP/22-23/Corp/02 Develop and implement employee life cycle plans in line with the People First Strategy to attract and retain the workforce. WFP/22-23/Corp/03 Implement service review process including role design, use of new technology and new ways of working to add resilience, address gaps, and establish opportunities for efficiencies WFP/22-23/Corp/04 Develop and implement training plans and development opportunities to improve capabilities and resilience within the workforce. WFP/22-23/Corp/01 Develop and implement wellbeing, employee engagement, equality and training plans to enable capabilities, improved resilience and promotion of a diverse workforce. SR 08 Threat of Cyber-attack Data, systems and/or infrastructure are impacted as result of security attacks which are increasing in number at a time when this threat is already placing demands on resources to deliver increased levels of security controls. Current Risk Matrix Last Review Date Current Rating Target Risk Matrix Target Date Target Rating Assigned To 29-Sep- 2022 9 31-Mar-2027 4 James Gallacher; Iain Kerr Potential Effect • Homeworking could be impacted by loss of internet services. • Disruption to services impacting service delivery to citizens • Staff and Citizen data loss with the potential for misuse such as identity fraud • Misinformation being delivered to the public via WDC communication channels • Potential for significant fines currently under the Data Protection Act and from May 2018 under the provisions of the General Data Protection Regulations • Reputational damage • Redirection of resources to deal with the effects of an attack and away from BAU work Measures of Impact • Failure to secure Cabinet Office compliance certification. • Monitor remote access usage • Recorded attempts from external sources to breach council cyber defences • Recorded cyber related incidents in the Cyber incident log • Quantity of breaches/incidents reported to the Information Commissioners Office • Fines levied for breaches Risk Factors • Potential for attacks out of normal working hours /days • Inappropriate Cyber defences at the perimeter of the council networks • Inappropriate delivery of security patches to desktop, network switches and server estates • Compliance with security standards such as PSN, PCI, Public Sector Action Plan on Cyber resilience for Scotland • Continually changing threat landscape • Maintaining relevant skill sets among employee group / cost of securing expert resources • Increased targeted attacks and risks due to COVID/Hybrid working. Internal Controls • Robust backup strategy in place on premise and cloud backup for 365 with immutable capability. • Service Continuity Plans • ICT Disaster Recovery Plan • Implementation of internal Policies on Patching and hardware/software hardening and expanded during COVID to patch devices remotely. • Annual PSN compliance audit including a comprehensive IT Health Check • Governance structure in place, ICT Steering Board consisting of senior management and relevant stakeholders meeting bi-monthly or as required in response to incidents/events • Programme of Internal and External ICT audits • Information Security/Data Protection forum. Project specific forums eg PCI working group • Multiple layers of Cyber defences • Network Segregation • Rolling programme of security awareness sessions • Interagency and cross Council working groups and sharing. • National Digital Office / Scottish Government Public Sector Security programme and guidance Latest Note ICT continue to follow NCSC guidance and implement additional security tools and fixes as identified. Page 289
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Recent focus has centered on deploying software and processes for • the potential impacts of hybrid working on the security design; • updating both off network and on network devices; and • remote accessing of devices went live Aug 2022. The ICT Team also continue to work on implementation of remote management/deployment software which is due to go live 3rd Oct 22. Threat management, traffic & network switch DNA analysis software deployed July 22 & Sept 22. Plans to implement additional security monitoring tool underway with ETA Nov 22. Geo-blocking to GB remains in place and the geo-political situation continues to be monitored. Resourcing of security roles will continue to be examined as part of normal ICT service design management processes. Risk Opportunity • Increase Cyber resilience and awareness for staff, members and citizens • Contribute to Scottish Government Public Sector Action Plan on Cyber resilience for Scotland and potential to become involved in a national/shared security operations centre • Upskill employees to address current and emerging threats • Increased employee awareness across Council Linked Actions Code & Title Progress Status Assigned To P&T/22-23/ICT/01 Secure the Council’s Technology Infrastructure James Gallacher P&T/22-23/ICT/02 Enhance Security and Cyber awareness programmes tailored for hybrid working James Gallacher SR 09 Challenges in delivering effective services in relation to Roads & Neighbourhoods The risk that the Council’s fails to deliver on the three services within Roads & Neighbourhood: Roads & Transportation, Fleet & Waste and Greenspace. These areas provide services across a range of areas including managing and maintain roads, footpaths and associated infrastructure, managing flood risk, grounds maintenance, street cleaning, burial and cremation, outdoor facilities, waste and recycling and vehicle fleet management. Failing to ensure these services are not fully fit for purpose could result in adverse consequences in relation to delivering efficient and effective services. Current Risk Matrix Last Review Date Current Rating Target Risk Matrix Target Date Target Rating Assigned To 05-Oct- 2022 4 31-Mar-2027 2 Gail Macfarlane Potential Effect - Assets are not utilised in the most effective and efficient manner - Service cannot be properly delivered to the satisfaction of service users - Service users seek alternative service provision -Increase in reactive maintenance costs/ demand/ volume -Council assets in poor conditions -Council assets fail to meet relevant standards -Failure to comply with Transport (Scotland) Act 2019 -Failure to comply with Waste (Scotland) Regulations 2012 Measures of Impact - Condition surveys - Suitability surveys - Road Condition SPI - Customer perceptions of service delivery - Investment levels in upkeep and improvement of asset base and facilities -Asset user satisfaction -Operating costs and savings -Local Government Benchmarking Framework (LGBF) -Association for Public Service Excellence (APSE) -Waste Managers Network Group Page 290
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Risk Factors -Adequacy of funding available to improve asset base - Adequacy of staff resources allocated to the area - Council assets deemed to be unfit for existing purpose - Economic conditions may reduce level of potential capital receipts -Over one third of the road network is in need of repair and the current long term capital funding only sustains a steady state condition of the road network - Increased public liability claims due to poor condition of roads network - Increase public liability claims due to poor condition of footpaths and roads which are not part of our adopted network. -Poor customer engagement for recycling, deposit return scheme, refuse transfer station -Financial challenges - Budget Sensitivity Analysis (fuel costs, waste refuse disposal tonnage costs, bitumen availability and costs) Internal Controls - Corporate Asset Management Strategy (scheduled refresh in 2nd half of 2021/22 year) - Learning Estate Strategy - Capital Investment Team - Capital project meetings are carried out monthly in addition to project specific meetings. - Capital plan - Roads and Lighting Asset Implementation Plan - Fleet Asset Implementation - Open Space Asset Implementation Plan - Sustainability Policy -User feedback – complaints data, Citizens’ Panel and monthly telephone survey -Fit for future service reviews -Deposit Return Scheme -Climate Change Strategy -Community Empowerment Strategy -Food Growing Strategy and Allotments -Equality Outcomes Latest Note Service continues to provide full service, monitoring in place to ensure any adverse issues are highlighted and appropriate actions taken Risk Opportunity -Enhance reputation of Council -Estate, assets and service delivery (e.g. office and depot rationalisation projects, roads upgrade programme, vehicle replacement programme, greenspace upgrade projects) - Secure external funding for development of assets (e.g. EC, lottery, Historic and Environment Scotland) - The continued implementation of the energy efficient street lighting project will both improve the asset and reduce costs significantly through reduced maintenance, energy consumption and carbon output. - The effect of these energy efficiencies has demonstrated that significant savings and environmental benefit can be achieved through the utilisation of developing technology. Linked Actions Code & Title Progress Status Assigned To R&N/22-23/F&W/02 Continue to work collaboratively with Argyll & Bute and Inverclyde Councils to develop a best value proposal for procuring the reception, transportation, treatment and compliant disposal of biodegradable municipal waste Kenny Lang; Jenna Mccrum R&N/22-23/F&W/04 Produce a business case for the development of a waste transfer station within Council’s boundary Kenny Lang; Jenna Mccrum R&N/22-23/R&T/12 Develop an action plan for depot rationalization Liam Greene R&N/22-23/R&T/13 Review winter gritting programme and implement a more effective service provision Liam Greene Page 291
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SR 10 Failure to maintain Housing Stock The risk that Council’s Housing Stock are not fully fit for purpose with consequent adverse impact on our ability to deliver efficient and effective housing for Council tenants. Current Risk Matrix Last Review Date Current Rating Target Risk Matrix Target Date Target Rating Assigned To 05-Oct- 2022 4 31-Mar-2027 4 Alan Young Potential Effect - Housing stock is not utilised in the most effective and efficient manner - Service cannot be properly delivered to the satisfaction of service users -Increase in reactive maintenance costs/ demand/ volume -Housing stock in poor condition -Housing stock fail to meet relevant standards - Non-compliance with Scottish Housing Quality Standard Measures of Impact - Condition surveys - Suitability surveys - Customer perceptions of service delivery - Investment levels in upkeep and improvement of housing stock -User satisfaction -Operating costs and savings - Local Government Benchmarking Framework (LGBF) Risk Factors - Adequacy of funding available to improve housing stock - Adequacy of staff resources allocated to the management of housing stock - Housing stock deemed to be unfit for existing purpose -Increasing issues relating to supply of labour and materials, due to increased energy, transport and raw material costs, impacted on supply chains, and third parties and our ability to carry out works within budget and on time. Internal Controls - Housing Capital Investment Programme (refreshed and delivered annually) - Housing Capital Improvements - WDC Local Housing Strategy 2021-25 - The Housing Capital Investment Team - The Planned Maintenance Section - Housing Asset Management Strategy - Detailed asset database that shows relevant information on a property by property basis in relation to HRA properties. - More Homes Better Home Project Board. - Telephone Survey feedback - Fit for future reviews -Other benchmarking/ feedback - Climate Change Strategy Latest Note Full programme of of maintenance and upgrade in place, with regular monitoring and reporting Risk Opportunity -Enhance reputation of Council by being able to improve Council housing stock -Estate, assets and service delivery (housing investment programme ) -Improved satisfaction from tenants - The effect of these energy efficiencies has demonstrated that significant savings and environmental benefit can be achieved through the utilisation of developing technology. -Improvement of SHQS & EESSH compliance performance and points, and reduced SHQS abeyance numbers through the strategic planning and management of housing assets. - Increase in environmental improvements including bin stores - Increase in internal (e.g kitchens, bathrooms, showers, special needs adaptations, central heating, smoke detectors, windows and doors) and external updates (e.g new roof coverings, external insulated render and tenement structural refurbishments) - Increase in number of New Build Homes as part of the Strategic Housing Investment Programme (SHIP) -Achieve energy efficiency standard for social housing Linked Actions Code & Title Progress Status Assigned To SD&P/22-23/HAI/10 Ensure the Council’s Housing stock maintains compliance with the Scottish Housing Quality Standard and reduce the number of properties held in abeyance. Alan Young SD&P/22-23/HAI/11 Deliver the HRA Capital Investment programme for 2022/23 Alan Young Page 292
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SD&P/22-23/HAI/12 Ensure the Council’s Housing stock progresses towards the achievement of the energy efficiency standard for social housing. Alan Young SR 11 Inability to reduce carbon footprint in line with targets The risk that the Council will be unable to achieve net zero emissions by 2045, both in relation to mitigating carbon emissions and adapting to the impacts of climate change. Net zero refers to achieving an overall balance between emissions produced and emissions taken out of the atmosphere. This target has been developed in a way that mirrors the emission reduction trajectory set by the Scottish Government in light of the Climate Emergency. Current Risk Matrix Last Review Date Current Rating Target Risk Matrix Target Date Target Rating Assigned To 05-Oct- 2022 4 31-Mar-2027 2 Adam Armour - Florence Potential Effect . Failure to meet mandatory national and international policy drivers Failure to meet duties placed on Council by The Climate Change (Scotland) Act 2009 . Failure to meet duties placed on Council by The Climate Change (Emissions Reduction Targets) (Scotland) Act 2019 . Failure to meet duties placed on the Council by The Heat Networks (Scotland) Act 2021 and Local Heat and Energy Efficiency Strategies (Scotland) Order 2022. . Failure to meet the provisions set out in Waste (Scotland) Regulations 2012 which help Scotland move toward the objectives and targets set out in the Scotland’s Zero Waste Plan to help transition toward a circular economy. . Reputational damage. . Financial burden of responding to adverse events such as extreme weather (including, but not limited to, flooding, heat waves, wind driven storm events, etc.) resulting in action. Impacts to Council operations and supply chains as a result of adverse climate/extreme weather events. This also impacts residents, local businesses and wider infrastructure across West Dunbartonshire. Measures of Impact . Improving organisational resilience against the impacts of climate change. . Improving local biodiversity through planting of native trees and bulbs in WDC . WDC Waste Services Citizens Panel Survey regarding attitudes towards recycling improving . The extension of the Queens Quay District Heating Network to NHS Golden Jubilee Hospital, Social Housing, NHS Health Centre, Council buildings and further connections as per scope. . Inspiring change through including climate change in staff induction, training, team meetings, etc. . Uptake in e-learning modules on climate change. . Uptake in staff carrying out Sustainable Procurement assessments for tenders. . Ensuring climate change and sustainability metrics are included in tenders for suppliers/contractors/etc. (such as carbon reduction measures) so they are being measured for accountability for the impacts they have on the environment . Management setting climate change targets. . The uptake of Green Champion roles, which help normalise Climate Change and Sustainability, practices across the Council. Uptake in sustainable travel such as walking cycling and public transport Risk Factors . Funding availability – delivery of actions to mitigate will require resources, capital works and investment by the Council- e.g enhanced energy measures, and heating and renewables projects in both domestic and non-domestic building assets . Funding approach – a combination of internal and external funding sources will be need to delivery climate action at scale. Short term funding mechanisms such as annual payback of Council expenditure presents difficulties for delivering long term projects. Climate Change investments also need to take account of whole-life costs including reduced maintenance costs and avoided Adaptation costs. . Internal capacity – limited staff time and availability, largely due to reduced Council budgets, further impacted by Covid19. . Communication – both internally (to avoid ‘silo’ working) and externally (engaging with the public and keeping abreast of local/national/international changes to policy). . Economics – some technologies, materials and skills are still very expensive so innovation must progress to enhance the viability of climate actions within the context of the Council’s budget constraints. . Strategy and planning – all existing and future Council plans should place responding to the climate emergency at their core and ensure integration with other Council services. . Legislation & Regulatory – the ability to implement some climate actions is constrained at the local level by minimum standards and other restrictions set through legislation and national policy, for example in relation to building regulations, planning and procurement. . Public attitudes and behaviours - Changing behaviour of residents, businesses and stakeholders positively and proactively, especially where there are cost implications to the delivery of climate actions. Page 293
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Internal Controls . Climate Change Strategy and Action Plan 2021-2026 . Climate Change Action Group (CCAG) . Pentana Risk Management System – devolved responsibilities of climate change actions/milestones/KPI’s to service areas. . Scottish Government – Mandatory annual Climate Change Duties Reporting . Queens Quay District Heating Network . Strategic Environment Assessment (SEA) . Air quality monitoring . Converting some Council pool fleet to Electric Vehicles (EVs). . Climate Ready Clyde (CRC) – a cross-sector initiative funded by fifteen member organisations and supported by the SG. Delivery of a Locale Heat & Energy Efficiency Strategy (LHEES) and delivery plan by December 2023 – which sets out the Council’s area-based approach to reducing emissions of heating and energy efficiency improvements to ALL assets across WD. This includes private housing, businesses, etc. which are not owned/operated by WDC. Latest Note The Council’s carbon footprint for 2021-22 is 24,022 tonnes of CO2e (against a target of 22,803). This means that we have increased our carbon emissions by 1.2% against the previous financial year. The reasons for the Council not reducing carbon emissions by 3.5% against the previous financial year are noted below. Challenges New Carbon Reduction Targets - Stricter carbon reduction targets set by the Climate Change Strategy mean that annual reductions will be more challenging to achieve net zero by 2045. However, it should be expected that there will be peaks and troughs (fluctuations) on our carbon reduction journey towards 2045. COVID 19 Pandemic - The pandemic had an unprecedented impact on our Council operations and residents. More staff work remotely and as a result we have had to add carbon emissions from homeworking to the Council’s overall carbon footprint. Emissions relating to energy, waste and travel have also increased because, like the whole world, West Dunbartonshire is ‘bouncing back’ from the pandemic. Waste Streams – Waste and Recycling make up almost 52% of the Council’s carbon footprint. Waste levels, particularly from residents, have been increasing since 2012-13, with the highest recorded emissions occurring in 2021-22. Since waste is the largest proportion of Council emissions, improvements to emissions from other sources do not have as much of an impact on our carbon footprint. Heating – Heating makes up about 20% of the Council’s carbon footprint. Whilst carbon emissions for heating have decreased slightly, the benefits of our energy efficiency interventions have been impacted by ventilation requirements in schools as a result of the pandemic. Heating will work harder and go on for longer as a result of windows and doors having to be open across all of our schools. Risk Opportunity .Our local environment is protected, enhanced and valued resulting in: - Our public spaces are attractive and welcoming - Our residents feels pride in their local neighbourhood - The percentage of household waste sent for reuse, recycling and composting has increased resulting in reduction in the percentage that was being landfilled. - The percentage of council land which promotes diversity of habitat and species has increased .Our resources are used in an environmentally sustainable way - Increase in the percentage of businesses taking action to reduce their carbon impact - Reduction in CO2 emissions under the Council’s influence - Reduction in West Dunbartonshire Area-Wide emissions as per requirements of the climate change (Scotland) act - Residents actively involved in tackling climate change and protecting the environment - The economy and infrastructure become more low carbon and environmentally-friendly . Our neighbourhoods are sustainable and attractive - Increased investment in our housing stock including improving energy efficiency - Housing developments are meeting the needs of our changing population - The quality of neighbourhoods has improved - Our roads and transport network are maintained and they promote safe travel routes Linked Actions Code & Title Progress Status Assigned To REG&R/22-23/011 Co-ordinate, monitor and report the progress of the Council’s Climate Change Action Plan for 2022/23 Adam Armour - Florence Risk Status Alert Page 294
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High Risk Warning OK Unknown Page 295
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WEST DUNBARTONSHIRE COUNCIL Report by Chief Officer – People & Technology Corporate Services Committee : 2 November 2022 ___________________________________________________________________ Subject: The Public Interest Disclosure Policy amendments and additions 1.0 Purpose 1.1 To provide an update to Committee on amendments made to The Public Interest Disclosure Policy. 2.0 Recommendations 2.1 The Committee is asked to: (1) Note the contents of the report, and (2) Agree the revisions to the policy. 3.0 Background 3.1 A review of the current policy was undertaken as a result of recommendations made following an investigation carried out by Internal Audit into a Public Interest Disclosure concern. The policy was reviewed to ensure it remains fit for purpose, provides a clear and legally compliant framework and facilitates the reporting of an employee’s concern about a danger, illegality or malpractice that has a public interest aspect to it; usually because it threatens others such as the local community, service users or other employees. 3.2 The relevant legislation that was considered in reviewing the policy is The Employment Rights Act 1996, Part IVA (Protected Disclosures) and section 103A; the Public Interest Disclosure Act 1998; the Enterprise and Regulatory Reform Act 2013, sections 17 and 18; GDPR Regulations and the Data Protection Act 2018. 4.0 Main Issues 4.1 The changes are set out in summary below: 4.1.1 Section 8.2 of the Procedure has been changed as new protocols have been introduced to further ensure the confidentiality of Public Interest Disclosure emails and attachments sent to Chief Officers/Chief Executive. Emails sent directly from the Public Interest Disclosure Inbox will be marked as Private to ensure they are visible to the recipient only and not accessible to Leadership Support Personal Assistants. A further failsafe has been introduced, namely ITEM 19 Page 297
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that Leadership Support Personal Assistants are instructed to not open Public Interest Disclosure emails. 4.1.2 Some minor changes have also been made to update job titles and contact details. 4.2 Once approved, the new protocols will be communicated to all Chief Officers, the Chief Executive and Leadership Support team members in the usual manner. The changes will also be communicated to the workforce through the intranet, Trickle and information cascades through managers. The Trade Unions have already been made aware of the changes. 5.0 People Implications 5.1 The revised policy ensures that the framework to report and investigate disclosures made in the public interest is clear, robust and compliant with legislative changes. A transparent process will support a culture where employees feel able to make a public interest disclosure without fear of sanction and in line with legislation, their confidentiality will be maintained. The revised policy will be communicated to employees via the usual mechanisms and will be available on the Intranet. 6.0 Financial and Procurement Implications 6.1 There are no financial or procurement implications associated with this report. An opportunity to address any malpractice or wrongdoing at an early stage could mitigate the extent of financial losses to the Council. 7.0 Risk Analysis 7.1 A robust internal procedure is required to minimise the risk of external disclosures and damage to the Council’s reputation and to ensure risks are identified early and addressed to minimise any service disruption or financial costs. 8.0 Equalities Impact Assessment (EIA) 8.1 An Equality Impact Assessment has been carried out and is provided as an attachment to this report. The policy promotes equality of opportunity across all equality strands and protected characteristics and encourages employees to report any potential unlawful practice which would include any breach of the Equality Act 2010. 9.0 Consultation 9.1 A number of key stakeholders were consulted during the development of the new policy. This included HR, Internal Audit; Legal; and the Trades Unions. 9.2 The revised draft of The Public Interest Disclosure Policy was submitted to the Trades Unions by email on 13th September 2022 for comment by 30th Page 298
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September 2022. As at 6th October agreement had been confirmed by all Teaching and SJC Unions. 10.0 Strategic Assessment 10.1 The Public Interest Disclosure Policy contributes to Council’s strategic priorities by ensuring that early warnings of malpractice may mitigate the extent of financial losses to the Council, contributes to better asset management by utilising employees to manage risks to the organisation’s reputation and supports fit for purpose services through the continuation and promotion of robust employment practice. Victoria Rogers Chief Officer – People and Technology Date: 7 October 2022 Person to Contact: Tara Spooner HR Advisor, Church Street, Dumbarton Tel: 01389 737402 Email: Tara.Spooner@west-dunbarton.gov.uk Appendices: Appendix 1 –Public Interest Disclosure Policy Background Papers: EIA Wards Affected: None End of Document Page 299
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HR Employment Policy & Procedures Public Interest Disclosure Policy Review Date: July 2022 Appendix 1 Page 301
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Document Management - Version Control Policy Title & Reference Public Interest Disclosure Policy HRP/00 Version Number & Date 3.0 July 2022 Title, Version Number & Date of Superseded Version (if applicable) Public Interest Disclosure Policy 2.0 Rationale for introduction/Driver for change Updated to incorporate recommendations made by Internal Audit following an investigation Summary of Substantive Changes (if applicable) Section 8.2 of the Procedure has been changed as new protocols have been introduced to further ensure the confidentiality of Public Interest Disclosure emails and attachments sent to Chief Officers/Chief Executive. Emails sent will be marked as Private to ensure they are visible to the recipient only and not accessible to Leadership Support Personal Assistants. A further failsafe has been introduced, namely that Leadership Support Personal Assistants are instructed to not open Public Interest Disclosure emails. Summary of Technical Changes (if applicable) Lead Officer Tara Spooner, HR Adviser Final Trades Union Position The policy was agreed on Consultation & Approval Process Committee/Forum Date Trades Union Convenors 13/9/22 Page 302
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JCF (if applicable) C. S. Committee (if applicable) 2 November 2022 Accompanying Documentation (incl. EIA) Online forms: Record of Concern: https://intranet.west-dunbarton.gov.uk/people- technology/hr-online/core-employment- policies/making-a-disclosure-in-the-public- interest/ Linked Policy, Schemes and Procedures Code of Conduct https://intranet.west- dunbarton.gov.uk/media/15259/code-of-conduct- version-44.pdf Grievance Policy and Procedure https://intranet.west- dunbarton.gov.uk/media/15403/grievance-policy- 44-february-2020.pdf Page 303
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Contents Section Title Page Number Public Interest Disclosure Policy 5 – 8 1 Introduction 5 2 Scope 5 3 Error! Reference source not found. 5 4 Error! Reference source not found. 6 5 Legislative Context 6 6 Application of Policy 6 7 Roles and Responsibilities 7 8 Review and Monitoring 8 Public Interest Disclosure Procedure 9 - 13 1 Introduction 9 2 Protection 9 3 Reporting a Concern 9 4 Handling Concerns 11 5 Outcome of Investigation 12 6 7 8 9 10 Feedback Deliberately False or Malicious Allegations Confidentiality Anonymous Allegations Record Keeping 12 12 13 13 13 Appendices 14 - 16 1 Record of Concern 14 2 Internal Audit Contact Details 16 Page 304
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1. Introduction 1.1 The Council is committed to the highest possible standards of delivery of services and for full accountability for those services. In line with this commitment, employees are encouraged to come forward and raise any serious concerns they may have about malpractice or wrongdoing within the Council, as early as possible, to enable us to deal with risks appropriately. 1.2 This policy has been developed to promote, encourage and support employees to make disclosures in the public interest. The supporting procedures outline how to raise concerns, how we will handle concerns and the protection rights for employees. Protection is guaranteed for an employee who raises a reasonable and honest suspicion about a possible fraud, danger or other serious risk that threatens customers, colleagues, the public or the Council’s own reputation. 2. Scope 2.1 This policy applies to all employees of West Dunbartonshire Council including, Local Government Employees, Quasi-Craft Workers, Teaching Staff and Chief Officers. 2.2 Concerns relating to a dispute about the employee’s own employment position, with no additional public interest dimension, are out-with the scope of this policy and fall under the remit of the relevant Grievance or Discipline policies. 3.0 Definitions 3.1 A disclosure in the public interest is where an employee has a concern about a danger, illegality or malpractice that has a public interest aspect to it; usually because it threatens others such as the local community, service users or other employees. 3.2 A qualifying disclosure is a concern about one or more of the following: • Criminal offences (such as fraud or corruption); • A failure to comply with a legal obligation including statutory code of practice; • A miscarriage of justice; • Threats to an individual’s health and safety; • Damage to the environment; and/or • A deliberate attempt to cover up any of the above. Page 305
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3.3 Where a concern is raised through this policy but is not deemed a disclosure in the public interest, employees will be referred to the most relevant policy to raise their concern. 4. Key Principles 4.1 This Policy aims to:- • Create a culture of openness to encourage employees to raise concerns as early as possible to enable appropriate action to be taken. • Provide a clear framework for raising concerns and feedback on any action taken. • Reassure employees that they will be protected from possible reprisals or victimisation when a disclosure is made under the Policy. 5. Legislative Context 5.1 The legislative context of the policy is Part IVA (Protected Disclosures) and section 103A of the Employment Rights Act 1996, as amended by the Public Interest Disclosure Act 1998 and the Enterprise and Regulatory Reform Act 2013 (“the legislation”). The legislation seeks to protect individuals who make certain disclosures of information in the public interest. Such qualifying disclosures that are in the public interest and meet the legal test will be protected in law. The Act also provides a right for individuals to bring action in respect of victimisation related to such qualifying disclosures. 5.2 All data recorded under this policy will be held in compliance with GDPR Regulations and the Data Protection Act 2018. 6. Application of Policy and Procedures 6.1 To support the application of this policy, separate procedures have been developed. The procedure outlines four routes for employees to make disclosures in the public interest. The four routes are listed below and detail on how to report a concern are outlined in Section 3 of the Procedures: Route 1 - Disclosure made to Line Manager Route 2 - Disclosure made to Line Manager’s Manager or other appropriate Senior Manager Route 3 - Disclosure made to Internal Audit Route 4 - Disclosure made to External Regulating Body Page 306
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7. Roles and Responsibilities 7.1 Council • Creating a culture of openness to encourage employees to raise concerns as early as possible. • Ensuring that appropriate mechanisms are in place for employees to report wrongdoing or malpractice and for such reports to be investigated accordingly. • Protecting employees making a disclosure in the public interest in line with the legislation. • Ensuring Internal Audit is advised of the Disclosure in the Public Interest. 7.2 Management • Maintaining knowledge of the ‘Public Interest Disclosure Policy’. • Carrying out a prompt investigation of any disclosures made in the public interest. • Supporting employees making a disclosure in the public interest in line with the legislation. 7.3 Employees • Maintaining knowledge of the ‘Public Interest Disclosure Policy’. • Raising qualifying disclosures as soon as possible in line with procedure to enable management to carry out any required investigation. • Participating in any resulting investigation. Internal Audit • Carrying out prompt investigation of any disclosures made in the public interest. • Supporting employees making a disclosure in the public interest in line with the legislation. 7.4 Human Resources • Providing guidance, advice and support where necessary. • Carrying out the review of the Policy and Procedure. 7.5 Trades Unions • Providing guidance and support to employees. • Accompanying employees to investigatory interviews as required. Page 307
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8. Reviewing and Monitoring 8.1 The policy will be reviewed in accordance with new or amended legislation as required. Responsibility for policy review, informing, negotiating and/or consulting with Trade Unions and reporting to the appropriate Committee rests with the Chief Officer, People and Technology. 8.2 All concerns raised under the policy will be reported to Internal Audit who will maintain a central record and report complaints in summary form to the Audit Committee. Page 308
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Procedures 1. Introduction 1.1 These procedures have been developed to support the Public Interest Disclosure Policy and outline how an employee can raise a concern, the steps that will be taken when a concern has been raised, providing feedback, confidential reporting and record-keeping. 2. Protection 2.1 Employees making a disclosure in the public interest will be protected against being subjected to any detriment such as dismissal, harassment, victimisation or any other form of punitive sanction when a protected disclosure is made. 2.2 For an employee’s disclosure to be protected by law they must: • Disclose information and not simply make unsupported allegations • Reasonably believe the information is in the public interest and substantially true • Reasonably believe it shows one of the categories of qualifying disclosure, as referred to at 3.2 of the Policy. 2.3 If an employee is victimised or treated unfavourably due to making a disclosure in the public interest, this will be a disciplinary matter and will be referred to the appropriate disciplinary policy. 3. Reporting a Concern 3.1 Employees should report any concerns as soon as possible using the appropriate reporting route. An employee is not expected to carry out any personal investigations to gather evidence, however they must disclose facts/information (as referred to at 2.2 and 3.4 of this Procedure) to allow the matter to be properly considered. 3.2 Any contact with the press must be made through the Chief Officers People and Technology and Citizen, Culture and Facilities (CCF) and take account of the Council’s Code of Conduct. Any disclosures to the press or any other person not authorised by the Council, or protected by the Public Interest Disclosure Act, are prohibited and may result in disciplinary action. REPORTING ROUTES Route 1 – Line Manager Page 309
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3.3 Employees should initially raise any concerns with their direct line manager. Concerns can be raised verbally or in writing. 3.4 An employee should provide as much information about the matter including: nature of concern; any relevant background information; the person/people involved, where they work, dates and times; names and jobs of other people who may or may not support the concern. 3.5 The Manager hearing the concern will take a record of the details. A template for recording concerns is available at appendix A. Route 2 – Line Manager’s Manager or other appropriate Senior Manager 3.6 When an employee does not feel confident about raising a concern with their line Manager, or they suspect the concern implicates the line Manager in some way, the concern can be raised at a more senior level. 3.7 The Manager dealing with the concern will take a record of the details for recording purposes. A template for recording concerns is available at appendix A. Route 3 – Internal Audit 3.8 The Council understands that employees may wish to raise a concern outside of line management or receive independent advice on concerns they may have before reporting this to their Manager. Employees can raise a concern through Internal Audit or by contacting the following number for confidential advice - 01389 737272 3.9 Concerns can be raised verbally or in writing to Internal Audit. Contact details for Internal Audit can be found in Appendix B and on the Intranet. 3.10 Employees are not required to complete any paperwork however; Internal Audit will take a record of the details for recording purposes. Route 4 – External 3.11 When an employee makes an internal disclosure in the public interest the relevant external bodies will be notified of any risks identified by the Council. While it is hoped that the Public Interest Disclosure Policy will encourage employees to raise concerns internally, the Council accepts that there may be occasions when an employee may decide that it is not appropriate to raise concerns internally. In this case the employee may contact the appropriate external body (e.g. Police, HSE, registered statutory body) in line with the Code of Conduct. 4.0 Handling Concerns Page 310
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4.1 When a concern has been raised an assessment will be made of the action to be taken. This may involve an internal query or a more formal investigation. 4.2 Before an investigation is carried out the line Manager or Internal Audit will consider whether the concerns should be treated as a disclosure in the public interest e.g. something a regulator would consider to be of public interest. This will include considering the following factors: • An employee making a disclosure in the public interest is best viewed as a witness who is putting the organisation on notice of the risk rather than as a complainant seeking to dictate to the organisation how it responds. • A disclosure in the public interest is an aspect of good citizenship in that the employee is speaking up for, and on behalf of, others to draw this malpractice or wrongdoing to the attention of the Council. 4.3 If the concerns do not meet these factors, the employee will be directed to the most relevant policy to take their concerns forward. 4.4 Management or Internal Audit will consider the information in the context of what they know about the particular area or activity and the information the employee provides. From that, and on the assumption that the information is well-founded, the Manager or Internal Audit should assess: • how serious and urgent the risk is; • whether the concern can best be dealt with under the Public Interest Disclosure policy or some other procedure; and whether the assistance of, or referral to, a Chief Officer or a specialist function will be desirable or necessary. 4.5 If the information can simply be followed up during a routine audit, or if it could just as easily have come from a customer complaint, then there will often be practical advantages for all concerned if the organisation addresses the matter on that basis and does not build its response around the employee’s evidence. If this appears a realistic way forward, the employee that reported the concern should be informed, where they have provided their details. 4.6 If appropriate, the Manager or Internal Audit will conduct an investigation into the concerns and produce a report detailing their findings to be passed to the appropriate departmental Senior Officer. Investigations will be carried out following the Council’s standard guidelines on conducting an investigation. Page 311
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4.7 Where Internal Audit finds cause for further action following an initial investigation, this will be passed to the relevant Chief Officer to nominate an appropriate Manager to take forward. 4.8 Where specific inquiries need to be made in the area where the employee raising the concern works, the employee should be prepared to answer questions as part of the process. 5.0 Outcome of an Investigation 5.1 Following the investigation, if a disciplinary offence has been identified the complaint will then be dealt with under the relevant disciplinary policy. 5.2 If a serious issue has been identified, the Manager or Internal Audit will consider informing any external bodies (e.g. a regulator, a supervisory agency or the police) either to enlist their assistance or to reassure them that the matter is being addressed properly. 5.3 Following the investigation, if it is identified that there is no case to answer, no further action will be taken. 6. Feedback 6.1 When requested, the Council will provide relevant feedback to the employee who raised the concern. While the Council will provide as much feedback as it properly can, due to the legal obligations of confidentiality, feedback will not include the outcome of any disciplinary action taken against another employee or any information that may lead to a wider public disclosure. 6.2 Where feedback is limited, employees should be assured that, this does not reflect on the seriousness of the original concern. 6.3 In the event that no conclusion can be drawn from the concerns raised, and the employee did not act maliciously, the employee will be advised of the outcome of the investigation with any discrepancies between the initial report and the findings being highlighted. 7.0 Deliberately False or Malicious Allegations 7.1 An employee will not be penalised or subjected to any detriment for making a public interest disclosure. However, where a concern is not a public interest disclosure and it is considered that it was raised frivolously, maliciously, was vexatious or for personal gain, this will be a disciplinary matter. 8.0 Confidentiality Page 312
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8.1 Concerns raised will be treated in strict confidence and, when requested, an individual’s identity will normally be kept confidential. This ensures protection from reprisal in line with the provisions of the Public Interest Disclosure Act 1998. However in some circumstances it may not be possible to preserve the anonymity of the employee making the initial report. For example, if the matter is serious enough to be investigated in detail by Internal Audit or reported by the Council to an external agency such as the Health and Safety Executive or the Police. 8.2 In all cases, concerns directed to Chief Officers will be marked as Private and the subject header will read Strictly Confidential. Emails marked as such are set up so that only the recipient is able to access them. In the event that a Chief Officer’s Leadership Support Personal Assistant (PA) comes across a Public Interest Disclosure email, they are instructed to not open the email or any attachments. These established protocols in respect of highly sensitive emails and attachments addressed to Chief Officers, and the responsibilities of their Leadership Support Officers in relation to these, will apply. 9.0 Anonymous Allegations 9.1 To assist in the effective investigation of any disclosures made under this policy the Council strongly encourages employees to reveal their identity. 9.2 If an employee chooses to make an anonymous disclosure, the Council will not be able to provide any feedback to the individual and the Manager or Internal Audit will have to consider the seriousness of the issue, the credibility of the concern and the likelihood of being able to confirm the allegation, in other ways. 10.0 Record Keeping 10.1 A central record of all complaints raised under this policy will be maintained. This will include complaints reported via the confidential helpline or via a Manager. The record will show details of the complaint, action taken and outcome. 10.2 Where, following an investigation, no further action is required all documentation will be destroyed. 10.3 Following the investigation, if a disciplinary offence has been identified the complaint will then be dealt with under the relevant disciplinary policy and records held in compliance with that policy. Page 313
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Private and Confidential Disclosure in the Public Interest Record of Concern Employee Name Employee Reference Number Job Title Department Phone Number Details of concerns Raised Date concern raised Confidentiality Requested Yes No Response Supporting Evidence Investigation Approved Employee directed to relevant policy to raise concern No further Action required Line Manager’s Signature Date Employee’s Signature Date Appendix 1 Page 314
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Appendix 2 Internal Audit Contact Details E-mail publicinterestdisclosure@west- dunbarton.gov.uk Post Public Interest Disclosure West Dunbartonshire Council 16 Church Street Dumbarton Intranet/Internet An online form is available on the Intranet and Internet. Public Interest Disclosure hotline 01389 737272 End of Document Page 315