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Partnership and Resources Policy Development and Scrutiny Panel
West Lothian Civic Centre Howden South Road LIVINGSTON EH54 6FF
28 March 2019
A meeting of the Partnership and Resources Policy Development and Scrutiny Panel of West Lothian Council will be held within the Council Chambers, West Lothian Civic Centre on Friday 5 April 2019 at 9:30am.
For Chief Executive
BUSINESS
Public Session
1. Apologies for Absence
2. Declarations of Interest - Members should declare any financial and non- financial interests they have in the items of business for consideration at the meeting, identifying the relevant agenda item and the nature of their interest
3. Order of Business, including notice of urgent business and declarations of interest in any urgent business
4. Confirm Draft Minutes of Meeting of Partnership and Resources Policy Development and Scrutiny Panel held on Friday 01 February 2019 (herewith)
5. West Lothian Development Trust Annual Report - Report by Depute Chief Executive (Education, Planning, Economic Development and Regeneration Services) (herewith)
6. Policy on the Misuse of Alcohol, Drugs and other Substances (Draft) - Report by Head of Corporate Services (herewith)
7. Equality Mainstreaming and Equality Outcomes Progress Report - Report by Head of Corporate Services (herewith)
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8. ICT Asset Management Plan (2019/20 to 2017/18) - Report by Head of Corporate Services (herewith)
9. Lothian Valuation Joint Board - Report by Chief Executive (herewith)
10. Workplan (herewith)
11. Partnership & Resources PDSP Timetable of Meetings 2019/20 (herewith)
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NOTE For further information please contact Val Johnston, Tel No.01506 281604 or email [email protected]
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MINUTE of MEETING of the PARTNERSHIP AND RESOURCES POLICY DEVELOPMENT AND SCRUTINY PANEL held within COUNCIL CHAMBERS, WEST LOTHIAN CIVIC CENTRE, on 1 FEBRUARY 2019.
Present – Councillors Lawrence Fitzpatrick (Chair), Kirsteen Sullivan, Frank Anderson (substituting for Peter Johnston), Tom Kerr (substituting for Chris Horne), Dave King, George Paul and Damian Timson
Apologies – Councillors Chris Horne and Peter Johnston
1. DECLARATIONS OF INTEREST
Agenda Item 13 (Proposed Car Park Charging) – Councillor Tom Kerr declared an interest in that he was a council appointed member of Linlithgow BID who had recently discussed the contents of the report.
2. MINUTE
The Panel approved the Minute of its meeting held on 7 December 2017. The Minute was thereafter signed by the Chair.
3. QUARTERLY PERFORMANCE REPORT - QUARTER 3 OF 2018/19
The Panel considered a report (copies of which had been circulated) by the Depute Chief Executive examining the current levels of performance for all indicators that supported the council’s Corporate Plan and were the responsibility of the Partnership and Resources Policy Development and Scrutiny Panel.
Of the 64 performance indicators, 41 were categorised as green, 8 were amber, 10 were red and 5 were unknown. The Panel noted that in the appendix to the report an explanation was provided for each indicator.
The report also provided a summary of those indicators that were categorised as red and those that were not categorised.
The Panel was asked to note the performance information and determine if further action or enquiry was necessary for any of the performance indicators.
Decision
To note the terms of the report
4. SICKNESS ABSENCE (1 APRIL 2018 - 31 DECEMBER 2018)
The Panel considered a report (copies of which had been circulated) by the Head of Corporate Services providing sickness rates for the 9 month period from 1 April 2018 to 31 December 2018 together with a brief commentary on the application of the new Policy and Procedure on
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Supporting Attendance at Work which came into effect from 1 September 2018.
The sickness absence Standard Performance Indicator (SPI) for the full council for the period 1 April 2018 to 31 December 2018 was set out at Appendix 1 to the report, together with the SPI performance indicators for the full years (2015/16, and 2016/17 and 2017/18).
The sickness absence SPI for each service area (teachers and non- teachers were shown separately) for the period 1 April 2018 to 31 December 2018 was set out in Appendix 2. Of the seven council service areas, four reported sickness absence rates above the council target of 3.6% these being; Housing, Customer & Building Services, Operational Services, Planning & Economic Development and Social Policy.
The report went on to provide details of Long-Term Absence/Continuous Absence and Disregarded Absences. It also provided an analysis of categories of Absence, highlighting that the most common reason for long term absence across the council fell within the category of Mental and Behavioural.
The Head of Corporate Services advised that the absence management team within HR Services had continued to work closely with managers across the council, providing advice and guidance on the monitoring and management of sickness. Table 1 in the report showed the number of employees at each stage of the Policy and Procedure as at 31 December 2018 compared to the previously reported positions and Table 2 in the report showed a breakdown of live cases as at 30 September 2018.
The report also provided commentary on other support initiatives that the council had in place including the Occupational Health Contract, which was currently out to tender, the HR Adviser input to Management meetings, the Employee Assistance Programme and Employee Wellbeing.
The Head of Corporate Services also provided the Panel with an update on the Supporting Attendance at Work Policy which had come into effect on 1 September 2018. It was noted that since its introduction, 53 requests for management discretion had been discussed with HR, 42 (79%) of which had resulted in discretion being applied to suspend application of the trigger level for a limited period taking into account the circumstances of the individual case.
The Panel was asked to note the content of the report
The Panel requested that for future sickness reports further detail be included on those absences that fell within the category “Mental and Behavioural”.
Decision
1. To note the contents of the report; and
2. To request that future sickness absence monitoring reports include
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further details on those absences that fell within the category “Mental and Wellbeing”.
5. CORPORATE PROCUREMENT STRATEGY 2019/20 TO 2022/23
The Panel considered a report (copies of which had been circulated) by the Head of Corporate Services presenting the Corporate Procurement Strategy 2019/20 to 2022/23, a copy of which was attached to the report.
The Head of Corporate Services explained that the Corporate Procurement Strategy 2019/20 to 2022/23 had been developed to support the delivery of the priorities in the council’s Corporate Plan. The Strategy was intended to ensure that there was sound governance and a framework to help the council meet national and local obligations including targets defined by the Scottish Government.
The Strategy supported the council’s vision for procurement to achieve superior procurement performance through advanced sustainable procurement practices for the benefit of the council and its stakeholders.
The Corporate Procurement Strategy built upon previous strategies. There were five outcomes in the strategy and these were set out in the report under the headings of Contracts; Compliance; Accessibility; Community Benefits; and Sustainability. The Outcomes would also target an increased percentage of council suppliers paying the living wage however it was to be noted that the council was not authorised to enforce payment of the living wage by suppliers.
Key measures of the success for each outcome had been identified and these would be used to track, monitor and report on performance throughout the lifetime of the strategy. An annual review would be undertaken and reported to the council’s Corporate Management Team and to the Partnership and Resources Policy Development and Scrutiny Panel.
There were 31 actions that had been identified to support the delivery of the Corporate Procurement Strategy outcomes. Progress against these actions would be included in the monitoring arrangements for the strategy.
A discussion was then undertaken by the Panel members in relation to the detail contained in procurement reports that were submitted to Council Executive for approval. The Head of Corporate Services explained the process followed by officers in presenting these reports but confirmed that if members required more detail on all the bids received this could be included in future committee reports.
Additionally with regards to community benefits the Head of Corporate Services explained that on pages 24 and 25 of the strategy a commitment was provided for on the monitoring of community benefits and that officer's continued to engage with local companies.
It was recommended that the Panel consider and provide comment upon the content of the draft Corporate Procurement Strategy which was
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intended to be submitted to Council Executive for approval.
Decision
1. To note the contents of the report;
2. To agree that future procurement reports being presented to Council Executive for approval provide more detail on all the bids received; and
3. To agree that the report be presented to Council Executive for approval.
6. WELFARE REFORM: QUARTERLY UPDATE REPORT
The Panel considered a report (copies of which had been circulated) by the Head of Finance and Property Services advising of recent developments in and the continuing implications of, the ongoing programme of welfare changes.
The report recalled that major changes that had been introduced under the Welfare Reform Act 2012. The Act had also provided for major DWP- led reforms to the welfare system, most notably the introduction of Universal Credit to replace six current working age benefits/credits, which had gone live in West Lothian on 16 May 2018.
The Panel noted that the Scotland Act 2016 devolved certain aspects of welfare in Scotland to the Holyrood Parliament. Consultation had been undertaken and the Scottish Government had now announced draft timetables and arrangements to implement the devolved welfare powers over the course of the current Parliament. The Social Security (Scotland) Bill had been introduced in the Scottish Parliament on 20 June 2017 and received royal assent on 1 June 2018.
The report then went on to provide an overview of the following subject matters :- Discretionary Housing Payment Fund Scottish Welfare Fund Universal Credit Universal Support Provision The Scotland Act 2016 and Devolution of Welfare Social Security (Scotland) Act 2018 Further welfare changes
With regards to Universal Credit the Head of Finance and Property Services provided the Panel with an update following a recent announcement by the UK Government which would see some changes to the overall operation of Universal Credit.
The Head of Finance and Property Services concluded by advising that as further changes took effect, officers would assess the cumulative effects of these challenges in order to develop and shape work going
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forward.
Decision
To note the contents of the report
7. HORIZON SCAN
The Panel considered a joint report (copies of which had been circulated) by the Head of Finance and Property Services and the Head of Planning, Economic Development and Regeneration providing a summary of the latest UK economic indicators, including potential implications following the referendum vote to leave the EU and an update on the estimated revenue budget position facing the council as a result of ongoing unavoidable spending pressures and government funding constraints.
The report provided the Panel with a Horizon Scan for the UK covering areas such as the UK leaving the EU, debt and borrowing, economic growth, exports and inward investment, inflation, interest rates unemployment and house prices. A similar horizon scan was also provided for in the report specifically relating to Scotland and to West Lothian Council.
With regards to budget planning the revenue budget for 2018/19 to 2022/23 was approved by Council on 13 February 2018. The approved financial plan included a budget gap of £65.3 million over the five years to 2022/23, with approved savings of £60 million. Officers would continue to monitor announcements and other information to review and refine budget assumptions.
The Head of Finance and Property Services continued to explain that the nature of forecasting meant that it was challenging to identify with any certainty expenditure pressures and income. Therefore in general the following risks and uncertainties would be monitored :-
Economic growth being less than forecast, resulting in further public spending reduction;
Funding not provided to fully cover costs of introducing new legislation;
Policy changes by the UK or Scottish Government which restricted the council’s flexibility to decide how to deliver services locally;
Ring fencing of grant funding, constraining how local authorities allocated resources; and
Changes to local government remits with uncertainty for service provision and funding.
The report concluded that the report provided a high level overview of the latest economic indicators and other announcements likely to have an impact on the council and that based on forecasts and commentary the
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outlook would suggest that in the short, medium and long term public finances would continue to be constrained.
It was recommended that the Panel :-
1. Notes the results of the horizon scan for the UK, Scotland and West Lothian;
2. Notes the horizon scan for West Lothian Council;
3. Notes that officers were currently updating the council’s budget model for 2019/20 to 2022/23;
4. Notes that the constraints in funding and expenditure pressures would lead to an increased budget gap for 2019/20 to 2022/23; and
5. Notes the risks and uncertainties in relation to the council’s budget model.
Decision
To note the content of the report
8. AFFORDABLE CREDIT UPDATE
The Panel considered a report (copies of which had been circulated) by the Head of Finance and Property Services providing an update on the first year of trading by Conduit Scotland and the two local credit unions, Blackburn, Seafield and District Credit Union and West Lothian Credit Union.
The Panel were advised that the Financial Conduct Authority (FCA) along with economists and policymakers had voiced increased concern about household debt and that financial exclusion from mainstream sources of credit was an increasing problem for households that, in turn, had led to many seeking alternative high cost lenders such as home collected credit, pawn shops and pay day lenders.
A CDFI (Community Development Finance Initiative) was a social enterprise which offered affordable loans and budgeting advice and supported people to engage with other financial services, such as savings with institutions like credit unions, income maximisation and debt management.
Falkirk, Fife and West Lothian Councils had formed a consortium to improve access to affordable loans through a preferred provider, Conduit Scotland. Conduit Scotland operated four shops across the three local authority areas with the West Lothian shop operating in Bathgate.
Conduit Scotland had commenced lending in August 2017 and had since lent £589,518 to 1,179 individuals. The average loan value was £500 and 55% of customers had previously used a high cost lender. In West Lothian, 362 loans totalling £177,679 were agreed.
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By working with Conduit customers had saved £281,404 compared to high cost loans. Importantly 9 out of 10 customers felt they had got the help they needed.
The report continued by providing an update in relation to West Lothian Credit Union and Blackburn, Seafield and District Credit Union in that they had received £66,920 of funding from West Lothian Council through time limited funding. This funding was to support the development of an online presence through new websites, mobile apps, online loan application and electronic signature processes.
Most of this work had either been completed or was progressing with roll out expected over the coming months. Jointly the two local credit unions had over 7,000 members with 654 new members in the last year. The credit unions had loaned £1.65m and had combined member savings of £4.17m. West Lothian Credit Union had also reported that 57% of members were accessing online, demonstrating that new technology in a short space of time had increased access, attracted new members and made it easier for members to get a loan.
The report concluded that Conduit Scotland had filled a gap within West Lothian for small amounts of credit to low income, vulnerable households whilst referring significant numbers onto further support.
The Panel was asked to note the contents of the report and in particular :-
1. £589,518 had been loaned to 1,179 financially excluded individuals through the CDFI;
2. The utilisation of new technology to support widening access to affordable credit; and
3. The valuable contribution Blackburn, Seafield and District Credit Union along with West Lothian Credit Union were making to improve financial inclusion options for low income families.
Decision
To note the contents of the report
9. DISCRETIONARY NON DOMESTIC RATES RELIEF SCHEME
The Panel considered a report (copies of which had been circulated) by the Head of Finance and Property Services advising of the criteria relating to the current Discretionary Non Domestic Rates Relief Scheme in relation to charitable organisations and those who were assisting in the delivery of the Anti-Poverty Strategy.
The Head of Finance and Property Services explained that West Lothian Council was responsible for the administration of Non Domestic Rates as the rating authority. Relief was available to ratepayers under both mandatory and discretionary schemes and the council was required to
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determine a scheme for discretionary relief.
The Local Government (Financial Provisions, etc) (Scotland) Act 1962 provided for discretionary rate relief to be given to :-
Registered Scottish charities where the ratepayer was entitled to 80% mandatory relief
Organisations not established or conducted for profit; and
Clubs or societies not established or conducted for profit
The current grant scheme was amended following the Council meeting on 20 November 2018 to provide relief from rates for Foodbanks. The current scheme was effective from 1 April 2018 and was set out in Appendix 1 attached to the report. A detailed list of organisations that currently received discretionary non domestic rates relief was set out in Appendix 2, also attached to the report.
The Head of Finance and Property Services continued to provide details of organisations that received either discretionary or mandatory rates relief of either 80% or 100% and included organisations such as West Lothian Credit Union, Open Door Accommodation Project and The Bridge Community Project.
It was proposed that the current scheme be amended from 1 April 2018 to provide a 20% discretionary relief top up to an 80% mandatory relief entitlement as a Scottish registered charity for :-
Organisations who were a Community Development Financial Institution (CDFI) registered with the Financial Conduct Authority (FCA) and whose charitable objects included the prevention of relief of financial hardship through the provision of affordable personal loans to financially excluded individuals; and
Citizens Advice Bureau West Lothian
The additional cost of just under £2,000 in 2018-19 could be met from the existing revenue budget.
The report concluded that the proposed amendment to the current discretionary non domestic rates relief scheme would allow the council to continue to assist those organisations previously targeted, as well as targeting other partners assisting in the delivery of the Anti-Poverty Strategy.
It was recommended that the Panel :-
1. Notes the on 20 November 2018 the Council resolved that officers bring a report to the Panel in relation to the criteria attached to the Discretionary Rates Relief Scheme in West Lothian and its application to charitable organisations in general and those assisting delivering the Anti-Poverty Strategy.
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2. Notes and considers the following recommendations which were intended to be submitted to the Council Executive on 26 February 2019
The current Discretionary Non Domestic Rates Relief Scheme is amended from 1 April 2018 to include :-
A 20% “top up” relief for those organisations registered as a Scottish charity and with the Financial Conduct Authority as a Community Development Financial Institution whose charitable objects included the prevention or relief of financial hardship through the provision of affordable personal loans to financially excluded individuals; and
A 20% “top up” relief for Citizens Advice Bureau
Decision
1. To note the contents of the report;
2. To agree that the report be presented to Council Executive for approval; and
3. To agree that the Head of Finance and Property Services confirm with Panel Members the position with regards to sports social clubs with a licence.
10. LOANS FUND REVIEW
The Panel considered a report (copies of which had been circulated) by the Head of Finance and Property Services advising of proposed actions following a review of the operation of the loans fund.
The Local Authority (Capital Finance and Accounting) (Scotland) Regulation 2016 came into force on 1 April 2016. The Regulations stipulated that local authorities must operate a loans fund, which was a way for councils to recognise the amount of capital expenditure that was being financed by borrowing each year and also the amount of this borrowing that was being repaid each year and charged to the revenue account.
The statutory purpose of the Loans Fund was summarised in the report and the 2016 guidance set out four options for the calculation of the repayment of loans fund advances and simplified the statutory process of the loans fund.
As reported to Partnership and Resources PDSP on 5 October 2018 and to full Council on 20 November 2018 officers had been investigating options to review the operation of the loans fund, including any potential opportunities for savings. Following the introduction of the new regulations, a review of both the General Fund and Housing Revenue Account loans fund advance repayments had been carried out. The
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review covered a number of areas and these were outlined in the report.
After reviewing and considering the options and recommendations resulting from the Loans Fund Review, officers were proposing a number of changes to the way that the statutory loans fund was currently operated and these were set out in the report.
As outlined in the 2016 guidance local authorities must, at the time of making a loans fund advance, determine the period over which the advance was to be repaid to the loans fund and the amount of repayment to be made to the loans fund in each financial year over the period. As a result of this part of the guidance a number of Scottish local authorities, including West Lothian, had been reviewing their historic debt repayments to assess whether the repayment methodology applied to historic loans fund advances was still the most prudent advice.
However it was to be noted that this part of the 2016 guidance had been subject to differing views and interpretations details of which were summarised in the report. As a result COSLA was raising the matter with the Scottish Government and Audit Scotland was also seeking an external legal opinion on its interpretation of the 2016 regulations. The Scottish Government has stated that it would issue further guidance once Audit Scotland had received its legal opinion. Once the position is clarified then a report would be brought back to a future meeting of the Panel on possible further recommendations
It was recommended that the Panel notes :-
1. The review of the operation of the loans fund;
2. The proposal to review the method of interest apportionment between the general fund and the Housing Revenue Account (HRA);
3. The proposal to adopt the asset life method for all loans fund advances from 1 April 2018;
4. The proposal to adopt a repayment period of 35 years for all loans fund advances from 1 April 2018;
5. The proposal to adopt a repayment interest rate of 5.5% for all loans fund advances from 1 April 2018;
6. The current position regarding the application of a re-profiling adjustment to loans fund repayments, and notes the intention of officers to provide further reports on this issue when the position was clarified; and
7. The intention to include these proposals in the treasury management report to Council in February 2019.
Decision
1. To note the contents of the report; and
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2. To agree that the subject matter was included on the workplan so an update report could be brought back to a future meeting of the Panel.
11. PROPOSED CAR PARK CHARGING
The Panel considered a report (copies of which had been circulated) by the Head of Finance and Property Services advising of the intention to progress a review of car parking controls in West Lothian.
The Head of Finance and Property Services explained that the council, as part of its Corporate Asset Management Strategy 2018/19 to 2027/28, aimed to manage its assets effectively and efficiently for the benefit of all West Lothian communities.
In relation to car parks, the aim was to maximise the benefits from these; to regulate and improve parking; to sustain and improve the condition and suitability of car parks; achieve costs savings on maintenance and non- domestic rates; and to generate income.
The report then outlined the context of the review that would be undertaken and would include consideration of: - in-house direct management, external management, decriminalised parking enforcement; and a lease agreement approach.
The development of a parking strategy would be progressed by officers from various relevant services to ensure that any proposals that came forward in the future were comprehensive and would seek to achieve corporate and service level objectives. Any previous consideration of parking and management approaches would be included in the review including decriminalised parking and regulated parking.
It was recommended that the Panel: :-
1. Notes that a wider review for the management of parking (both on and off street) would be progressed to ensure a comprehensive approach to parking controls in West Lothian; and
2. Notes the review would consider the various models for the delivery of parking controls.
Decision
1. To note the content of the report; and
2. To note the Labour Group’s position that the saving of £260,000 should be removed from the planned savings for 2019/20 and the Panel’s agreement that the wider review proposed by officers should proceed
12. THE KEEP SAFE INITIATIVE
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The Panel considered a report (copies of which had been circulated) by the Head of Finance and Property Services advising of proposals to establish “Keep Safe Places” at a range of council facilities across West Lothian.
The Keep Safe Initiative worked with a network of local businesses such as shops, libraries and cafes who had agreed to make their premises a “Keep Safe Place” where vulnerable members of the public could go if they felt frightened, stressed or were the victim of crime when out in the community. The initiative was supported by Police Scotland and the I Am Me Charity.
Members of the public wishing to use the initiative were issued with a contact card containing their details. Businesses taking place in the initiative were issued with a Keep Safe sticker to display in their premises window. The service was provided free of charge by the I Am Me Charity and training for staff in participating premises was provided free of charge by Police Scotland.
Council agreed on 22 January 2019 that officers should identify suitable council premises across the county that could potentially provide a Keep Safe Place for vulnerable members of the public.
It was considered that prominent public buildings in accessible locations would best serve the aims of the initiative and that council Partnership Centres would be particularly well suited for the role. Therefore it was proposed that the opportunity for establishing a Keep Safe Place at each partnership centre would be explored.
In considering this matter, officers had concluded that properties within the council’s school estate should be disregarded on safety and logistical grounds. Community Education Centres were also discounted on the basis that these were leased to and run by individual management committees with widely varying opening hours, facilities and staffing capacities.
Preliminary discussions had also been held with representatives from West Lothian Leisure, who had expressed a willingness to explore opportunities for establishing Keep Safe Places at suitable Xcite locations.
The report concluded that the Keep Safe initiative could make a significant difference to the lives of vulnerable members of the community in times of need and distress and that it was proposed that officers work with Police Scotland and I Am Me Charity to explore opportunities for establishing Keep Safe Places throughout West Lothian.
A further update on progress would be provided to the Panel in due course.
It was recommended that the Panel :-
1. Considers and notes the content of the report; and
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2. Notes that it was planned to present a further update to the Panel in due course.
Decision
1. To note the contents of the report;
2. To record a note of thanks to officers for the work done to date so soon after agreement by Council.
13. REVIEW OF DECISION-MAKING ARRANGEMENTS
The Panel considered a report (copies of which had been circulated) by the Governance Manager considering improvements that could be made to the council’s decision-making arrangements.
The report recalled that part of the council’s decision on the revenue budget on 13 February 2018 was “to review the economy, efficiency and effectiveness of its present decision-making arrangements and to report to the Partnership and Resources PDSP for consideration of possible changes”.
The Group Leaders and the independent councillor were consulted before the summer recess in 2018 on the council’s existing decision-making arrangements. The Corporate Management Team and Committee Services were also consulted. There emerged some areas of common interest and/or concern, although not a consensus on how to address them all. Those common themes were fed back to the Partnership and Resources PDSP at meetings held on 24 August 2018 and on 5 October 2018.
After discussion at the October meeting officers were requested to circulate additional information to members, details of which was summarised in Appendix 2 attached to the report. It was noted that this list whilst not exhaustive contained a number of suggestions that were either completed or already in hand, could be taken forward by officers and those that required a decision or direction by elected members
At the various meetings held with councillors a number of constraints were explained and included :-
Statutory requirements Volume and timing of business Meeting dates and times Political composition The need for some committees to exist The council’s response to the 2016-17 external audit report and the Best Value Assurance Report; and Existing Senior Councillor posts and payments
In moving forward the Panel was asked to :-
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1. To note the updated note of themes and concerns that had emerged from officers’ discussions with members and at the PDSP meetings following council’s instruction in February 2018 to review decision-making arrangements; and
2. To consider those issues to assist in identifying potential improvements and in taking the review forward for decision- making.
Decision
1. To note the content of the report;
2. To agree that a report to Council Executive was required outlining options and seeking further direction from elected members; and
3. To note that officers would discuss those options on request with members or political groups prior to the report being presented to Council Executive
14. CONSULTATION ON PRISONER VOTING
The Panel considered a report (copies of which had been circulated) by the Chief Executive informing the members of the Scottish Government consultation on prisoner voting, which set out proposals for ensuring compliance with the European Convention on Human Rights on the matter of prisoners voting.
The European Court of Human Rights (ECHR) found in 2005 that the UK’s ban on any convicted prisoners voting in elections breached their human rights.
The Scottish Parliament’s Equalities and Human Rights Committee published a report on Prisoner Voting in Scotland on 14 May 2018. The committee asked the Scottish Government to consider a wide range of views on this issue going forward and to consult as many stakeholders as possible.
The consultation set out the background to the issue and sought views on a proposal to allow only those prisoners sentenced to short sentences to vote. The Scottish Government’s view was that it was not appropriate to give all prisoners the right to vote.
The options examined in the consultation paper were as follows :-
To link disenfranchisement to the length of a prisoner’s custodial sentence;
To make disenfranchisement an additional sentencing option, to be applied at the discretion of the sentencing judge;
To link disenfranchisement to the type of crime committed; and
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To link a prisoner’s regaining the right to vote to the length of time remaining on this custodial sentence.
The report continued by providing a summary of the questions being posed in the consultation. It was also noted that the consultation paper was proposing that prisoners would not be able to vote in person but would need to register for a postal or a proxy vote in the same way that prisoners on remand currently did.
The Panel was further advised that electoral administrators had offered no view on whether prisoners should be entitled to vote as that was a matter of policy for legislatures to determine. However they had previously highlighted a number of issues and these were outlined in the report.
The Electoral Management Board for Scotland was collating feedback on a number of practical issues from electoral administrators across Scotland and would respond to the consultation from this perspective.
It was not anticipated that there would be any significant impact on council resources. There could be a very small proportionate increase in the number of postal votes to be issued and counted and awareness raising activities would have to take into account any changes in voting rights.
The Panel was asked to consider the Scottish Government’s consultation with a view to informing the council’s response.
Decision
1. To note the contents of the report;
2. To agree that the report be forwarded to a future meeting of the Council Executive
15. WORKPLAN (HEREWITH).
A copy of the workplan was circulated for information.
Decision
1. To note the contents of the workplan; and
2. To agree the inclusion of an update on the Loans Fund Review
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PARTNERSHIP AND RESOURCES POLICY DEVELOPMENT AND SCRUTINY PANEL
WEST LOTHIAN DEVELOPMENT TRUST ANNUAL REPORT
REPORT BY DEPUTE CHIEF EXECUTIVE (EDUCATION, PLANNING, ECONOMIC DEVELOPMENT AND REGENERATION SERVICES)
A. PURPOSE OF REPORT
The purpose of the report is to provide an annual update on the activity and performance of West Lothian Development Trust during the financial year 2017/18.
B. RECOMMENDATION
It is recommended that the Policy Development and Scrutiny Panel (PDSP) notes that:
1. as of 31 March 2018, a total of £1,064,608.36 had been received in community benefit contributions; 2. £765,459.97 has been paid out to 41 local organisations; and 3. 14 organisations received funding totalling £159,668.06 in 2017/18.
C. SUMMARY OF IMPLICATIONS Developing our economy and working in I Council Values partnership.
II Policy and Legal Wind farm community benefit policy, as agreed (including Strategic by Council Executive in 2007. Benefits are Environmental negotiated, in part, through Section 75 of the Assessment, Equality Town & Country Planning (Scotland) Act 1997. Issues, Health or Risk Assessment)
III Implications for None Scheme of Delegations to Officers
IV Impact on performance None and performance Indicators
V Relevance to Single We live in resilient, cohesive and safe Outcome Agreement communities.
We make the most efficient and effective use of resources by minimising our impact on the built and natural environment.
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VI Resources - (Financial, Community benefit payments from operational Staffing and Property) wind farms at Pateshill, Black Law, Pearie Law, Harburnhead and Tormywheel.
VII Consideration at PDSP Reports previously received at Partnership and Resources PDSP in June 2011, April 2012, December 2012, December 2013, November 2014, December 2015, December 2016 and March 2017.
VIII Other consultations None
D. TERMS OF REPORT
D1. Introduction
This report provides an update on the activity and performance of West Lothian Development Trust (WLDT) during the financial year 2017/18.
D2 Background
In June 2006, West Lothian Council agreed a framework for engaging with developers on the community benefit potentially associated with wind farms and other developments. The adopted policy required that any community benefit received from wind farms should be distributed within 10km of the development (70% within 5km and the remaining 30% within 10km). It was agreed that a trust would distribute all community benefit payments. The trust representation was to comprise of a third from the council, a third from the local communities and up to a third from developers.
In December 2007, the Council Executive agreed to the establishment of West Lothian Development Trust (WLDT) in line with the council’s wind farm community benefit policy. Four elected members were appointed to the trust in line with the policy. Four community representatives were also appointed through an external application process.
In this reporting period there were five wind farms in West Lothian which provided community benefit payments to WLDT - Black Law, Pateshill, Harburnhead, Tormywheel and Pearie Law.
D3 Wind Farm Developments
A community benefit agreement is now in place for Black Law phase two and subsequent annual payments are ow being received. The first annual payment was received in January 2018. This is the highest value agreement that WLDT has entered into to date. The payment to WLDT will consist of a fixed amount per megawatt of installed capacity plus a percentage of the profit from the wind farm.
During the reporting period the first annual community benefit payments were received from Pearie Law and Tormywheel in July 2017 and January 2018 respectively.
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D4 Community Benefit
Voluntary organisations and charities operating in the area of benefit can apply to the trust for a small grant of up to £2,000 or to the main grant fund for awards of up to £25,000. Applications for up to three years funding can be made to the main grant fund and a maximum of 70% of project costs can be funded.
Community benefit payments were first received in October 2007 and the first grants were awarded by the trust in 2009. As of 31 March 2018, £1,064,608.36 in community benefit contributions have been received by the trust and a total of £765,459.97 has been awarded to 41 separate organisations. WLDT received £404,503.90 from five operational wind farms in 2017/18. A total of 14 organisations were awarded grants by the trust in this period and the total value of these grants was £159,668.
Examples of the projects funded by WLDT in 2017/18 include the following:
The Larder currently delivers a range of hospitality training programmes across West Lothian, in bespoke Cook School and local schools. The Larder delivers training to disadvantaged young people experiencing multiple barriers to employment. The aim of the training is to build their skills and confidence; moving them closer to and into work in the hospitality sector. The organisation uses food as a means to nurture, inspire and overcome barriers. The training programmes provide trainees with an opportunity to engage in needs led training, gain a suite of qualifications and work experience in a commercial kitchen and café environment. The larder applied to the West Lothian Development Trust for £17,500 to fund an additional Training Officer/Chef to run their Hospitality Skills Training Programme outreached in the West Calder / Polbeth area. The additional capacity enabled the organisation to support more young people and provide free home cooked meals to the local community via the creation of linkages into their food poverty project.
Harburn Village Hall was built in 1923; it is the located in the middle of Harburn and provides a key facility to the local rural community. Harburn Village hall Association, which was established in 1970, applied to the West Lothian Development Trust for £3,922 to create a small picnic and BBQ area in the woodland to the front of the hall. The space will be utilised by the small number of community social events run from the facility and local community lets.
Loganlea Miners Welfare Charitable Society has been at the heart of the Addiewell community since the 1930s, with the addition of the Pitstop community facility in the early 1990s. The Pitstop provides a number of valuable services for the benefit of the village. Local residents can access credit union facilities on a weekly basis, and they can take advantage of the advice and support available to job seekers through Access2employment. There is also a community café, meeting space and a cash machine located within the building. The Pitstop has undergone significant organisational change in the past six years. Following the end of a significant funding stream the organisation did a review of the business. They were awarded £22,500 from the WLDT to implement some of the recommendations from the review including ways to increase profits and reduce costs, possible new revenue streams and changes to internal processes.
Appendix 1 provides a full list of all funded projects.
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E. CONCLUSION
The West Lothian Development Trust has the potential to make a substantial difference to communities in West Lothian, both now and over the remaining lifespan of the wind farms.
The West Lothian Development Trust, supported by council officers, will continue to ensure that the maximum benefit is obtained and distributed to support future regeneration opportunities in West Lothian.
F. BACKGROUND REFERENCES
Reports have previously been considered by the Partnership and Resources PDSP on the following dates:
16 March 18, 16 December 2016, 04 December 2015, 28 November 2014, 10 December 2013, 7 December 2012, 20 April 2012, 17 June 2011.
Appendices/Attachments: One
Appendix 1 – Grants Awarded April 2009 - March 2018
Contact Person: Clare Stewart, Employability Manager, Tel: 01506 281100, [email protected]
Elaine Cook Depute Chief Executive (Education, Planning, Economic Development and Regeneration Services)
5 April 2019
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- 22 - Appendix one: Grants Awarded April 2009 - March 2018
Total funds received by WLDT 2009-2018 £1,064,608.36 Total grants awarded by WLDT 2009-2018 £765,459.97
Total received from Blacklaw 2009-2018 £329,728.36 Total awarded from Blacklaw 2009-2018 £164,618.50
BLACKLAW Funding Date approved Fauldhouse Community Development Trust £20,998.00 Sep-09 Blackburn and Seafield Credit Union £11,796.00 Sep-09 Central Scotland Forest Trust £5,000.00 Dec-09 Fauldhouse Community Development Trust £2,000.00 Dec-09 West Lothian Retired Miners £600.00 Dec-09 Fauldhouse Village Cemetery Restoration £1,972.50 Dec-09
Total 2009-10 £42,366.50
Whitburn Community Development Trust £4,772.00 Aug-10 Fauldhouse Community Development Trust £19,000.00 Dec-10
Total 2010-11 £23,772.00
Central Scotland Forest Trust £5,000.00 Apr-11
Total 2011-12 £5,000.00
Fauldhouse Community Development Trust £12,400.00 Jul-12
Total 2012-13 £12,400.00
Fauldhouse Community Development Trust £22,400.00 Jul-13
Total 2013-14 £22,400.00
Blackfaulds Court £500.00 May-14 Fauldhouse Community Development Trust £10,000.00 Jul-14 Whitburn Trojan ASC £2,000.00 Mar-15
Total 2014-15 £12,500.00
Redmill Fundraisers £2,000.00 May-15 Answer Project £1,800.00 Sept-15 Fauldhouse Community Development Trust £9,500.00 Mar-16
Total 2015-16 £13,300.00
Answer project £530.00 May-16 Longridge Community Association £11,000.00 Mar-17
Total 2016-17 £11,530.00
The Pitstop £21,350.00 Jan-18
Total 2017/18 £21,350.00
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- 23 - Total received from Pateshill 2011-2018 £529,200.00 Total awarded from Pateshill 2011-2018 £452,517.41
PATESHILL Funding Date Approved Answer Project £6,940.50 Dec-11 Stoneyburn & Bents Future Vision Group £2,800.00 Dec-11 Stoneyburn & Bents Future Vision Group £8,000.00 Feb-12 Central Scotland Forest Trust £17,603.00 Feb-12 Breich Park - Central Scotland Forest Trust £20,000.00 Feb-12 Harburn Village Hall Association £1,462.00 Feb-12 Whitburn Community Development Trust £5,350.00 Feb-12 West Calder and Harburn Community Council £2,000.00 Feb-12 The Pitstop £20,000.00 Feb-12
Total 2011-12 £84,155.50
Fauldhouse Community Development Trust £10,000.00 Jul-12 Stoneyburn & Bents Future Vision Group £20,000.00 Jul-12 Central Scotland Forest Trust £11,578.00 Jan-13
Total 2012-13 £41,578.00
Fauldhouse Community Development Trust £10,000.00 May-13 West Lothian Food Bank £11,186.00 May-13 Stewart Court Residents Association £300.00 May-13 West Calder & Harburn Community Council £4,783.00 May-13 CFINE £19,026.00 Nov-13 West Calder Utd 97s £2,000.00 Nov-13 West Calder & Harburn CDT £11,879.20 Mar-14
Total 2013-14 £59,174.20
West Lothian Foodbank £11,186.00 Jun-14 Fauldhouse Community Development Trust £12,400.00 Jul-14 Stoneyburn & Bents Future Vision Group £15,915.00 Aug-14 BLES £3,192.00 Aug-14 Harburn Village Hall Association £15,280.00 Jan-15 Signpost £5,978.00 Mar-15
Total 2014-15 £63,951.00
Whitburn Brass Band £10,000.00 May-15 Stoneyburn Community Council £1,200.00 May-15 West Lothian Foodbank £11,186.00 Sep-15 The Pitstop £9,800.00 Sep-15 West Calder & Harburn CDT £11,197.20 Jan-16 Murieston Community Council £1,200.00 Jan-16 Breich Community Association £10,000.00 Mar-16 Harburn Village Hall Association £2,000.00 Mar-16 Fauldhouse Community Development Trust £13,500.00 Mar-16
Total 2015-16 £70,083.20
Stoneyburn & Bents Future Vision Group £12,890.00 May-16 Signpost £6,157.00 May-16 Polbeth & West Calder Community Garden £24,796.51 Sept-16 SMILE Counselling £10,000.00 Jan-17 Fauldhouse CDT £23,000.00 Mar-17
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- 24 - Longridge Community Association £4,000.00 Mar-17 West Lothian Foodbank £8,200.00 Mar-17
Total 2016-17 £89,043.51
Signpost £6,342.00 May-17 SMILE Counselling £10,000.00 Jan-18 Stoneyburn & Bents Future Vision Group £890.00 Jan-18 School Bank West Lothian £9,800.00 Mar-18 The Larder £17,500.00 Mar-18
Total 2017-18 £44,532.00
Total received from Harburnhead 2016-2018 £74,080 Total awarded from Harburnhead 2016-2018 £44,538.00
HARBURNHEAD Funding Date approved Kirknewton CDT £14,740.00 Mar-17 The Pitstop £8,729.00 Mar-17 School Bank West Lothian £2,150.00 Mar-17 West Calder & Harburn CDT £18,919.00 Mar-17
Total 2016-17 £44,538.00
Total received from PearieLaw 2017-2018 £81,600.00 Total awarded from PearieLaw 2017-2018 £81,151.06
PEARIELAW Funding Date approved West Calder & Harburn CDT £28,500.00 Jun-17 Fauldhouse Penguins £6,974.06 Jun-17 TCV £9,422.00 Jun-17 Stoneyburn Old Folks Treat £2,000.00 Jun-17 Harburn Village Hall Association £3,922.00 Jun-17 WL Foodbank £8,333.00 Jun-17 Stoneyburn & Bents Future Vision Group £22,000.00 Jan-18
Total 2017-18 £81,151.06
Total received from Tormywheel 2016-2018 £50,000.00 Total awarded from Tormywheel 2016-2018 £22,635.00
TORMYWHEEL Funding Date approved Stoneyburn & Bents Future Vision Group £10,000.00 May-16
Total 2016-17 £10,000.00
West Calder & Harburn CDT £12,635.00 Jan-18
Total 2017-18 £12,635.00
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DATA LABEL: PUBLIC
PARTNERSHIP AND RESOURCES POLICY DEVELOPMENT AND SCRUTINY PANEL
POLICY ON THE MISUSE OF ALCOHOL, DRUGS AND OTHER SUBSTANCES (DRAFT)
REPORT BY HEAD OF CORPORATE SERVICES
A. PURPOSE OF REPORT
To present for the Panel’s consideration, a package of measures aimed at discouraging the misuse of alcohol, drugs and other substances, including a revised draft policy that provides for workforce alcohol and drug testing.
B. RECOMMENDATION
That the Panel considers the following package of measures with a view to referral to Council Executive for approval:
1. Adoption of the revised Policy on the Misuse of Alcohol, Drugs and Other Substances set out in Appendix 1 of this report which advocates a ‘zero tolerance’ approach to alcohol and drug misuse in the workplace;
2. Appropriate training to be delivered to managers to support the implementation of the policy together with a corporate programme aimed at raising employee awareness of alcohol, drug and other substance misuse;
3. The introduction of ‘with cause’ alcohol and drug testing to apply where appropriate across all council services and to all posts;
4. The introduction of random testing of individuals in ‘safety critical’ posts as detailed in Appendix 2 of this report;
5. The revised policy will be subject to review in consultation with the recognised trade unions in respect of its general application and specifically in relation to the impact of alcohol and drug testing arrangements.
C. SUMMARY OF IMPLICATIONS
I Council Values Focusing on our customers' needs
Being honest, open and accountable
Providing equality of opportunities
Developing employees
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Making best use of our resources
Working in partnership
II Policy and Legal (including The council has a statutory obligation to ensure Strategic Environmental the health, safety and welfare of all its Assessment, Equality employees whilst at work, and any other person Issues, Health or Risk who may be affected by its acts or omissions. Assessment) The Equality Act 2010 requires the council to take account of the impact of its policies functions, activities and decisions on employees from protected groups. An Equality Impact Assessment (EIA) has therefore been undertaken on the revised policy.
III Implications for Scheme of None Delegations to Officers
IV Impact on performance and None performance Indicators
V Relevance to Single None Outcome Agreement
VI Resources - (Financial, Alcohol and drug testing will have financial Staffing and Property) resource implications. Precise costings will be determined through the contract tender process.
VIII Other consultations Consultation has taken place with the council’s recognised trade unions and the council’s Corporate
Health and Safety Team.
D. TERMS OF REPORT
D.1 BACKGROUND
Following Police Scotland drugs raids at Deans Depot in 2015 and 2017 a review of the council’s policy and strategy for dealing with substance misuse has been conducted with a view to bringing forward a range of proposals aimed at addressing substance misuse within the workplace in a more robust and systematic manner.
While the incidents that occurred in Operational Services were first and foremost a material breach of the council’s Disciplinary Code, substance misuse amongst the workforce raises wider health and safety concerns for council employees, service users and members of the general public.
The council has a general duty under the Health and Safety at Work Act 1974 to ensure, as far as is reasonably practicable, the health, safety and welfare at work of its employees. If the council knowingly permits an employee to work under the influence of drug or alcohol misuse and his/her behaviour places that individual or others at risk, the council could be prosecuted. This risk is further increased where
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employees have responsibility for making safety-critical decisions, for example when driving or operating machinery.
The Glasgow Bin Lorry Accident in December 2014 and the subsequent Fatal Accident Inquiry called into question the way in which Local Authorities ensure the fitness of their drivers. Fitness to drive or carry out other safety critical roles must therefore be a key health and safety consideration in the council’s approach to dealing with substance misuse.
D.2 REVISED POLICY, TRAINING AND EMPLOYEE AWARENESS PROGRAMME
A review of the overall content of the council’s current policy indicates that a radical overhaul of its provisions is not required. However there is a case for re-focussing the authority’s approach which strikes a better balance between the disciplinary and legal implications of substance misuse and the supportive aspect of the policy.
A key change in the revised policy is a shift in emphasis in the council’s stance on alcohol and drug misuse by adopting a zero tolerance approach to drug misuse while continuing to acknowledge that drug and alcohol addiction is a health problem that requires professional help and treatment. It is intended that the policy will enable managers to more effectively tackle drug related misconduct at work while at the same time adopting a supportive approach in those cases where alcohol or drug dependency is identified.
The revised policy will be supported by:
• appropriate training to be rolled out to support managers in implementing the amended policy; and
• a programme to be developed to raise employee awareness of substance misuse across the workforce.
The programme of employee awareness will have a twofold purpose; firstly to remove any doubt about the council’s policy stance on drug and substance misuse (zero tolerance) and secondly to educate employees of the adverse impact of substance misuse on their health and well-being.
D.3 ALCOHOL AND DRUG TESTING
To provide an additional tool to assist in the detection and management of substance misuse it is proposed that the policy also introduces limited use of drug and alcohol testing.
Legal Considerations
While respecting the right of employees to a private and family life under Article 8 of the Human Rights Act, the council equally has a legal obligation to ensure the safety of its workforce, customers and members of the public by putting in place appropriate measures to prevent the potential negative impact of alcohol and drug misuse.
Furthermore, the council would be committing an offence under the Misuse of Drugs Act 1971 if it knowingly permits the production or supply of any controlled drugs, the smoking of cannabis or certain other activities to take place on council premises (council premises in this context would extend to council vehicles).
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The Police Scotland drug raids in 2015 and 2017 indicate that the council is potentially vulnerable to incurring reputational damage and risk to health and safety. In this regard, testing for alcohol and drugs is considered to be a proportionate response to meeting the legitimate aim of protecting the council’s interests in relation to the aforementioned risks.
Health & Safety Considerations
Whilst instances of alcohol and drug testing may be viewed as an unwarranted intrusion into an individual’s privacy, the Health and Safety Executive (HSE) suggests that there may be a case for introducing random testing for ‘safety critical’ roles (staff with responsibility for making safety critical decisions such as drivers and some machine operators).
The HSE defines ‘safety critical’ roles as those;
‘where the ill-health of an individual may compromise their ability to undertake a task defined as safety critical, thereby posing significant risk to the health and safety of others’
There are a range of posts across the council that could justifiably be included within the foregoing definition particularly those which involve the use of heavy machinery or an occupational requirement to drive Heavy Goods Vehicles (HGVs) or Passenger Carrying Vehicles (PCVs). In addition there are posts which, although not requiring a PCV licence, involve the transportation of council clients for example, Mini Bus drivers who transport pupils within Education Services and Social Policy staff transporting vulnerable clients.
Zero Tolerance Drug Driving Limits
In the wider context of misuse of alcohol and drugs out with the workplace, the proposal to introduce workplace drug testing in the council pre-empts Scottish Government proposals to introduce “zero tolerance” limits for drug driving.
Under the new proposals, expected to be introduced in October this year, near zero limits will be set for driving under the influence of eight illegal drugs, based on the lowest possible level where accidental exposure can be ruled out. The eight drugs include cocaine, ecstasy, ketamine, cannabis, LSD, heroin, methylamphetamine and benzoylecgonine. Another eight drugs, including methadone, diazepam and morphine, that may be prescribed by doctors for medicinal purposes will have maximum levels based on safe levels for driving.
The aim is to make it easier for police to target people driving under the influence of drugs.
Random Testing
With the foregoing legislative and health and safety factors in mind, it is proposed that the council introduces random drug and alcohol testing of staff in posts defined as ‘safety critical’ as set in Appendix 2 of this report. It is estimated that this is likely to cover around 1500 staff.
An annual programme of testing will be carried out amongst a randomly selected sample of 5% of the safety critical test group. The council will not influence the selection of the 5% sample. In other words, the council may specify the test group but
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once the council has provided details of those in the random group, there is no further influence over who is tested and when they are tested.
With Cause Testing
Random drug testing will not provide a deterrent to those individuals in non-safety critical roles who elect to misuse and/or bring controlled drugs on to council premises. Addressing those circumstances will rely largely on the use of ‘with cause’ testing prompted either by behavioural observation and/or whistle-blowing reports.
In terms of ‘with cause’ testing, it is proposed that any employee of the council may be required to submit to a such a test where:
• there is a reasonable belief that the employee is under the influence of alcohol or drugs at work;
• an incident or accident has occurred at work and there is reason to believe that the employee(s) involved has been under the influence of alcohol or drugs;
• a complaint or whistleblowing disclosure alleges that an employee or group of employees have been under the influence of alcohol or drugs at work.
Principles of Testing
The administering and management of drug and alcohol testing will be underpinned by the following key principles:
• Written consent will be sought on each occasion before an employee is asked to submit to a drug or alcohol test;
• Employees will be advised of the drugs they are being tested for in accordance with the best practice guidance issued by the Information Commissioner’s Office, Employment Practices and Data Protection Code;
• Drug and alcohol test results constitute sensitive personal data and must therefore be handled in accordance with data protection requirements. In addition any action taken or support provided to employees is strictly confidential in accordance with the requirements of the General Data Protection Regulations (GDPR);
• Testing will be conducted by an independent service provider who will be responsible for ensuring a tamper proof process, the provision of accurate and reliable results and for carrying out tests with the least possible intrusion to employees’ privacy;
Failure to Consent to Testing
An employee who refuses to give consent to testing will be considered to have wilfully failed to comply with council policy and will be subject to disciplinary action.
Where consent is withheld for ‘with cause’ testing, the circumstances surrounding the decision to invoke the testing process such as observed behaviour, a workplace accident/incident or whistle-blowing complaint will be investigated without the benefit of test results and any disciplinary action will be taken on the basis of reasonable
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suspicion of wrongdoing.
Action in the Event of Positive Test Result
The action to be taken following a positive test result will depend on the circumstances which will be investigated as part of a disciplinary investigation. It is proposed that a flexible approach which takes account of a range of factors is adopted, providing the ability to apply a stricter sanction where the risk/implications justify a more robust disciplinary response. Therefore, all cases will be considered on their merits taking into account level of risk/potential implications for harm to other parties (including fellow employees, clients and general public), reputational damage and repeated incidences.
Where appropriate the employee will be offered help and support for drug or alcohol dependency but it may also be necessary for disciplinary action to be taken up to and including dismissal depending on the particular circumstances.
Consultation with Trade Unions
The trade unions have been consulted on the proposals to introduce alcohol and drug testing and whilst they are not opposed in principle to the concept of testing, there is no joint view on how the testing should be applied. Certain trade union representatives have expressed the view that if alcohol and drug testing is to be introduced, random testing should apply across the board and not solely be targeted at employees in certain service areas.
Declaration of Drug or Alcohol Dependency
A declaration of drug or alcohol dependency will not prevent or stall a disciplinary investigation or potential disciplinary action, if the declaration is made:
• after being selected for random testing; • after being advised of the requirement for ‘with cause’ testing; or • after a positive test result
Where such a declaration is made however, the employee will be referred to the council’s Occupational Health Adviser or an agreed external agency for confirmation that a dependency issue does exist. Where a dependency issue is confirmed, the employee will be supported in their recovery programme.
A declaration of drug or alcohol dependency that is not prompted by testing arrangements or misconduct will not result in disciplinary action. The employee will be referred to the council’s Occupational Health Adviser or an agreed external agency and supported in their recovery programme.
Drug and/or alcohol testing could additionally be used as part of an agreed recovery programme to support an employee in remaining drug and/or alcohol free.
D.4 BENCHMARKING INFORMATION
The result of a recent survey indicates that the following five other local authorities conduct ‘with cause’ alcohol and drug testing;
• Aberdeen City Council
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• Dumfries & Galloway Council • East Ayrshire Council • East Dunbartonshire Council • Shetland Council (pre-employment and random testing for sea-going staff)
Drugs routinely tested for in those councils include cannabis, cocaine, amphetamines (including Ecstasy), barbiturates and a range of other substances. The service provider for one of the councils has also advised that an enhanced laboratory screening method can be offered that tests for in excess of 3000 different compounds, which includes all known illegal drugs, legal highs and steroids.
With the exception of Shetland Council who conducts random testing for sea-going staff, benchmarking information indicates that while there are other councils who are currently considering the option of random testing, none have implemented it.
D5 IMPLEMENTATION TIMESCALES
There are four key aspects involved in the roll-out of the revised policy as follows;
• Corporate Employee Awareness Programme • Procurement of appropriate alcohol and drug testing product/system • Managers/Tester Training • Implementation of alcohol and drug testing
In terms of timing and ensuring an effectively planned roll-out, it is considered crucial that the programme is front-loaded with a workforce communication and awareness programme in advance of the new arrangements being introduced.
It is difficult at this stage to quote specific timescales for concluding the above elements particularly in relation to alcohol and drug testing given that it constitutes uncharted territory for the organisation. However an indicative implementation timeline is provided at Appendix 3 of this report.
E. CONCLUSION
The proposed revised policy is considered to strike a more appropriate balance by setting out a robust ‘zero tolerance’ approach to alcohol and drug misuse in the workplace, while acknowledging a duty of care towards employees who suffer from alcohol and/or drug addiction.
In support of this approach, random drug and alcohol testing for roles designated as ‘safety critical’, supplemented by ‘with cause’ testing as required, is considered to be a legitimate means of protecting the council’s interests by minimising health and safety risks and providing a deterrent to those who elect to misuse and/or bring controlled drugs on to council premises.
F. BACKGROUND REFERENCES
• Current Policy on the Misuse of Alcohol and Other Substances (Revised 2014) • Drug Misuse at Work – A Guide for Employers (HSE) • Section 4, Road Traffic Act 1998 • Benchmarking Information – Other Local Authorities & Private Sector Transport Providers
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• Road Traffic Law – Drug Driving and Road Side Testing in Scotland
Appendices/Attachments: 1. Revised Policy on the Misuse of Alcohol, Drugs and Other Substances (Draft) 2. Random Testing - List of Safety Critical Posts 3. Indicative Implementation Timeline
Contact Person: Fraser Mackenzie, HR Manager – Policy & Advice (01506 281422)
Julie Whitelaw Head of Corporate Services Date: 5 April 2019
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Appendix 1
Policy on the Misuse of Alcohol, Drugs and Other Substances
1
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POLICY ON THE MISUSE OF ALCOHOL, DRUGS AND OTHER SUBSTANCES
CONTENTS
1. Policy Statement…………………………………………………………………………………. 3
2. Definitions………………………………………………………………………………………….. 3
3. Policy Aims………………………………………………………………………………………. 3
4. Responsibilities……………………………………………………………………………………. 4
5. Managing Alcohol and Drug Misuse…………………………………………………………… 5
6. Supporting Employees with Alcohol or Drug Dependency Issues…………………………... 6
7. Alcohol and Drug Testing………………………………………………………………………. 8
8. Confidentiality……………………………………………………………………………………… 10
9. Consumption of Alcohol and Drugs During Working Hours…………………………………. 11
10. Equality Act……………………………………………………………………………………….. 11
11. Health Education…………………………………………………………………………………. 12
12. Links to Other Policies…………………………………………………………………………… 12
13. Policy Review……………………………………………………………………………………… 12
Appendix: Manager’s Observation Checklist – Fitness for Work Indicators
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DATA LABEL: PUBLIC
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POLICY ON THE MISUSE OF ALCOHOL, DRUGS AND OTHER SUBSTANCES
(This policy applies to all council employees and workers)
1. POLICY STATEMENT
1.1 The council is committed to ensuring the health, safety and welfare of its employees and others who may be affected by the actions of its employees in the course of employment. To reflect this obligation, the authority operates a ‘zero tolerance’ approach to alcohol and drug misuse and will take all reasonable steps to protect employees, recipients of council services and members of the public from the associated risks.
1.2 This policy provides a framework for dealing with alcohol, drug and other substance misuse that takes account of the disciplinary and health and safety related aspects of managing cases of misuse in the workplace.
1.3 While the council regards misuse of alcohol and drugs as primarily a misconduct issue, it also recognises that it can affect not only an employee’s ability to work effectively, efficiently and safely, but can also create difficulties and distress in domestic and social life. This policy therefore makes provision for appropriate support mechanisms and professional help to be made available to employees who disclose an alcohol/drug misuse issue.
2. DEFINITIONS
2.1 For the purposes of this policy the following definitions apply:
• Alcohol Misuse: any drinking of alcohol, either intermittent or continual, which interferes with an individual’s work capacity/performance, safety, conduct, health or attendance.
• Drug Misuse: use of illegal drugs; or
misuse (whether deliberate or unintentional) of prescribed drugs, over the counter medication, solvents or psychoactive substances which interferes with an individual’s work capacity/performance, safety, conduct, health or attendance.
3. POLICY AIMS
3.1 The main aims of the policy are to:
• Promote a zero tolerance approach to alcohol and drug misuse;
• Safeguard the interests of the council, its employees and other parties whom employees who have an alcohol/drugs misuse problem, may come into contact during the course of employment. In particular, the council has a duty of care towards the children, protected adults and other vulnerable groups who are clients of the council;
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• Establish clear rules on the use of alcohol and drugs in the workplace and the disciplinary sanctions that may be applied in given situations;
• Promote early intervention and provide appropriate support and advice to employees who disclose alcohol and/or drug related problems;
• Provide appropriate support and advice to managers on how best to deal with employees who may suffer from alcohol and/or drug related problems;
• Encourage a climate of openness and honesty (within the bounds of strict personal confidentiality and legal requirements) that gives employees and managers confidence to deal with alcohol/drug misuse problems supported by a clear procedure.
4. RESPONSIBILITIES
Employees
4.1 Employees must:
• act with due care for their own safety and that of others who may be affected by something they do or omit to do;
• ensure that their personal consumption of alcohol or use of prescribed or over the counter drugs does not adversely impact on their ability to report for work in a fit and safe condition and to perform their duties safely or competently throughout the working day.
• comply with specific requirements or controls in relation to alcohol or drugs as determined by health and safety workplace risk assessments including alcohol and drug testing.
• not possess, supply or use illegal drugs on council premises, in council vehicles or at any time while performing council business.
• advise their line manager if they are prescribed medication which may make them drowsy, impair their judgement, or otherwise affect their performance.
• disclose to their line manager if they think they have an alcohol/drug misuse problem and seek support and assistance as appropriate.
• advise their line manager of any change in behaviour they observe in a colleague that may indicate alcohol or drug misuse.
Line Managers
4.2 Managers are expected to:
• Manage health and safety in their area of responsibility to ensure safe and healthy conditions and a workplace free from the risks caused by alcohol and substance misuse;
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DATA LABEL: PUBLIC
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• Ensure that employees understand the policy, their responsibilities and the potential consequences for their employment of the misuse of alcohol, drugs and other substances;
• Monitor the performance, behaviour and attendance of employees as part of the normal supervisory relationship and in doing so, be alert to the signs of alcohol and drug misuse and any adverse effects it may be having on their performance, attendance and health;
• Conduct appropriate risk assessments in circumstances where employees declare that they using medically prescribed drugs which may make them drowsy, impair their judgement or otherwise affect their performance, particularly where their normal duties involve driving council vehicles or using machinery;
• Refer individuals for drug and alcohol testing where there is reason to suspect that they are under the influence of alcohol or drugs at work;
• Ensure that employees are aware of the support that is available to them should they have a problem;
• Intervene at an early stage where changes in performance, behaviour, sickness levels or attendance patterns are identified to establish whether alcohol and/or drug misuse is an underlying cause;
• Manage any inappropriate conduct by employees associated with alcohol or drug misuse invoking the council’s disciplinary procedure as appropriate;
• Strictly preserve an employee’s right to confidentiality wherever possible;
5. MANAGING ALCOHOL AND DRUG MISUSE
5.1 The possession, supply or production of illegal drugs is a criminal offence. Consequently the possession of, or use of illegal drugs or other drug related activities on council premises, in council vehicles or while on council business will be treated as gross misconduct and may result in dismissal as outlined in the council’s Disciplinary Code.
Off-duty incidents involving the possession, use or supply of drugs may be considered by the council as a disciplinary offence if the criminal element related to the incident is deemed to fundamentally affect the employee's suitability for the post they hold with the council.
5.2 Problems associated with alcohol and/or drug misuse normally fall into one of the following two categories:
• an excessive indulgence in the misuse of alcohol and/or drugs on occasion, that may impact on an employee’s work but which is not related to a physical dependency; or,
• a confirmed habitual misuse of alcohol and/or drugs related to a physical dependency that continually or repeatedly interferes with the employee’s work capability, health, conduct and/or attendance at work.
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5.3 Both of the above types of behaviour may be regarded as a conduct issue to be dealt with under the council’s Disciplinary Procedure. However, in managing the conduct of an employee with a confirmed alcohol or drug dependency issue, the line manager should consider the support required to assist the employee to manage their health issue.
5.4 Where alcohol/drug misuse affects an individual’s attendance at work, the absence will be dealt with under the council’s Supporting Attendance Policy and Procedure. The Supporting Attendance Procedure may where appropriate be applied in parallel with the Disciplinary Procedure.
5.5 In the case of alcohol or drug related misconduct, the normal disciplinary process will be followed and a decision taken at the disciplinary hearing on the appropriate action, if any, to be taken. Where a suspected alcohol or drug dependency is presented as a mitigating factor, the proposed disciplinary action will be suspended pending a referral to the council’s Occupational Health Adviser or an agreed external agency for confirmation that a dependency issue does indeed exist.
5.6 If the existence of a dependency problem is confirmed, the disciplinary process may be further suspended on condition that the employee successfully completes any recommended recovery programme and that a significant improvement in conduct/behaviour is demonstrated over a defined monitoring period. Where the employee successfully completes any recommended recovery programme and there are no further instances of unacceptable behaviour, the proposed disciplinary action will be withdrawn or a lesser disciplinary sanction than that originally determined may be applied.
5.7 If a dependency problem is not confirmed, or if an employee does not complete any recommended recovery programme, the disciplinary action originally proposed will be confirmed and implemented.
6. SUPPORTING EMPLOYEES WITH ALCOHOL OR DRUG DEPENDENCY ISSUES
6.1 Where an alcohol or drug dependency problem is confirmed by the Occupational Health Adviser, appropriate time off with pay will be granted to employees to attend the relevant agency to undergo a recovery programme.
Recovery Programmes
6.2 On receipt of confirmation of an alcohol or drug dependency problem, a Recovery Programme will be put in place. The line manager will arrange to meet with the employee to discuss:
• the proposed recovery treatment • the estimated duration of any treatment • the impact on the employees working arrangements during the recovery programme • the availability of support agencies • the council’s expectations in terms of the employee’s cooperation and commitment to any recommended recovery programme.
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6.3 The employee will be asked to sign up to a Recovery Programme Agreement and to consent to the Occupational Health Adviser obtaining regular reports from the relevant support agency and reporting progress to Human Resources. A condition of the programme will be that employees agree to attend all appointments necessary to assist with their recovery as recommended by the Occupational Health Adviser or the relevant support agency.
6.4 Further information on support available in West Lothian for adults with problematic substance use or support for people affected by another person’s problematic substance use can be found at:
http://www.nhslothian.scot.nhs.uk/HealthInformation/RecoveryInLothian/Documents/WL- ServicesDirectory.pdf
Relapse
6.5 The council recognises the possibility of relapse in cases of alcohol or drug dependency. If this occurs, during or following a recovery programme, the same support procedures may be offered to the employee at the discretion of his/her line manager and depending on the circumstances of the case. If at any time however, an employee appears incapable of dealing with an addiction related problem, it may be appropriate to deal with the matter under the council’s Disciplinary Procedures on the grounds of capability and/or conduct.
Redeployment
6.6 Depending on the nature of an employee’s job, temporary redeployment to a different work location or deployment to alternative duties may be an appropriate consideration in order to protect the employee, other employees and/or members of the public. Any such decision should be based on the manager's assessment of the risk involved in consultation with the council's Health and Safety Team. In these circumstances, an employee will continue to receive their normal pay for a period of up to 3 months subject to their co-operation with any agreed treatment/counselling programme. If, after 3 months, an employee is unable to return to their substantive post, they will be paid in accordance with the terms and conditions of the position to which they have temporarily been redeployed.
6.7 Following a period of temporary redeployment, an employee will have the right to return to their substantive post, unless an assessment by the council’s Occupational Health Adviser indicates that:
• there is a potential risk to the employee’s continued health;
• there is a potential risk to the welfare and safety of other employees; or
• the employee is not yet ready to undertake the full range of duties and responsibilities of their substantive post.
6.8 In the event that the employee is unfit to return to their substantive post, the employee will be placed on the council wide Redeployment List and a search for suitable alternative employment will be undertaken in accordance with the process outlined in the council’s Policy for Supporting Attendance at Work. 7
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7. ALCOHOL AND DRUG TESTING
7.1 The council will conduct an annual programme of random alcohol and drug testing in addition to the use of ‘with cause’ testing where appropriate.
Random Testing
7.2 Random testing will apply in respect of employees who have been identified as occupying ‘safety critical’ roles. For the purposes of this policy, the Health & Safety Executive (HSE) definition of ‘safety critical’ is adopted;
‘Where the ill – health of an individual may compromise their ability to undertake a task defined as safety critical, thereby posing significant risk to the health and safety of others’
7.3 Post identified as ‘safety critical’ include those which involve the use of heavy machinery or an occupational requirement to drive Heavy Goods Vehicles (HGVs) or Passenger Carrying Vehicles (PCVs). In addition posts which, although not requiring a PCV license, involve the transportation of council clients have been identified as ‘safety critical’. Such posts will include Mini Bus drivers who transport pupils in Education Services and Social Policy staff transporting vulnerable clients.
7.4 An annual programme of testing will be carried out amongst a randomly selected sample of 5% of the safety critical test group. The council will not influence the selection of the sample. In other words, the council may specify the test group but once the council has provided details of those in the random group, there is no further influence over who is tested and when they are tested;
With Cause Testing
7.5 In addition to the council’s Random Testing Programme, any employee may be asked to consent to undertaking an alcohol and drugs test, where a manager has reasonable cause to suspect that an employee is under the influence of alcohol or drugs while at work.
7.6 Reasonable cause might include:
• Observation of reduced work performance, personality changes, physical signs such as smelling of alcohol or of other drugs. A Manager’s Checklist of indicators that could be symptomatic of impaired fitness for work through alcohol or other substances is provided in the Appendix to this policy.
• An incident or accident in the workplace where a manager has reason to suspect that an employee involved has been under the influence of alcohol or drugs.
• A complaint or whistleblowing disclosure alleging that an employee or group of employees have been under the influence of alcohol or drugs at work.
7.7 The line manager should in the first instance, meet with the employee in a private setting and convey his/her concerns with a view to establishing whether there is a reasonable explanation for the employee’s behaviour. Wherever possible it is 8
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recommended that another member of management/supervisory staff is present during this discussion to help validate the manager’s suspicion that the employee is under the influence of alcohol or drugs. The employee may be accompanied by a Trade Union Representative or work colleague if available at that time.
7.8 Managers should seek immediate advice from Human Resources who will arrange for an alcohol and drugs test to be carried out if that is deemed to be necessary. In exceptional circumstances, where workplace support is not immediately available, managers must seek advice directly from the specialist testing provider.
7.9 Testing will not be necessary where an employee admits to being under the influence of alcohol or drugs and in these circumstances, the matter will be dealt in accordance with Section 5 of this policy.
7.10 A technician will normally attend the workplace within 2 hours of being requested to undertake the test.
7.11 The administering Technician will advise the manager of the initial results immediately following the test. Further laboratory tests will provide, through the Occupational Health Adviser, additional information and confirmation of the initial results within 48 hours.
7.12 The line manager should arrange to discuss the results with the employee in the presence of a Human Resources Adviser. A Trade Union Representative or work colleague may accompany the employee. Where there is a positive result for which the employee cannot offer a reasonable explanation, the matter will be dealt with in accordance with the council’s Disciplinary Procedure. A reasonable explanation could be that the employee has been taking medically prescribed drugs but has underestimated any potential side effects.
7.13 If the testing process indicates that the employee may have an alcohol or drug dependency related problem the matter will be managed in accordance with section 6 of this policy.
Principles of Testing
7.14 The administering and management of drug and alcohol testing will be underpinned by the following key principles:
• Written consent will be sought on each occasion before an employee is asked to submit to a drug or alcohol test;
• Employees will be advised of the drugs they are being tested for in accordance with the best practice guidance issued by the Information Commissioner’s Office, Employment Practices and Data Protection Code;
• Drug and alcohol test results constitute sensitive personal data and must therefore be handled in accordance with data protection requirements. In addition any action taken or support provided to employees is strictly confidential in accordance with the requirements of the General Data Protection Regulations (GDPR);
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• Testing will be conducted by an independent service provider who will be responsible for ensuring a tamper proof process, the provision of accurate and reliable results and for carrying out tests with the least possible intrusion to employees’ privacy;
Failure to Consent to Testing
7.15 An employee who refuses to give consent to testing will be considered to have wilfully failed to comply with council policy and will be subject to disciplinary action.
7.16 Where consent is withheld for ‘with cause’ testing, the circumstances surrounding the decision to invoke the testing process such as observed behaviour, a workplace accident/incident or whistle-blowing complaint will be investigated without the benefit of test results and any disciplinary action will be taken on the basis of reasonable suspicion of wrongdoing.
Action in the Event of Positive Test Result
7.17 The action to be taken following a positive test result will depend on the circumstances which will be investigated as part of a disciplinary investigation. It is proposed that a flexible approach which takes account of a range of factors is adopted, providing the ability to apply a stricter sanction where the risk/implications justify a more robust disciplinary response. Therefore, all cases will be considered on their merits taking into account level of risk/potential implications for harm to other parties (including fellow employees, clients and general public), reputational damage and repeated incidences.
7.18 Where appropriate the employee will be offered help and support for drug or alcohol dependency but it may also be necessary for disciplinary action to be taken up to and including dismissal depending on the particular circumstances.
Declaration of Drug or Alcohol Dependency
7.19 A declaration of drug or alcohol dependency will not prevent or stall a disciplinary investigation or potential disciplinary action, if the declaration is made:
• after being selected for random testing; • after being advised of the requirement for ‘with cause’ testing; or • after a positive test result
7.20 Where such a declaration is made however, the employee will be referred to the council’s Occupational Health Adviser or an agreed external agency for confirmation that a dependency issue does exist. Where a dependency issue is confirmed, the employee will be supported in their recovery programme in accordance with section 6 of this policy.
7.21 A declaration of drug or alcohol dependency that is not prompted by testing arrangements or misconduct will not result in disciplinary action. The employee will be referred to the council’s Occupational Health Adviser or an agreed external agency and supported in their recovery programme in accordance with section 6 of this policy.
7.22 Drug and/or alcohol testing could additionally be used as part of an agreed recovery programme to support an employee in remaining drug and/or alcohol free.
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8. CONFIDENTIALITY
8.1 In all situations where an employee has undertaken alcohol/drug testing or has a potential or confirmed alcohol/drug misuse problem, confidentiality will be strictly preserved and only necessary information shared with those managing the situation. However, the council is obliged under the Misuse of Drugs Act 1971 to inform the police where illegal drugs are found on council premises.
9. CONSUMPTION OF ALCOHOL AND DRUGS DURING WORKING HOURS
9.1 The consumption of alcohol or drugs as defined in this policy is prohibited on council premises during working hours. This excludes prescribed and/or over the counter medication taken for a genuine medical reason and in accordance with directions for use subject to the need to observe health and safety rules.
9.2 In terms of the consumption of alcohol on council premises during working hours, an exception may be made where specific events are formally approved by the council, Chief Executive, Depute Chief Executive, or Head of Service at which the consumption of alcohol is expressly permitted in the particular circumstances. In these circumstances, employees are required to adhere to the standards of behaviour as set out in this policy, in the council’s Health and Safety Policy and as contained in any other relevant workplace rules.
9.3 Employees have a responsibility to ensure that any consumption of alcohol before starting work or during lunch-breaks does not:
• breach any specific requirements or controls regarding alcohol or drugs as determined as a result of workplace risk assessments
• impair their ability to work safely and effectively or to deal with customers or clients to the required standards.
9.4 The council reserves the right to impose a ban on the consumption of alcohol during the working day for certain categories of employee on safety, legal and/or operational grounds.
10. EQUALITY ACT 2010
10.1 Alcohol and drug misuse does not fall within the scope of the Equality Act 2010 (the Act). However, medical conditions resulting from or at the root cause of alcohol or drug misuse may be covered by the Act. In these circumstances, consideration must be given as to whether there is a requirement to make reasonable adjustments to support an employee with alcohol and/or drug dependency issues. The council’s Occupational Health Service can provide assistance in determining whether or not an employee is a disabled person in terms of the Act.
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11. HEALTH EDUCATION
11.1 The council will provide, when appropriate, relevant training as well as health education programmes aimed at making employees aware of the issues relating to addiction and encouraging employees to avoid alcohol and/or drug misuse.
11.2 The Employee Health and Wellbeing Framework requires services to have Employee Wellbeing Action Plans to support employees to achieve and maintain healthy working lives. This includes both general and specific actions relating to health promotion and health and safety.
12. LINKS TO OTHER POLICIES
12.1 This policy should be read in conjunction with the council’s Disciplinary Code, Corporate Health and Safety Policy, Policy for Supporting Attendance at Work and Guidance for Teaching Staff Attending School Events.
13. POLICY REVIEW
13.1 The council, in consultation with the recognised trade unions, will review this policy every 5 years or earlier as necessary.
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POLICY ON THE MISUSE OF ALCOHOL, DRUGS AND OTHER SUBSTANCES
OBSERVATION CHECKLIST
The list below can be used to record any observations at a specific time which may be linked to alcohol or drug use. However, it should be noted that these observations could be symptoms of other issues and should not automatically be construed as alcohol or drug use.
EMPLOYEE DETAILS Name: Post: Service Area: Work Location:
OBSERVATION DETAILS: Date: Time: Location: Trigger:
CHECKLIST: (circle any descriptions that apply)
Stumbling Staggering Falling WALKING Holding On Clumsy Swaying
Unsteady Unable to walk Uncoordinated
Swaying Rigid Unable to stand STANDING Feed Wide Apart Staggering
Shouting Silent Whispering SPEECH Slow Mute Slurred
Silly Talkative Nonsensical
Loud Rambling Cursing
FACE Flushed Pale Sweaty
Unruly Messy Dirty APPEARANCE/ CLOTHING Partially Dressed Dishevelled Unkempt
Stained Clothing Neat Body Odour
BREATH Smell of Alcohol Smell of Marijuana/other substance 13 Cooperative Polite Calm DATA LABEL: PUBLIC DEMEANOUR Crying Silent Excited
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Fighting Belligerent Hostile
Distracted Moody Depressed
Agitated Anxious Restless
Lethargic Withdrawn Irritable
Sleepy Sarcastic Unresponsive
Uncommunicative Fighting Threatening ACTIONS Calm Drowsy Blank
Swearing Hyperactive Hostile
Erratic Paranoid Fidgety
EYES Bloodshot Watery Glassy
Droopy Closed Blank
Constricted Pupils Dilated Pupils Teary
MOVEMENTS Fumbling Jerky Slow
Normal Nervous Hyperactive
Tremors Shakes
EATING/CHEWING Gum Sweets Mints
Mouthwash Breath Spray
OTHER OBSERVATIONS
MANAGER SIGNATURE: ______
DATE: ______
OTHER OBSERVER(S): ______
SIGNATURE: ______
DATE: ______
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Appendix 2
POSTS DESIGNATED AS SAFETY CRITICAL POSTS FOR RANDOM DRUG TESTING PURPOSES
OPERATIONAL SERVICES
Functional Post Type HGV PCV Operating Area Driving Driving Heavy Machinery
Fleet & Drivers Community Transport
Roads & Road Operatives Transportation Electricians
NETs, Land Grounds Maintenance Operatives and Street Cleansing Staff Countryside Arborist Team Cemeteries Country Parks Operatives
Recycling & Mechanics Waste Refuse Collection Staff Recycling Centre Staff Disposal Staff
HOUSING, CUSTOMER & BUILDING SERVICES
Functional Post Type HGV PCV Operating Area Driving Driving Heavy Machinery
Building Driver/Labourer Services Stores Operative Joiner Roofer Rough Caster Builder Plumber (including gas fitter) Electrician
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OTHER POSTS DESIGNATED AS SAFETY CRITICAL
Functional Post Type Safety Critical Area Function Education Drivers of School Mini Buses Transportation Services of Pupils
Social Policy Social Worker Transportation Family Support Worker of Vulnerable Early Years practitioner Clients Children’s Residential Worker Children’s residential Assistant Unit Managers Community Care Assistant Community Care Co-ordinators Adult day care centre officers level 2 Adult day care centre support workers Community Inclusion team key workers and support workers Learning Disability residential social care worker Learning Disability residential care worker DASAT woman’s worker DASAT children’s worker Inclusion and Aftercare key worker Criminal Justice Assistants Unpaid Work Order Supervisors Unpaid Work Order Officer Youth Strategy Worker
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Appendix 3
POLICY ON THE MISUSE OF ALCOHOL, DRUGS AND OTHER SUBSTANCES
INDICATIVE IMPLEMENTATION TIMELINE
Action/Activity Completed By Date
Council Executive Approval 23 April 2019
Workforce Communication & Awareness 30 June 2019 Programme
Drug Testing Product Procurement 31 July 2019
Managers Training/Tester Training 31 August 2019
Implementation of Alcohol & Drug Testing 1 September 2019
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PARTNERSHIP AND RESOURCES POLICY DEVELOPMENT AND SCRUTINY PANEL
EQUALITY MAINSTREAMING AND EQUALITY OUTCOMES PROGRESS REPORT 2017 - 2021
REPORT BY HEAD OF CORPORATE SERVICES
A. PURPOSE OF REPORT
To present an update on progress on delivering the Council’s Equality Mainstreaming Plan and Corporate Equalities Outcomes for 2017- 2021.
B. RECOMMENDATION
That the Panel note and comment on the terms of the progress report that it is intended will be forwarded to the Council Executive for approval.
C. SUMMARY OF IMPLICATIONS
I Council Values Focusing on our customers' needs Being honest, open and accountable Providing equality of opportunities Developing employees Making best use of our resources Working in partnership
II Policy and Legal (including The Equality Act 2010 (Specific Duties) Strategic Environmental (Scotland) Regulations 2012 requires public Assessment, Equality bodies to develop and publish an Equality Issues, Health or Risk Mainstreaming Report and Equality Outcomes Assessment) and to report on progress every two years.
In addition the council is required to publish a revised Equal Pay Statement every two years.
III Implications for Scheme of None Delegations to Officers 1
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IV Impact on performance and The Outcomes have been built into the council’s performance Indicators performance management information system.
V Relevance to Single Indicators have been mainstreamed and aligned Outcome Agreement with existing activity towards the council’s Corporate Plan, People Strategy and the West Lothian Single Outcome Agreement where appropriate.
VI Resources - (Financial, N/A Staffing and Property)
VII Consideration at It is intended that the report will be presented to PDSP/Council Executive the Council Executive on 23 April 2019.
VIII Other consultations All services through representation on the Corporate Working Group for Equality (CWGE) have been consulted. Consultation has also taken place with equality forums and other appropriate community groups.
D. TERMS OF REPORT
D.1 BACKGROUND
The Equality Act 2010 (Specific Duties) (Scotland) Regulations 2012 required public bodies to develop and publish an equality mainstreaming report and to report on progress every two years.
The Council’s Equality Mainstreaming Report and Outcome Plan for 2017- 2021 was published in April 2017. The attached report provides an update on the council’s progress in Mainstreaming Equality over the last two years and the activities that have been undertaken towards meeting the Corporate Equality Outcomes, along with a revised Equal Pay Statement and Employment Monitoring Statistics.
The 2017 – 2019 update report requires to be published following approval by Council Executive.
D.2 EQUALITY MAINSTREAMING
The council is committed to tackling discrimination, advancing equality of opportunity and promoting good relations both within our workforce and the wider community. Mainstreaming equality is the long term approach by which the council will integrate an equality perspective into the everyday work of the council. This approach involves managers and policy makers across council services, as well as equality specialists and community planning partners.
The council’s Corporate Management Team remain directly involved in decision making regarding the strategic management of equality and diversity within the council. A member of the Corporate Management Team is both chair of the Corporate Working Group on Equality (CWGE) and lead diversity champion for the authority.
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CWGE service representatives continue to coordinate service level activity and distribute service wide communications related to equality and diversity policy, initiatives and events. They can assist to resolve equality issues as they arise within individual services and feed into the corporate equality function where necessary.
The Council has made good progress in mainstreaming equality since the publication of our Equality Mainstreaming Report in 2017. A summary of activities undertaken by the Council is set out in the attached report under the key headings of Consultation and Engagement, the Council as an Employer, Learning and Development and Partnership Working.
D3. EQUALITY OUTCOMES
The council’s Equality Outcomes reflect a commitment to fulfilling statutory duties as well as proactively meeting the needs of the diverse community that it serves.
The council developed nine Corporate Equality Outcomes in 2017 as outlined within the Outcome Plan Update 2017 – 2019 appended to this report.
Since the introduction of our Equality Outcomes, West Lothian Council has undertaken considerable amounts of work to help move closer to achieving them. The update report provides details of progress against each equality outcome and the activities undertaken in working towards them.
E. CONCLUSION
The council has demonstrated significant progress towards its equality mainstreaming commitments and Corporate Equality Outcomes as outlined in the attached report.
The Panel are asked to note and comment on the terms of the update report prior to its consideration at Council Executive for approval and subsequent publication.
F. BACKGROUND REFERENCES
The Equality Act 2010 (Specific Duties) (Scotland) Regulations 2012 Equality Mainstreaming and Outcome Plan 2017-2021
Appendix : Equality Mainstreaming and Equality Outcomes Progress Report 2017-2019
Contact Person: Fraser Mackenzie, HR Manager – Policy & Advice (01506 281422)
Julie Whitelaw Head of Corporate Services Date: 5 April 2019
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APPENDIX
Equality Mainstreaming Progress Report 2017 - 2019
Corporate Services
April 2019
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Contents
Section Page
1. Foreword 3
2. West Lothian Context 4
3. Legal Context 4 - 5
4. Why Mainstreaming Equality is Important 5 - 6
5. Council Equality Outcomes 6 - 7
6. Progress on Mainstreaming Equality 7 - 12
Appendix 1 – Policy Statement on Equal Pay
Appendix 2 – Employment Monitoring Data and Analysis
Appendix 3 – Corporate Equality Outcomes Plan 2017 - 2019
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1 Foreword
This document presents West Lothian Council’s progress report on our equality mainstreaming commitments for the period of 2017 – 2019. Our f i r s t mainstreaming report was published in April 2013 with subsequent updates published as required by the Public Sector Equality Duty in Scotland.
The council is committed to tackling discrimination, advancing equality of opportunity and promoting good relations both within our workforce and the wider community. Mainstreaming equality is the process by which we will work towards achieving this as an organisation.
Our objective in mainstreaming equality is to integrate an equality perspective into the everyday work of the council, involving managers and policy makers across all council services, as well as equality specialists and community planning partners.
Equality mainstreaming is a long term approach that aims to make sure that policy making within the council is fully sensitive to the diverse needs and experiences of everyone affected. The approach will help to provide better information, transparency and openness in the way we make decisions about our services and resources.
The council recognises that mainstreaming requires leadership and commitment over the long term to the principles and processes of mainstreaming equality, as well as ownership and integration within every service and team across the Authority.
This report outlines the progress we have made in mainstreaming equality over the period of 2017 to 2019.
Councillor Lawrence Fitzpatrick Graham Hope Leader of the Council Chief Executive
April 2019
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2. West Lothian Context
2.1 West Lothian is a great place to live, work and do business, West Lothian Council aims to improve the quality of life and opportunities for all citizens. We are a top performing Council with a reputation for innovation, partnership working and customer focus.
West Lothian is the ninth largest local authority in Scotland serving a population of approximately 178,500, accounting for 3.3% of Scotland’s population and one of the fastest growing and youngest in the country.
The Council is central to the provision of services that affect people’s everyday lives, for example, housing, education, libraries, leisure and benefits. We therefore recognise that all services provided by the Council need to reflect and consider the impact that they may have on equality. We aim to provide improved services that meet the needs and priorities of local communities.
3. Legal Context
3.1 Public Sector Equality Duty Section 149 of The Equality Act 2010 came into force in April 2011, introducing a new Public Sector Equality duty. The Public Sector Equality Duty (often referred to as the ‘general duty’) requires public bodies in the exercise of their functions, to have due regard to the need to:
1. Eliminate unlawful discrimination, harassment and victimisation and other prohibited conduct
2. Advance equality of opportunity between those who share a protected characteristic and those who do not; and
3. Foster good relations between those who share a protected characteristic and those who do not 3.2 What are the Protected Characteristics? Everyone is protected by the Act. Every person has one or more of the protected characteristics, so the Act protects all of us against unfair treatment. The protected characteristics are: 1. Age 2. Disability 3. Gender reassignment 4. Pregnancy and maternity 5. Race – this includes ethnic or national origin, nationality and also includes Gypsy/Travellers. 6. Religion or belief – this includes a lack of belief 7. Sex (gender)
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8. Sexual orientation
9. Marriage and civil partnership (but only in respect of the duty to consciously consider the need to eliminate discrimination, harassment, victimisation and other conduct prohibited by The Equality Act 2010).
3.3 The Equality Act 2010 (Specific Duties) (Scotland) Regulations 2012 The Scottish Government has introduced a set of specific equality duties to support the better performance of the general duty by public bodies. These duties include requirements to:
Develop and publish a mainstreaming report
Publish equality outcomes and report on progress (at least every two years)
Assess and review policies and practices
Gather and use employee information
Publish gender pay gap information
Publish statements on equal pay
Consider award criteria and conditions in relation of public procurement
Publish in a manner that is accessible The Councils Equal Pay statement and our employment and gender pay gap information is provided in Appendix 1. The Councils Equality Outcome plan which details the equality outcomes and the progress made in the past two years (2017-2019) is provided in Appendix 2.
4. Why mainstreaming equality is important
Mainstreaming equality simply means integrating equality and diversity into the day-to-day workings of the council. We aim to do this by taking equality into account as we exercise our functions and deliver our services.
Mainstreaming equality has a number of benefits including:
It helps ensure that council services are fit for purpose and meet the needs of our community. It helps attract and retain a productive workforce, rich in diverse skills and talents. It helps the council work toward social inclusion and supports the communities we serve to improve the lives of everyone who lives in West Lothian. It helps the Council to continually improve and better perform through growing knowledge and understanding of the benefits of an inclusive organisation. 4.1 The Council as an Education Authority must also meet the requirements of the Equality Act 2010 and the (Specific Duties) (Scotland) Regulations 2012. The Council also administers the Licensing Board and must meet the requirements 5
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of the Act and Regulations when undertaking its duties in this regard. Accordingly, at relevant points within this report reference will be made to all three bodies. 5. Council Equality Outcomes
Under the Equality Act in Scotland, the council has a specific duty to produce a set of equality outcomes which are informed by engagement with different equality groups and stakeholders. The outcomes are designed to help the council achieve its vision and meet the general duty to eliminate discrimination and harassment; promote equality of opportunity and promote good relations.
5.1 What is an Equality Outcome?
An equality outcome is defined by the Equality and Human Rights Commission as a change that provides results for individuals or communities as a consequence of the action the council has taken.
Outcomes include short-term benefits such as changes in awareness, knowledge, skills and attitudes, and longer-term benefits such as changes in behaviours, decision-making, or social and environmental conditions.
5.2 Corporate Equality Outcomes
The Council’s Corporate Equality Outcomes have been developed through evidence gathering and engagement work. The Council’s Corporate Equality Outcomes are:
1 Employability and skills opportunities are accessible to the communities of West Lothian
2 Improved awareness of gender based violence and protection against violence
3 Raise awareness of Hate Crime to improve knowledge and confidence to report hate incidents
4 People with disabilities experience greater independence in their lives
5 Improve engagement and involvement of our communities in the decisions made by the council that affect them
6 West Lothian Council is recognised internally and externally as an equal opportunities employer
7 Children and young people in West Lothian’s schools feel safe, supported and able to be themselves
8 Improve awareness of carers and the issues they face when accessing services
9 Improve awareness of and access to information, assistance, advice and support to alleviate poverty and increase disposable income
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5.3 Corporate Plan 2018 – 2023
In setting the Equality Outcomes, the council have been mindful of the issues of proportionality, scale, severity and concern. Furthermore to maintain a consistent approach, our equality outcomes were developed to address the priorities of the Corporate Plan, these are as follows:-
Improving attainment and positive destinations Delivering positive outcomes and early interventions for early years Minimising poverty, the cycle of deprivation and promoting equality Improving the quality of life for older people Improving the employment position in West Lothian Delivering positive outcomes on health Reducing crime and improving community safety Protecting the built and natural environment
6. Progress on Mainstreaming Equality
6.1 The Council’s Executive and Corporate Management Teams continue to be directly involved in decision making regarding equality and diversity. The Council’s Corporate Working Group for Equality has taken forward responsibility for the monitoring and implementation of measures and actions to work towards the Equality Outcomes.
The Chair of the Corporate Working Group for Equality who is a member of the Corporate Management Team and Head of Corporate Services regularly updates the Human Resources Programme Board regarding our progress towards achieving our Equality Outcomes.
The Council has made good progress in mainstreaming equality since the publication of our update report in 2017. A summary of activities undertaken by the Council is set out in this section under the key headings of Consultation and Engagement, the Council as an Employer, Learning and Development and Partnership Working.
6.2 Consultation and Engagement
6.2.1 Corporate Activity
The Council has identified communication and engagement as a key activity in promoting and mainstreaming equalities in West Lothian. The Council has communicated and engaged with a wide range of services, partners and organisations to raise awareness share experiences and explore the challenges people face on a day to day basis.
In particular, the Council has worked with the following organisations:-
Skills Development Scotland to continue to develop a Modern Apprenticeship Scheme that supports underrepresented groups and young people with barriers to employment.
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The West Lothian Access Committee, continued work with this community group ensures that new build and refurbishment projects are designed and built with access at the core of design.
West Lothian Race Forum, the council and Edinburgh and Lothians Regional Equality Council (ELREC) delivered a cultural event to promote and celebrate Black History Month. This community event involving, food, speeches, music and dance showcased the importance of diverse communities.
West Lothian Faith Group held a ‘Pathways to Peace’ event as part of Scottish Interfaith Week. This community engagement event brought people together to talk about what peace means to them.
LGBT Youth Scotland an organisation who specialise in providing help support and guidance to young people and organisations to ensure people are welcomed, respected and valued. Our work with LGBT Youth Scotland has resulted in many of our schools achieving charter mark status.
Creative Scotland and Education Scotland to develop a West Lothian Creative Learning Network. This network develops creativity, shares case studies and models of good practice to highlight the benefits of participation in the arts.
The council continues to work closely with Stonewall Scotland to ensure we are an employer of choice for LGBT people.
6.2.2 Service Activity
Engagement on service specific activity takes place across the council to bring about agreement on and solutions to local issues in a number of ways, examples of which are:-
Service specific engagement events took place with regards to Transformational Change and employee feedback included in the wider consultation
Our Housing Needs team in partnership with Education Services, Police Scotland and The Conservation Society have established a Syrian Community Group, this group has allowed the Syrian refugees now resident in West Lothian to have say on service delivery and decisions that may affect them
Implementation of the Pupil Voice Strategy enabling pupils to engage in and make decisions which affect them
Development and implementation of a Corporate Parenting Plan to meet the needs of Looked after Children
6.3 The Council as an Employer
6.3.1 The Council’s People Strategy 2018 – 2023 recognises the positive difference our employees make to the everyday lives of West Lothian Citizens. Effectively recruiting, rewarding and retaining the right people will ensure that consistently 8
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high quality services continue to be delivered in the future. As the largest employer in West Lothian, we will continue to develop our reputation as an employer of choice and will strengthen a workplace culture that recognises employee contribution, values diversity and implements inclusive workforce practices.
The council also accepts its responsibility for ensuring the health, safety and welfare of employees whilst at work and we will work to support employees to develop resilience and achieve and maintain healthy working lives.
Outcome three of the People Strategy confirms the Council’s commitment to providing equality of opportunity both as a service provider and an employer. In this regard the council has made changes to the annual employee survey with a specific focus on equality and diversity questions relating to protected characteristics and has consulted with our employees with regard to how inclusive our workplace is for LGBT employees
The council recognises the benefits of a diverse workforce and is committed to the goal of eliminating discrimination and promoting equality and diversity across the organisation. Underpinning the People Strategy is a commitment to promote and celebrate diversity throughout the council by consulting, engaging and acting on the views and concerns of employees and embedding these issues into service delivery, policy development and employment practice.
6.3.2 Employee Health and Wellbeing Framework
The Council’s Employee Health and Wellbeing Framework is regarded as applying to employee physical and mental health both inside and outside of the workplace and is seen as supporting a positive feeling of general physical, emotional and psychological wellness.
The Framework supports Outcome 3 in the council’s People Strategy 2018/23 ‘ Being an Employer of Choice’ which highlights the council’s priorities in providing an inclusive and safe working environment whilst taking a proactive approach to ensuring there are positive outcomes for employee wellbeing.
Annual service action plans are targeted with regards to employee health and wellbeing, therefore enabling a proactive and inclusive approach.
6.3.3 Stonewall Diversity Champion
The Council continues to work very closely with Stonewall Scotland and submit to the Stonewall Workplace Equality Index to ensure we maintain our status as the top performing Local Authority in Scotland. For example we have changed our HR policies to use gender neutral and inclusive language and we have supported a number of key LGBT events i.e. West Lothian Pride, LGBT History Month, Transgender Day of Visibility (TDoV) and International Day Against Homophobia, Biphobia, Intersexism and Transphobia (IDAHOTBiT).
6.3.4 Disability Confident
The council continues to support and promote our Disability Confident status on all recruitment packs and on the recruitment portal.
9
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6.3.5 Flexible Working Hours Scheme
A review of the flexible working scheme has been undertaken, this now allows us to link applications for flexible working to employee equality data to enable more effective monitoring of the policy particularly for those with protected characteristics.
6.3.6 Corporate Working Group for Equality and Equality Champions
This group continues to drive forward the mainstreaming of equality into day to day service delivery. They are further supported by Equality Champions who are representative of the senior management teams within service areas and ensure that equality and diversity remains a focus for senior managers.
6.4 Learning and Development
6.4.1 The council is committed to continuous improvement in service delivery and recognises that the continuing ability, skills and commitment of our employees is at the heart of what we do. During 2017 – 2019 the council has invested in a variety of ways to train and raise awareness of issues relating to equality and diversity including:
Completed the roll out of Corporate Equality and Diversity training to all council employees
Introduction of an e-learning induction module for all new employees specifically relating to equality and diversity
Review of both face to face and e-learning training to ensure gender neutral and inclusive language is used
Review of the Recruitment and Selection training to raise awareness and embed equality and diversity into our processes to reflects best practice
Delivery of a bespoke ‘Lunch and Learn’ session by Stonewall Scotland to Construction Services employees to raise awareness of LGBT issues when accessing council services and buildings
6.5 Partnership Working
6.5.1 The council has a strong history of partnership working in all of its service areas.
Listed below are some examples of those partnerships and initiatives that promote equality:-
We continue to support the Citizens Panel; the Panel helps us identify people’s views on various aspects relating to living in West Lothian. A review of the panel was recently undertaken with particular focus on underrepresented groups. We also reviewed our equality monitoring questions to include sexual orientation and Trans identity to ensure Panel membership is broadly representative of the West Lothian community
Work in partnership with a number of community led equality groups to ensure they are involved in decisions that affect them 10
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Work in partnership with Carers of West Lothian (CoWL) to provide, an information and advice service to people with a disability
Work in partnership with Skills Development Scotland to develop an Equality and Diversity Action Plan
Multi agency work with Police Scotland, NHS Lothian, Crown Office and Procurator Fiscals Office (COPFS) and our own internal Social Policy and Education Services, to provide a protective framework for children and families affected by gender based violence
Work in partnership with Carers of West Lothian (CoWL) to deliver the Carers Strategy across West Lothian
Work in partnership with Advocacy organisations to deliver a service for people with mental health and / or addiction problems. This service helps with a range of issues such as detention, care and treatment, housing, family, financial and accessing legal assistance
Work in partnership with West Lothian Pride to deliver a community event that supports, promotes and celebrates the lives of LGBT people in West Lothian
11
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Appendix 1
Policy Statement on Equal Pay
Human Resources April 2019
1
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WEST LOTHIAN COUNCIL
POLICY STATEMENT ON EQUAL PAY
1. Statement of Intent
1.1 The council’s Policy on Equality - Employment and Service Provision sets out the organisation’s commitment to eliminate discrimination, advance equality of opportunity and promote good relations between different groups.
1.2 A key consideration in meeting that commitment is the need to ensure that the council’s pay, grading and benefit arrangements are transparent, based on objective criteria and free from unfair bias related to the protected characteristics covered by the Equality Act 2010. To achieve this objective the council will continuously monitor the application of its pay and grading systems with a view to identifying and eliminating any inequitable or unlawful pay practices.
1.3 The council will also monitor the application of other relevant employment policies and practices to ensure that they do not adversely impact on equality in respect of access to pay, benefits or career development.
1.4 By tackling the potential sources of pay discrimination and removing barriers to equality, the council believes it sends a positive message to both its workforce and customers alike.
2. Implementation
2.1 With appropriate resources, the policy will be implemented through the application of sound and legally robust pay and reward practices supported and complemented by the initiatives and measures set out in the council’s Corporate Equality Outcomes and Equality Mainstreaming Report.
2.2 Any proposed changes to pay and other associated employment practices will be subject to consultation with the recognised trade unions and other relevant stakeholders.
2.3 Following the implementation of Single Status across the Authority in 2007, the council operates measures to continue to monitor issues related to equal pay within the organisation.
3. Scope
3.1 This policy statement covers the four discrete employee groups comprising the council’s workforce. Pay and conditions of service for each of those groups derive from separate Schemes of Pay and Conditions of Service negotiated nationally and supplemented where appropriate by local collective agreements.
The national negotiating bodies are:
Scottish Joint Council for Local Government Employees; Scottish Joint Council for Craft Operatives; Scottish Negotiating Committee for Teachers; and Joint Negotiating Committee for Chief Officials of Local Authorities (Scotland).
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4. Specific Actions
4.1 In addition to addressing the priorities set out within the wider Corporate Equality Outcomes, the council is committed to implementing a number of other specific actions in relation to equal pay. Those actions are to:
In consultation with relevant trade unions, conduct regular equal pay reviews within the council and thereby:
- identify and understand the reasons for any differences in pay within and between employee groups;
- eliminate pay gaps/ differences that cannot satisfactorily be explained on grounds other than those relating to a protected characteristic;
Provide appropriate training and guidance on equal pay for those involved in determining pay and grading matters in terms of job evaluation, new appointments, progression, grievances and providing advice;
Gather evidence of the impact of caring responsibilities on the workforce, to identify whether career continuity and pay progression is being adversely affected, and set appropriate objectives for remedial action; and
Gather evidence on the extent of occupational segregation within the council and set appropriate objectives for remedial action as necessary.
5. Monitoring and Reporting
5.1 In accordance with the requirement under the Public Sector Equality Duty, to publish data on the gender pay gap every two years, data on gender pay and gender occupational segregation in the council will be addressed in the biennial review of this policy. Information on the recruitment, development and retention of employees will also be published every two years as part of the council’s Equality Mainstreaming Report.
5.2 Details of actions taken to implement the outcome of equality impact assessments will also be posted on the council’s website and as part of the council’s Equality Mainstreaming Report.
6. Review and Accountability
6.1 This policy will be reviewed every two years through involvement with all relevant stakeholders and reported to the Council’s Executive Committee.
6.2 The Head of Corporate Services, on behalf of the council’s Corporate Management Team, has overall responsibility for implementation of the commitments outlined within this policy.
3 - 69 -
7. Gender Pay Gap
7.1 The council’s gender pay gap as at January 2019 is set out below:
Gender Number Combined Average of Staff Hourly Rate Hourly Rate Female 5748 87,961.84 15.30 Male 2230 34,288.53 15.38 Total 7978 122,250.38 15.32 Mean Gender Pay Gap for All Employees 0.52 %
Standard Calculation
Male average salary – Female average salary = paygap (monetary)
15.38 – 15.30 = 0.08
Paygap (monetary) / male average salary x 100 = paygap (%)
0.08 / 15.38 x 100 = 0.52 %
West Lothian Council Gender Pay Gap = 0.52 %
7.2 The council’s mean gender pay gap for all employees has widened since last reported in the 2015 Equal Pay Statement when it was recorded as -1.21%. The council’s current pay gap is lower than the average rate for Scottish Local Authorities (4.14%) as reported in the 2016/17 Local Government Benchmarking Framework.
4 - 70 -
8. Occupational Segregation
8.1 The council recognises that occupational segregation is one of the key barriers which prevents women and men from fulfilling their potential, and consequently contributes to the gender pay gap.
8.2 At the same time it can have a damaging impact due to the segmentation of men and women into different types of employment; segmentation that can fail to make the most efficient use of the potential workforce, can contribute to skills deficits and can hold back productivity.
8.3 The challenge for the council is therefore to address the inherent issues relating to horizontal segregation in the service areas currently dominated by either female or male employees.
8.4 Occupational segregation has been identified within the council’s Corporate Equality Outcomes 2017-21 as one of nine significant priorities for focus over the period.
8.5 The tables below outline the council’s data on gender based occupational segregation. In addition, in line with the reporting requirements, information is provided on occupational segregation in relation to ethnicity and disability.
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WEST LOTHIAN COUNCIL OCCUPATIONAL SEGREGATION BY GENDER AS AT FEBRUARY 2017
Salary Bands
/ /
Grand Service Area Functional Area A B C D E F G H I J K L M N
Total
Chief Chief
Psych
Gender
Officers
Graduate Teachers Apprentice Chief Exec/Finance/Prop F - - - - 1 8 22 7 4 - - 1 ------43 Advice Shop
M 1 - - - - 6 2 4 1 ------14
Audit & Risk F ------1 - - 1 ------2 Management M ------2 1 1 - - - 1 - - - - 5
Chief Exec Office F ------1 - 2 2 ------5 Management & Supp M ------1 ------1
F ------1 2 3 - - - - 1 - - - - 7 Construction Services
M - - - 3 - - - 19 6 5 - 1 ------34
Estates M ------2 - - - - 1 ------3
F 1 - - - 7 - 4 3 5 3 1 3 ------27 Financial Management
M - - - - 3 1 2 4 1 1 1 1 - - 1 - - - 15
Management Team F ------1 ------1 Chief Exec M ------1 - - - - 1 Management Team CMT M ------1 - - 1 Management Team Finance & Estates M ------1 - - 1
Property Management & F - - - 1 - 5 - - 3 ------9 Development M - - - 2 6 - - 1 2 4 - 1 - 1 - - - - 17
F - - - 5 - 49 11 2 4 - 1 ------72 Revenues & Benefits
M - - - 1 - 16 10 1 2 - - - 1 - - - - - 31
Chief Executive/Finance/Property Total 2 - - 12 17 85 56 46 34 17 4 8 1 4 1 2 - - 289
6 DATA LABEL: PUBLIC - 72 -
Salary Bands
/ /
Grand Service Area Functional Area A B C D E F G H I J K L M N
Total
Chief Chief
Psych
Gender
Officers
Graduate Teachers Apprentice Corporate Services Corporate F - - - - 2 - 2 ------4 Communications M ------1 2 - 2 - - 1 - - - - - 6
F - 1 - 17 17 17 11 4 3 5 1 2 - - 1 - - - 79 HR & Support Services
M - - - 1 2 - 1 1 4 1 - 1 ------11
F - - - - 1 2 4 - 4 4 - - 1 - - - - - 16 Information Technology
M - - - - - 2 15 - 12 2 2 - - - 1 - - - 34
F - - - 2 - 4 - 9 4 1 3 - - - 1 - - - 24 Legal Services
M ------1 - 2 ------3 Management Team CMT M ------1 - - 1 Management Team Corporate Services F ------1 - - 1
Performance & F - - - 1 1 2 - 1 3 - - - 1 - - - - - 9 Improvement M - - - 1 - - - - 3 1 ------5
F - - - - 1 - - 3 3 2 ------9 Procurement
M ------1 - 1 ------2
Transformational F - 1 ------3 1 2 - 1 - - - - 8 Change M - 1 - - - - 1 - - 1 - - - 2 1 - - - 6
Corporate Services Total - 3 - 22 24 27 36 21 38 23 7 5 3 3 4 2 - - 218
7 DATA LABEL: PUBLIC - 73 -
Salary Bands
/ /
Grand Service Area Functional Area A B C D E F G H I J K L M N
Total
Chief Chief
Psych
Gender
Officers
Graduate Teachers Apprentice Education Services Active Schools & F ------10 2 ------12 Community Sport M ------6 1 ------7
Adult Basic Education F ------2 ------2
F - - - - 1 - - 11 1 - 1 ------14 Adult Learning
M ------2 2 ------4 ASN & Inclusion & Wellbeing F - - - - 1 2 - 1 - - - - - 1 - - - 2 7
F - - - - - 1 - 3 1 - 1 ------6 Community Arts
M - - - - 3 1 - 1 1 ------6 Community High Schools F - - - - - 3 - - 1 ------4
Community Youth F - - - 7 19 1 8 6 3 1 - 1 - - - - - 1 47 Services M - - - 4 12 2 2 3 3 ------26 Customer Care & Communications F - - - - - 1 ------1
F - - - - 1 1 1 1 3 1 ------15 23 Education Development
M ------2 ------3 5 Education Resources Team M ------1 ------1
F ------14 14 Instrumental Music
M ------12 12
F ------2 - 1 - - - - 1 - - - 7 11 Management & Support
M ------1 1 Management Team CMT F ------1 - - 1
Management Team F ------1 - - 1 Education Services M ------1 - - 1
8 DATA LABEL: PUBLIC - 74 -
Salary Bands
/ /
Grand Service Area Functional Area A B C D E F G H I J K L M N
Total
Chief Chief
Psych
Gender
Officers
Graduate Teachers Apprentice Education Services Nursery Schools (cont) F 1 - - 11 3 78 18 ------1 112
M - - - - - 1 ------1
PPP M ------1 ------1
F 3 58 - 430 102 160 65 - 1 ------1,066 1,885 Primary Schools
M - - - 8 - 1 ------101 110
F - - - - 1 1 ------11 - 13 Psychological Services
M ------1 - 1
F - - - - - 6 - 1 ------7 Pupil Placement
M ------1 1 ------2
F ------4 4 Schools PEF
M ------1 1
F - 3 - 158 19 15 20 - 5 10 ------585 815 Secondary Schools
M - - - 7 4 14 11 - 2 2 ------316 356
Special Education F - - - - - 2 2 ------1 5
F - - - 5 170 9 3 - 1 ------86 274 Special Schools
M - - - - 8 4 1 - - 1 ------23 37
F - - - - - 2 - - - - 1 ------1 4 Support Services
M ------1 ------1
Education Services Total 4 61 - 630 344 305 133 48 33 16 3 1 - 2 - 3 12 2,240 3,835
9 DATA LABEL: PUBLIC - 75 -
Salary Bands
/ /
Grand Service Area Functional Area A B C D E F G H I J K L M N
Total
Chief Chief
Psych
Gender
Officers
Graduate Teachers Apprentice Housing Customer & Building F 2 - - 3 7 9 4 3 ------28 Building Services
M 48 - - 29 29 190 74 26 9 1 2 - - 1 - - - - 409
Customer & Comm. F 1 - - 31 67 8 - 11 1 2 ------121 Services M - - - 7 23 2 1 2 - 1 - - - 1 - - - - 37
F - - - - 27 24 - 9 - 1 ------61 Customer Service
M - - - - 6 5 ------11
F - - - - 1 5 34 1 4 3 ------48 Housing Need
M - - - 1 - - 11 2 2 ------16
F - - - 1 - 1 16 33 5 - - - 1 - - - - - 57 Housing Operations
M - - - 1 - - 7 8 2 ------18
Housing Strategy & F - - - 1 - - - 1 - 3 ------5 Support M ------1 6 1 1 1 - 1 - 1 - - - 12
F ------1 6 - 2 - - 1 - - 1 - - 11 Performance & Change
M - - - - - 1 - 2 - 2 - 1 ------6
Housing Customer & Building Total 51 - - 74 160 245 149 110 24 16 3 1 3 2 1 1 - - 840
10 DATA LABEL: PUBLIC - 76 -
Salary Bands
/ /
Grand Service Area Functional Area A B C D E F G H I J K L M N
Total
Chief Chief
Psych
Gender
Officers
Graduate Teachers Apprentice Operational Services F - 521 43 21 68 2 3 - 2 ------660 Facilities Management
M 2 51 1 3 80 - 4 - 2 ------143
Fleet & Community F 1 - - 16 5 ------22 Transport M 1 - - 2 27 15 4 - 1 ------50
Inprint M - - - 2 ------2 Management Team Operational M ------1 - 1 - - 2
NETs Land & F - - - 5 2 4 - 2 1 - 1 ------15 Countryside M 11 - 28 22 49 70 17 13 2 2 1 - - - 1 - - - 216
F - - - - - 1 ------1 - - - - - 2 Public Transport
M ------1 ------1
F - - - 6 1 1 1 3 1 ------13 Roads & Transportation
M - - - 4 - 60 20 15 13 7 1 3 - - 1 - - - 124
F 1 - - 7 4 3 2 2 1 ------20 Support Services
M - - - 1 2 - 2 - 1 ------6
F - - - 1 2 - 2 - 2 - 1 ------8 Waste Services
M - - - 90 51 38 9 8 - - 1 1 - 1 - - - - 199 Operational Services Total 16 572 72 180 291 194 65 43 26 9 5 4 1 2 2 1 - - 1,483
11 DATA LABEL: PUBLIC - 77 -
Salary Bands
/ /
Grand Service Area Functional Area A B C D E F G H I J K L M N
Total
Chief Chief
Psych
Gender
Officers
Graduate Teachers Apprentice Planning Economic Community Development & Regeneration F 1 ------1 Regeneration Economic Development F 3 1 - - 3 1 10 12 5 3 1 ------39 & Regeneration M 2 - - - - 2 2 1 7 - 1 ------15
Environmental Health & F - - - - 1 - 4 - 6 ------11 Trading Standards M - - - - - 4 3 2 5 3 - 2 - - 1 - - - 20
Management Team F ------1 - - - 1 Planning & Econ Dev M ------1 - - 1
F - 1 - - 2 - - 2 2 1 1 - 1 - - - - - 10 Planning Services
M - - - 1 - - 2 2 7 4 4 - 1 - - - - - 21
Technical Support F - - - 3 2 1 - 1 1 ------8 Services M ------1 ------1
Planning Economic Dev & Regeneration Total 6 2 - 4 8 8 21 21 33 11 7 2 2 - 2 1 - - 128
Child & Early F - 4 - 6 7 6 62 27 23 8 1 1 ------145 Intervention M - - - 1 - - 7 16 8 1 1 1 ------35
Community Care Asses F - 7 - 125 6 57 74 9 40 8 - 1 ------327 & Prevention M - - - 4 - 7 12 1 6 9 - 2 ------41 Com Care Support & Services F - 55 - 132 17 115 19 5 36 9 - 1 ------389 Social Policy
M - 4 - 13 7 8 2 1 4 3 - 1 ------43
Management Team F ------1 - - 2 1 - - 4
M ------1 - - - 1 Young People & Public Protection F - - - 2 15 3 28 2 86 26 - 2 ------164
M - - - - - 4 12 2 13 5 ------36
Social Policy Total - 70 - 283 52 200 216 63 216 69 2 10 - - 3 1 - - 1,185
Grand Total 79 708 72 1,205 896 1,064 676 352 404 161 31 31 10 13 13 11 12 2,240 7,978 12 DATA LABEL: PUBLIC - 78 -
WEST LOTHIAN COUNCIL OCCUPATIONAL SEGREGATION BY ETHNICITY AS AT FEBRUARY 2017
Salary Bands
/ /
Grand Service Area Functional Area A B C D E F G H I J K L M N
Total
Chief Chief
Psych
Officers
Ethnicity
Graduate Teachers Apprentice
BME ------1 - 1 ------2 Chief Exec/Finance/Prop Advice Shop Other 1 - - - 1 14 23 11 4 - - 1 ------55
Audit & Risk BME ------0 Management Other ------3 1 1 1 - - 1 - - - - 7
Chief Exec Office BME ------0 Management & Supp Other ------2 - 2 2 ------6
BME ------0 Construction Services Other - - - 3 - - 1 21 9 5 - 1 - 1 - - - - 41
Estates BME ------0
Other ------2 - - - - 1 ------3
BME ------0 Financial Management Other 1 - - - 10 1 6 7 6 4 2 4 - - 1 - - - 42
Management Team BME ------0 Chief Exec Other ------1 - - - 1 - - - - 2
Management Team BME ------0 CMT Other ------1 - - 1
Management Team BME ------0 Finance & Estates Other ------1 - - 1
Property Management & BME ------0 Development Other - - - 3 6 5 - 1 5 4 - 1 - 1 - - - - 26
BME - - - - - 1 ------1 Revenues & Benefits Other - - - 6 - 64 21 3 6 - 1 - 1 - - - - - 102
Chief Executive/Finance/Property Total 2 - - 12 17 85 56 46 34 17 4 8 1 4 1 2 - - 289
13 DATA LABEL: PUBLIC - 79 -
Salary Bands
/ /
Grand Service Area Functional Area A B C D E F G H I J K L M N
Total
Chief Chief
Psych
Officers
Ethnicity
Graduate Teachers Apprentice Corporate Services Corporate BME ------0 Communications Other - - - - 2 - 3 2 - 2 - - 1 - - - - - 10
BME - - - - 1 ------1 HR & Support Services Other - 1 - 18 18 17 12 5 7 6 1 3 - - 1 - - - 89
BME ------0 Information Technology Other - - - - 1 4 19 - 16 6 2 - 1 - 1 - - - 50
BME ------1 ------1 Legal Services Other - - - 2 - 4 1 9 5 1 3 - - - 1 - - - 26 Management Team CMT BME ------0
Other ------1 - - 1 Management Team Corporate Services BME ------0
Other ------1 - - 1
Performance & BME ------0 Improvement Other - - - 2 1 2 - 1 6 1 - - 1 - - - - - 14
BME ------0 Procurement
Other - - - - 1 - - 4 3 3 ------11
Transformational BME - 1 ------1 Change Other - 1 - - - - 1 - - 4 1 2 - 3 1 - - - 13
Corporate Services Total - 3 - 22 24 27 36 21 38 23 7 5 3 3 4 2 - - 218
14 DATA LABEL: PUBLIC - 80 -
Salary Bands
/ /
Grand Service Area Functional Area A B C D E F G H I J K L M N
Total
Chief Chief
Psych
Officers
Ethnicity
Graduate Teachers Apprentice Education Services Active Schools & BME ------1 ------1 Community Sport Other ------16 2 ------18
Adult Basic Education BME ------0
Other ------2 ------2
BME ------0 Adult Learning Other - - - - 1 - - 13 3 - 1 ------18 ASN & Inclusion & Wellbeing BME ------0
Other - - - - 1 2 - 1 - - - - - 1 - - - 2 7
BME ------1 ------1 Community Arts Other - - - - 3 2 - 3 2 - 1 ------11 Community High Schools BME ------0
Other - - - - - 3 - - 1 ------4
Community Youth BME ------0 Services Other - - - 11 31 3 10 9 6 1 - 1 - - - - - 1 73 Customer Care & Communications BME ------0
Other - - - - - 1 ------1
BME ------0 Education Development
Other - - - - 1 1 1 1 5 1 ------18 28 Education Resources Team BME ------0
Other ------1 ------1
BME ------0 Instrumental Music Other ------26 26
BME ------0 Management & Support Other ------2 - 1 - - - - 1 - - - 8 12 15 DATA LABEL: PUBLIC - 81 -
Salary Bands
Grand Service Area Functional Area A B C D E F G H I J K L M N
Total
Chief Chief
Psych
Officers
Ethnicity
Teachers
/ Graduate Apprentice Management Team CMT BME ------
Other ------1 - - 1
Management Team BME ------Education Services Other ------2 - - 2 Education Services Nursery Schools (cont) BME - - - - - 1 ------1
Other 1 - - 11 3 78 18 ------1 112 PPP BME ------
Other ------1 ------1
BME - - - 8 ------18 26 Primary Schools Other 3 58 - 430 102 161 65 - 1 ------1149 1969
BME ------Psychological Services Other - - - - 1 1 ------12 - 14
Pupil Placement BME ------Other - - - - - 6 - 2 1 ------9
BME ------Schools PEF Other ------5 5
BME ------26 26 Secondary Schools Other - 3 - 165 23 29 31 - 7 12 ------875 1145
Special Education BME ------
Other - - - - - 2 2 ------1 5
BME - - - - 5 ------1 6 Special Schools Other - - - 5 173 13 4 - 1 1 ------108 305
BME ------Support Services Other - - - - - 2 - - - 1 1 ------1 5
2,24 Education Services Total 4 61 - 630 344 305 133 48 33 16 3 1 - 2 - 3 12 0 3,835
16 DATA LABEL: PUBLIC - 82 -
Salary Bands
/ /
Grand Service Area Functional Area A B C D E F G H I J K L M N
Total
Chief Chief
Psych
Gender
Officers
Graduate Teachers Apprentice Housing Customer & BME ------1 ------1 Building Building Services Other 50 - - 32 36 199 78 28 9 1 2 - - 1 - - - - 436
Customer & Comm. BME - - - - 1 ------1 Services Other 1 - - 38 89 10 1 13 1 3 - - - 1 - - - - 157
BME - - - - 1 1 ------2 Customer Service Other - - - - 32 28 - 9 - 1 ------70
BME - - - - - 1 2 ------3 Housing Need Other - - - 1 1 4 43 3 6 3 ------61
BME ------2 ------2 Housing Operations Other - - - 2 - 1 23 39 7 - - - 1 - - - - - 73
Housing Strategy & BME ------1 ------1 Support Other - - - 1 - - 1 7 1 4 - - 1 - 1 - - - 16
BME ------0 Performance & Change Other - - - - - 1 1 8 - 4 - 1 1 - - 1 - - 17
Housing Customer & Building Total 51 - - 74 160 245 149 110 24 16 3 1 3 2 1 1 - - 840
17 DATA LABEL: PUBLIC - 83 -
Salary Bands
/ /
Grand Service Area Functional Area A B C D E F G H I J K L M N
Total
Chief Chief
Psych
Officers
Ethnicity
Graduate Teachers Apprentice Operational Services BME - 7 2 ------9 Facilities Management Other 2 565 42 24 148 2 7 - 4 ------794
Fleet & Community BME - - - - 1 1 ------2 Transport Other 1 - - 18 31 14 1 - 1 ------70
Inprint BME ------0
Other - - - 2 ------2 Management Team Operational BME ------0
Other ------1 - 1 - - 2
NETs Land & BME - - - - - 1 ------1 Countryside Other 11 - 28 27 51 73 17 15 3 2 2 - - - 1 - - - 230
BME ------0 Public Transport Other - - - - - 1 1 - - - - - 1 - - - - - 3
BME ------0 Roads & Transportation Other - - - 10 1 61 21 18 14 7 1 3 - - 1 - - - 137
BME ------0 Support Services Other 1 - - 8 6 3 4 2 2 ------26
BME - - - - 1 ------0 Waste Services Other - - - 91 52 38 11 8 2 - 2 1 - 1 - - - - 206 Operational Services Total 16 572 72 180 291 194 65 43 26 9 5 4 1 2 2 1 - - 1,483
18 DATA LABEL: PUBLIC - 84 -
Salary Bands
/ /
Grand Service Area Functional Area A B C D E F G H I J K L M N
Total
Chief Chief
Psych
Officers
Ethnicity
Graduate Teachers Apprentice Planning Economic Community Development & Regeneration BME ------Regeneration Other 1 ------1
Economic Development BME ------1 ------1 & Regeneration Other 5 1 - - 3 3 12 13 11 3 2 ------53
Environmental Health & BME ------Trading Standards Other - - - - 1 4 7 2 11 3 - 2 - - 1 - - - 31
Management Team BME ------Planning & Econ Dev Other ------1 1 - - 2
BME ------1 ------1 Planning Services Other - 1 - 1 2 - 2 4 8 5 5 - 2 - - - - - 30
Technical Support BME ------Services Other - - - 3 2 1 - 2 1 ------9
Planning Economic Dev & Regeneration Total 6 2 - 4 8 8 21 21 33 11 7 2 2 - 2 1 - - 128
1 DATA LABEL: PUBLIC
- 85 -
Salary Bands
/ /
Grand Service Area Functional Area A B C D E F G H I J K L M N
Total
Chief Chief
Psych
Officers
Ethnicity
Graduate Teachers Apprentice
Child & Early BME ------1 1 ------2 Intervention Other - 4 - 7 7 6 69 43 30 8 2 2 ------178
Community Care Asses BME - - - 2 - 1 - - 2 1 ------6 & Prevention Other - 7 - 127 6 63 86 10 44 16 - 3 ------362 Com Care Support & Services BME - 3 - 5 - 2 ------10 Social Policy Other - 56 - 140 24 121 21 6 40 12 - 2 ------422
Management Team BME ------
Other ------1 ------1 Young People & Public Protection BME ------1 ------1
Other ------1 ------1
Social Policy Total - 70 - 283 52 200 216 63 216 69 2 10 - - 3 1 - - 1,185
Grand Total 79 708 72 1,205 896 1,064 676 352 404 161 31 31 10 13 13 11 12 2,240 7,978
2 DATA LABEL: PUBLIC
- 86 -
WEST LOTHIAN COUNCIL OCCUPATIONAL SEGREGATION BY DISABILITY AS AT JANUARY 2019
Number of Disabled Employees by Salary Bands
/
Service Area
A B C D E F G H I J K L M N Grand Total
Chief Chief
Psych
Officers
Graduate Teachers Apprentice
Chief Executive, Finance and Property - - - - 2 5 5 3 - - - 1 ------16
Corporate Services - - - - 1 3 3 - 2 1 ------10
Education Services - - - 14 3 6 6 3 1 2 ------1 26 62
Housing, Customer & Building Services - - - 2 4 2 3 4 ------15
Operational Services 1 1 - 4 14 10 1 1 ------32
Planning, Economic Development & Regeneration 1 - - - - - 1 1 1 ------4
Social Policy - 1 - 8 - 6 11 1 10 4 - 1 ------42
All Services 2 2 0 28 24 32 30 13 14 7 - 2 - - - - 1 26 181
3 DATA LABEL: PUBLIC
- 87 - Appendix 2
EMPLOYMENT MONITORING DATA AND ANALYSIS
The council has a statutory duty, as a public sector employer, to publish employment monitoring statistics in relation to the composition of its workforce and the recruitment, development and retention of its employees.
Information on the workforce has been gathered and reported on according protected characteristics and is provided in the tables below for the period 1 January 2017 to 31 December 2018.
Sources of Information
The council’s HR Management Information System has been used to gather and report on the following:
Staff currently in post Employees applying for and receiving training Employees involved in grievance, disciplinary or bullying and harassment cases Employees leaving the council
The National Recruitment Portal has been used to gather and report on the following:
Applicants for employment and promotion Candidates selected for interview Candidates successfully appointed
Monitoring Process Developments
The council continues to develop its equality monitoring processes to improve the quality and accuracy of the information held on employees and applicants for employment. The introduction of HR21, the self-service area of the HR Management Information System in late 2016 has resulted in more employees providing accurate equality monitoring information. For example, the number of employees reporting as disabled has almost doubled since the 2017 report going from 97 to 181 and the number of employees for whom we have no record of their sexual orientation reducing from 73% to 57%.
In addition, in 2018 the council amended the categories for the protected characteristic of gender in the recruitment monitoring information to allow applicants to select ‘other’ and to select their preferred pronoun. This change recognises that not all applicants will identify with the male or female gender and is recommended best practice by Stonewall Scotland in support of individuals who identify as Transgender. Further work will be carried out to make similar changes to the council’s HR Management Information System ensuring that the information gathered also meets the requirements of HMRC. HMRC currently record gender as Male or Female only.
New HR Management Information System - iTRENT
The current HR Management Information System will be replaced in the Spring of 2020 and it is anticipated that the introduction of the new system will enable improvements in the quality and quantity of the employment monitoring information. The new system will not only be accessible from council PCs but will be internet based and accessible by employees from home or on mobile devices. The improved accessibility will make it easier for employees to add or change monitoring information and will avoid the need for data input exercises that are inevitably subject to error.
The recruitment module of the new system will mean that applications for employment can be submitted directly on the council’s system rather than through the national portal. At present equality information is submitted by applicants on the national portal and the same
1 - 88 - Appendix 2 equality information has to be gathered on appointment from the successful applicant for the purposes of the HR Management Information System. Submitting applications directly on the council’s system will mean that equality information will follow the applicant through to appointment and form part of their employment record.
The new system will also hold improved training information enabling the council to report more accurately on employees accessing and receiving training.
Reporting employment monitoring information will be improved as a result of the new systems compatibility with other council systems and the ability to report on user defined fields.
Data Analysis and Highlights
Gender
The proportion of men and women working in the council has remained largely unchanged over the 12 years of monitoring with the workforce continuing to be split approximately 70% female, 30% male.
The static nature of the gender split of the workforce is perpetuated by the fact that the numbers of staff appointed and those leaving during 2017 and 2018 largely reflects the same gender split thereby maintaining the 70/30 ratio.
Despite the 70/30 gender split of the council’s workforce, the split of employees applying for and receiving corporate training was closer to a 60/40 split in both 2017 and 2018.
Similarly, the proportion of women and men involved in Grievance, Disciplinary and Bullying and Harassment cases often does not follow the 70/30 split of the workforce. However, this is not significant due to the small number of cases.
Ethnicity
The information held on HR21 indicates that approximately 67% of the council’s workforce is White-Scottish with only 1.4% of our workforce indicating that they are from a Black and Minority Ethnic (BME) background. The 2011 census reported that 2.5% of the West Lothian Community is from BME backgrounds.
Key to understanding whether these figures accurately represent the council’s workforce would be to reduce the percentage of employees who choose not to disclose their ethnic background (23.08%). Creating a culture where employees feel ‘safe’ disclosing their protected characteristics and helping employees to understand the value of disclosing such information will be vital in reducing the number of employees who choose not to disclose their protected characteristics.
In both 2017 and 2018 the percentage of applicants to the council from the BME community is not reflected in the percentage of successful candidates appointed. In 2017, there was a drop from 4.02% BME applicants to 2.65% BME successful candidates and similarly in 2018, there was a drop from 4.55% BME applicants to 2.02% BME successful candidates. These figures are representative of the trend in previous years and suggest a need for training to ensure that there is no discrimination occurring in the council’s recruitment processes.
In previous years, the percentage of leavers from the BME community has generally been representative of the overall workforce. This was the case in 2018 with 1.35% of leavers being from a BME background, but in 2017 there was an increase in the percentage of BME leavers at 2.15%.
2 - 89 - Appendix 2 Disability
In 2017 the council reported a gap in the information it holds on employees with a disability. At that time the HR Information system suggested that 1.2% of employees had a disability, while 7.5% of respondents in a diversity survey indicated that they have a disability. While the gap in information still exists, the HR Information system now has 2.27% of employees recorded as having a disability. Further work is therefore required to close the gap and ensure that employees are recording their protected characteristics via the self-serve function of the HR Information system.
Similar to the last reporting period, the most significant disability type reported by successful candidates during 2017 and 2018 is Learning Disability with 31.03% and 50% respectively. This is not however reflected in the information the council holds on current employees which reports the number of employees with a learning disability as only 9.39% and the most significant disability type reported as ‘a longstanding illness or other health condition’ at 23.20%. The number of current employees with a learning disability has increased however from 3.1% in 2017.
The recruitment information indicates that the Guaranteed Job Interview Scheme for applicants with a disability is continuing to work appropriately, with a higher percentage of interview candidates having a disability than the percentage of initial applicants.
Age
The information held on the age profile of the council is considered to be accurate with employee date of birth gathered at the time of appointment.
The age demographic of the council has remained relatively unchanged over the 12 years of equality monitoring despite the higher percentages of applicants from the lower age ranges. A third of all applicants in both 2017 and 2018 came from the 21-30 age bracket, while this age bracket only represents 13.91% of the current workforce.
The trend continues from 2015/16 with a third of all corporate training being delivered to employees aged 51-60 in both 2017 and 2018.
Sexual Orientation
There has been some improvement in the information held on the HR21 system on sexual orientation with the percentage of employees whose sexual orientation is unknown reducing from 74% to 57.7% since the last reporting period.
It is hoped that further improvement will be made with continued work to encourage employees to provide equality monitoring information on HR21 in terms of sexual orientation and other protected characteristics.
Religion or Belief
There has been some improvement in the information held on the HR21 system on religion or belief with the percentage of employees whose religion or belief is unknown reducing from 90% to 70.51% since the last reporting period.
It is hoped that further improvement will be made with continued work to encourage employees to provide equality monitoring information on HR21 in terms of religion or belief and other protected characteristics.
Caring Responsibilities
Information on employees with caring responsibilities was reported for the first time in the 2015/16 mainstreaming report. At that time only 472 employees had provided information on their caring responsibilities, this number has now increased to 1990. This represents an
3 - 90 - Appendix 2 increase from 5.83% to 24.95%. While this is a positive step forward, there remains three quarters of the workforce for whom their caring responsibilities are unknown. Such information is vital in determining how best to support the council’s workforce and is relevant to the council’s current review of flexible working arrangements.
Information on the caring responsibilities of applicants suggests that the recruitment process is free from discrimination relating to caring responsibilities. This is evidenced by percentage of applicants with caring responsibilities which remains relatively static throughout the process from application to appointment.
Gender Identity
Information on gender identity was reported for the first time in the 2015/16 mainstreaming report. At that time 484 employees had provided information on their gender identity, this number has now increased to 1729. Further work is required however to gather information from the 77.84% of employees for whom the council has no information on gender identity.
4 - 91 - Appendix 2 EMPLOYMENT MONITORING STATISTICS (1 January 2017 – 31 December 2018)
1. STAFF IN POST
The following tables contain equality monitoring information obtained from the councils HR Management Information System.
1.1 Employees in Post by Gender as at January 2019 Gender Number Percentage Female 5748 72.05 Male 2230 27.95 Prefer not to say 0 0 Unknown 0 0 Total 7978 100
1.2 Employees in Post by Ethnicity as at January 2019 Ethnicity Number Percentage White – Scottish 5331 66.82 White - Other British 354 4.44 White – Irish 70 0.88 White - Gypsy/ Traveller 0 0 White - Eastern European (e.g. Polish) 18 0.23 White - Other ethnic group 186 2.33 Any mixed or multiple ethnic group 19 0.24 Pakistani, Pakistani Scottish or Pakistani British 22 0.28 Indian, Indian Scottish or Indian British 16 0.20 Bangladeshi, Bangladeshi Scottish or Bangladeshi British 1 0.01 Chinese, Chinese Scottish or Chinese British 7 0.09 Other Asian 12 0.15 African, African Scottish or African British 14 0.18 Other African 0 0 Caribbean, Caribbean Scottish or Caribbean British 13 0.16 Black, Black Scottish or Black British 2 0.03 Other Caribbean or Black 0 0 Arab, Arab Scottish or Arab British 0 0 Other Arab 0 0 Other 8 0.10 Prefer not to say 1841 23.08 Unknown 64 0.80 Total 7978 100
1.3 Employees in post by Disability as at January 2019 Disability Number Percentage Yes 181 2.27 No 1975 24.76 Prefer not to say 45 0.56 Unknown 5777 72.41 Total 7978 100
1
- 92 - Appendix 2 1.4 Employees in post by Disability Type as at January 2019 Disability Type Number Percentage A learning disability 17 9.39 A longstanding illness or other health condition 42 23.20 A mental health condition 19 10.50 A physical impairment 16 8.84 Sensory impairment 17 9.39 Other condition 16 8.84 Prefer not to say 4 2.21 Unknown 50 27.62 Total 181 100
1.5 Employees in Post by Age as at January 2019 Age Number Percentage Under 21 91 1.14 21-30 1110 13.91 31-40 1649 20.67 41-50 2141 26.84 51-60 2349 29.44 61 Plus 638 8.00 Unknown 0 0 Total 7978 100
1.6 Employees in post by Sexual Orientation as at January 2019 Sexual Orientation Number Percentage Bisexual 25 0.31 Gay/Lesbian 61 0.76 Heterosexual/ straight 3156 39.56 Other 0 0 Prefer not to say 133 1.67 Unknown 4603 57.70 Total 7978 100
1.7 Employees in post by Religion or Belief as at January 2019 Religion or Belief Number Percentage None 1130 14.16 Church of Scotland 523 6.56 Roman Catholic 372 4.66 Other Christian 143 1.79 Muslim 10 0.13 Buddhist 6 0.08 Sikh 2 0.03 Jewish 2 0.03 Hindu 0 0 Humanist 11 0.14 Pagan 7 0.09 Other religion or belief 22 0.28 Prefer not to say 125 1.57 Unknown 5625 70.51 Total 7978 100
2
- 93 - Appendix 2 1.8 Employee in post by Caring Responsibility as at January 2019 Caring Responsibilities Number Percentage Yes (children under 18) 817 10.24 Yes other 128 1.60 No 1045 13.10 Prefer not to say 59 0.74 Unknown 5929 74.32 Total 7978 100
1.9 Employees in post by Gender Identity as at January 2019 The statistics in the table below are provided in response to the following question: Have you ever identified as a transgender person or as undergoing any part of the gender reassignment process?
Gender Identity Number Percentage Yes 116 1.45 No 1613 20.22 Prefer not to say 39 0.49 Unknown 6210 77.84 Total 7978 100
3
- 94 - Appendix 2 2. APPLICANTS FOR EMPLOYMENT
The following statistics are taken from the National Recruitment Portal.
2.1 GENDER
2.1.1 Applicants for Employment 1 January 2017 – 31 December 2017 by Gender Applicants for Selected for Successful GENDER Employment Interview Appointments No. % No. % No. % Female 5464 61.55 1579 61.46 768 61.64 Male 3217 36.24 874 34.02 383 30.74 Other 1 0.01 7 0.27 2 0.16 Prefer not to say 22 0.25 109 4.24 93 7.46 Unknown 174 1.96 0 0.00 0 0.00 Total 8878 100 2569 100 1246 100
2.1.2 Applicants for Employment 1 January 2018 – 31 December 2018 by Gender Applicants for Selected for Successful GENDER Employment Interview Appointments No. % No. % No. % Female 5809 68.12 1642 66.86 837 73.81 Male 2560 30.02 740 30.13 244 21.52 Other 1 0.01 0 0.00 0 0.00 Prefer not to say 26 0.30 9 0.37 5 0.44 Unknown 132 1.55 65 2.65 48 4.23 Total 8528 100 2456 100 1134 100
2.2 ETHNICITY
2.2.1 Applicants for Employment 1 January 2017 – 31 December 2017 by Ethnicity Applicants for Selected for Successful ETHNICITY Employment Interview Appointments No. % No. % No. % White – Scottish 7029 79.17 2033 79.14 962 77.21 White - Other British 689 7.76 213 8.29 94 7.54 White – Irish 84 0.95 23 0.90 12 0.96 White - Gypsy/ Traveller 2 0.02 1 0.04 0 0.00 White - Eastern European (e.g. Polish) 185 2.08 39 1.52 24 1.93 White - Other ethnic group 281 3.17 47 1.83 22 1.77 Any mixed or multiple ethnic group 40 0.45 10 0.39 3 0.24 Pakistani, Pakistani Scottish/British 78 0.88 19 0.74 9 0.72 Indian, Indian Scottish/British 40 0.45 7 0.27 2 0.16 Bangladeshi, Bangladeshi Scottish/British 9 0.10 5 0.19 2 0.16 Chinese, Chinese Scottish/British 26 0.29 5 0.19 4 0.32 Other Asian 27 0.30 10 0.39 8 0.64 African, African Scottish/British 31 0.35 5 0.19 1 0.08 Other African 64 0.72 17 0.66 2 0.16 Caribbean, Caribbean Scottish/British 3 0.03 0 0.00 0 0.00 Black, Black Scottish/British 20 0.23 2 0.08 1 0.08 Other Caribbean or Black 4 0.05 2 0.08 0 0.00 Arab, Arab Scottish/British 6 0.07 1 0.04 0 0.00 Other Arab 1 0.01 0 0.00 0 0.00 4
- 95 - Appendix 2 Applicants for Selected for Successful ETHNICITY Employment Interview Appointments No. % No. % No. % Other 8 0.09 3 0.12 1 0.08 Prefer not to say 66 0.74 15 0.58 2 0.16 Unknown 185 2.08 112 4.36 97 7.78 Total 8878 100 2569 100 1246 100
2.2.2 Applicants for Employment 1 January 2018 – 31 December 2018 by Ethnicity Applicants for Selected for Successful ETHNICITY Employment Interview Appointments No. % No. % No. % White – Scottish 6804 79.78 2004 81.60 930 82.01 White - Other British 596 6.99 183 7.45 76 6.70 White – Irish 57 0.67 17 0.69 6 0.53 White - Gypsy/ Traveller 0 0.00 0 0.00 0 0.00 White - Eastern European (e.g. Polish) 204 2.39 32 1.30 13 1.15 White - Other ethnic group 247 2.90 53 2.16 24 2.12 Any mixed or multiple ethnic group 39 0.46 8 0.33 4 0.35 Pakistani, Pakistani Scottish/British 85 1.00 17 0.69 4 0.35 Indian, Indian Scottish/British 90 1.06 10 0.41 4 0.35 Bangladeshi, Bangladeshi Scottish/British 1 0.01 0 0.00 0 0.00 Chinese, Chinese Scottish/British 26 0.30 7 0.29 2 0.18 Other Asian 28 0.33 4 0.16 2 0.18 African, African Scottish/British 35 0.41 8 0.33 1 0.09 Other African 43 0.50 8 0.33 2 0.18 Caribbean, Caribbean Scottish/British 8 0.09 3 0.12 1 0.09 Black, Black Scottish/British 17 0.20 4 0.16 1 0.09 Other Caribbean or Black 8 0.09 4 0.16 2 0.18 Arab, Arab Scottish/British 8 0.09 0 0.00 0 0.00 Other Arab 0 0.00 0 0.00 0 0.00 Other 0 0.00 0 0.00 0 0.00 Prefer not to say 60 0.70 17 0.69 8 0.71 Unknown 172 2.02 77 3.14 54 4.76 Total 8528 100 2456 100 1134 100
5
- 96 - Appendix 2 2.3 DISABILITY
2.3.1 Applicants for Employment 1 January 2017 – 31 December 2017 by Disability Applicants for Selected for Successful DISABILITY Employment Interview Appointments (8878) (2569) (1246) No. % No. % No. % Disabled 360 4.05 123 4.79 29 2.33
2.3.2 Applicants for Employment 1 January 2018 – 31 December 2018 by Disability Applicants for Selected for Successful DISABILITY Employment Interview Appointments (8528) (2456) (1134) No. % No. % No. % Disabled 353 4.14 110 4.48 26 2.29
2.3.3 Applicants for Employment 1 January 2017 – 31 December 2017 by Disability Type Applicants for Selected for Successful DISABILITY TYPE Employment Interview Appointments No. % No. % No. % Learning Disability 142 39.44 45 36.59 9 31.03 Longstanding Illness 51 14.17 23 18.70 5 17.24 Mental Health Condition 43 11.94 17 13.82 0 0.00 Physical Impairment 37 10.28 8 6.50 3 10.34 Sensory Impairment 26 7.22 12 9.76 2 6.90 Other 0 0.00 0 0.00 0 0.00 Prefer Not to Say 5 1.39 2 1.63 1 3.45 Unknown 56 15.56 16 13.01 9 31.03 Total 360 100 123 100 29 100
2.3.4 Applicants for Employment 1 January 2018 – 31 December 2018 by Disability Type Applicants for Selected for Successful DISABILITY TYPE Employment Interview Appointments No. % No. % No. % Learning Disability 105 29.75 42 38.18 13 50.00 Longstanding Illness 60 17.00 19 17.27 7 26.92 Mental Health Condition 43 12.18 11 10.00 0 0.00 Physical Impairment 47 13.31 13 11.82 3 11.54 Sensory Impairment 21 5.95 5 4.55 0 0.00 Other 0 0.00 0 0.00 0 0.00 Prefer Not to Say 5 1.42 1 0.91 0 0.00 Unknown 72 20.40 19 17.27 3 11.54 Total 353 100 110 100 26 100
6
- 97 - Appendix 2 2.4 AGE
2.4.1 Applicants for Employment 1 January 2017 – 31 December 2017 by Age Applicants for Selected for Successful AGE Employment Interview Appointments No. % No. % No. % Under 21 571 6.43 92 3.58 36 2.89 21-30 2580 29.06 607 23.63 315 25.28 31-40 2267 25.54 645 25.11 307 24.64 41-50 1663 18.73 599 23.32 288 23.11 51-60 1230 13.85 391 15.22 153 12.28 61 plus 269 3.03 87 3.39 41 3.29 Not Known 298 3.36 148 5.76 106 8.51 Total 8878 100 2569 100 1246 100
2.4.2 Applicants for Employment 1 January 2018– 31 December 2018 by Age Applicants for Selected for Successful AGE Employment Interview Appointments No. % No. % No. % Under 21 492 5.77 213 8.67 43 3.79 21-30 2557 29.98 546 22.23 277 24.43 31-40 2026 23.76 563 22.92 272 23.99 41-50 1848 21.67 570 23.21 284 25.04 51-60 1199 14.06 404 16.45 172 15.17 61 plus 202 2.39 76 3.09 35 3.09 Not Known 204 2.37 84 3.42 51 4.50 Total 8528 100 2456 100 1134 100
2.5 SEXUAL ORIENTATION
2.5.1 Applicants for Employment 1 January 2017 – 31 December 2017 by Sexual Orientation Applicants for Selected for Successful SEXUAL ORIENTATION Employment Interview Appointments No. % No. % No. % Bisexual 70 0.79 17 0.66 7 0.56 Gay/Lesbian 142 1.60 46 1.79 19 1.52 Heterosexual/Straight 8182 92.16 2294 89.30 1084 87.00 Unknown 222 2.50 130 5.06 103 8.27 Prefer not to say 248 2.79 78 3.04 33 2.65 Other 14 0.16 4 0.16 0 0.00 Totals 8878 100 2569 100 1246 100
7
- 98 - Appendix 2 2.5.2 Applicants for Employment 1 January 2018 – 31 December 2018 by Sexual Orientation Applicants for Selected for Successful SEXUAL ORIENTATION Employment Interview Appointments No. % No. % No. % Bisexual 89 1.04 15 0.61 7 0.62 Gay/Lesbian 137 1.61 32 1.30 12 1.06 Heterosexual/Straight 7875 92.34 2261 92.06 1024 90.30 Unknown 191 2.24 82 3.34 58 5.11 Prefer not to say 216 2.53 62 2.52 31 2.73 Other 20 0.23 4 0.16 2 0.18 Totals 8528 100 2456 100 1134 100
2.6 RELIGION OR BELIEF
2.6.1 Applicants for Employment 1 January 2017 – 31 December 2017 by Religion or Belief Applicants for Selected for Successful RELIGION OR BELIEF Employment Interview Appointments No. % No. % No. % Buddhist 22 0.25 6 0.23 4 0.32 Church of Scotland 1421 16.01 452 17.59 223 17.90 Hindu 13 0.15 9 0.35 9 0.72 Humanist 76 0.86 15 0.58 3 0.24 Jewish 0 0.00 0 0.00 0 0.00 Muslim 107 1.21 45 1.75 45 3.61 None 4528 51.00 1140 44.38 534 42.86 Other Christian 655 7.38 275 10.70 126 10.11 Other Religion/Belief 60 0.68 24 0.93 16 1.28 Pagan 7 0.08 2 0.08 2 0.16 Roman Catholic 1228 13.83 411 16.00 195 15.65 Sikh 7 0.08 5 0.19 4 0.32 Prefer Not to Say 451 5.08 160 6.23 79 6.34 Unknown 303 3.41 25 0.97 6 0.48 Total 8878 100 2569 100 1246 100
8
- 99 - Appendix 2 2.6.2 Applicants for Employment 1 January 2018 – 31 December 2018 by Religion or Belief Applicants for Selected for Successful RELIGION OR BELIEF Employment Interview Appointments No. % No. % No. % Buddhist 9 0.11 3 0.12 0 20.02 Church of Scotland 1359 15.94 440 17.92 227 0.18 Hindu 38 0.45 3 0.12 2 0.88 Humanist 68 0.80 24 0.98 10 0.00 Jewish 8 0.09 0 0.00 0 0.35 Muslim 119 1.40 18 0.73 4 47.35 None 4439 52.05 1204 49.02 537 5.64 Other Christian 596 6.99 171 6.96 64 0.26 Other Religion/Belief 67 0.79 19 0.77 3 0.09 Pagan 11 0.13 3 0.12 1 13.67 Roman Catholic 1125 13.19 332 13.52 155 0.00 Sikh 10 0.12 1 0.04 0 6.26 Prefer Not to Say 437 5.12 149 6.07 71 5.29 Unknown 242 2.84 89 3.62 60 20.02 Total 8528 100 2456 100 1134 100
2.7 CARING RESPONSIBILITIES
2.7.1 Applicants for Employment 1 January 2017 – 31 December 2017 by Caring Responsibilities Applicants for Selected for Successful CARING RESPONSIBILITIES Employment Interview Appointments No. % No. % No. % Yes (Children under 18) 3017 33.98 910 35.42 478 38.36 Yes (Other) 225 2.53 65 2.53 23 1.85 No 5362 60.40 1449 56.40 640 51.36 Prefer Not to Say 77 0.87 30 1.17 8 0.64 Unknown 197 2.22 115 4.48 97 7.78 Total 8878 100 2569 100 1246 100
2.7.2 Applicants for Employment 1 January 2018 – 31 December 2018 by Caring Responsibilities Applicants for Selected for Successful CARING RESPONSIBILITIES Employment Interview Appointments No. % No. % No. % Yes (Children under 18) 3076 36.07 855 34.81 447 39.42 Yes (Other) 217 2.54 81 3.30 31 2.73 No 5031 58.99 1435 58.43 601 53.00 Prefer Not to Say 60 0.70 18 0.73 7 0.62 Unknown 144 1.69 67 2.73 48 4.23 Total 8528 100 2456 100 1134 100
9
- 100 - Appendix 2
2.8 GENDER IDENTITY
2.8.1 Applicants for Employment 1 January 2017 – 31 December 2017 by Gender Identity The statistics in the table below are provided in response to the following question: Have you ever identified as a transgender person or as undergoing any part of the gender reassignment process?
Applicants for Selected for Successful GENDER IDENTITY Employment Interview Appointments No. % No. % No. % Yes 13 0.15 1 0.04 0 0.00 No 8613 97.02 2429 94.55 1143 91.73 Prefer Not to Say 56 0.63 23 0.90 7 0.56 Unknown 196 2.21 116 4.52 96 7.70 Total 8878 100 2569 100 1246 100
2.8.2 Applicants for Employment 1 January 2018 – 31 December 2018 by Gender Identity The statistics in the table below are provided in response to the following question: Have you ever identified as a transgender person or as undergoing any part of the gender reassignment process?
Applicants for Selected for Successful GENDER IDENTITY Employment Interview Appointments No. % No. % No. % Yes 13 0.15 0 0.00 0 0.00 No 8315 97.50 2370 96.50 1075 94.80 Prefer Not to Say 57 0.67 17 0.69 8 0.71 Unknown 143 1.68 69 2.81 51 4.50 Total 8528 100 2456 100 1134 100
10
- 101 - Appendix 2 3. APPLICANTS FOR PROMOTION
The following figures are taken from the National Recruitment Portal and are based on a candidate’s own determination as to whether the post they are applying for constitutes a promotion.
3.1 GENDER
3.1.1 Applicants for Promotion 1 January 2017 – 31 December 2017 by Gender Applicants for Selected for Successful GENDER Employment Interview Appointments No. % No. % No. % Female 524 68.05 238 68.00 105 67.74 Male 244 31.69 111 31.71 49 31.61 Other 0 0.00 0 0.00 0 0.00 Prefer not to say 0 0.00 0 0.00 0 0.00 Unknown 2 0.26 1 0.29 1 0.65 Total 770 100 350 100 155 100
3.1.2 Applicants for Promotion 1 January 2018 – 31 December 2018 by Gender Applicants for Selected for Successful GENDER Employment Interview Appointments No. % No. % No. % Female 445 68.78 218 72.19 120 78.95 Male 197 30.45 80 26.49 29 19.08 Unknown 3 0.46 2 0.66 1 0.66 Prefer not to say 2 0.31 2 0.66 2 1.32 Total 647 100 302 100 152 100
3.2 ETHNICTY
3.2.1 Applicants for Promotion 1 January 2017 – 31 December 2017 by Ethnicity Applicants for Selected for Successful ETHNICITY Employment Interview Appointments No. % No. % No. % White – Scottish 640 83.12 302 86.29 128 82.58 White - Other British 63 8.18 27 7.71 12 7.74 White – Irish 9 1.17 3 0.86 2 1.29 White - Gypsy/ Traveller 0 0.00 0 0.00 0 0.00 White - Eastern European (e.g. Polish) 28 3.64 6 1.71 5 3.23 White - Other ethnic group 10 1.30 2 0.57 2 1.29 Any mixed or multiple ethnic group 4 0.52 2 0.57 1 0.65 Pakistani, Pakistani Scottish/British 3 0.39 2 0.57 1 0.65 Indian, Indian Scottish/British 0 0.00 0 0.00 0 0.00 Bangladeshi, Bangladeshi Scottish/British 1 0.13 1 0.29 1 0.65 Chinese, Chinese Scottish/British 1 0.13 0 0.00 0 0.00 Other Asian 0 0.00 0 0.00 0 0.00 African, African Scottish/British 0 0.00 0 0.00 0 0.00 Other African 1 0.13 1 0.29 1 0.65 Caribbean, Caribbean Scottish/British 0 0.00 0 0.00 0 0.00 Black, Black Scottish/British 2 0.26 0 0.00 0 0.00 Other Caribbean or Black 0 0.00 0 0.00 0 0.00 Arab, Arab Scottish/British 0 0.00 0 0.00 0 0.00 11
- 102 - Appendix 2 Applicants for Selected for Successful ETHNICITY Employment Interview Appointments No. % No. % No. % Other Arab 0 0.00 0 0.00 0 0.00 Other 0 0.00 0 0.00 0 0.00 Prefer not to say 3 0.39 0 0.00 0 0.00 Unknown 5 0.65 4 1.14 2 1.29 Total 770 100 350 100 155 100
3.2.2 Applicants for Promotion 1 January 2018 – 31 December 2018 by Ethnicity ETHNICITY Applicants for Selected for Successful Employment Interview Appointments No. % No. % No. % White – Scottish 529 81.76 258 85.43 131 86.18 White - Other British 51 7.88 25 8.28 16 10.53 White – Irish 3 0.46 1 0.33 0 0.00 White - Gypsy/ Traveller 0 0.00 0 0.00 0 0.00 White - Eastern European (e.g. Polish) 26 4.02 4 1.32 0 0.00 White - Other ethnic group 13 2.01 3 0.99 1 0.66 Any mixed or multiple ethnic group 0 0.00 0 0.00 0 0.00 Pakistani, Pakistani Scottish/British 1 0.15 1 0.33 0 0.00 Indian, Indian Scottish/British 2 0.31 1 0.33 0 0.00 Bangladeshi, Bangladeshi Scottish/British 0 0.00 0 0.00 0 0.00 Chinese, Chinese Scottish/British 1 0.15 0 0.00 0 0.00 Other Asian 2 0.31 1 0.33 0 0.00 African, African Scottish/British 0 0.00 0 0.00 0 0.00 Other African 4 0.62 0 0.00 0 0.00 Caribbean, Caribbean Scottish/British 1 0.15 1 0.33 0 0.00 Black, Black Scottish/British 1 0.15 1 0.33 0 0.00 Other Caribbean or Black 0 0.00 0 0.00 0 0.00 Arab, Arab Scottish/British 0 0.00 0 0.00 0 0.00 Other Arab 0 0.00 0 0.00 0 0.00 Other 0 0.00 0 0.00 0 0.00 Prefer not to say 8 1.24 4 1.32 2 1.32 Unknown 5 0.77 2 0.66 2 1.32 Total 647 100 302 100 152 100
12
- 103 - Appendix 2 3.3 DISABILITY
3.3.1 Applicants for Promotion 1 January 2017 – 31 December 2017 by Disability Applicants for Selected for Successful DISABILITY Employment Interview Appointments (770) (350) (155) No. % No. % No. % Disabled 37 4.81 14 4.00 5 3.23
3.3.2 Applicants for Promotion 1 January 2018 – 31 December 2018 by Disability Applicants for Selected for Successful DISABILITY Employment Interview Appointments (647) (302) (152) No. % No. % No. % Disabled 26 4.02 16 5.30 5 3.29
3.3.3 Applicants for Promotion 1 January 2017 – 31 December 2017 by Disability Type Applicants for Selected for Successful DISABILITY TYPE Employment Interview Appointments No. % No. % No. % Learning Disability 22 59.46 5 35.71 2 40.00 Longstanding Illness 3 8.11 2 14.29 1 20.00 Mental Health Condition 3 8.11 3 21.43 0 0.00 Physical Impairment 2 5.41 1 7.14 1 20.00 Sensory Impairment 2 5.41 1 7.14 0 0.00 Other 0 0.00 0 0.00 0 0.00 Prefer Not to Say 1 2.70 1 7.14 0 0.00 Unknown 4 10.81 1 7.14 1 20.00 Total 37 100 14 100 5 100
3.3.4 Applicants for Promotion 1 January 2018 – 31 December 2018 by Disability Type Applicants for Selected for Successful DISABILITY TYPE Employment Interview Appointments No. % No. % No. % Learning Disability 9 34.62 7 43.75 1 20.00 Longstanding Illness 5 19.23 2 12.50 1 20.00 Mental Health Condition 1 3.85 0 0.00 0 0.00 Physical Impairment 3 11.54 2 12.50 1 20.00 Sensory Impairment 1 3.85 0 0.00 0 0.00 Other 0 0.00 0 0.00 0 0.00 Prefer Not to Say 0 0.00 0 0.00 0 0.00 Unknown 7 26.92 5 31.25 2 40.00 Total 26 100 16 100 5 100
13
- 104 - Appendix 2 3.4 AGE
3.4.1 Age Profile of Applicants for Promotion 1 January 2017 – 31 December 2017 Applicants for Selected for Successful AGE Employment Interview Appointments No. % No. % No. % Under 21 22 34.62 6 43.75 3 20.00 21-30 155 19.23 57 12.5 25 20.00 31-40 226 3.85 96 0 39 0.00 41-50 222 11.54 121 12.5 56 20.00 51-60 117 3.85 57 0 29 0.00 61 plus 15 0.00 6 0 1 0.00 Not known 13 0.00 7 0 2 0.00 Total 770 100 350 100 155 100
3.4.2 Age Profile of Applicants for Promotion 1 January 2018 – 31 December 2018 Applicants for Selected for Successful AGE Employment Interview Appointments No. % No. % No. % Under 21 18 2.78 3 0.99 1 0.66 21-30 134 20.71 53 17.55 28 18.42 31-40 175 27.05 82 27.15 39 25.66 41-50 185 28.59 84 27.81 49 32.24 51-60 121 18.70 70 23.18 29 19.08 61 plus 7 1.08 4 1.32 4 2.63 Not known 7 1.08 6 1.99 2 1.32 Total 647 100 302 100 152 100
3.5 SEXUAL ORIENTATION
3.5.1 Applicants for Promotion 1 January 2017 – 31 December 2017 by Sexual Orientation Applicants for Selected for Successful SEXUAL ORIENTATION Employment Interview Appointments No. % No. % No. % Bisexual 0 0.00 0 0.00 0 0.00 Gay/Lesbian 10 1.30 6 1.71 2 1.29 Heterosexual/Straight 722 93.77 326 93.14 145 93.55 Unknown 4 0.52 3 0.86 1 0.65 Prefer Not to Say 31 4.03 15 4.29 7 4.52 Other 3 0.39 0 0.00 0 0.00 Totals 770 100 350 100 155 100
14
- 105 - Appendix 2 3.5.2 Applicants for Promotion 1 January 2018 – 31 December 2018 by Sexual Orientation Applicants for Selected for Successful SEXUAL ORIENTATION Employment Interview Appointments No. % No. % No. % Bisexual 3 0.00 2 0.00 1 0.00 Gay/Lesbian 6 1.30 2 1.71 1 1.29 Heterosexual/Straight 613 93.77 288 93.14 142 93.55 Unknown 2 0.52 1 0.86 1 0.65 Prefer Not to Say 22 4.03 9 4.29 7 4.52 Other 1 0.39 0 0.00 0 0.00 Totals 647 100 302 100 152 100
3.6 RELIGION OR BELIEF
3.6.1 Applicants for Promotion 1 January 2017 – 31 December 2017 by Religion or Belief Applicants for Selected for Successful RELIGION OR BELIEF Employment Interview Appointments No. % No. % No. % Buddhist 1 0.13 0 0.00 0 0.00 Church of Scotland 155 20.13 76 21.71 37 23.87 Hindu 0 0.00 0 0.00 0 0.00 Humanist 2 0.26 2 0.57 1 0.65 Jewish 0 0.00 0 0.00 0 0.00 Muslim 3 0.39 2 0.57 1 0.65 None 361 46.88 160 45.71 71 45.81 Other Christian 63 8.18 22 6.29 11 7.10 Other Religion/Belief 9 1.17 3 0.86 2 1.29 Pagan 1 0.13 1 0.29 0 0.00 Roman Catholic 132 17.14 61 17.43 27 17.42 Sikh 0 0.00 0 0.00 0 0.00 Prefer Not to Say 35 4.55 17 4.86 2 1.29 Unknown 8 1.04 6 1.71 3 1.94 Total 770 100 350 100 155 100
15
- 106 - Appendix 2
3.6.2 Applicants for Promotion 1 January 2018 – 31 December 2018 by Religion or Belief
Applicants for Selected for Successful RELIGION OR BELIEF Employment Interview Appointments No. % No. % No. % Buddhist 0 0.00 0 0.00 0 0.00 Church of Scotland 147 22.72 72 23.84 34 22.37 Hindu 1 0.15 0 0.00 0 0.00 Humanist 1 0.15 1 0.33 1 0.66 Jewish 0 0.00 0 0.00 0 0.00 Muslim 1 0.15 1 0.33 0 0.00 None 296 45.75 140 46.36 71 46.71 Other Christian 59 9.12 23 7.62 12 7.89 Other Religion/Belief 4 0.62 2 0.66 0 0.00 Pagan 2 0.31 0 0.00 0 0.00 Roman Catholic 93 14.37 43 14.24 20 13.16 Sikh 0 0.00 0 0.00 0 0.00 Prefer Not to Say 36 5.56 17 5.63 12 7.89 Unknown 7 1.08 3 0.99 2 1.32 Total 647 100 302 100 152 100
3.7 CARING RESPONSIBILITIES
3.7.1 Applicants for Promotion 1 January 2017 – 31 December 2017 by Caring Responsibilities Applicants for Selected for Successful CARING RESPONSIBILITIES Employment Interview Appointments No. % No. % No. % Yes (Children under 18) 336 43.64 149 42.57 71 45.81 Yes (Other) 23 2.99 11 3.14 3 1.94 No 403 52.34 183 52.29 79 50.97 Prefer Not to Say 6 0.78 5 1.43 0 0.00 Unknown 2 0.26 2 0.57 2 1.29 Total 770 100 350 100 155 100
3.7.2 Applicants for Promotion 1 January 2018 – 31 December 2018 by Caring Responsibilities Applicants for Selected for Successful CARING RESPONSIBILITIES Employment Interview Appointments No. % No. % No. % Yes (Children under 18) 228 35.24 119 39.40 65 42.76 Yes (Other) 31 4.79 16 5.30 5 3.29 No 382 59.04 163 53.97 79 51.97 Prefer Not to Say 5 0.77 3 0.99 2 1.32 Unknown 1 0.15 1 0.33 1 0.66 Total 647 100 302 100 152 100
16
- 107 - Appendix 2 3.8 GENDER IDENTITY
3.8.1 Applicants for Promotion 1 January 2017 – 31 December 2017 by Gender Identity
The statistics in the table below are provided in response to the following question: Have you ever identified as a transgender person or as undergoing any part of the gender reassignment process?
Applicants for Selected for Successful GENDER IDENTITY Employment Interview Appointments No. % No. % No. % Yes 3 0.39 0 0.00 0 0.00 No 750 97.40 340 97.14 152 98.06 Prefer Not to Say 13 1.69 8 2.29 2 1.29 Unknown 4 0.52 2 0.57 1 0.65 Total 770 100 350 100 155 100
3.8.2 Applicants for Promotion 1 January 2018 – 31 December 2018 by Gender Identity
The statistics in the table below are provided in response to the following question: Have you ever identified as a transgender person or as undergoing any part of the gender reassignment process?
Applicants for Selected for Successful GENDER IDENTITY Employment Interview Appointments No. % No. % No. % Yes 1 0.15 0 0.00 0 0.00 No 636 98.30 297 98.34 147 96.71 Prefer Not to Say 8 1.24 4 1.32 4 2.63 Unknown 2 0.31 1 0.33 1 0.66 Total 647 100 302 100 152 100
17
- 108 - Appendix 2 4. EMPLOYEES APPLYING FOR AND RECEIVING TRAINING
The table below contains information on employees who have received training centrally. The majority of training carried out centrally is mandatory. Therefore, there have not been any employees who have applied for training centrally who have not received the training or are currently awaiting the training.
4.1 Employees who applied for and received training during period 1 January 2017 – 31 December 2017 ETHNICITY Number Proportion (%) White – Scottish 3120 67.69 White - Other British 189 4.10 White – Irish 42 0.91 White - Gypsy/ Traveller 0 0 White - Eastern European (e.g. Polish) 5 0.11 White - Other ethnic group 106 2.30 Any mixed or multiple ethnic group 9 0.20 Pakistani, Pakistani Scottish/British 10 0.22 Indian, Indian Scottish/British 4 0.09 Bangladeshi, Bangladeshi Scottish/British 2 0.04 Chinese, Chinese Scottish/British 2 0.04 Other Asian 6 0.13 African, African Scottish/British 6 0.13 Other African 0 0 Caribbean, Caribbean Scottish/British 8 0.17 Black, Black Scottish/British 1 0.02 Other Caribbean or Black 0 0 Arab, Arab Scottish/British 0 0 Other Arab 0 0 Other 5 0.11 Prefer not to say 1094 23.74 Unknown 0 0
GENDER Number Proportion (%) Female 2896 62.83 Male 1713 37.17 Unknown 0 0
DISABILITY Number Proportion (%) Number of Disabled Employees 106 2.30
AGE Number Proportion (%) Under 21 61 1.32 21 - 30 573 12.43 31 - 40 775 16.81 41 - 50 1169 25.36 51 - 60 1489 32.31 61 plus 542 11.76 Unknown 0 0
18
- 109 - Appendix 2
SEXUAL ORIENTATION Number Proportion (%) Bisexual 11 0.24 Gay/Lesbian 30 0.65 Heterosexual/Straight 1654 35.89 Prefer Not to Say 63 1.37 Unknown 2851 61.86
RELIGION OR BELIEF Number Proportion (%) Buddhist 2 0.04 Church of Scotland 290 6.29 Hindu 1 0.02 Humanist 4 0.09 Jewish 1 0.02 Muslim 4 0.09 None 517 11.22 Other Christian 53 75.76 Other Religion/Belief 10 0.22 Pagan 6 0.13 Roman Catholic 168 3.65 Sikh 1 0.02 Prefer Not to Say 60 1.30 Unknown 3492 75.76
CARING RESPONSIBILITY Number Proportion (%) No 457 9.92 Yes (children under 18) 356 7.72 Yes (other) 86 1.87 Prefer Not to Say 29 0.63 Unknown 3681 79.87
GENDER IDENTITY Number Proportion (%) Yes 6 0.13 No 840 18.23 Prefer Not to Say 23 0.50 Unknown 3740 81.15
19
- 110 - Appendix 2 4.2 Employees who applied for and received training during period 1 January 2018 – 31 December 2018 ETHNICITY Number Proportion (%) White – Scottish 2978 67.36 White - Other British 183 4.14 White – Irish 34 0.77 White - Gypsy/ Traveller 0 0.00 White - Eastern European (e.g. Polish) 9 0.20 White - Other ethnic group 89 2.01 Any mixed or multiple ethnic group 11 0.25 Pakistani, Pakistani Scottish/British 12 0.27 Indian, Indian Scottish/British 6 0.14 Bangladeshi, Bangladeshi Scottish/British 1 0.02 Chinese, Chinese Scottish/British 4 0.09 Other Asian 10 0.23 African, African Scottish/British 12 0.27 Other African 0 0.00 Caribbean, Caribbean Scottish/British 6 0.14 Black, Black Scottish/British 3 0.07 Other Caribbean or Black 0 0.00 Arab, Arab Scottish/British 0 0.00 Other Arab 0 0.00 Other 6 0.14 Prefer not to say 1031 23.32 Unknown 26 0.59
GENDER Number Proportion (%) Female 2796 63.24 Male 1625 36.76 Unknown 0 0.00
DISABILITY Number Proportion (%) Number of Disabled Employees 102 2.31
AGE Number Proportion (%) Under 21 78 1.76 21 - 30 579 13.10 31 - 40 770 17.42 41 - 50 1172 26.51 51 - 60 1401 31.69 61 plus 421 9.52 Unknown 0 0.00
SEXUAL ORIENTATION Number Proportion (%) Bisexual 15 0.34 Gay/Lesbian 33 0.75 Heterosexual/Straight 1755 39.70 Prefer Not to Say 58 1.31 Unknown 2560 57.91
20
- 111 - Appendix 2 RELIGION OR BELIEF Number Proportion (%) Buddhist 2 0.05 Church of Scotland 301 6.81 Hindu 0 0.00 Humanist 5 0.11 Jewish 0 0.00 Muslim 10 0.23 None 684 15.47 Other Christian 61 1.38 Other Religion/Belief 11 0.25 Pagan 5 0.11 Roman Catholic 192 4.34 Sikh 1 0.02 Prefer Not to Say 63 1.43 Unknown 3086 69.80
CARING RESPONSIBILITY Number Proportion (%) No 619 14.00 Yes (children under 18) 453 10.25 Yes (other) 82 1.85 Prefer Not to Say 29 0.66 Unknown 3238 73.24
GENDER IDENTITY Number Proportion (%) Yes 17 0.38 No 972 21.99 Prefer Not to Say 23 0.52 Unknown 3409 77.11
21
- 112 - Appendix 2 5. GRIEVANCE, DISCIPLINE AND BULLYING & HARASSMENT
The total number of employees involved in grievance procedures, who were the subject of disciplinary procedures or who raised Bullying & Harassment at work complaints was as follows:
5.1 Grievance Procedures, Disciplinary Procedures and Bullying & Harassment Complaints for period 1 January 2017 – 31 December 2017 Grievance Disciplinary Bullying & Harassment ETHNICITY No. % No. % No. % White – Scottish 16 76.19 33 73.33 5 62.50 White - Other British 1 4.76 1 0.00 0 0.00 White – Irish 2 9.52 0 0.00 0 0.00 White - Gypsy/ Traveller 0 0.00 0 0.00 0 0.00 White - Eastern European (e.g. Polish) 0 0.00 0 0.00 0 0.00 White - Other ethnic group 0 0.00 2 4.44 0 0.00 Any mixed or multiple ethnic group 0 0.00 0 0.00 0 0.00 Pakistani, Pakistani Scottish/British 0 0.00 0 0.00 0 0.00 Indian, Indian Scottish/British 0 0.00 0 0.00 0 0.00 Bangladeshi, Bangladeshi Scottish/British 0 0.00 0 0.00 0 0.00 Chinese, Chinese Scottish/British 0 0.00 0 0.00 0 0.00 Other Asian 0 0.00 0 0.00 0 0.00 African, African Scottish/British 0 0.00 0 0.00 0 0.00 Other African 0 0.00 0 0.00 0 0.00 Caribbean, Caribbean Scottish/British 0 0.00 1 2.22 0 0.00 Black, Black Scottish/British 0 0.00 0 0.00 0 0.00 Other Caribbean or Black 0 0.00 0 0.00 0 0.00 Arab, Arab Scottish/British 0 0.00 0 0.00 0 0.00 Other Arab 0 0.00 0 0.00 0 0.00 Other 0 0.00 1 2.22 0 0.00 Prefer not to say 2 9.52 7 15.56 3 37.50 Unknown
GENDER No. % No. % No. % Female 5 23.81 17 37.78 5 62.50 Male 16 76.19 28 62.22 3 37.50
DISABILITY No. % No. % No. % Number of Disabled Employees 7 33.33 3 6.67 0 0.00
AGE No. % No. % No. % Under 21 0 0.00 1 2.22 0 0.00 21 – 30 0 0.00 5 11.11 1 12.50 31 – 40 2 9.52 9 20.00 2 25.00 41 – 50 7 33.33 6 13.33 1 12.50 51 – 60 12 57.14 19 42.22 4 50.00 61 plus 0 0.00 5 11.11 0 0.00
22
- 113 - Appendix 2
SEXUAL ORIENTATION No. % No. % No. % Bisexual 0 0.00 0 0.00 0 0.00 Gay/Lesbian 1 4.76 0 0.00 0 0.00 Heterosexual/Straight 11 52.38 11 24.44 4 50.00 Prefer Not to Say 0 0.00 0 0.00 0 0.00 Unknown 9 42.86 34 75.56 4 50.00
RELIGION OR BELIEF No. % No. % No. % Buddhist 0 0.00 0 0.00 0 0.00 Church of Scotland 1 4.76 3 6.67 1 12.50 Hindu 0 0.00 0 0.00 0 0.00 Humanist 0 0.00 0 0.00 0 0.00 Jewish 0 0.00 0 0.00 0 0.00 Muslim 0 0.00 0 0.00 0 0.00 None 7 33.33 4 8.89 2 25.00 Other Christian 0 0.00 0 0.00 0 0.00 Other Religion/Belief 0 0.00 0 0.00 0 0.00 Pagan 0 0.00 0 0.00 0 0.00 Roman Catholic 1 4.76 2 4.44 1 12.50 Sikh 0 0.00 0 0.00 0 0.00 Prefer Not to Say 1 4.76 0 0.00 0 0.00 Unknown 11 52.38 36 80.00 4 50.00
CARING RESPONSIBILITY No. % No. % No. % No 4 19.05 3 6.67 3 37.50 Yes (children under 18) 0 0.00 2 4.44 0 0.00 Yes (other) 6 28.57 0 0.00 1 12.50 Prefer Not to Say 0 0.00 0 0.00 0 0.00 Unknown 11 52.38 40 88.89 4 50.00
GENDER IDENTITY No. % No. % No. % Yes 0 0.00 0 0.00 0 0.00 No 8 38.10 5 11.11 4 50.00 Prefer Not to Say 0 0.00 0 0.00 0 0.00 Unknown 13 61.90 40 88.89 4 50.00
23
- 114 - Appendix 2 5.2 Grievance Procedures, Disciplinary Procedures and Bullying & Harassment Complaints for period 1 January 2018 – 31 December 2018 Grievance Disciplinary Bullying & Harassment ETHNICITY No. % No. % No. % White – Scottish 18 72.00 42 66.67 5 100 White - Other British 1 4.00 5 7.94 0 0.00 White – Irish 0 0.00 0 0.00 0 0.00 White - Gypsy/ Traveller 0 0.00 0 0.00 0 0.00 White - Eastern European (e.g. Polish) 0 0.00 0 0.00 0 0.00 White - Other ethnic group 1 4.00 0 0.00 0 0.00 Any mixed or multiple ethnic group 0 0.00 0 0.00 0 0.00 Pakistani, Pakistani Scottish/British 0 0.00 0 0.00 0 0.00 Indian, Indian Scottish/British 0 0.00 0 0.00 0 0.00 Bangladeshi, Bangladeshi Scottish/British 0 0.00 0 0.00 0 0.00 Chinese, Chinese Scottish/British 0 0.00 0 0.00 0 0.00 Other Asian 0 0.00 0 0.00 0 0.00 African, African Scottish/British 0 0.00 0 0.00 0 0.00 Other African 0 0.00 0 0.00 0 0.00 Caribbean, Caribbean Scottish/British 0 0.00 0 0.00 0 0.00 Black, Black Scottish/British 0 0.00 0 0.00 0 0.00 Other Caribbean or Black 0 0.00 0 0.00 0 0.00 Arab, Arab Scottish/British 0 0.00 0 0.00 0 0.00 Other Arab 0 0.00 0 0.00 0 0.00 Other 0 0.00 1 1.59 0 0.00 Prefer not to say 5 20.00 15 23.81 0 0.00 Unknown 0 0.00 0 0.00 0 0.00
GENDER No. % No. % No. % Female 12 48.00 16 25.40 1 20.00 Male 13 52.00 47 74.60 4 80.00
DISABILITY No. % No. % No. % Number of Disabled Employees 1 4.00 2 3.17 0 0.00
AGE No. % No. % No. % Under 21 0 0.00 2 3.17 0 0.00 21 – 30 4 16.00 13 20.63 1 20.00 31 – 40 3 12.00 13 20.63 0 0.00 41 – 50 5 20.00 14 22.22 2 40.00 51 – 60 11 44.00 15 23.81 2 40.00 61 plus 2 8.00 6 9.52 0 0.00
SEXUAL ORIENTATION No. % No. % No. % Bisexual 0 0.00 0 0.00 0 0.00 Gay/Lesbian 0 0.00 1 1.59 0 0.00 Heterosexual/Straight 14 56.00 26 41.27 1 20.00 Prefer Not to Say 0 0.00 0 0.00 0 0.00 Unknown 11 44.00 36 57.14 4 80.00
24
- 115 - Appendix 2 RELIGION OR BELIEF No. % No. % No. % Buddhist 0 0.00 0 0.00 0 0.00 Church of Scotland 3 12.00 3 4.76 0 0.00 Hindu 0 0.00 0 0.00 0 0.00 Humanist 0 0.00 0 0.00 0 0.00 Jewish 0 0.00 0 0.00 0 0.00 Muslim 0 0.00 0 0.00 0 0.00 None 2 8.00 9 14.29 0 0.00 Other Christian 0 0.00 1 1.59 0 0.00 Other Religion/Belief 0 0.00 0 0.00 0 0.00 Pagan 1 4.00 0 0.00 1 20.00 Roman Catholic 4 16.00 2 3.17 0 0.00 Sikh 0 0.00 0 0.00 0 0.00 Prefer Not to Say 0 0.00 0 0.00 0 0.00 Unknown 15 60.00 48 76.19 4 80.00
CARING RESPONSIBILITY No. % No. % No. % No 8 32.00 9 14.29 1 20.00 Yes (children under 18) 0 0.00 5 7.94 0 0.00 Yes (other) 2 8.00 1 1.59 0 0.00 Prefer Not to Say 0 0.00 0 0.00 0 0.00 Unknown 15 60.00 48 76.19 4 80.00
GENDER IDENTITY No. % No. % No. % Yes 1 4.00 0 0.00 0 0.00 No 0 0.00 5 7.94 1 20.00 Prefer Not to Say 0 0.00 0 0.00 0 0.00 Unknown 24 96.00 58 92.06 4 80.00
25
- 116 - Appendix 2
6. EMPLOYEES LEAVING EMPLOYMENT
6.1 Employees leaving employment during period 1 January 2017 – 31 December 2017
ETHNICITY Number Proportion (%) White – Scottish 523 66.20 White - Other British 42 5.32 White – Irish 12 1.52 White - Gypsy/ Traveller 0 0.00 White - Eastern European (e.g. Polish) 0 0.00 White - Other ethnic group 23 2.91 Any mixed or multiple ethnic group 0 0.00 Pakistani, Pakistani Scottish/British 3 0.38 Indian, Indian Scottish/British 2 0.25 Bangladeshi, Bangladeshi Scottish/British 0 0.00 Chinese, Chinese Scottish/British 1 0.13 Other Asian 0 0.00 African, African Scottish/British 2 0.25 Other African 0 0.00 Caribbean, Caribbean Scottish/British 3 0.38 Black, Black Scottish/British 0 0.00 Other Caribbean or Black 3 0.38 Arab, Arab Scottish/British 0 0.00 Other Arab 0 0.00 Other 3 0.38 Prefer not to say 176 22.28 Unknown 0 0.00
GENDER Number Proportion (%) Female 489 61.9 Male 301 38.10
DISABILITY Number Proportion (%) Number of Disabled Employees 11 1.39
AGE Number Proportion (%) Under 21 13 1.65 21 – 30 139 17.59 31 – 40 176 22.28 41 – 50 136 17.22 51 – 60 135 17.09 61 plus 191 24.18
SEXUAL ORIENTATION Number Proportion (%) Bisexual 3 0.38 Gay/Lesbian 4 0.51 Heterosexual 298 37.72 Unknown 476 60.25 Prefer Not to Say 9 1.14 Other 0 0.00
26
- 117 - Appendix 2 RELIGION OR BELIEF Number Proportion (%) Buddhist 0 0.00 Church of Scotland 42 5.32 Hindu 0 0.00 Humanist 0 0.00 Jewish 0 0.00 Muslim 2 0.25 None 75 9.49 Other Christian 10 1.27 Other Religion/Belief 3 0.38 Pagan 1 0.13 Roman Catholic 29 3.67 Sikh 0 0.00 Prefer Not to Say 5 0.93 Unknown 623 78.86
CARING RESPONSIBILITY Number Proportion (%) No 74 9.37 Yes (children under 18) 37 4.68 Yes (other) 6 0.76 Prefer Not to Say 0 0.00 Unknown 673 85.19
GENDER IDENTITY Number Proportion (%) Yes 1 0.13 No 120 15.19 Prefer Not to Say 1 0.13 Unknown 668 84.56
27
- 118 - Appendix 2 6.2 Employees leaving employment during period 1 January 2018 – 31 December 2018 ETHNICITY Number Proportion (%) White – Scottish 562 69.13 White - Other British 35 4.31 White – Irish 14 1.72 White - Gypsy/ Traveller 0 0.00 White - Eastern European (e.g. Polish) 1 0.12 White - Other ethnic group 29 3.57 Any mixed or multiple ethnic group 0 0.00 Pakistani, Pakistani Scottish/British 4 0.49 Indian, Indian Scottish/British 2 0.25 Bangladeshi, Bangladeshi Scottish/British 1 0.12 Chinese, Chinese Scottish/British 0 0.00 Other Asian 1 0.12 African, African Scottish/British 1 0.12 Other African 0 0.00 Caribbean, Caribbean Scottish/British 0 0.00 Black, Black Scottish/British 1 0.12 Other Caribbean or Black 0 0.00 Arab, Arab Scottish/British 0 0.00 Other Arab 0 0.00 Other 1 0.12 Prefer not to say 155 19.07 Unknown 6 0.74
GENDER Number Proportion (%) Female 495 60.89 Male 318 39.11
DISABILITY Number Proportion (%) Number of Disabled Employees 26 3.20
AGE Number Proportion (%) Under 21 30 3.69 21 – 30 160 19.68 31 – 40 149 18.33 41 – 50 130 15.99 51 – 60 172 21.16 61 plus 172 21.16
SEXUAL ORIENTATION Number Proportion (%) Bisexual 1 0.12 Gay/Lesbian 9 1.11 Heterosexual 359 44.16 Unknown 431 53.01 Prefer Not to Say 13 1.60 Other 0 0.00
28
- 119 - Appendix 2
RELIGION OR BELIEF Number Proportion (%) Buddhist 1 0.12 Church of Scotland 55 6.77 Hindu 1 0.12 Humanist 0 0.00 Jewish 0 0.00 Muslim 4 0.49 None 156 19.19 Other Christian 7 0.86 Other Religion/Belief 0 0.00 Pagan 2 0.25 Roman Catholic 42 5.17 Sikh 0 0.00 Prefer Not to Say 18 2.21 Unknown 0 0.00
CARING RESPONSIBILITY Number Proportion (%) No 156 19.19 Yes (children under 18) 70 8.61 Yes (other) 10 1.23 Prefer Not to Say 7 0.86 Unknown 570 70.11
GENDER IDENTITY Number Proportion (%) Yes 0 0.00 No 205 25.22 Prefer Not to Say 7 0.86 Unknown 601 73.92
29
- 120 - Appendix 2 6.3 Reasons for leaving during period 1 January 2017 – 31 December 2017
misconduct
capability
- –
Dismissed Dismissed Retirement Early of End Contract Retirement Health Ill Area Leaving Other Employment disclosed not reasons Other Reasons Personal Redundancy Retirement Transfer TUPE Totals Deceased ETHNICITY White Scottish 7 18 2 13 64 16 16 177 31 48 14 84 33 523 White Other British 1 2 1 5 21 3 1 3 5 42 White Irish 2 1 3 1 1 4 12 White Gypsy/Traveller White Eastern European White Other Ethnic 1 2 1 10 3 2 4 23 Group Any Mixed or Multiple ethnic group Pakistani, Pakistani 3 3 Scottish/British Indian, Indian 1 1 2 Scottish/British Bangladeshi, Bangladeshi Scottish/British Chinese, Chinese 1 1 Scottish/British Other Asian African, African 2 2 Scottish/British Other African Caribbean, 1 2 3 Caribbean Scottish/British Black, Black Scottish/British Other Caribbean or Black Arab, Arab Scottish or Arab British Other Arab Other 1 1 1 3 Prefer not to say 1 12 1 9 4 9 62 17 20 4 26 11 176 Unknown
30
- 121 - Appendix 2
misconduct
capability
- –
Area
Dismissed Dismissed Retirement Early of End Contract Retirement Health Ill Leaving Other Employment disclosed not reasons Other Reasons Personal Redundancy Retirement Transfer TUPE Totals Deceased GENDER 4 24 7 32 12 30 170 36 57 9 79 29 489 Female 4 8 2 7 48 9 4 111 17 17 10 40 24 301 Male
DISABILITY Number of Disabled Employees 1 1 4 5 11
AGE Under 21 11 2 13 21 – 30 3 30 4 72 8 16 6 139 31 – 40 2 1 18 1 10 107 10 20 1 6 176 41 – 50 5 7 2 11 68 16 13 1 13 136 51 – 60 4 8 1 3 9 9 7 30 14 15 4 14 17 135 61 plus 4 14 11 5 9 2 2 5 10 13 105 11 191
SEXUAL ORIENTATION Bisexual 1 2 3 Gay/Lesbian 1 1 1 1 4 Heterosexual/Straight 5 1 61 1 17 140 16 32 13 12 298 Prefer Not to Say 1 6 1 1 9 Unknown 8 27 1 14 17 20 17 133 36 40 19 105 39 476
RELIGION/BELIEF Buddhist Church of Scotland 12 1 16 2 2 5 4 42 Hindu Humanist Jewish Muslim 1 1 2 None 1 23 33 3 14 1 75 Other Christian 2 3 4 1 10 Other Religion/Belief 1 1 1 3 Pagan 1 1 Roman Catholic 1 6 14 1 4 3 29 Sikh Prefer Not to Say 1 2 1 1 5 Unknown 8 30 1 14 35 21 29 209 47 53 19 109 48 623
31
- 122 - Appendix 2
misconduct
capability
- –
Contract
Dismissed Dismissed Retirement Early of End Retirement Health Ill Area Leaving Other Employment disclosed not reasons Other Reasons Personal Redundancy Retirement Transfer TUPE Totals Deceased CARING RESPONSIBILITY No 1 1 22 4 23 4 9 7 3 74 Yes (children under 18) 5 1 20 3 6 1 1 37 Yes (other) 3 2 1 6 Prefer Not to Say Unknown 8 31 1 14 53 21 29 235 46 57 19 110 49 673
GENDER IDENTITY Yes 1 1 No 1 1 28 5 48 7 17 10 3 120 Prefer Not to Say 1 1 Unknown 8 31 1 14 51 21 29 233 46 56 19 109 50 668
32
- 123 - Appendix 2 6.4 Reasons for leaving during period 1 January 2018 – 31 December 2018
misconduct
capability
- –
Dismissed Dismissed Retirement Early of End Contract Retirement Health Ill Area Leaving Other Employment disclosed not reasons Other Reasons Personal Redundancy Retirement Severance Voluntary Totals Deceased ETHNICITY White Scottish 8 26 2 7 78 20 13 203 33 43 45 83 1 562 White Other British 1 1 3 1 9 2 6 5 6 1 35 White Irish 3 5 1 4 1 14 White Gypsy/Traveller White Eastern 1 1 European White Other Ethnic 7 2 9 3 2 1 5 29 Group Any Mixed or Multiple ethnic group Pakistani, Pakistani 3 1 4 Scottish/British Indian, Indian 1 1 2 Scottish/British Bangladeshi, 1 1 Bangladeshi Scottish/British Chinese, Chinese Scottish/British Other Asian 1 1 African, African 1 1 Scottish/British Other African Caribbean, Caribbean Scottish/British Black, Black 1 1 Scottish/British Other Caribbean or Black Arab, Arab Scottish or Arab British Other Arab Other 1 1 Prefer not to say 3 10 2 3 6 8 5 62 9 13 8 26 155 Unknown 1 1 1 2 1 6
33
- 124 - Appendix 2
misconduct
capability
- –
Dismissed Dismissed Retirement Early of End Contract Retirement Health Ill Area Leaving Other Employment disclosed not reasons Other Reasons Personal Redundancy Retirement Severance Voluntary Totals Deceased GENDER Female 8 18 1 7 45 15 19 180 33 56 36 75 2 495 Male 4 18 4 4 54 14 4 114 16 16 23 46 1 318
DISABILITY Number of Disabled Employees 1 1 3 3 1 6 2 2 3 4 26
AGE Under 21 17 8 3 2 30 21 – 30 3 42 9 80 10 14 1 1 160 31 – 40 1 6 3 12 4 91 13 17 2 149 41 – 50 2 6 1 19 3 3 75 7 13 1 130 51 – 60 5 6 1 8 8 15 6 36 10 16 27 32 2 172 61 plus 4 15 3 1 11 1 4 6 10 28 89 172
SEXUAL ORIENTATION Bisexual 1 1 Gay/Lesbian 8 1 9 Heterosexual/Straight 2 8 2 83 4 13 149 26 39 19 14 359 Prefer Not to Say 1 2 1 1 1 1 2 2 2 13 Unknown 10 28 3 10 14 24 9 135 22 30 38 105 3 431
RELIGION/BELIEF Buddhist 1 1 Church of Scotland 16 1 20 2 1 7 8 55 Hindu 1 1 Humanist Jewish Muslim 1 3 4 None 1 1 2 1 41 5 55 15 22 8 5 156 Other Christian 2 3 1 1 7 Other Religion/Belief Pagan 2 2 Roman Catholic 1 11 1 1 13 3 8 3 1 42 Sikh Prefer Not to Say 1 3 1 8 1 2 2 18 Unknown 11 34 3 9 25 27 15 189 28 39 39 105 3 527
34
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misconduct
capability
- –
Dismissed Dismissed Retirement Early of End Contract Retirement Health Ill Area Leaving Other Employment disclosed not reasons Other Reasons Personal Redundancy Retirement Severance Voluntary Totals Deceased CARING RESPONSIBILITY No 1 51 2 4 49 13 20 8 8 156 Yes (children under 18) 1 1 2 12 2 33 4 9 5 1 70 Yes (other) 1 1 1 5 2 10 Prefer Not to Say 1 2 2 2 7 Unknown 11 34 3 10 33 27 17 209 31 43 41 108 3 570
GENDER IDENTITY Yes No 21 1 27 4 7 1 1 62 Prefer Not to Say 1 1 1 3 Unknown 12 36 5 11 78 29 22 266 45 65 57 119 3 748
35
- 126 - Appendix 3
Corporate Equality Outcomes Progress Report2017 – 2019
Corporate Services
April 2019
1
- 127 - Appendix 1
Corporate Equality Outcome Plan Progress
Equality Outcome 1: Employability and skills opportunities are accessible to the communities of West Lothian
Context
Unemployment, particularly amongst young people, is a key priority for the Council. Statistics highlight the disproportionate number of young people not in employment, education or training in West Lothian compared against the total population. The ongoing economic situation is also having a disproportionate impact on other groups, specifically women, people with disabilities and people from black and ethnic minority backgrounds. Given the economic growth projections, this issue is likely to remain a key mainstream and equalities priority over the four year period of the equality outcome cycle.
Performance Information
The following are a selection of the performance indicators which have been developed to monitor progress of the actions which will support the delivery of Outcome 1.
Traffic Code & Short Name Last Update Current Value Current Target
Light Icon
CorEO001a % of residents supported by West Lothian Council Employability services who progress into a 2017/18 15.6% 7%
positive destination who have a disability
P:EDCYS062_9b.1b The annual percentage of More Choices More Chances (MCMC) young people supported 2017/18 92% 90%
moving into a positive destination.
OPSHQ016_7b.7 Percentage of females who are part of the Modern Apprentice (trades) scheme 2017/18 1.4% 2%
OPSHQ018_7b.7 Percentage of females who are part of the Modern Apprentice (non-trades) scheme 2017/18 62.5% 62.5%
Our Action
The Council has undertaken a number of activities in working towards achieving the desired outcome. These include:
The Modern Apprenticeship Programme aims to increase equality of opportunity by attracting a more diverse pool of applicants and support those with protected characteristic whilst in employment. In working towards this aim the council has: Removed formal psychometric testing from the recruitment process to allow candidates with low literacy levels to potentially gain an interview, with a particular focus on behaviours. Offered additional support to young people through programmes such as the Skills Training Programme, the West Lothian Job Fund, Access to Employment/Steps into Work and Adult Basic Education. These programmes offer young people the opportunity for work experience, training, recruitment process support and learning opportunities (including literacy, numeracy and digital learning).
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During 2017/18 the council engaged with pupils with particular needs (those from disadvantaged backgrounds, supported learning, looked-after children, young carers) in the following ways: Training of 25 individuals to deliver the My Skills My Future Programme with pupils across West Lothian. This is a suite of resources which aims to support individuals by identifying the skills they have gained through informal learning and other experiences out with formal qualifications. The Career Ready Programme has worked with schools and 25 employers in West Lothian to bridge the skills gap, improve young people’s life chances, and provide a talent pipeline for local employers. This is done through the provision of a combined programme of mentoring, workplace visits and masterclasses, enabling young people aged 15-18 to develop skills and confidence to transition from education to employment. 5 secondary schools were enrolled in the programme during 2017 and 2018 with over 70 students taking part. Plans are in place to extend to further schools during 2019.
Delivery of Women N2 Work, a 6 week course for women from disadvantaged groups including long-term unemployed, lone parents, women living with health problems or those who have had life changing issues. The course aims to improve access to employment by developing the self-esteem, confidence, motivation, personal/career goals, skills and education of the participants. During 2017 and 2018 5 courses were delivered to 61 women, 42 of whom completed the course achieving SVQ level 4 and 24 participants progressed on to a positive destination.
Supporting clients into work, education or training through the Access 2 Employment More Choices More Chances scheme. The scheme supports clients through training, workshops, one-2-one advice and information on job / education opportunities. Services have focused support on clients with multiple barriers. In 2017/18 15.6% of clients that progressed into a positive destination had a disability and 3.95% were from a minority ethnic background. It is expected that more clients are from a minority ethnic background, but a quarter of clients did not specify their ethnicity. The client management system was changed in 2018 to ensure information is more accurately gathered going forward.
A programme of Support for Syrian Refugees has been delivered to assist refugees in gaining the skills to access employment and promote integration and independence. The programme provides families with a single point of contact and supports both men and women to attend activities such as English for Speakers of Other Languages (ESOL), driving theory, IT and employability classes. To date 8 individuals have progressed to attending ESOL at college, 12 individuals have passed their driving theory test, 6 individuals are now in employment, 1 female is on a work volunteer learning placement and 3 females are waiting on PVG checks in order to volunteer in schools.
The Schools Vocational Programme includes a mix of both vocational related skills and personal development opportunities to address barriers to employability. The Skilled to Go Programme was run in Cedarbank ASN School for a group of young people prior to leaving school. As well as helping to develop confidence and interview techniques the young people took part in a number of workshops which allowed them to identify their skills and qualities as well as producing a CV. The programme finished with an input from a local employer and a mock interview for each young person. This year the Larder Cook School is running a Hospitality course as part of the Schools Vocational Programme which allows the young people to experience working in an industrial kitchen and work with the public. They young people run a weekly pop-up café where they plan the menu, prepare the food and serve the customers. The Octavian Concrete Course allowed a group of 12 young people to gain practical skills in construction as well as an understanding of the variety of careers available in the construction industry. The young people laid 20 meters of railway track at Almondell Model Engineering Centre.
3 - 129 - Appendix 1
The Skills Training Programme supported six young people from 1 April 2018 to 30 September 2018. 16 young people completed the programme during this same time period, 14 of whom have progressed to a positive destination (87.5%). Of these, six (43%) young people have progressed into employment, two engaged in an Activity Agreements (14%) and six transitioned to a further education programme (43%).
An Activity Agreement can be a learning option for a young person aged 16-19, (up to their 20th birthday) who is regarded as being the farthest from the labour market. An Activity Agreement is a learning contract between a trusted professional and a young person who faces barriers to progression. The learning is tailored to their individual needs. In the reporting period, 17 young people have been referred to and engaged in an Activity Agreement. 16 young people have progressed beyond an Activity Agreement, 15 of who have moved to a positive destination (94%).
Project Search is an innovative employability partnership for young people aged 16 to 24 with learning disabilities and/or autism which prepares students for competitive, integrated employment. The West Lothian partnership, based in Livingston, involves a host employer, West Lothian College and West Lothian Council’s Supported Employment team. Eight students participated in project search during 2017 and 2018. Of the 8 students commencing the programme, 6 completed and graduated (2 students were not able to complete, one due to mental health issues and one due to physical health issues – both are currently being supported by WLC Supported Employment Team), of the remaining 6, 100% job outcome target was achieved.
In line with the Corporate Parenting Strategy for looked after children, cultural awareness training has been delivered to staff working with trafficked young people from Asia who are now accommodated. The training has raised awareness of the cultural influences on these young people and ensures that staff are better able to build relationships with these young people and be more aware of their needs.
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Equality Outcome 2: Improved awareness of gender based violence and protection against violence
Context
Gender based violence is a function of gender inequality and results in physical, sexual and psychological harm or suffering to women and children, or affront to their human dignity, including threats of such acts, coercion or arbitrary deprivation of liberty, whether occurring in public or private life. Violence against women includes: domestic abuse; rape; sexual harassment and intimidation at work and in the public sphere; commercial sexual exploitation, including prostitution and trafficking; child sexual abuse; forced and child marriages; female genital mutilation.
Performance Information
The following are a selection of the performance indicators which have been developed to monitor progress of the actions which will support the delivery of Outcome 2.
Traffic Code & Short Name Last Update Current Value Current Target
Light Icon
corEO013_9b.1c Percentage of council employees aware of Gender Based Violence policy and January 2019 100% 100%
support
corEO021_9b Percentage of staff from each relevant service area who have received up to date January 2019 50% 100%
training on Violence Against Women (VAW)
Performance in training staff on Violence against Women has not yet reached target. The council has developed an e-learning module on violence against women. This was rolled out to Social Policy staff in January 2019 and 50% of them have completed the module. Other services have still to identify the relevant members of staff who should undertake this training.
Our Action
The Council has undertaken a number of activities in working towards achieving the desired outcome. These include:
The annual 16 Days of Action Against Gender-Based Violence is an international campaign to challenge and eradicate violence against women and girls. It commences on the International Day for the Elimination of Violence against Women and culminates on Human Rights Day and also incorporates White ribbon day, World Aid’s day and the anniversary of the Montreal Massacre.
There were several multi–agency events across the duration of campaign including: A heightened response from Police Scotland with 2 specific ‘days of action’ A Q and A event where members of the public could chat live with Police and DASAT around the Domestic Abuse Disclosure Scheme Inputs to West Lothian College students and secondary school pupils around healthy relationships and how to access support
5 - 131 - Appendix 1
A community based presentation on domestic abuse and the bystander effect by the Violence Reduction Unit Rolling out of the Gender Based Violence e-learning module to Social Policy staff Primary school competition on gender inequality with over 70 entries Multi-agency awareness-raising stalls at Livingston Centre
During the 16 days of Action there were also multiple joint training events including: CEDAR training (Children Experiencing Domestic Abuse Recovery) for foster carers Training around court ordered child contact in the context of domestic abuse Sexual violence prevention training for multi-agency staff working with young people ‘Training for trainers’ event for the roll out of frontline domestic abuse training Bystander training for public house staff and shop owners
6 - 132 - Appendix 1
Equality outcome 3: Raise awareness of Hate Crime to improve knowledge and confidence to report hate incidents
Context
Evidence shows that victims of non-biased crime can experience a decrease in symptoms such as anxiety, depression and post-traumatic stress within two years. Victims of bias, or hate crime, may need as long as five years to overcome their ordeal. Whilst all crime can increase the fear of being targeted in people other than the victim, fear of hate crime escalates dramatically in those who share with an immediate victim, the same group identity that has made a victim a target. Hate crime therefore has a deep rooted effect in our communities and impacts upon all three elements of the General Equality Duty.
The following is a performance indicator which has been developed to support the delivery of Outcome 3.
Performance Information
Performance against this indicator is the responsibility of Police Scotland as part of our Single Outcome Agreement. Police Scotland continues to work with our Safer Neighbourhood Teams and our communities to reduce Hate Crime. The statistics for monitoring progress against this action will be reviewed and assessed as soon as they are made available from Police Scotland.
Our Action
The Council has undertaken a number of activities in working towards achieving the desired outcome. These include:
The council aims to reduce hate crime and increase awareness through collaboration between the West Lothian Faith Group and Police Scotland. Police Scotland regularly attend the West Lothian Faith Group to keep the group updated on relevant local and national initiatives.
As part of their regular updates, two police officers attended the Faith Group meeting in August 2018 to provide an overview of hate crime and third party reporting, ensuring the group had an up-to-date awareness of the 12 local third party reporting sites. There was also some good discussion round the impact of hate crime on the community. The officers also informed the group of the work that Police Scotland are doing with I Am Me Scotland to establish ‘Keep Safe’ spaces within communities, where vulnerable people can go if they feel unsafe, promoting inclusion and safety in the community. This gave the group an understanding of the initiative and an overview of some of the local businesses that are Keep Safe spaces.
The council’s Neighbourhood Response Team continue to work with Police Scotland and Victim Support to ensure communities are aware of what constitutes hate crime, know how to report it and feel safe in doing so. This partnership working has included activities such as:
Reviewing daily/monthly reported hate crime; Undertaking Environmental Visual Audits to highlight any safety risks within the built environment and provide appropriate advice for increasing security of property/individuals; Promoting National Hate Crime Week by disseminating information received from Police Scotland to encourage victims to report hate crime and help
7 - 133 - Appendix 1
target resources to support victims to take action.
The quarterly performance data supplied by Police Scotland and reviewed in December 2019 indicates that Radically Aggravated Crime (Hate Crime) has increased by 16.8%. Awareness raising is considered to be a factor in the increase in cases being reported.
As a partner in the West Lothian Community Planning Partnership, Carers of West Lothian became a third party reporting centre for hate crime. Clients are therefore supported to report hate crime to an organisation that they are already involved with and whom they trust.
8 - 134 - Appendix 1
Equality outcome 4: People with disabilities experience greater independence in their lives
Context
Evidence shows that providing greater independence for people with disabilities assists to reduce inequality and improve the standard of living for those affected by disability. Suitability of housing, transportation, access to public amenities, accessibility of the built environment, care packages, aids and adaptations and access to education, employment and training all have an impact on the ability of people with disabilities to achieve improvements in living independently. While this outcome is broad, the council will focus on the areas of most relevance and impact within our influence to support people with disabilities.
Performance Information
The following are a selection of the performance indicators which have been developed to monitor progress of the actions to support the delivery of Outcome 4.
Traffic Code & Short Name Last Update Current Value Current Target Light Icon
corEO505 Percentage of council house properties with needs based equipment and adaptations 2016/17 6.2% 5%
installed or carried out
P:PAMP501_9b.2 Percentage of all operational buildings from which the council delivers services 2017/18 74.8% 75%
that are fully accessible for disabled persons.
P:PTS002_9b.1b Percentage of residents with access to an hourly or more frequent bus service. 2017/18 86% 90%
The target has not been reached in terms of the percentage of residents with access to an hourly or more frequent bus service. The majority of bus services in West Lothian are profitable and operate on a commercial basis without council subsidy. These services need no council approval and the council cannot influence their availability or design. Commercial services tend to be the busiest routes and the busiest times of operation. Councils can only legally provide services they deem to be socially necessary once the extent of the commercial network is known. Council contract bus services build on this commercial core and can increase the number of residents with access to services at the level defined by the indicator by either providing new bus or Taxibus services to places otherwise unserved or by adding additional subsidised journeys onto otherwise commercial bus services to bring their availability up to the standard to meet the indicator definition.
No other local authority in Scotland currently uses this performance indicator therefore it is not possible to benchmark this specifically however some other UK councils have adopted an identical PI to measure public transport accessibility.
The Public Transport Unit was notified by operators of various changes to the commercial bus network throughout May and June 2017. These service changes were uploaded into the evaluation model to provide an up to date figure of 86%, a reduction of 4% since 2015/16. This reduction is a result of the changes in both the commercial and subsidised network.
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Throughout 2017/18 the commercial and subsidised local bus network was fairly stable with minimal changes. This has meant the 2017/18 result remains unchanged. However, due to significant changes to the local bus network in early 2018/19 and the introduction of a new local bus provider it is anticipated that this figure will change.
Our Action
The Council has undertaken a number of activities in working towards achieving the desired outcome. These include:
To ensure good access to public transport for disabled residents in West Lothian, all bus services within the local bus network are low floored and Equality Act compliant therefore providing greater choice of travel options for people with disabilities. 86% of West Lothian residents have access to an hourly, or better, bus service.
Where people with disabilities cannot access local bus provision, Dial-A-Ride and Dial-A-Bus services can provide a service from a passenger’s home address to various destinations in West Lothian. The vehicles are specially adapted to carry combinations of wheelchair users and other passengers safely and comfortably. In addition, a Door-to-Door transport service can be provided to meet personal mobility needs by providing assistance needed at the start and end of a journey. This may include assisting people with getting their coat on or ensuring that they are settled safely in their home after the journey. During the period April – October 2018 there were over 7,000 Dial – A – Ride passenger journeys and over 8,000 Dial – A – Bus passenger journeys.
The Public Transport unit provide transport for over 500 additional support needs pupils. This ensures that pupils with additional support needs are transported to and from school in transport which is specific for their individual needs.
The Community Transport function continues to provide 25 different daily routes transporting over 200 service users to 7 different day care centres. This ensures that service users are transported to and from centres in transport which is specific to their individual needs.
Assisted waste collection services were provided to service users at around 2600 properties to ensure greater independence for residents that are infirm, have a medical condition or disability which prevents them from presenting their bins for collection.
The Building Standards service continues to consult with Disability West Lothian to ensure the needs of disabled people are considered in relation to applications for building warrants. Consultation is carried out if the application proposes an alternative means of compliance which is not in line with guidance currently published in technical handbooks. This is not restricted to council projects but covers all projects.
The Local Housing Strategy (LHS) which was approved in October 2017 and updated in December 2018 ensures that the council’s housing development strategy does not disadvantage or adversely impact older people or those with a disability and provides the basis for determining the type of housing that should be provided. All new build council housing is built to the Housing for Varying Needs standards.
The West Lothian Senior People’s Forum were consulted on the development of the LHS along with disabled people through the Tenants’ Network and
10 - 136 - Appendix 1 through consultation events and surveys. Details on the consultation can be found in Appendix 3 of the LHS at:
http://coins.westlothian.gov.uk/coins/viewDoc.asp?c=e%97%9Df%97nz%8E
New build council housing has been completed that meets the needs of wheelchair users, following engagement with Occupational Therapists to review the house types. In 2017/18 sixteen new council homes that are suitable for wheelchair users were built and twenty were built in 2018/19.
The council’s Housing Needs Service continues to support residents with identified support needs to sustain their tenancies and reduce repeat homelessness. Tenants can be supported to explore their housing options to remain in their own home (as a result of the installation of adaptations or provisions) or seek more appropriate accommodation if required. Referrals can be made to other agencies and services such as The Advice Shop for money advice and help with benefits.
The council’s Education Service continues to deliver services specifically designed to support children and young people with disabilities. A small outreach teaching team supports children and young people with visual and auditory disabilities. Sign along is the main resource utilised by schools with hearing impaired children.
In mainstream schools bespoke packages are developed which are appropriate to the individual child e.g. providing specialist screen reading software and braille; adaptation of the physical environment including use of specialist equipment; training of staff; and use of services such allied health professionals.
Deans Community High School was selected by the Youth Sport Trust to be part of the Play Unified project in 2016-2017. This project provided leadership training for 4 Additional Support Needs (ASN) senior pupil leads whose role it was to provide sporting opportunities for children with an ASN. 16 pupils were selected to take part in a NEW multi sports club which took place at Carmondean Community Centre during lunch and curricular time. Activities included badminton, volleyball, new age kurling, boccia and rounders. The sessions were delivered by the West Lothian sessions coaches along with the Play Unified Young Leaders. The Play Unified Young Leaders gained confidence in their delivery each week of the project.
Active Schools and Community Support aim to provide under-represented groups with opportunities to participate in physical activity and sport through understanding and addressing the barriers to participation. 31% of pupils in mainstream school with a disability took part in extracurricular activity. Details of non-participant pupils with a disability will be considered in order to identify and tackle barriers to participation.
Training offered by Disability Sport Scotland to staff working with pupils who have a physical disability has been accessed by West Lothian Teachers (mainly teachers of PE).
The council continues to signpost children and young people to a variety of third sector organisations offering clubs supporting children and young people with a disability in activities such as football, badminton, swimming, basketball and the multi -sports club (No Limits).
The Arts and Wellbeing programme provides older people and people with disabilities the opportunity to participate in the arts and is designed to contribute to a range of wellbeing outcomes.
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Participants in the Arts and Wellbeing programme strongly agreed that their mental and physical health and wellbeing had improved as a result of participating. Participants also agreed that they would be more likely to become more active in their community by engaging in more community activities. Participants in qualitative evaluations have noted that participation has; improved mental wellbeing; reduced isolation and loneliness; prevented against slips trips and falls; and increased community engagement, cohesion and pride. Social Policy continues to review and identify product potential to support older people and carers and will make recommendations to the Technology Enabled Care Board and seek their approval to commission technology enabled care and support which is deemed to have the potential to improve the lives of older people and carers.
The use of technology can support people to stay at home for longer, it can offer flexibility and choice around daily living routines, can act as a safeguarding measure, and can relieve carer stress and anxiety. Some examples of such technology being used in practice are: providing an individual with a GPS device which is used when they go out shopping or for a walk or to take part in community activities. The device can be used, by the person carrying it to contact a named person and speak to them. It can also identify the location of the person using it and avoid the potential to go missing. Being able to send text messages directly to someone’s mobile phone which alerts them to take their medication and enables the individual to go out, rather than having to wait in for care visits. Installing technology, which through the use of infra-red sensors placed in appropriate settings, for example on a kettle, on a fridge door, on a tap can build up a picture through the production of a graph, over a specific timeframe of the daily living activities an individual is undertaking within their own home. Based on the evidence it is possible to determine the longer term care needs for someone and can help to design the most appropriate care package that will meet a person’s needs.
Community Care Teams with Social Policy have been conducting outcome focussed assessments in partnership with people who use our services, their families and carers in order to encourage and promote independence and support cared for people in remaining in the environment of their choice. Promotion of the importance of carers is an ongoing feature of the work within community care and the council continues to engage with Carers of West Lothian as a feature of the implementation of the Carers (Scotland) Act 2016.
Housing with Care provides onsite staff to deliver care and support to clients in housing developments where they have their own tenancies allocated based on their assessed needs. Proposals are being considered which will streamline the delivery of care and support for clients in housing with care tenancies to ensure they are empowered to maintain their abilities but supported as and when required within the parameters of the housing with care model.
Following the review of the Mental Health Strategic Needs Assessment the following 4 services are now in place covering both adults and older people:
Acute Care and Support Team (ACAST) - ACAST is a nursing team that works to prevent admission to hospital and to facilitate successful discharge. The team receives approximately 130 referrals per month. On average, less than 15% of patients assessed and supported by ACAST require a hospital admission and over 60% can be supported at home as a direct alternative to hospital admission.
Post Diagnostic Support Service - The service comprises a team of 4 that works to provide 12-months’ support to people newly diagnosed with dementia (as per Scottish Government expectations). Dementia Cafes are established in every Council ward in West Lothian. The Early Onset Dementia service commissioned and provided by Alzheimer’s Scotland has recently been extended.
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West Lothian Psychological Approaches Team (WeLPAT) - WelPAT is a new (established in April 2018) psychologically-led/informed model working in Care Homes to sustain placements and prevent hospital admissions. 98% of referrals where WeLPAT has been involved have remained in the same placement and not been admitted to an inpatient ward or another escalated care unit. All referrals identified as having care placement at risk of breakdown at the point of referral have maintained their care home placements to date.
Mental Health Hubs - This Project will introduce two new Community Mental Health Wellbeing Hubs with an aim to deliver a patient-centred model of delivery in West Lothian to meet the needs of patients with mild to moderate mental health issues. New pathways will be developed within West Lothian by increasing activities/services as a result of gaps identified in service provision and increase 3rd Sector involvement and joint working.
The West Lothian Drug and Alcohol Prevention Service started an assertive outreach service in May 2017 to focus on those who are unable to engage with services in the traditional routes. This includes older drug users and adults with physical and mental disabilities who struggle to engage with traditional services.
A reduction in repeat referrals will be a key indicator of the success of the service and recent figures indicate an overall reduction in referrals.
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Equality outcome 5: Improve engagement and involvement of our communities in the decisions made by the council that affect them
Context
As well as being an essential element of the Public Sector Equality Duty in Scotland, effective involvement of people from the equality protected characteristics in the policies and practices of the council that affect them adds significant value to the council, ensuring that we are meeting needs and aspirations of individuals that access our services. Engaging individuals from, or with expertise in, particular areas of equality in our mainstream opportunities for community engagement will assist to widen the responsiveness of our services.
A selection of performance indicators have been developed to support the delivery of Outcome 5.
Performance Information
The following are a selection of the performance indicators which have been developed to monitor progress of the actions to support the delivery of Outcome 5. Traffic Code & Short Name Last Update Current Value Current Target Light Icon
corEO015_9b Percentage of individuals involved in Community Councils who are women 2017/18 49% 50%
corEO017_9b Percentage of individuals involved in Community Councils who are from an Ethnic 2017/18 3% 20%
Minority
corEO026_9b Percentage of disabled people on the West Lothian Citizens Panel who feel involved 2016/17 39% 40%
in their Community *
corEO026_9b Percentage of women on the West Lothian Citizens Panel who feel involved in their 2016/17 43% 40%
Community *
corEO026_9b Percentage of BME people on the West Lothian Citizens Panel who feel involved in 2016/17 46% 40%
their Community * * Note – data taken from Quality of life survey conducted in 2016
The Percentage of individuals involved in Community Councils who are from an Ethnic Minority has not reached target. The Council will continue to work with Community Councils to provide support for election to Community Councils and engagement with other community groups to support Community Councils to encourage involvement from individuals who are from an Ethnic Minority.
14 - 140 - Appendix 1
Our Action
The Council has undertaken a number of activities in working towards achieving the desired outcome. These include:
The West Lothian Citizens Panel provides residents with an opportunity to give their opinions and comment on council services. It is the council’s aim that membership of the panel is representative of the West Lothian Community and refreshment of the panel takes place every 3 years. The last refreshment took place in 2016 with targeted recruitment to ensure that under-represented groups are represented on the panel. Proposals are in development for further recruitment and refreshment of the panel for the future which will include reviewing the equalities data that is collected.
The West Lothian Faith Group is an informal interfaith network for representatives of the different faiths in West Lothian to get together, share ideas and experiences and discuss issues of common concern while promoting a better mutual understanding among believers of different faiths and beliefs. The group also acts as one of the Community Planning Partnership's (CPP) equality forums, creating an opportunity to engage with the council and its partners on religion and belief based equality issues, and to inform policy and service development.
In addition to its quarterly meetings, the Faith Group held an event called ‘Pathways to Peace’ in November 2018 as part of Scottish Interfaith Week. The purpose of the event was to bring people together to talk about what peace means to them. There were inputs from different members of the group in the form of speeches, readings and music, followed by an opportunity to network and talk about the common themes discussed. Around 30 people from different faiths attended this successful and positive event.
Positive feedback was received from those that attended:
“I thought it was a very interesting and informative event that allowed those in attendance to listen to those speakers talk passionately about their faith.”
“It was good to be able to host this significant event and to enjoy the varied contributions from different faith traditions and the many conversations which followed.”
The West Lothian Race Forum gives individuals from the BME community an opportunity to be involved in the development of policies and services. Work is ongoing to raise the profile of the Race Forum and ensure membership is representative of the West Lothian Community.
In October 2017, the Race Forum held an event to mark Black History Month in partnership with West Lothian Council and ELREC. The purpose of the event was to bring members of the community together to celebrate Black History Month and to raise awareness of the Race Forum and attract new members. The event consisted of food/networking followed by speeches, speakers (Professor Sir Geoff Palmer and Ade Aibinu) and entertainment (music and dancing from the Champions group from South Africa and music from Benny Tatteh Lartey). The event was very well attended by around 60 people and achieved the aim of bringing the community together to celebrate and raise awareness of Black History Month. The event was also very positively received by those that attended and attracted a small number of new members.
Despite the success of this event, membership significantly reduced during 2018 particularly following a refresh of the mailing list due to new data protection legislation. There were a number of unsuccessful attempts to hold a Race Forum AGM throughout 2018 and there were issues in achieving a quorum for meetings. The council facilitated an event (open to all) to review the role of the forum and to explore how the group could move forward. Work was
15 - 141 - Appendix 1 undertaken by members to raise awareness of the forum amongst their own networks, resulting in an increase in membership. A successful AGM was held in January 2019 and new office bearers were elected. The new Executive Committee will meet as early as possible to discuss plans for moving forward, for example planning for Black History Month 2019.
16 - 142 - Appendix 1
A Syrian Community Group was set up in August 2018 to support refugees, raise awareness of refugee issues and encourage integration. The group meets on a monthly basis and has encouraged the Syrian community to take responsibility for their own support and development needs and allowed them to have a view on how to shape the service. Multi agency input from Police Scotland, Education and The Conservation Society has had a significant impact on delivery of service and how to best support the families. The group attended the Faith Group’s last meeting with a view to strengthening links between the two groups. A variety of Tenant Participation Groups are supported to offer all tenants the opportunity to have their say in the services delivered by the council. A range of methods are used, including digital and face to face mediums, to inform, consult and collaborate with tenants in shaping our service development, management plans and processes. The tenant led inspection process has delivered significant process and practice improvements in housing services to minimise delays in tenants gaining access to accommodation. We have extended tenant scrutiny on performance to include financial scrutiny – this has seen officers explain budgets in-depth, how rent is spent, and has informed our priorities in terms of capital investment. For example, tenants indicated that they would like to see internal rather than external upgrades to improve quality of life which has been reflected in our programme of works.
Through implementation of the Pupil Voice Strategy, pupils are engaging in decision making that affects them, improving their outcomes and destinations. Pupil views are taken into account at Authority Attendance Groups and Child Planning meetings. The Inclusion and Wellbeing Service capture the learner voice through the use of the Pupil Passport programme, the case study modernisation cycle and via Pupil Forums. Young people are also involved in Individual Education Plans in terms of setting and evaluating their learning targets.
The council recognises the benefits of parental engagement in their child’s learning and in the life and work of their local school and continues to work on supporting and improving such engagement particularly through the use of digital tools. Most schools have social media accounts which are used effectively to share practice, inform parents / carers and celebrate success. School websites have recently been re-launched and include standard buttons such as the Child Exploitation and Online Protection (CEOP) reporting button.
The Public Art Programme provides communities with the opportunity to contribute to decisions regarding the improvement of their local built and natural environments. During 2017 and 2018 the Grassroots Public Art Grant Scheme has enabled three community groups to improve local spaces using commissioning of public art.
The Senior Peoples Forum provides a means of communication between senior people (aged 60 plus), the council and its community planning partners, enabling the council to consult on developing its local response to the Scottish Strategy for an Ageing Population. During 2018 the forum has been involved in a range of activities including: the development of Dementia Cafes; presentations from Alzheimer’s Scotland, the Care Inspectorate, Scottish Fire and Rescue Service and Transforming Your Council; received information on the Assisted Decoration Scheme; and gave their views on the Eligibility and Contributions policy. The Forum provided representation on several WLC Policy Development and Scrutiny Panels where new and amended council policy is discussed and scrutinised before going to Council Executive for approval.
Following the introduction of the Carers (Scotland) Act which came into effect on 1 April 2018, West Lothian Council has implemented the Carer Strategy in partnership with Carers of West Lothian which is designed to involve carers in the planning and delivery of services.
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West Lothian Council Advocacy is a commissioned service to provide independent advocacy for adults with mental health problems and/or addiction problems. The project aims to: Improved access to entitled public services and resources; ensure that services users feel more listened to and understood by services and professionals; increase understanding amongst service users of their rights and available options; ensure service users feel more confident and empowered; and ensure service users have better opportunities to participate in decisions affecting them.
West Lothian Alcohol and Drugs Partnership had developed a model Public Social Partnership (PSP) to support those who are recovering from substance misuse by developing community based rehabilitation and recovery services. The model reflects the needs of the community as communicated to the PSP steering group and changes driven by the community include: a focus on aftercare with tailored community rehabilitation; and increase in peer mentoring and peer employment opportunities. The final model has been put to tender with plans to introduce the new service on 1 April 2019.
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Equality outcome 6: West Lothian Council is recognised internally and externally as an equal opportunities employer
Context
The council has made significant progress in relation to implementation of structures, processes and employee engagement on equality and diversity in recent years. Further focus on increasing the diversity of our workforce and raising employee and management awareness and capacity to understand the specific needs of customers within the equality protected characteristics is required to ensure that we have a workforce which is confident and in a position to be authentic in the workplace.
Performance Information
The following are a selection of the performance indicators which have been developed to monitor progress of the actions to support the delivery of Outcome 6.
Traffic Code & Short Name Last Update Current Value Current Target Light Icon
corEO007_9b.1c Performance on Stonewall Workplace Equality Index 2018/19 80 62
corEO008_9b.1c Percentage of employees who have completed equality and diversity training 2017/18 100% 100%
SCORP03b_7b Percentage of council employees in top 5% of earners that are women. 2017/18 52.31% 53.74%
Our Action
The Council has undertaken a number of activities in working towards achieving the desired outcome. These include:
All high schools in West Lothian were visited in 2016/17 and 2017/18 to provide promotional talks and information to secondary pupils during career events targeted at S1-S6 pupils. At such events pupils are encouraged to consider apprenticeships in non-traditional roles. In addition Girls into Work taster sessions are carried out every year to attract women into construction. The council has recently recruited one female apprentice into each of the following trades: road-working, mechanics, joinery and plastering. A previous female road-worker apprentice has now been successful in gaining a permanent position.
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The council continues to work with the Access Committee to ensure that all council buildings and facilities are accessible to all. Construction Services have a representative on the Access Committee which meets monthly to ensure that access issues are addressed at the planning stage in relation to refurbishments/new build projects.
Mandatory Equality and Diversity training has been delivered to all employees concluding in October 2017. The content has generated greater awareness among employees of equality and diversity issues as indicated by comments from participants as detailed below:
The course has helped me to see “how important it is not to judge people. Working on reception I deal with people from all walks of life and can admit that I need to be more patient and understanding in future.” The course has helped me to “think more carefully when joining in ‘banter’ as to how it makes others feel.” “I liked the exercise where we read about someone and their experiences at work and were asked to consider what was wrong. It was very easy to jump to the obvious conclusion which in all the examples was wrong. It was an eye opener.”
Further training has been delivered to management teams and elected members on Equality Impact Assessments.
An e-learning induction module covering equality and diversity issues has been launched on the Mylearning platform. Completion of the e-learning induction module will be mandatory for all new starts from 1 April 2019.
Other e-learning modules that have been developed or transferred onto the e-learning platform have been reviewed to ensure gender neutral and inclusive language is used. A recruitment and selection module and module on unconscious bias are also under development.
The council continues to promote the inclusion of LGBT employees as a Stonewall Diversity Champion. The council is currently ranked by Stonewall Scotland within the top 200 employers in the UK having moved up 56 places from 248 in 2018 to 192 in 2019. Some of the events that evidence the council’s work as a diversity champion include: Celebration of Transgender Day of Visibility (TDOV) for the first time in March 2018; A successful multi-partnership IDAHOBiT event which told the various personal stories of West Lothian LGBT young people; West Lothian Pride is a community event that enables LGBT individuals, their friends, families and allies to come together in a safe and welcoming place to celebrate their diversity. The council continues to be a key partner in the delivery of this event and 2018 saw the most successful Pride to date with over 1300 people in attendance and for the first time an After Party was held to cater for older LGBT+ people.
Employee Health and Wellbeing Plans are in place to ensure the council is proactive in supporting employees who maybe more vulnerable by addressing health inequalities. The corporate Employee Wellbeing Action Plans for 2017 and 2018 have delivered health weeks where the Healthy Working Lives Steering Group has worked with organisations such as MacMillan Cancer Care to ensure employees have an awareness and access to support and help where they need it. Events have been specifically targeted at specific groups of employees such as those on low income or who have financial difficulties.
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West Lothian Council has continued to work hard with regards to becoming a more inclusive employer, an Equality Calendar was agreed and implemented in April 2018 by the council executive. This means that number of corporate and service specific days/weeks and months are celebrated including: LGBT (Lesbian, Gay, Bisexual, Transgender) History Month, IDAHOBiT (International Day against Homophobia, Biphobia and Transphobia), West Lothian Pride, Black History Month, Interfaith Week, World Aids Day, International Women’s Day and Holocaust Memorial Day
Promotion of these events enables the council to raise awareness of the equality and diversity issues and signpost employees to key areas of support. These significant events are promoted via the council’s social media accounts, by issuing emails to all staff email accounts, and in our employee magazine.
The council continues to ensure that its policies, procedures and practices are inclusive and meet the needs of employees with protected characteristics by consulting with employees. For example, a series of service specific engagement events took place with regards to the council Transformational Change agenda and an annual employee survey is conducted amongst all staff followed by focus groups to analyse results and generate action plans.
In the annual employee survey 90% and 88% of employees in 2017/18 and 2018/19 respectively, answered strongly agree or agree that they have not experienced discrimination at work in relation to a protected characteristic.
To ensure the integration of equality and diversity HR policies are reviewed at least once every 5 years to ensure that they reflect current legislation and best practice. An exercise was conducted in September 2018 to ensure that the language used in key employment policies is gender neutral. In addition, as corporate training events are refreshed and delivered, the content is reviewed against current good practice to ensure it reflects an inclusive approach.
The council continues to improve mechanisms for gathering equality information and to encourage employees to provide equalities information to ensure a comprehensive data set is available to inform decision making. The equality monitoring questions have been reviewed resulting in the question set relating to gender identity being widened and the wording of the trans question improved to meet industry best practice.
An exercise was undertaken to improve the quantity and quality of equality monitoring data we hold on our employees. The exercise was targeted at both PC users via email and non pc users via the services and resulted in improvements in the number of employees providing accurate equality monitoring information. For example, the number of employees reporting as disabled has almost doubled since the 2017 report going from 97 to 181 and the number of employees for whom we have no record of their sexual orientation has reduced from 73% to 57%.
Ongoing networking with COSLA is taking place with regards to the centralised recruitment portal ‘My Job Scotland’ to ensure the equality data held in this system matches that held on the council’s system to achieve consistency and best practice.
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Equality outcome 7: Children and young people in West Lothian’s schools feel safe, supported and able to be themselves
Context
National research highlights that bullying in schools as a result of having a protected characteristic, remains a persistent and significant equality issue. Bullying has a severe impact on all pupils who are victims. However, in a similar context to hate crime, a pupil bullied because they are black or from an ethnic minority, have a disability or are perceived to be LGBT are likely to face more severe impacts on their attainment and future life chances. Bullying related to gender remains a growing issue which requires to be considered a priority within the four year equality outcomes cycle.
A selection of performance indicators have been developed to support the delivery of Outcome 7.
Performance Information
The following are a selection of the performance indicators which have been developed to monitor progress of the actions which have been developed to support the delivery of Outcome 7.
Traffic Code & Short Name Last Update Current Value Current Target Light Icon
EDSCH001_6a.6 Percentage of Primary Pupils Rating the Equality & Fairness in Their School as 2017/18 91% 79%
Good or Excellent.
EDSCH002_6a.6 Percentage of Secondary Pupils Rating the Equality & Fairness in Their School as 2017/18 86% 58%
Good or Excellent.
EDSCH053_9b.1c Number of Racial Incidents in West Lothian Schools. 2015/16 69 69
Our Action
The Council has undertaken a number of activities in working towards achieving the desired outcome. These include:
The Inclusion and Wellbeing Service was established in 2016 to support children and young people with Additional Support Needs (ASN) from age 3-18 across West Lothian. The service supports the presumption of mainstream education for all children and young people and offers a flexible and dynamic variety of targeted interventions to support schools, families and children and young people. The tiered intervention model was introduced in 2018 and is set out in the West Lothian Continuum of Support: https://www.westlothian.gov.uk/media/29575/Education-Services-Continuum-of- Support/pdf/Education_Services_Continuum_of_Support_Oct_2018_(A9149300).pdf
The Inclusion and Wellbeing Service now supports over 600 children and young people covering all aspects of ASN with exclusions being reduced across the authority and improvements in attainment through the targeted intervention programmes.
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Support for Syrian Refugee families is provided in schools by teaching staff trained in English as an Additional Language along with translated teaching resources. The Syrian Re-Settlement Group has established a community group which organises whole family events giving opportunities to practise English in a supported environment in real contexts. Preventative measures are also in place with Police Scotland to support refugee adults and young people with events around the law and culturally acceptable practice in Scotland.
Six secondary schools are working directly with LGBT Youth Scotland with 2 schools achieving Silver Charter mark. A West Lothian LGBT Youth Network has been set up. The Stonewall Education Index Submission for 2018 improved score by 6 points and placed 2nd in Scotland. Guidance around Supporting Young Trans People is now in Education policies and can be found at: https://www.westlothian.gov.uk/media/15334/Supporting-Transgender-Young-People-in-West- Lothian/pdf/Supporting_Transgender_young_people_in_West_Lothian.pdf
In order to improve and support child and young people’s health and wellbeing every school now has one or more trained Health and Wellbeing (HWB) Champion/s, supported by a designated Network Leader. Practitioners are working in multi- agency partnerships on projects such as One Trusted Adult and Adverse Childhood Experiences. Many schools now have processes in place to track and monitor the wellbeing of pupils through the wellbeing indicators to identify key strengths and gaps.
The multi-agency Mental Health and Wellbeing Screening Group meets fortnightly and triages referrals and signposts families who are engaging or at risk to appropriate support.
A Glow Mental Health Support Sharepoint with tiered interventions is now live with the aim of assisting schools to access relevant and appropriate support for pupils.
In addition to supporting teachers and individual pupils, Psychological services (EPS) continue to offer group work sessions such as ‘Give us a Break’; Bereavement / Loss and Anxiety groups which support young people. These are very well received and young people’s recovery is recognised as being improved by their participation.
The Youth Work in Schools programme provides a diverse range of learning opportunities and is specifically tailored to meet the needs of the young people referred. In the reporting period, the programmes delivered focused on building confidence and self-esteem, resilience, personal safety, addressing risk taking behaviours, employability skills and raising aspirations. 12 participants achieved Dynamic Youth Awards and 7 participants gained Level 4 SQA Preparing for Employment Units.
All West Lothian Schools have agreed to continue to support the Unicef Rights Respecting School Award (RRSA) service level agreement There is an ongoing roll out of schools awarded under Unicef’s new assessment system. To date 6 primary schools and 1 ASN school have been awarded Gold, and 2 secondary schools and 5 primary schools have been awarded Silver.
The Inclusion and Wellbeing Service has begun to engage in the formal process of achieving RRSA Bronze and would be the first service of its type in Scotland to achieve this award.
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Equality outcome 8: Improve awareness of carers and the issues they face when accessing services
Context
Whether caring for children or adult dependents, unpaid care work has a significant impact on the ability of carers to access mainstream council services. Carers may require services to be provided on a flexible basis or at specific times which work around caring responsibilities. Caring responsibilities are likely to impact significantly on the ability of carers to interact and access council services, as well as having a significant impact on life chances, including health and employment.
A selection of performance indicators have been developed to support the delivery of Outcome 8.
Performance Information
The following are a selection of the performance indicators which have been developed to monitor progress of the actions to support the delivery of Outcome 8.
The Council will monitor progress against this Equality Outcome by engaging carers in a survey to assess whether they feel supported and able to continue in their role as a carer and to assess whether community care service users and carers satisfied with their involvement in the design of care packages. The results of the survey will be reported in the Equality Outcome progress update in 2021.
Our Action
The Council has undertaken a number of activities in working towards achieving the desired outcome. These include:
In line with statutory requirements, Social Policy staff undertaking an ‘All About Me’ assessment for a service user which will identify carers’ needs and offer carers support, training and access to information including a Carers Assessment.
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Equality outcome 9: Improve awareness of and access to information, assistance, advice and support to alleviate poverty and increase disposable income
Context
The combined effects of the economic situation and reform to welfare are having a detrimental impact on poverty. Ensuring that people affected by poverty have information and support to ensure that they are making the most of financial opportunities available to them is a key priority for the council going forward. Awareness and access to these opportunities by people within the relevant protected characteristics is critical to promoting equality. Given economic projections, this issue is likely to remain a key mainstream and equalities priority over the four year period of the equality outcome cycle.
A selection of performance indicators have been developed to support the delivery of Outcome 9.
Performance Information
The following are a selection of the performance indicators which have been developed to monitor progress of the actions to support the delivery of Outcome 9.
Traffic Code & Short Name Last Update Current Value Current Target Light Icon
FEADS063_9b.1a Number of customers receiving disability related benefits Q3 2018/19 652 600
FEADS064_9b.1a Total quarterly amount the Advice Shop has gained in extra benefits for older people Q3 2018/19 £1,304,587 £1,650,000
(Aged 60 and over).
The total quarterly amount the Advice Shop has gained in extra benefits for older people (Aged 60 and over) has not reached target due to customers claiming benefits which have not yet been agreed by the Department of Work and Pensions. Overall, the cumulative total for the year is £6.6m and it is anticipated that the target will be exceeded by the end of quarter 4 2018/19
Our Action
The Council has undertaken a number of activities in working towards achieving the desired outcome. These include
The council’s Anti-Poverty Strategy aims to minimise the impact of poverty on the people of West Lothian and reduce the differences in income and life chances between different parts of the community. The ‘Breaking the Chains of Poverty’ progress report 2017 highlighted progress made on the Anti- Poverty Strategy 2012-2017. Partners worked together to help customers manage over £60 million of debt and supported customers to gain £153 million of income through welfare rights advice and support to claim entitlement to benefits and tax credits. 1039 employment opportunities were created for young people aged 16-24 and 5398 adults were engaged with employability support resulting in 62% progressing to a positive destination.
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The refreshed West Lothian Anti-Poverty Strategy 2018-2023 and action plan was approved at Council Executive in June 2018 and by the Community Planning Partnership Board in September 2018, and was collaboratively designed with engagement and support from local people. Over 450 individuals and more than 15 community groups and partner organisations participated in surveys and focussed discussions about poverty and inequality. Additionally, over 45,000 comments received through the ‘Transforming Your Council’ consultation have been analysed to identify opinions, good ideas and suggestions. Further feedback was gathered from 456 professionals in customer facing roles though a programme of poverty awareness training. The Strategy and action plan is the result of careful consideration of the current landscape and the changing nature of poverty, combined with the voices of local communities, organisations and people with direct, lived experience of poverty.
The new Anti-poverty Strategy was launched in October 2018 and the Anti-poverty Taskforce is currently being set up to take the strategy forward. A panel of volunteer ‘Experts by Experience’ will also be recruited to provide additional scrutiny of anti-poverty activity in West Lothian. This panel will be made up of individuals with lived experience of surviving on a low income or struggling to make ends meet.
Housing staff have continued to work in partnership with the Advice Shop to support tenants to improve their financial stability through income maximisation and advice. Since April 2018 there have been 806 referrals for Income Maximisation and Energy Advice.
106 Housing and Customer Information Service Staff attended Welfare Reform training to increase staff awareness and equip them to assist tenants with welfare reform and in particular the challenge of Universal Credit.
In order to ensure that the services of the Advice Shop can be accessed by all members of the community, the Advice Shop annually reviews advice provision across West Lothian and develops outreach sessions based on customer and stakeholder insight.
The service consults with partners, customers and other stakeholders in relation to advice provision in local communities through Local Area Committee Meetings, Cross partner meetings and customer comments cards. Feedback is reviewed to ensure all customers have the ability to access the service.
Following consultation with Carers of West Lothian and their client group, one outreach location has been changed to a different venue and is now for one full day rather than half a day. All outreach sessions are now held in fully functional buildings such as Partnership Centres and partners’ premises. There is a risk assessment undertaken for every outreach location to ensure it meets service standards and requirements.
The introduction of the Scottish Social Security Agency has presented several opportunities to engage with national agencies to improve awareness and uptake of entitlement. In particular, responses have been drafted in partnership with local organisations on the subjects of: Best Start Grant for pregnancy/maternity and early years payments; Funeral Assistance Allowance; and Attendance Allowance.
Work has been undertaken in partnership with the Department for Work and Pensions (DWP) and other services within the local authority to provide tailored advice and support to households affected by the overall benefit cap. The benefit cap predominantly affects large families in West Lothian with 3 or more children and a number of householders are impacted. Data sharing with DWP allowed the impacted households to be identified and contacted to offer advice, income maximisation and Discretionary Housing Payment to mitigate the impact of the cap.
The introduction of Universal Credit full service has led to strengthened partnership work with the DWP. An Operational Delivery Group comprised of local
26 - 152 - Appendix 1 authority and DWP representatives as well as local registered social landlord representation met regularly ahead of the roll out of Universal Credit to identify ways to target activity to support clients most likely to find Universal Credit difficult to manage. A guidebook for anyone seeking to claim UC has been produced with input from local and national agencies (DWP) and consultation with tenant participation group.
West Lothian Schools are working to the West Lothian Raising Attainment Strategy in order to improvement attainment and close the gap between young people living in disadvantage and their peers.
Excerpt from St Kentigern’s (an attainment challenge school) inspection report 2017
“The staff in the school demonstrate a commitment to ensuring equity. Recent work has included the production of an ‘Interventions for Equity’ booklet which is raising awareness of equity as well as outlining practice. There are plans to use this as a tool for teachers to audit their practice. There is an understanding of the school social and economic context and this is reflected in school planning. The senior team are committed to having a constant focus on closing any gap in attainment between young people living in disadvantage and their peers and this focus has been strengthened by their work in the Scottish Attainment Challenge. They interrogated and analysed a range of both quantitative and qualitative evidence to identify where the gap currently exists. Staff have a collective understanding of what this gap is. There is now a need to move to planning effective strategies leading to evidence of closing the gap.”
St Kent’s school improvement plan 2018-19 also demonstrates where inclusion and equity has impacted upon attainment, attendance and in particular exclusions. http://www.stkentigernsacademy.org/article/15024/School-Improvement-Plan-2018-19-and-Standards-and-Qualities-Report-for-Session-2017-18
Community Arts is working with schools to develop creativity and cultural projects which will contribute to closing the attainment gap in line with Pupil Equity Fund (PEF) aims. PEF strategies can be found in School Improvement Plans such as Armadale Academy: https://www.westlothian.gov.uk/media/4783/Armadale-Academy-Improvement-Plan/pdf/2018_SIP_final_(1).pdf
Examples are: Holiday Activity Clubs, where young people are provided with food in addition to opportunities to participate in physical activities. School of Football utilised as an attendance strategy and to access learning opportunities through football Library club attached to breakfast clubs The School Bank – charitable organisation for supply of school uniform and equipment to access school. Purchase of a school Mini-bus at Armadale Academy has allowed young people to access opportunities and experiences which were previously inaccessible. This is particularly supported by the Family Liaison officer and Pupil Support staff, during holiday periods.
To ensure maximisation of income and accurate financial assessments, all social policy clients/service users who are not approved for service provision will automatically be referred to the Advice Shop for a Personal Income Check.
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DATA LABEL: PROTECT
PARTNERSHIP AND RESOURCES POLICY DEVELOPMENT AND SCRUTINY PANEL
ICT ASSET MANAGEMENT PLAN (2019/20 to 2027/28)
REPORT BY HEAD OF CORPORATE SERVICES
A. PURPOSE OF REPORT
To invite the Panel to scrutinise the proposed ICT Asset Management Plan for 2019/20 to 2027/28.
B. RECOMMENDATION
To note the proposed ICT Asset Management Plan for 2019/20 to 2027/28 and the intention to report the plan to Council Executive for approval.
C. SUMMARY OF IMPLICATIONS
I Council Values Being honest, open and accountable; making best use of our resources, Working in partnership
II Policy and Legal The council is required to demonstrate Best (including Strategic Value through a structured framework for the Environmental management of its assets. The establishment Assessment, Equality of this plan will support achievement of this. Issues, Health or Risk Assessment)
III Implications for Not Applicable Scheme of Delegations to Officers
IV Impact on performance The implementation of the ICT Asset and performance Management Plan will sustain and where Indicators appropriate improve the performance measures highlighted in the plan.
V Relevance to Single The ICT Asset Management Plan supports Outcome Agreement activities under a number of outcomes including the following:
Outcome 1 -We make West Lothian an attractive place for doing business in Scotland.
Outcome 3 – we are better educated, more successful, renowned for our research and innovation.
Outcome 14 – we reduce the local and global
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environmental impact of our consumption and production.
Outcome 15 - Our public services are high quality, continually improving, efficient.
VI Resources - (Financial, IT revenue and general services capital Staffing and Property) investment will support the implementation of the ICT Asset Management Plan 2019/20 to 2027/28
VII Consideration at PDSP The plan is being presented to PDSP for consideration.
VIII Other consultations The plan has been prepared in consultation with relevant services.
D. TERMS OF REPORT
D1 Background
At its meeting on 19 February 2019 Council approved the nine year general services capital investment programme for 2019/20 to 2027/28 together with the Corporate Asset Management Strategy. The Corporate Asset Management Strategy (CAMS) establishes the priorities set out in the corporate plan and how these relate to the management of all the councils assets, together with aligning to the investment resources set out in the capital programme. The ICT Asset Management Plan distils these priorities and how they relate to the management of ICT assets. In addition the ICT Asset Management Plan re-establishes the corporate framework for the management of ICT assets.
The proposed ICT Asset Management Plan applies to the period 2019/20 to 2027/28 and has the aim of managing our ICT assets effectively and efficiently whilst continuing to improve performance. The plan is for a nine year period and progress will be reported annually. The plan will be formally reviewed in 2022/23.
D2 Plan Contents
The plan sets out the council’s approach to the management of its ICT assets. It supports delivery of the council’s objectives by:
Establishing a framework for the management of ICT assets
Highlighting corporate outcomes and priorities and how they will be supported through effective and efficient management of ICT assets
Identifying the internal and external influencing factors and challenges affecting ICT assets
Outlining the investment we will make in our ICT assets over the next nine years
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D3 Corporate Asset Management Performance Measures
The monitoring of performance is essential to measuring the success of the plan’s implementation. The key performance measures are: Compliance; Condition; Suitability; Sufficiency; Utilisation; Accessibility; Sustainability Performance measures that relate to each of these are detailed in the appended plan. These will be reported on an annual basis throughout the life of the plan.
D4 Governance
Management and decision making processes are outlined in the plan and will continue to be structured to ensure effectiveness and transparency. The Plan sets a management hierarchy that incorporates both elected member decision making and officer level delegated authority.
D5 Capital Investment
The Plan also highlights the capital investment that will be made in our ICT assets over the next nine years from 2019/20 to 2027/28. This totals over £28.4m and includes a number of key areas, such as: Wireless networking in schools - £2.049m Desktop refresh in schools - £5.058m IPT and telephony in schools - £668k Central Server Refresh - £1.842m Local network refresh - £.069m
These significant resources demonstrate the council’s commitment to sustaining and improving ICT asset performance and will support the implementation of the proposed plan.
E. CONCLUSION
The proposed ICT Asset Management Plan has been prepared to reflect and support the priorities of the Corporate Plan and Corporate Asset Management Strategy. It sets out the framework and resources required for the next nine years to ensure we manage our ICT assets effectively and efficiently whilst ensuring we seek continuous improvement.
F. BACKGROUND REFERENCES
Asset Management Strategy and General Services Capital Investment Programme 2019/20 - 2027/28. Report approved 19 February 2019
Appendices/Attachments: ICT Asset Management Plan 2019/20 to 2027/28
Contact Person: Ian Forrest, IT Manager, 01506 281081, [email protected]
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Julie Whitelaw Head of Corporate Services
Date of meeting: 5th April 2019
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Transforming Your Council
ICT Asset Management Plan
2019/20 to 2027/28
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Contents
1. Foreword 2
2. Introduction & Background 3
3. Council Corporate Plan Priorities 7
4. Corporate Asset Management Strategy – ICT Performance 9 Outcomes
5. ICT Asset Management Plan 11
6. ICT Asset Management Activity Themes 15
7. Financial Resources 17
8. Customer Demand, Consultation and Expectations 19
9. Risks to ICT Asset Management Plan 20
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1 Foreword
West Lothian Council is committed to managing its ICT assets effectively and efficiently. The use of ICT assets to provide secure access to accurate information at the right time is critical to efficient service delivery. ICT assets are essential to our customer service as these assets enable access to information about the Council and access to the services we deliver. It is essential that we maintain and develop these assets to ensure that they benefit our services and customers.
This plan sets out the council’s proposed framework for the management of our ICT assets over the next nine years. It has been produced in accordance with national guidance and recognises good practices within the context of the current fiscal climate to support the delivery of our corporate priorities.
The plan recognises the outcomes of the Corporate Plan and the Transforming Your Council consultation, specifically ensuring that our ICT assets are managed in an efficient, effective and sustainable manner. This plan provides supporting information for the approved Corporate Asset Management Strategy that sets out the main outcomes we will use to monitor efficiency and effectiveness.
It is widely recognised that the application of modern asset management practices can enable more efficient and effective resource deployment, service modernisation, long term financial planning and improved risk management. In these challenging times is it essential that the council embraces this approach and strives to ensure that we invest as wisely as possible and ensure our ICT assets are fit for purpose.
There will be continuing and increasing dependency on ICT systems to provide and support the delivery of efficiency savings. This increased dependency influences the criticality of systems in delivering public services. Given this criticality, it is important that resources are deployed in the management, maintenance and development of our ICT assets to mitigate risk of failure and deliver the best possible outcomes for West Lothian’s customers. This plan forms an important part of the council’s commitment to achieve this.
Ian Forrest IT Services Manager, Asset Lead Officer
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2 Introduction and Background
2.1 Introduction
Welcome to the ICT A s s e t Management Plan ( ICT AMP) . This plan sets out the council’s plans for the management of our ICT assets for the period 2019/20 to 2027/28 This builds upon the success of the previous plan which was widely recognised as being at the forefront of good asset management in local authorities. The management of our ICT assets involves a diverse range of activity from tactical maintenance and administration to strategic development and deployment of improved systems.
The Council has an approved Corporate Plan, which sets out eight priorities that have been developed in consultation with our local communities, partner organisations, stakeholders and staff. These priorities together with three enabler themes represent all the vital activities that the Council will undertake in order to achieve the delivery of high quality and cost effective for West Lothian. Successful management of ICT assets will be critical to ensure the delivery of these. Effective and efficient asset management was also identified as a key priority from the consultation.
Effective asset management supports the delivery of the outcomes and objectives from the ICT, Digital Transformation and Customer Service strategies To ensure a consistent approach to the management of our assets, the Council has approved a Corporate Asset Management Strategy that sets out a number of performance outcomes within the context of our vision “to manage assets efficiently and effectively to support the achievement of corporate priorities and outcomes”.
The purpose of this ICT Asset Management Plan is to ensure that our ICT assets support this vision and continue to play an active role in the delivery of our services. We will ensure they are managed effectively and efficiently to deliver fit for purpose ICT to support services delivering our corporate priorities.
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This ICT Asset Management Plan sets out the council’s approach to the management of its ICT assets. It supports the delivery of the council’s priorities by: ■ Establishing a corporate framework for the management of all our ICT assets; ■ Highlighting how the effective and efficient management of our ICT assets will support our corporate outcomes and priorities ■ Presenting an overview of the range of ICT assets owned by the Council; ■ Identifying the legislative, commercial and technological advances affecting the use of ICT assets within the council; ■ Identifying a number of activity themes to improve the performance of ICT assets ■ Supports delivering investment to combat emerging cyber security threats ■ Outlines the capital investment we will make in our ICT assets over the next nine years.
The Council has approved a ten year general services capital programme that has been formulated based on our corporate priorities, managing risks, ensure affordability caps are adhered to and implementing asset management best practice. A nine year framework for revenue budget strategy has also been approved. By having the asset management strategy, capital and revenue resources agreed for the next nine years the Council has established a sound basis for aligning our resource deployment with corporate priorities.
This approach has enabled us to commit to a number of significant investments over the next nine years that will sustain and where appropriate improve the performance of our ICT assets and support achievement of our corporate priorities. These include:
o Implementing a seven year replacement cycle, with technology review after five years for all desktop PC/access devices; o Updating the current centralised storage technology with improved capabilities and increased capacity; o Replacement of the central server and application support infrastructure on a seven year cycle; o Provision of increased bandwidth from schools to the internet o Marinating compliance with the PSN Code of Connection, Cyber Essentials Plus and PCI-DSS accreditations o Procurement and Implementation of a new Social Care Management System o Procurement and implementation of a new HR and Payroll System
These investments together with a wide range of planned improvements and developments to improve the performance of our ICT assets clearly demonstrate the commitment the council is making to ensuring they are fit for purpose to support service delivery to our communities.
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2.2 Background - I C T Assets Overview
ICT assets are essential to all the services delivered by West Lothian Council. Managing these assets is a structured process that seeks to ensure best value, continuous performance improvement, achievement of our corporate priorities and support service modernisation.
It is recognised that:
■ Managing ICT assets effectively is a key element in supporting service delivery; ■ ICT assets are an essential resource for service transformation and modernisation; ■ The value of ICT assets owned by the council is significant; and ■ ICT assets are at the core of the public’s ability to connect and communicate with the council.
West Lothian Council currently has a significant ICT asset base consisting of over 15,000 client access devices (PCs, Laptops, mobile devices, IPT phones etc.). These are used to access resources and services running on over 600 virtual servers across a network connecting 191 sites.
2.3 Background – M a n a g e m e n t
Management of the Council’s ICT assets is a key responsibility. This responsibility resides with IT Services, part of Corporate Services and includes:
■ Leading on the scope and direction of this ICT Asset Management Plan; ■ Responsibility for ensuring that services use ICT assets effectively and efficiently; ■ Prioritising and managing the deployment of revenue resources for statutory compliance, cyclical and reactive maintenance; ■ Prioritising and managing the deployment of capital resources to support and undertake planned improvements, and deliver new ICT projects; ■ Management of the ICT capital programme; ■ Providing professional services to the Council and partners relating to the management of ICT assets; ■ Operational management of the Councils ICT estate; ■ Management of the Council ICT assets to support the outcomes and objectives from the ICT, Digital Transformation and Customer Service strategies Leading on Corporate ICT Asset Management initiatives; ■ Enabling technology aspects of Transforming Your Council projects.
The effective and efficient management of ICT assets underpins the outcomes and objectives from the ICT, Digital Transformation and Customer Service strategies Creating a culture which values information; 5 | P a g e Data Label: PUBLIC
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■ Improving access to information through technology, processes and tools; ■ Ensuring best use of information developing opportunities for sharing and re-use; ■ Ensuring compliance with information management legislation, policy and standards; ■ Enabling appropriate access to information from non-traditional working locations ■ Ensuring compliance records are maintained on site and updated as required in liaison with Construction Services; ■ Maximising use of technology in delivering efficiency and assist service re-design ■ Increasing awareness of technology solutions to reduce carbon emissions ■ Rationalisation and virtualisation of systems to deliver energy efficiency
2.4 Background - Influencing factor s
The management of our ICT assets is influenced by a variety of factors, which are summarised below:
External Factors The pace of technology change continues to increase and influence the range of options for ICT assets and service delivery; The current economic climate means we have fewer resources to deploy in the management and maintenance of ICT assets. Regulatory and statutory changes at both UK and Scottish Government level will occur throughout the life of this plan. These will need to be reacted to and will affect how we manage, improve and develop our ICT assets; National and Sectoral strategies from Scottish Government and Local Government will influence the sharing of ICT services and potentially assets in the lifespan of the plan. Demographic changes mean that West Lothian population will grow in the future. This influences the capacity and provision of ICT services, primarily in Education, but also in social care services for adults and older people. Best practice guidance issued by professional organisations or influential bodies such as the IT Service Management forum, Society of IT Managers and Records Management Society will be considered where appropriate; and ICT requirements of strategic partners will influence the delivery of joint projects; The costs and range of ICT equipment, services and procurement will vary during the plan period and will to be considered on an ongoing basis. Increased national public interest in information security requires additional focus on the security of networks and systems used to process and store information. Market migration to revenue based (subscription) access to services requires review of the current capital based approach to ICT service provision. Emerging cyber security threats
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Internal Factors Service modernisation and new ways of working to support Transforming Your Council and the Digital Strategy workstreams will mean that existing ICT assets may need to be adapted and new assets will need to be more flexible; Efficiencies in resource usage will be targeted by considering the choice of technology and range of service delivery options to reduce long term operating costs. New properties, extensions and refurbishments will require ICT assets to facilitate service delivery in areas where population increases occur, this means additional running costs; The Council is committed to reducing carbon and improving the energy efficiency in the use of ICT assets. This will influence behaviour change and ICT asset efficiency.
3 Council Corporate Plan Priorities
The council has set eight priorities in the current Corporate Plan in consultation with the local community, partners, stakeholders and our staff. These priorities, along with the three enabling themes, represent all the vital activities that the council will undertake in order to achieve high quality and cost effective services for West Lothian.
Figure 2 below illustrates where ICT assets directly contribute to the delivery of the council’s priorities (and/or) enablers or are influenced by:
ICT systems provide the data monitoring 1. Improving attainment and and analysis which enables intervention to improve attainment. Access to ICT access positive destinations for devices and network connectivity enable school children access to rich media and information resources enabling improved attainment. The council has a number of ICT systems 2. Delivering positive outcomes which directly support the collection and and early intervention for analysis of data used in the decision early years making processes for early intervention to deliver positive outcomes Our ICT assets provide access to training 3. Minimising poverty, the cycle and internet though Libraries and of deprivation and promoting Community Education sites. These equality services improve accessibility thereby supporting equal access to our services. The council owns a number of care homes and ICT is used for delivery of services. 4. Improving the quality of life The council has a number of ICT systems which directly support the collection and for older people analysis of data used in the decision making processes for delivery of services to older people. The investment in ICT assets is significant 5. Improving the employment and supports employment directly in the position in West Lothian Council and through the engagement of local contractors. The investment in Next 7 | P a g e Data Label: PUBLIC
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Generation Broadband (NGB) is an enabler for private sector business to locate in areas of West Lothian previously inaccessible due to the lack of modern data connectivity. 6. Delivering positive outcomes Our partnership with health and the use of on health our ICT assets to deliver services. Our ICT assets enable access to shared 7. Reducing crime and facilities and support co-located multi- improving community safety disciplined partners to help reduce crime and improve community safety. By investing in our ICT assets and 8. Protecting the built and ensuring they are managed in a natural environment sustainable manner we ensure that the impact on the environment is minimised. Figure 1: Council Priorities
Enablers The significant resources employed in ICT assets require effective financial planning Financial planning to allocate resources where required and identify investment needs over the longer term We ensure that our ICT assets are safe for use and fit for purpose in terms of Corporate governance and risk mitigating risks to the security of information held. . Electronic communication through ICT is a Modernisation and improvement key factor in enabling modernisation and improvement of service delivery Figure 2: Council Enablers
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4 Corporate Asset Management Strategy – ICT Performance Outcomes
The corporate asset management plan sets out that we will manage our assets efficiently and effectively to support the delivery of our service and corporate priorities. To demonstrate this six performance outcomes have been developed for all asset categories including Information Technology. The following table demonstrates how these relate to Information Technology and sets out appropriate high level performance indicators.
Strategy Primary Performance Outcome Indicators Activity Aims Compliance ■ Annual Public Sector Network Demonstrates that our ICT (PSN) compliance check assets comply with statutory ■ Annual Cyber Essential Plus and regulatory requirements. accreditation
■ Staff with email accounts who Ensuring staff are have completed the council’s appropriately trained to mandatory online training access council systems courses
Condition ■ Percentage of ICT faults Demonstrates that our ICT related to hardware failure assets are maintained in ■ Percentage of ICT equipment satisfactory or better in use beyond its expected condition through application lifespan software updates and hardware performance monitoring
Suitability ■ Percentage of active network Demonstrates that our ICT accounts fit for purpose assets are suitable for use Sufficiency ■ Percentage annual Service Demonstrates that our ICT Continuity Test that support assets are utilised WLC1 Business Continuity appropriately and business plans critical activities have appropriate contingency arrangements
Utilisation ■ Maintain optimum server Demonstrates that there is processing capacity sufficient server processing capacity to meet peaks in demand without deploying redundant hardware capacity
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Strategy Primary Performance Outcome Indicators Activity Aims Accessibility ■ Percentage of Service Desk Demonstrates continued calls answered within 20 availability of ICT assets, seconds including different forms of digital media, which can enhance accessibility
ICT assets will be used to support alternative forms of communication, including text phone, email, telephony and adaptive websites.
Sustainability ■ Percentage of IT desktop The impact of ICT assets on equipment with power the environment will be management policies minimised by the ■ Percentage of ICT assets procurement of energy disposed of in accordance efficient devices. with Waste and Electronic Equipment Directive Assets at the end of their lifecycle will be processed in accordance with the Waste Electrical and Electronic Equipment Directive
Figure 3: Corporate Asset Management Strategy – ICT Performance Outcomes
Additional management performance indicators will, where appropriate, also be reported within annual updates of this ICT asset management plan. These support the higher level performance measures.
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5 ICT Asset Management Plan
5 .1 Strategic Hierarchy
ICT assets are managed within an integrated strategic framework that has at its highest level the Corporate Plan where direct and enabling service priorities are identified. These priorities are reflected in the Corporate Asset Management Strategy that sets out the primary outcomes required to ensure effective and efficient asset management takes place. At this level financial resources are considered within the context of the Councils financial management strategy which sets the framework for the prioritised deployment of revenue and capital resources for the different asset categories. This ICT asset management strategy builds upon these and sets out the direct requirements for ICT to support the delivery of the corporate level outcomes and priorities. The following illustration shows the strategic hierarchy for the ICT Asset Management Plan.
Corporate Plan (Transforming Your Council)
ICT Strategy Digital Strategy Corporate Asset Revenue and Management Strategy Capital Strategies
Roads, Lighting, Property Open Housing Fleet Asset ICT Asset Flooding and Asset Space Asset Manageme other related Manageme Asset Manageme nt Plan Management Plan assets Asset nt Plan Manageme nt Plan Management nt Plan Plan
Figure 4: ICT Asset Management Plan – Strategic Hierarchy
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5 . 2 ICT Asset Management Plan Decision Making H i e r a r c h y
To ensure that ICT assets are management consistently within a clear decision making framework that facilitates the effective and efficient management the following structure has been established.
Elected Member Council/Education Governance Executive
Partnership & Resources PDSP
OLG: ICT Programme Board Boards
OLG: Capital & Asset Project Boards Management Steering and Board Project Boards
Figure 5 – ICT Asset Management Structure
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Each of these groups remit and responsibility is shown on the following table.
Frequency / Level Group Name Remit and Responsibility Attendance 1.Elected Council / Approval of Corporate and Quarterly (as Members Education ICT Asset Management required) Executive Strategies Approval of General Services Capital Programme Approval of General Services capital programme monitoring reports. Approval of ICT asset management reports that require decisions by elected members
1.Elected Partnership and Consideration of ICT Asset Annually (as Members Resources Management Performance required) / Elected PDSP reports. Members ICT strategy/policy reports that require consideration by elected members.
2.Senior Capital and Responsibility for the Bi-monthly / Head Officer Asset direction and scope of the of Finance and Management Corporate Asset Estates, Asset Lead Board Management Strategy and Officers and ICT Asset Management Service Plan. Representatives Corporate monitoring of general services capital programme and consideration of variances. Evaluation of emerging investment requirements and strategic outline business cases (SOBCs). Oversee the coordination of corporate asset management projects and initiatives.
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Frequency / Level Group Name Remit and Responsibility Attendance 2.Senior ICT Programme Strategic governance and Six meetings per Officer Board prioritisation of IT Services year Chaired by portfolio of projects to deliver Deputy Chief to ICT Strategy, Executive Management Plan, membership Corporate Plan (associated selected Heads of council strategies) and Service. Attendance forthcoming Information by IT Manager and Strategy and ICT Asset Portfolio and Management Plan. Program Manager Reviewing project management of ICT projects and considers post project evaluations Reviewing Initial evaluation of emerging investment requirements and SOBCs. Senior communication and cascade within their Directorate from ICT Programme Board. Consider new project briefs in accordance with strategic direction 4.Officer Project Board Responsible for managing As defined by and monitoring project individual project progress and delivery of Project Board will project benefits. include Project Executive, Senior User and Senior Supplier. Figure 6 – ICT Asset Management Decision Making Groups Hierarchy
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6 ICT Asset Management Activity Themes
The Corporate Plan sets the priorities that we will support through the use of our assets. The Corporate Asset Management Strategy sets the higher level performance outcomes that are used to measure that we are effectively and efficiently managing our assets and resources in pursuit of these priorities.
This ICT Asset Management Plan also sets out activity themes that will be undertaken over the next nine years to support the achievement of the corporate priorities, the asset management strategy outcomes and support the modernisation of service delivery.
The summary of key activity areas are as listed in the table below.
Activity Theme Activity Description Services
ICT Asset Efficiency Modernise and rationalise council wide Corporate Services ICT assets to deliver efficiencies Complete annual reviews of the ICT Strategy
Flexible and mobile Support mobile and flexible working Corporate Services working solutions by providing additional and all Council capacity for remote access systems service areas Review mobile working requirements and application of appropriate mobile technology
Information security Complete the annual review of Corporate Services Information Security policy and all Council Ensure appropriate information security service areas arrangements are in place to maintain compliance.
Improving corporate Implementation of improved disaster Corporate Services risk management of recovery solutions supporting critical and all Council key ICT assets activities. service areas
Modernising access Implementation of replacement HR and Corporate Services to HR services payroll systems Enable improved ability to access self- service functionality for HR and payroll services
Supporting Supporting the ICT requirements within Corporate Services Modernising projects Delivering Better Outcome projects and all Council service areas
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Activity Theme Activity Description Services
Supporting ICT Implementation of increased capacity Corporate Services availability for the to support use of internet based and Education education curriculum resources throughout all phases of Services education promoting enhanced pupil attainment
Internal Customer Implementation of upgraded IT Service Corporate Services empowerment customer portal allowing all internal and all Council customers to request and track service service areas
Supporting property Planning and provision of ICT Corporate Services strategy connectivity and service to support the and Finance and consolidation delivery of the council property strategy Property Services
Energy and Implementation of ICT solutions to Corporate Services, sustainability support the delivery of energy Finance and efficiency and carbon reduction Property Services, and Planning, Economic Development and Regeneration Figure 7: Corporate Asset Management Strategy – ICT Performance Outcomes
These themes represent the main modernisation activity areas for the management of our ICT assets. There are however, significant other areas of operation involved in the ongoing day to day management of our ICT assets which are covered within the appropriate service management plan. These are reported separately together with their appropriate performance measures. The activity areas impact on the service management plans as resources are required to manage and deliver the activities outlined in this plan.
Throughout the life of this plan, additional modernisation opportunities will arise and these will be incorporated and reported within annual performance monitoring reports as appropriate.
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7 Financial Resources
7 .1 Capital Investment
Significant resources are employed in the management and improvement of our ICT assets. The following table highlights the new investment being made to support corporate priorities and deliver improvements in the asset management outcomes.
ICT ASSETS - CAPITAL INVESTMENT STRATEGY 2019/20 TO 2027/28 Budget Budget Budget Budget Budget Budget Budget Budget Budget Total 2019/20 2020/21 2021/22 2022/23 2023/24 2024/25 2025/26 2026/27 2027/28 Budget £'000 £'000 £'000 £'000 £'000 £'000 £'000 £'000 £'000 £'000
Corporate and Modernisation Antivirus/Malware 215 0 0 0 0 214 0 0 0 429 Asset Management Software 165 0 0 0 0 0 0 0 0 165 Central Firewall Refresh 0 131 0 0 0 139 0 0 0 270 Central Server Refresh 78 300 78 452 0 128 590 128 88 1,842 Central Storage Refresh 325 0 0 0 725 0 0 0 0 1,050 Desktop Refresh 47 170 248 587 120 269 77 27 128 1,673 Digital Transformation 115 190 215 215 60 60 60 60 60 1,035 Electronic Document Records Management (EDRM) - 0 20 20 50 590 105 23 31 31 Refresh 870 Email Filtering/Encryption 463 0 32 0 443 32 0 0 32 1,002 Email System Upgrade 0 250 0 0 0 0 0 0 250 500 HR & Payroll Replacement - System 180 10 10 10 500 10 10 10 10 750 Internet Protocol Telephony Refresh 300 0 0 0 475 0 0 0 0 775 LAC Device Replacement 0 0 0 70 0 0 0 0 0 70 Library Books (including ebooks and reader development) 95 95 95 95 95 95 95 95 95 855 Local Area Network Refresh 211 211 211 211 381 211 211 211 211 2,069 MS Office Refresh 475 0 0 0 0 0 0 0 475 950 Remote Access/Swivel 70 0 0 0 0 76 0 0 0 146 Scottish Wide Area Network 0 0 175 0 0 0 0 175 0 350 Social Care Administration (SWIFT) Replacement 650 0 0 0 0 150 0 0 0 800
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ICT ASSETS - CAPITAL INVESTMENT STRATEGY 2019/20 TO 2027/28 Budget Budget Budget Budget Budget Budget Budget Budget Budget Total 2019/20 2020/21 2021/22 2022/23 2023/24 2024/25 2025/26 2026/27 2027/28 Budget £'000 £'000 £'000 £'000 £'000 £'000 £'000 £'000 £'000 £'000
Technology Enabled Care Programme - Internal 0 0 0 0 425 0 0 0 0 Infrastructure 425 Upgrade from Windows 7 0 0 229 0 0 228 0 0 228 685 Corporate and Modernisation - Total 3,389 1,377 1,313 1,690 3,814 1,717 1,066 737 1,608 16,711
Schools Antivirus/Malware 215 0 0 0 0 214 0 0 0 429 Central Firewall Refresh 74 0 0 0 0 78 0 0 0 152 Central Server Refresh 30 90 20 25 9 30 77 13 24 350 Desktop Refresh 600 500 500 500 500 450 450 450 450 5,058 Education Wireless Local Area Network Refresh 0 268 268 536 653 0 536 653 268 3,479 Internet Protocol Telephony Refresh 0 0 0 0 209 0 0 0 0 418 School Telephone Replacement System 25 25 25 25 25 25 25 25 25 250 Scottish Wide Area Network Bandwidth Upgrade 0 0 375 0 0 0 0 375 0 778 Wireless Refresh 0 0 0 993 0 0 1,056 0 0 2,049 Schools - Total 944 883 1,188 2,079 1,396 797 2,144 1,516 767 11,714
TOTAL ICT ALLOCATION 4,333 2,260 2,501 3,769 5,210 2,514 3,210 2,253 2,375 28,425
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- 177 - 8 Customer Demand, Consultation and Expectations
In the development and implementation of this ICT asset management plan it is important for us to ensure that we are aware of our unique customer groups, their needs and expectations. The following table highlights the customer consultation schedule that will be implemented which will influence any changes to the plan as it is deployed over the next 9 years and will form part of periodic reviews and updates.
Customer Consultation Schedule
Customer Responsible Feedback Survey Method Frequency Group Officer Method Service Users / On-line and Ongoing Corporate Annual Report Members of Physical Public Questionnaire
ICT Programme Meeting 6 per year IT Manager Annual Report Board members Service Meeting Monthly Service Portfolio Annual Report Management and Programme Teams Manager Individual Meeting As defined Project Board report Project Board Executive
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9 Risks to ICT Asset Management Plan
In the delivery and implementation of this plan there are a number of risks that require to be mitigated. These include the following:
Technological – The pace of technological advances and the organisation’s business transformation will introduce change and risk to the success of the plan. The ability to adapt and align business transformation with appropriate technologies is vital.
Managerial – It is vital to the success of the ICT asset management plan that high level senior management support is in place across all services;
Budgetary – In dealing with ICT projects including ongoing maintenance costs, expenditure on items where the procurement is influenced by external market place and suppliers. Unforeseen increases in these could lead to the full implementation of this plan being compromised;
Legislative - changes resulting in new services and/or increased compliance requirements may mandate that ICT assets may no longer be compliant and could result in increased costs to make secure compliance or the potential exit of ICT assets.
National – alignment to the National and/or Local Government IT Strategy could influence the delivery of the plan. Engagement with ICT professionals and professional bodies will assist in identifying and planning any changes.
Staff Resources – To progress the various activity themes and projects within the scope of this plan, the appropriate staff resources require to be made available.
In terms of scale, each of these risks would have a significant effect on the success of the implementation of the plan. Each risk has been considered and there are appropriate controls in place to mitigate these. Whilst it is recognised that there will be instances where each of these will have some impact, whether on specific projects or activity themes, these are not considered to be highly likely or insurmountable to the overall implementation and success of the plan.
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Corporate Services ICT Asset Management Plan 2019/20 to 2027/28
Julie Whitelaw Head of Service
A p r i l
2 0 1 9
For more information: I a n F o r r e s t , Asset Manager IT Services E m a i l a d d r e s s : ian.forrest @westlothian.gov.uk
West Lothian Civic Centre Howden South Road | Livingston | West Lothian | EH54 6FF
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DATA LABEL: PUBLIC
PARTNERSHIP AND RESOURCES POLICY DEVELOPMENT AND SCRUTINY PANEL
LOTHIAN VALUATION JOINT BOARD
REPORT BY CHIEF EXECUTIVE
A. PURPOSE OF REPORT
To update the Partnership and Resources Policy Development and Scrutiny Panel on the business and activities of the Lothian Valuation Joint Board.
B. RECOMMENDATION
It is recommended that the Panel notes: 1. the Audited Financial Statements for the Year Ended 31 March 2018; and 2. the terms of the Minutes of the meetings held on 18 June 2018, 3 September 2018 and 5 November 2018 of the Lothian Valuation Joint Board.
C. SUMMARY OF IMPLICATIONS
I Council Values Focusing on our customers' needs Being honest, open and accountable Working in partnership.
II Policy and Legal Council requires the activities of certain outside (including Strategic bodies to be reported to elected members on a Environmental regular basis, as part of its Code of Corporate Assessment, Equality Governance. Issues, Health or Risk Assessment)
III Implications for Scheme None of Delegations to Officers
IV Impact on performance None and performance Indicators
V Relevance to Single National outcome 15: Our Public Services are Outcome Agreement high quality, continually improving, efficient and responsive to local people’s needs.
VI Resources - (Financial, None Staffing and Property)
1
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VII Consideration at PDSP No prior consideration required.
VIII Consultations None required.
D. TERMS OF REPORT
At its meeting of 29 June 2010, the Council Executive decided that the activities of certain outside bodies should be reported within the council to ensure all elected members are aware of the business of those bodies and to help to ensure their activities are more effectively scrutinised.
In accordance with that decision, the business of the Lothian Valuation Joint Board was to be reported to this meeting by the production of its minutes and annual report.
Appendix 1 provides the Audited Financial Statements for the Year Ended 31 March 2018.
Appendixes 2, 3 and 4 provide the minutes of the Lothian Valuation Joint Board meeting held on 18 June 2018, 3 September 2018 and 5 November 2018.
E. CONCLUSION
This report ensures that members are kept appraised of the activities of Lothian Valuation Joint Board as part of the council’s Code of Corporate Governance.
F. BACKGROUND REFERENCES
West Lothian Council Code of Corporate Governance.
Appendices/Attachments: Appendix 1 – Audited Financial Statements for the Year Ended 31 March 2018. Appendix 2 – Minutes of meeting of the Lothian Valuation Joint Board held on 18 June 2018. Appendix 3 – Minutes of meeting of the Lothian Valuation Joint Board held on 3 September 2018. Appendix 4 – Minutes of meeting of the Lothian Valuation Joint Board held on 5 November 2018.
Contact Person: Caitlin Hirst, Project Officer Email [email protected] ; Telephone 01506 281278
Graham Hope Chief Executive 5 April 2019
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Audited Annual Accounts for the Year Ended 31st March 2018
3rd September 2018
1 Purpose of report
The purpose of this report is to present to the Board the audited Annual Accounts for the year ended 31st March, 2018 and to recommend they are approved for signature.
2 Main Report
2.1 The unaudited Annual Accounts were noted by the Lothian Valuation Joint Board at its meeting in June 2018.
2.2 The Board’s appointed Auditor will present the 2017/18 Annual Audit Report to Members separately on this agenda. This report highlights to the Board that there were no significant issues identified during the course of the audit. One material adjustment was made to the annual accounts in relation to the net pension liability.
The Auditor’s report provides an opinion on whether the Annual Accounts;
• give a true and fair view in accordance with applicable law and the 2017/18 Code of the state of affairs of the Lothian Valuation Joint Board as at 31 March 2018 and of its income and expenditure for the year then ended;
• have been properly prepared in accordance with IFRSs as adopted by the European Union, as interpreted and adapted by the 2017/18 Code;
• have been prepared in accordance with the requirements of the Local Government (Scotland) Act 1973, The Local Authority Accounts (Scotland) Regulations 2014, and the Local Government in Scotland Act 2003;
• the part of the Remuneration Report to be audited has been properly prepared in accordance with The Local Authority Accounts (Scotland) Regulations 2014;
• the information given in the Management Commentary is consistent with the financial statements and has been prepared in accordance with statutory guidance issued under the Local Government Scotland Act 2003; and
• the information given in the Annual Governance Statement is consistent with the financial statements and has been prepared in accordance with the Delivering Good Governance in Local Government: Framework (2016).
- 183 - 3 Reserves
3.1 The Board can hold a general reserve with a minimum value of 3% of annual requisition. The balance currently stands at £0.798m (13%). Balances held in excess of 3% require to be reviewed annually in-line with risk/identified commitments. A report will therefore be prepared on this to the November Board.
4 Conclusions
4.1 The Board’s expenditure for 2017/18 was over requisition income by £0.213m.
4.2 The general reserve balance available to the Board at 31st March 2018 is £0.798m.
4.3 A recommendation on the reserve will be presented to the November Board.
5 Recommendations
5.1 That the Board note the Audited Annual Accounts for the year ended 31st March, 2018.
5.2 That the Board authorise the Annual Accounts 2017/18 for signature.
Hugh Dunn, Treasurer.
Appendices: Audited Annual Accounts for the Year Ended 31st March 2018 Contact/Tel: Mr. T.MacDonald: 0131 469 3078 Background Held at the Office of Treasurer Papers: - 184 -
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Annual Accounts for the year to 31st March 2018 Audited
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C O N T E N T S
Page
List of Members and Officials 1
Management Commentary 2 - 5
6 Statement of Responsibilities for the Annual Accounts
Annual Accounts:
1. Movement in Reserves Statement for the year ended 31st March 2018 7
2. Comprehensive Income & Expenditure Statement for the year ended 31st March 2018 8
3. Balance Sheet as at 31st March 2018 9
4. Cash Flow Statement for the year ended 31st March 2018 10
Statement of Accounting Policies 11 - 16
Notes to the Annual Accounts 17 - 38
Annual Governance Statement 39 - 40
Remuneration Report 41 - 44
Independent Auditors Report 45 - 46
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MEMBERS AND OFFICIALS
Members
Convener: Councillor David Key, City of Edinburgh Council
Vice-Convener: Councillor Andrew McGuire, West Lothian
Appointed by The City of Edinburgh Council (9) : Councillor Chas Booth Councillor Phil Doggart Councillor Karen Doran Councillor David Key Councillor George Gordon Councillor Gillian Gloyer Councillor Ricky Henderson Councillor Jason Rust Councillor Norman Work
Appointed by East Lothian Council (2) : Councillor Jim Goodfellow Councillor Jane Henderson
Appointed by Midlothian Council (2) : Councillor Margot Russell Councillor Pauline Winchester
Appointed by West Lothian Council (3) : Councillor Dave King Councillor Andrew McGuire Councillor Damian Timson
Officials
Assessor and Electoral Registration Officer : Graeme Strachan
Chief Executive and Clerk : Andrew Kerr
Treasurer : Hugh Dunn, CPFA
Solicitor : Nick Smith
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Strategic Report
1. Basis of the Accounts The Annual Accounts present the financial position and performance of the Board, for the year to 31st March 2018. The Annual Accounts have been prepared in accordance with the International Financial Reporting Standards (IFRS) based Code of Practice on Local Authority Accounting in the United Kingdom (the Code). This is to ensure that the Annual Accounts "present a true and fair view" of the financial position and transactions of the Board. The Annual Accounts have been prepared in accordance with the following fundamental accounting principles: relevance, reliability, comparability, understandability and materiality.
The accounting concepts of accruals, going-concern, and primacy of legislation requirements also apply. All figures in the Annual Accounts are rounded to thousand pounds (£'000) unless stated otherwise.
To show the net position of the Board, adjustments are made to the Comprehensive Income and Expenditure Statement (CIES) to reflect differences in the accounting basis and funding basis under regulations. These adjustments ensure that the actual resources available to the Board are correctly accounted for in the Movement in Reserves Statement. These adjustments are shown in Note 7.
2. Statutory Background The Lothian Valuation Joint Board was established under the Valuation Joint Boards (Scotland) Order 1995 and provides Valuation Appeals, Lands Valuation, Electoral Registration and Council Tax Valuation services. The Board comprises 16 members appointed from the constituency authorities of whom nine are elected from the City of Edinburgh Council, three from West Lothian and two each from East and Midlothian Councils. Costs incurred by the Lothian Valuation Joint Board are apportioned in accordance with the non-domestic rateable subjects and dwellings valued for council tax within the area of each constituent authority. Expenditure is allocated 61.15% to The City of Edinburgh Council, 9.19% to Midlothian Council, 10.90% to East Lothian Council, and 18.76% to West Lothian Council.
3. The Lothian Valuation Joint Board's strategy and business model The Lothian Valuation Joint Board is a local authority organisation providing a range of services to and on behalf of City of Edinburgh, West Lothian, Midlothian, and East Lothian Councils. The services provided represent duties embedded in statute and associated case law. Specifically they relate to the creation and maintenance of the Valuation Roll, Council Tax List and Electoral Register. The Board's strategy is to ensure best value while providing equitable, customer focused, high quality, professional valuation and electoral registration services for all its stakeholders. To support this aim annual Corporate and Service Plans are created that indicate a detailed range of activities and objectives necessary to deliver services. These plans are supported where required with detailed project management plans, specific service delivery timetables, and associated risk analysis.
4. Principal risks and uncertainties facing the Board. The principal risks and uncertainties faced by the Board fall into two categories. Firstly, in common with the wider local authority community, there are uncertainties created by the ongoing environment of fiscal constraint within which services must be delivered. Set against this the Board has a range of statutory duties to enact and services to deliver. Failure to secure adequate funding places the delivery of these statutory services at considerable risk. In an attempt to meet this challenge a Transformation and Cultural Change Programme commenced during 2017/18. The focus was to identify and secure any immediate potential financial savings while at the same time reviewing the existing business model and the processes adopted in order to identify efficiencies and opportunities for modernisation. Moving forward this change process has identified eight major project workstreams through which the Transformation Programme shall be maintained.
The second category relates to changes in legislation that impact on the services to be delivered. This can create pressures from both a financial and organisational perspective. In recent years there have been government led investigations and consultations into aspects of all three of the statutory functions carried out by the Board. In December 2017 the Scottish Government indicated it's intention to take forward the majority of recommendations outlined in the Barclay Review of NDR. While a number of these have an impact on the Boards services the most significant is the move from a five yearly revaluation to a three yearly cycle. The first of the three yearly revaluations to is take place in 2022, the next in 2025 and so on. This change shall place considerable pressure on the Board as the current revaluation model reflects a two year period for the processes of information gathering, analysis, and valuation, followed by a three year period for disposal of resultant appeals arising from the revaluation. This process now requires to be condensed into a three year period. A complete overhaul of the revaluation process and the mechanisms that drive it, coupled with a review of available and required resources is paramount. This is the biggest change to the NDR requirement for many years and while investigations are commencing as to how best to secure delivery there can be no doubt that the challenge and associated risk is considerable. Within the function of Electoral Registration the cost legacy inflicted by the introduction of Individual Electoral Registration remains an ongoing risk. While Cabinet Office continue to provide annual funding to cover the additional expenditure, and investigation is underway to seek process improvement in order to reduce costs, the Board is faced with an ongoing risk as and when the external funding ceases. In terms of Council Tax the system faces continual criticism and it is likely that further consultative processes shall emerge in the coming years concerning changes to the system. This uncertainty moving forward is a risk to the Board.
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5. Review of the Lothian Valuation Joint Board performance 2017/18
5.1 Financial Performance The Board's expenditure was over requisition income by £0.213m for 2017/18. A drawdown from the General Reserve was planned in relation to two items; one-off Voluntary Redundancy costs arising from the Transformational and Cultural Change Programme and a refund to constituent councils approved by the Board in February 2017. These drawdowns were partially off-set by savings on non-domestic rates, ICT and postage. There were also savings made on vacant posts held due to the Transformational and Cultural Change Programme. Detailed variance explanations are provided below and on page 4.
This review of financial performance is based on management accounting information, rather than the Annual Accounts, which are stated after adjustments to reflect IFRS based Code of Practice.
The outturn position, split between core Board duties and IER duties is summarised below:
Core Revenue Budget Individual Electoral Total Registration (IER) Budget Actual Variance Budget Actual Variance Budget Actual Variance 2017/18 2017/18 2017/18 2017/18 2017/18 2017/18 2017/18 2017/18 2017/18 £'000 £'000 £'000 £'000 £'000 £'000 £'000 £'000 £'000
• Employees 4,570 4,786 216 211 66 (145) 4,781 4,852 71 • Property 599 522 (77) 0 0 0 599 522 (77) • Transport and Plant 96 79 (17) 0 5 5 96 84 (12) • Supplies and Services 750 658 (92) 216 198 (18) 966 856 (110) • Third Party Payments 82 261 179 0 0 0 82 261 179 • Support services 67 66 (1) 0 0 0 67 66 (1) Total gross expenditure 6,164 6,372 208 427 269 (158) 6,591 6,641 50
• Sales, fees & charges (43) (38) 5 0 (43) (38) 5 • IER Grant 0 0 0 (427) (269) 158 (427) (269) 158 • IORB (3) (3) 0 0 (3) (3) 0 Total income (46) (41) 5 (427) (269) 158 (473) (310) 163
Total net expenditure 6,118 6,331 213 0 0 0 6,118 6,331 213
For the year ended 31st March 2018, the Board had an over spend against budget on its Comprehensive Income and Expenditure account of £0.213m which reduced the general reserve.
The Board recorded income totalling £0.619m for 2017/18 in relation to IER grant provided by the Cabinet Office. Expenditure against this grant was £0.269m and therefore £0.350m was carried forward in to financial year 2018/19 to leave a balanced IER position for 2017/18. The carry-forward in to 18/19 mitigates the risk of sudden removal of Cabinet Office funding.
The principal reasons for the deficit against the core budget are variances in the following budgets:
£'000 • Employees 216 The board incurred one-off unbudgeted VR exit costs totalling £0.471m. A saving of £0.255m was made on vacant posts held during the period of Transformational and Cultural change.
• Property (77) Mainly due to reduced non-domestic rates. Following the 2017 Revaluation, the rateable value of the Board’s premises was reduced downwards in common with many other office properties throughout the Lothians.
• Transport costs (17) The variance is mainly a result of the ongoing review of and change to processes surrounding external survey activity. In addition, a commitment to revaluation appeal disposal shall have influenced the resource availability to undertake external activities.
• Supplies and Services (92) Mainly due to budget under spends against computer equipment (£0.052m) and postages (£0.040m). The computer costs variance relates mainly to prepaid invoices moved to 18/19. In terms of postages, and in particular canvass activity, unpredictable form return rates impact on postage costs on an annual basis. In addition on-going process changes seeking alternative methods of communication can reduce postage requirements.
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5. Review of the Lothian Valuation Joint Board performance 2017/18 (Contd.)
5.1 Financial Performance (Contd.) The principal reasons for the deficit against the core budget are variances in the following budgets:
£'000
• Third Party Payments 179 Mainly due to the refund of £0.184m to constituent councils approved in Feb 2017.
• Income 5 General income less than budget.
In accordance with paragraph 8 of the Valuation Joint Boards (Scotland) Order 1995, all under spending pertaining to the Board is retained in the form of a usable reserve. The audited usable reserve balance at 31st March 2017 was £1.011m. The £0.213m planned drawdown for financial year 2017/18 has been transferred to the usable reserve. The reserve balance therefore stands at £0.798m.
5.2 Overview of performance targets in 2017/18
During 2017/18 the Board reached a good level of performance as defined by it's Key Performance Indicators. The principal of these show that 97.33% of all new houses were entered onto the Council Tax List within three months following occupation and that 63.10% of all Valuation Roll amendments were made within three months following completion. During 2017/18 5,715 new houses were added to the Council Tax list while 4,127 amendments were made to the Valuation Roll. Following the 2017 Revaluation 13,000 appeals were lodged against rateable values appearing in the new Roll. As it was during 2017/18, it shall be a challenge in subsequent years to balance available resources against competing workloads. As regards Electoral Registration 2017/18 was a challenging year with both a local government election and snap General Election being held within months of each other. The Board performed well in both these events with all target dates and deliverables being met. In addition the 2017 household canvass produced a 4 % uplift in terms of returned forms in comparison to previous years.
The Board measures performance in council tax valuation through a number of indicators including the time taken to notify new householders of valuation banding. In 2017/18, 97.33% (2016/17 – 93.86%) of notifications were made within three months set against a target of 95%.
For non-domestic properties, a similar indicator is used for notification of changes, with 63.10% of property owners notified within three months against a target of 70% (2016/17 : 47.15%, 2015/16 : 72.11% ). The impact of the 2017 Revaluation is felt both in the year preceding its delivery and the years immediately following when considerable time and resource is spent on disposal of lodged appeals. Following the 2017 Revaluation 13,000 appeals were lodged, the highest number ever received following a revaluation. Available resources require to be balanced between appeal disposal and ongoing maintenance of the Roll at this time.
The new process of registration under IER means that following the annual canvass many applications to register are still awaiting return and are not reflected in the electorate figures provided. The following electorate statistics therefore should be viewed as a snap shot, as at April 2018 659,519; March 2017 657,858; April 2016 650,531; February 2015 660,030; March 2014 639,401. In addition the annual household canvass showed improvement when measured by numbers of forms returned; 2017/18 : 74%, 2016/17 : 70%, 2015/16 : 72%, and the standing list for those electors with permanent absent votes has increased during 2017/18 from 123,430 to 127,725.
6. The main trends and factors likely to affect the future development and performance The main trends and factors likely to affect the development and performance of the Board are those that influence the future direction of service provision. This direction is driven by legislative changes enacted, new case law and following formal reviews. When future direction is subject to external scrutiny and review, inevitably uncertainties and risks arise that may inhibit the development of forward thinking strategies aimed at improving efficiency and performance. This uncertainty is amplified when placed within the current environment of fiscal constraint that all local authority bodies are currently facing. Such recent examples as the introduction of IER, the Barclay Review of NDR, and the Council Tax Commission investigation into alternatives to Council Tax are all examples of uncertainty, risk, challenge and change. During 2017/18 the Board initiated a Transformation and Cultural Change Programme aimed at positioning the Board in a positive forward looking environment where these challenges of change set against fiscal constraint could be properly met. An immediate fiscal gain has been secured for 2018/19 and future years following a reduction in funding requisition of 4.4%. In addition a programme of change seeking improvements, efficiencies and modernisation has commenced that may provide for further savings opportunities to be identified. Any fiscal saving and drive for modernisation must be set against the requirement for the Board to deliver its statutory duties and services to a high standard and to be properly positioned to undertake any legislative changes that shape and form future service. In general the picture is one of competing priorities; fiscal constraint and the need for savings; a change and modernisation strategy, changing legislative requirement within which services are delivered; and, the statutory nature of the services delivered by the Board.
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6. The main trends and factors likely to affect the future development and performance (Contd.)
The Board faces a number of challenges looking ahead. Potential financial pressures include:
• The Scottish Government has adopted the main recommendations contained within the Barclay Review of NDR. These have far reaching consequences for the Board. In particular the long standing five yearly process of revaluation shall require to be condensed into a three yearly cycle. This and other proposals shall require the NDR business model currently in operation within the Board to be reviewed and overhauled in order to meet this new statutory requirement. While the first revaluation under this three yearly cycle shall take place in 2022 planning, timetabling and investigations have already commenced. At this stage it appears unavoidable that significant costs shall arise as a result of these intended changes. In respect of the Council Tax function, considerable uncertainty remains surrounding its ongoing viability as a taxation system without major overhaul. Until further consultation on possible changes or alternative approaches takes place, the future of Council Tax and the implications that arise remain a risk to the Board.
• Volatility within Government means that the risk of snap elections and referendums cannot be discounted. Many major national and international issues could give rise to electoral events. During 2017 both a Scottish Local Government Election and a snap General Election took place within weeks of each other. This places considerable pressure on all resources, in particular staffing and finances. The ability of the Board to cope with these demands while other pressures to create savings and modernise are to the fore represents a risk.
• IER (Individual Electoral Registration) was introduced during 2014. While aimed at improving completeness and accuracy within the Register, and tackling perceived opportunities for fraud, it has left a legacy of increased costs associated with the registration process. Additional funding provided direct to the Board by the Cabinet Office reflects these ongoing costs. However the target date for this funding to cease is 2020 at which time either the costs must have been reduced to negligible levels or the Board shall face the requirement to seek additional funding from the constituent councils. Mitigating action is being taken both at a national level, where changes to registration process are being considered, and at Board level where opportunities to consume IER costs within core budget allocation are being explored and taken. However this financial risk arising from the introduction of IER remains significant to the Board moving forward.
• During March 2017 the 2017 Revaluation went live with revised rateable values effective from 1st April 2017 being notified to ratepayers. Ratepayers had until 30th September 2017 to lodge appeals against these revised assessments. 13,000 appeals were received, the highest ever following a revaluation exercise. Considerable pressure is being placed upon existing levels of resource required to dispose of these appeals within the statutory timetable, and at the same time undertake the annual maintenance activities that support the Valuation Roll (NDR) function . In addition, while the level of recourse that may be made to higher courts such as the Lands Tribunal and the Lands Valuation Appeal Court to dispose of more complex appeals is at this stage unknown, should this occur in considerable volume additional pressure on both staff and financial resource shall be experienced. This position shall continue to be monitored however a risk remains in terms of insufficient resource to meet a statutory requirement.
The Board acknowledges the financial pressures, challenges and uncertainties it faces. There exists a need to meet these challenges and provide the required services within a framework of financial sustainability while also ensuring sufficient flexibility to react to changes brought about by legislative intervention. Through the Transformation Programme and associated Change Strategy the Board shall continue to balance these competing priorities, pressures and risks against a backdrop of statutory service delivery.
Assessor and Electoral Registration Officer: Date: 3rd September 2018 Graeme Strachan
Treasurer: Date: 3rd September 2018 Hugh Dunn, CPFA
Convener: Date: 3rd September 2018 David Key
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STATEMENT OF RESPONSIBILITIES FOR THE ANNUAL ACCOUNTS
The Board's Responsibilities
The Board is required:
• to make arrangements for the proper administration of its financial affairs and to secure that the proper officer of the Board has the responsibility for the administration of those affairs. In this Board, that officer is the Treasurer;
• to manage its affairs to secure economic, efficient and effective use of those resources and safeguard its assets;
• Ensure the Annual Accounts are prepared in accordance with legislation (The Local Authority Accounts (Scotland) Regulations 2014), and so far as is compatible with that legislation, in accordance with proper accounting practices (section 12 of the Local Government in Scotland Act 2003).
• Approve the Annual Accounts for signature.
I confirm that these Annual Accounts were approved for signature by the Lothian Valuation Joint Board at its meeting on the 3rd September 2018.
Convener: Date: 3rd September 2018 David Key
The Treasurer's Responsibilities
The Treasurer is responsible for the preparation of the Board's Annual Accounts in accordance with proper practices as set out in the CIPFA/LASAAC Code of Practice on Local Authority Accounting in the United Kingdom (the Code of Practice).
In preparing the Annual Accounts, the Treasurer has:
• selected suitable accounting policies and then applied them consistently;
• made judgements and estimates that were reasonable and prudent;
• complied with legislation;
• complied with the Code of Practice, except where stated in the Policies and Notes to the Financial Statements.
The Treasurer has also:
• kept adequate accounting records which are up to date;
• taken reasonable steps for the prevention and detection of fraud and other irregularities.
The Annual Accounts
The Annual Accounts present a true and fair view of the financial position of the Board as at 31st March 2018, and its income and expenditure for the year ended 31st March 2018.
Treasurer: Date: 3rd September 2018 Hugh Dunn, CPFA
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MOVEMENT IN RESERVES STATEMENT
This statement shows the movement in the year on different reserves held by the Board, analysed into Usable Reserves (that is, those that can be applied to fund expenditure) and Unusable Reserves. The Surplus or (Deficit) on the Provision of Services line shows the true economic cost of providing the Board's services, more details of which are shown in the Comprehensive Income and Expenditure Statement. These are different from the statutory amounts required to be charged to the General Fund Balance before any discretionary transfers to or from other statutory reserves undertaken by the Board.
Usable Reserves Unusable Reserves Total Board Reserves 2016/17 - Previous Year Comparative General Fund Balance
£'000 £'000 £'000
Opening Balances at 1 April 2016 (749) 5,757 5,008
Total Comprehensive Income and Expenditure 145 5,787 5,932
Adjustments between accounting basis & funding basis under regulations (407) 407 0 (Note 7.1)
Net (increase)/decrease before transfers to Other Statutory Reserves (262) 6,194 5,932
(Increase)/Decrease in 2016/17 (262) 6,194 5,932
Balance at 31 March 2017 carried forward (1,011) 11,951 10,940
Usable Reserves Unusable Reserves Total Board Reserves 2017/18 - Current Financial Year General Fund Balance
£'000 £'000 £'000
Opening Balances at 1 April 2017 (1,011) 11,951 10,940
Total Comprehensive Income and Expenditure 1,121 (7,292) (6,171)
Adjustments between accounting basis & funding basis under regulations (908) 908 0 (Note 7.1)
Net (increase)/decrease before transfers to Other Statutory Reserves 213 (6,384) (6,171)
(Increase)/Decrease in 2017/18 213 (6,384) (6,171)
Balance at 31 March 2018 carried forward (798) 5,567 4,769
General Fund analysed over: £'000 Amounts earmarked 0 Amounts uncommitted (798) Total General Fund Balance at 31 March 2018 (798)
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COMPREHENSIVE INCOME AND EXPENDITURE STATEMENT
This statement shows the accounting cost in the year of providing services in accordance with the generally accepted accounting practices, rather than the amount to be funded from requisitions. The Board receives requisitions to cover expenditure in accordance with regulations; this may be different from the accounting cost.
2016/17 2017/18
Gross Gross Net Gross Gross Net Expenditure Income Expenditure Expenditure Income Expenditure £'000 £'000 £'000 £'000 £'000 £'000
6,196 (172) 6,024 Core budget 6,924 (38) 6,886 496 (475) 21 Individual electoral registration 296 (269) 27
6,692 (647) 6,045 Cost Of Services 7,220 (307) 6,913
Financing and Investment Income:
0 (3) (3) Interest & Investment income (Note 10.2) 0 (3) (3) 1,729 0 1,729 Interest Cost on Defined Benefit Obligation (Note 21.5) 1,699 0 1,699 0 (1,508) (1,508) Interest Income on Plan Assets (Note 21.4) 0 (1,370) (1,370)
1,729 (1,511) 218 Total Financing and Investment Income 1,699 (1,373) 326
Non-Specific Grant Income:
0 (6,118) (6,118) Constituent council requisitions (Note 25) 0 (6,118) (6,118)
0 (6,118) (6,118) Total Non-Specific Grant Income 0 (6,118) (6,118)
8,421 (8,276) 145 (Surplus) or Deficit on Provision of Services (Note 2) 8,919 (7,798) 1,121
Other Comprehensive Income and Expenditure:
13,969 0 13,969 Change in Financial Assumptions (Note 21.5) 0 (1,935) (1,935) 0 0 0 Change in Demographic Assumptions (Note 21.5) 53 0 53 55 0 55 Other Experience (Note 21.5) 0 (6,690) (6,690) 0 (8,237) (8,237) Return on pension assets excl. amounts included in net int. (Note 21.4) 1,280 0 1,280 0 Actuarial gains / losses on pension assets / liabilities 0
22,445 (16,513) 5,932 Total Comprehensive Income and Expenditure 10,252 (16,423) (6,171)
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BALANCE SHEET
The Balance Sheet shows the value as at the Balance Sheet date of the assets and liabilities recognised by the Board. The net assets of the Board (assets less liabilities) are matched by the reserves held by the Board. Reserves are reported in two categories. The first category of reserves are usable reserves, that is, those reserves that the Board may use to provide services, subject to the need to maintain a prudent level of reserves and any statutory limitations on their use. The second category of reserves are those that the Board is not able to use to provide services. This category of reserves include reserves that hold unrealised gains and losses, where amounts would only become available to provide services if the assets are sold; and reserves that hold timing differences shown in the Movement in Reserves Statement line "Adjustments between accounting basis and funding basis under regulations".
31 March 31 March 2017 2018 £'000 Notes £'000
453 Property, plant and equipment 8.1 363 86 Intangible assets 9 67 85 Long-term debtors 23 79
624 Long term assets 509
272 Short-term debtors 11 135 1,513 Cash and cash equivalents 12 1,748
1,785 Current assets 1,883
(429) Short-term creditors 13 (738)
(429) Current liabilities (738)
(525) Other long-term liabilities 24 (490) (12,395) Other long-term liabilities (Pensions) 21.3 (5,933)
(12,920) Long-term liabilities (6,423)
(10,940) Net liabilities (4,769)
(1,011) Usable reserves 14 (798) 11,951 Unusable reserves 14 5,567
10,940 Total reserves 4,769
The unaudited Annual Accounts were authorised for issue by the Treasurer on the 12th June 2018. The audited Annual Accounts were authorised for issue by the Treasurer on the 3rd September 2018.
Treasurer: Date: 3rd September 2018 Hugh Dunn, CPFA
……………………………………………………………. ……………………………….
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CASH FLOW STATEMENT
The Cash Flow Statement shows the changes in cash and cash equivalents of the Board during the reporting period. The statement shows how the Board generates and uses cash and cash equivalents by classifying cash flows as operating, investing and financing activities. The amount of net cash flow arising from operating activities is a key indicator of the extent to which the operations of the Board are funded by way of requisitions and recipients of services provided by the Board. Investing activities represent the extent to which cash outflows have been made for resources which are intended to contribute to the Board's future service delivery. Cash flows arising from financing activities are useful in predicting claims on future cash flows.
31 March 31 March 31 March 31 March 2017 2017 2018 2018 £'000 £'000 £'000 £'000 OPERATING ACTIVITIES
(692) Cash received for goods and services (441) (6) Other local authorities (5) (3) Interest received (3) (6,118) Other operating cash receipts (6,118) (6,819) Cash inflows generated from operating activities (6,567)
4,658 Cash paid to and on behalf of employees 4,579 1,887 Cash paid to suppliers of goods and services 1,749 6,545 Cash outflows generated from operating activities 6,328
(274) Net cash flows from operating activities (Note 15.1) (239)
INVESTING ACTIVITIES
Purchase of property, plant and equipment and 63 intangible assets. 4 63 Net cash flows from investing activities 4
(211) Net (increase)/decrease in cash and cash equivalents (Note 15.2) (235)
1st April 1st April 1st April 1st April £'000 £'000 £'000 £'000 1,302 Cash and cash equivalents 1,513 1,302 1,513 31st March 31st March
1,513 Cash and cash equivalents 1,748 1,513 1,748
(211) Net (increase)/decrease in cash and cash equivalents (Note 15.2) (235)
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1. STATEMENT OF ACCOUNTING POLICIES
1.1 General
The Annual Accounts have been prepared in accordance with the International Financial Reporting Standards (IFRS) based Code of Practice in the United Kingdom (the Code). This is to ensure that the Annual Accounts "present a true and fair view" of the financial position and transactions of the Board.
The Annual Accounts have been prepared on an historic cost basis, modified by the valuation of pension assets and liabilities where appropriate.
1.2 Accruals of Expenditure and Income
Activity is accounted for in the year that it takes place and not simply when cash payment is made or received. This means that expenses are recorded when goods or services have been received and income is recorded when goods or services have been provided. This recording is irrespective of whether cash has actually been paid or received in the year.
1.3 Cash and Cash Equivalents
Cash is represented by cash in hand and deposits with financial institutions, repayable without penalty on notice of not more than 24 hours. Cash equivalents are investments maturing in three months or less from the date of acquisition and are readily convertible to known amounts of cash with insignificant risk of change in value.
1.4 Changes in Accounting Policies, Estimates and Errors
Changes in accounting policies are only made when required by proper accounting practices or the change provides more reliable or relevant information about the effect of transactions, or other events or conditions on the Board's financial position or financial performance. Where a change is made, it is applied retrospectively by adjusting opening balances and comparative amounts for the prior period as if the new policy had always been applied. Changes in accounting estimates are accounted for prospectively, that is, in the current and future years affected by the change. Material errors discovered in prior period figures are corrected retrospectively by amending opening balances and comparative amounts for the prior period.
1.5 Revenue Expenditure
Revenue expenditure is that which does not yield benefit beyond the year of account. In broad terms the revenue expenditure of the Board can be divided into two categories:
• employees; • day-to-day operating expenses, includes costs incurred in respect of Transport, Premises, ICT, postage and general administration.
All revenue expenditure is accounted for on an accruals basis.
Each year net revenue expenditure is met by way of requisitions on the City of Edinburgh, Midlothian, East Lothian and West Lothian Councils.
1.6 Capital Expenditure
Capital expenditure is presented as a fixed asset in the Balance Sheet. Capital expenditure is the expenditure on the acquisition of tangible or intangible assets which adds to and not merely maintains the value of an existing asset provided that it yields benefits to the Board and the services it provides for a period of more than one year. Capital expenditure is subject to a de-minimis level of £6,000.
These fixed assets are matched by a Capital Adjustment Account within the Balance Sheet. This reserve does not represent resources available to the Board.
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1. STATEMENT OF ACCOUNTING POLICIES (Contd.)
1.7 Short Term Debtors and Short Term Creditors
The revenue and capital transactions of the Board are recorded on an accruals basis which means that amounts due to or from the Board, but still outstanding at the year end, are included in the accounts. Where there was insufficient information to provide actual figures, estimates have been included.
1.8 Value Added Tax
Value Added Tax is excluded from the Annual Accounts unless it is not recoverable from HM Revenues and Customs.
1.9 Non-Current Assets
a) Intangible Assets
Recognition:
• Intangible assets are non-current assets that have no physical substance but are identifiable and controlled by the Board and it can be established that there is an economic benefit or service potential associated with the item which will flow to the Board. This expenditure is mainly in relation to software licenses purchased by the Board. Expenditure on the acquisition, creation or enhancement of intangible assets has been capitalised on an accruals basis.
Amortisation:
• Software licences classified as intangible assets. In most cases intangible assets are depreciated over the period of the licence, however, where the period of the licence is deemed 'infinite' the software has been depreciated based on an assessment of expected useful life. • The amortisation policy at 31st March 2017 was not to provide for amortisation in the year of an asset's purchase. This has been amended from 1st April 2017 when amortisation has been provided for in the year of acquisition. • Amortisation is calculated using the straight-line basis on the opening book value over the remaining useful life of the asset;
Measurement: • Intangible assets are initially measured at cost and included in the Balance Sheet at net historical cost.
b) Property, Plant and Equipment Property, plant and equipment are tangible items held for use by the Board in its provision of service and are expected to be used for more than one financial year. Property, plant and equipment are included in the Balance sheet in the following classes:
• Leasehold improvements; • Vehicles, plant, furniture and equipment
Recognition: • Expenditure on the acquisition, creation or enhancement of these non-current assets has been capitalised on an accruals basis, provided that future economic benefits or service potential associated with the item will flow to the Board and the cost of the item can be measured reliably. This expenditure is subject to the application of a de-minimis level of £6,000.
Amortisation: Amortisation is provided on all property, plant and equipment with a finite useful life (which can be determined at the time of acquisition or revaluation) according to the following policy:
• No amortisation is charged on freehold land; • The amortisation policy at 31st March 2017 was not to provide for amortisation in the year of an asset's purchase. This has been amended from 1st April 2017 when amortisation has been provided for in the year of acquisition. • Amortisation is calculated using the straight-line basis on the opening book value over the remaining useful life of the asset;
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1. STATEMENT OF ACCOUNTING POLICIES (Contd.)
1.9 Non-Current Assets (Contd.)
b) Property, Plant and Equipment (Contd.)
Depreciation (Contd.):
• Non-current assets are depreciated as follows:
Asset Years Property (Leasehold improvements) - 25 years (currently 14 years remaining) 14 Depreciated over remaining life of asset
Vehicles, plant and equipment 5
Measurement: Property, plant and equipment, and leasehold improvements are measured at depreciated historic cost, this been a proxy for fair value in line with the Code.
De-recognition: An asset is de-recognised either on its disposal or where no future economic benefits or service potential are expected from its use or disposal. The gain or loss arising from de-recognition of an asset is included in "Surplus or Deficit on the Provision of Service" within the Comprehensive Income and Expenditure Statement when the asset is de-recognised. The gain or loss on de-recognition of property, plant and equipment assets is a reconciling item in the "Movement in Reserves Statement for the General Fund".
Impairment: Assets are assessed at each year end as to whether there is any indication that an asset may be impaired, that is, that the carrying value of an asset on the Balance sheet exceeds its recoverable amount. Where indications exist and any possible differences are material, the recoverable amount is estimated and an impairment loss is recognised for the shortfall.
1.10 Overheads and Support Services
The costs of support services are allocated on a basis appropriate to the service provided in order to match costs to service usage. Certain support service costs are provided under a Service Level Agreement between the Board and service provider.
1.11 Charges to Comprehensive Income and Expenditure Statement for use of non-current assets
The Comprehensive Income and Expenditure Statement is charged with the following amounts to record the real cost of holding non-current assets during the year:
• Depreciation attributable to the assets used by the Board; • Impairment losses, if any, attributable to the clear consumption of economic benefits on property, plant and equipment used by the Board.
The Board is not required to raise requisitions on the constituent councils to cover depreciation or impairment losses. Depreciation and impairment losses are not proper charges under statutory accounting requirements and are therefore a reconciling item in the Movement in Reserves Statement for the General Fund by way of an adjusting transaction with the Capital Adjustment Account.
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1. STATEMENT OF ACCOUNTING POLICIES (Contd.)
1.12 Leases
Leases are classified as finance leases where the terms of the lease transfer substantially all the risks and rewards incidental to ownership of property, plant or equipment from the lessor to the lessee. All other leases are classified as operating leases.
a) Finance Leases
Leased-in assets The Board has not identified any leased-in assets that fall under the definition of finance leases.
Leased-out assets The Board has not identified any leased-out assets that fall under the definition of finance leases.
b) Operating Leases
Leased-in assets Rental payments, net of benefits received, under operating leases are charged to the Comprehensive Income and Expenditure statement on a straight line basis over the life of the lease.
Leased-out assets The Board has not identified any leased-out assets that fall under the definition of operating leases.
1.13 Provisions
Provision is made within the Annual Accounts when the board has a present legal or constructive obligation as a result of a past event, there is a probability of a transfer of economic benefit and a reliable estimate can be made of the obligation. Provisions are charged to the Comprehensive Income and Expenditure Statement in the year in which the Board becomes aware of the obligation.
1.14 Contingent Liability
A contingent liability is defined as either a possible obligation that arises from past events and whose existence will be confirmed by the occurrence or non-occurrence of one of more uncertain future events, which are not wholly within the control of the Board or a present obligation that arises from past events, but it is not possible that an outflow of resources will be required or the amount of the obligation cannot be measured reliably. If such obligation exist, they are not recognised in the Balance Sheet but are disclosed as a note to the Annual Accounts.
1.15 Contingent Assets
A contingent asset arises where an event has taken place that gives the Board a possible asset whose existence will only be confirmed by the occurrence or non-occurrence of one or more uncertain future events, which are not wholly within the control of the Board. If such assets exist, they are disclosed as a note to the Annual Accounts.
1.16 Employee Benefits
Cost of service includes a charge for annual leave to which employees are entitled, but have not taken as at the Balance Sheet date. The Board is not required to raise requisitions on constituent councils to cover the cost of accrued annual leave. These costs are therefore replaced by revenue provision in the Movement in Reserves Statement for the General Fund balance by way of an adjusting transaction with the Accumulated Absences Account.
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1. STATEMENT OF ACCOUNTING POLICIES (Contd.)
1.17 Termination Benefits
Termination benefits are amounts payable as a result of a decision by the Board to terminate employees' employment before the normal retirement date or an employee's decision to accept voluntary redundancy. These amounts are charged on an accruals basis to the Comprehensive Income and Expenditure Statement when the Board is demonstrably committed to either terminating the employment of an employee or making an offer to encourage voluntary redundancy.
1.18 Pensions
The Joint Board is an admitted body to the Local Government Pension Scheme (LGPS) which is administered by the Lothian Pension Fund. The LGPS is a defined benefit statutory scheme, administered in accordance with the Local Government Pension Scheme (Scotland) Regulations 1998, as amended.
The Annual Accounts have been prepared including pension costs, as determined under International Accounting standard 19 - Employee Benefits (IAS 19). The cost of service in the Comprehensive Income and Expenditure Statement includes expenditure equivalent to the amounts of retirement benefits the Board has committed to pay during the year. Interest Cost on Defined Pension Obligation and Interest Income on Plan Assets have been included in the “Surplus or Deficit on the Provision of Services” within the Comprehensive Income and Expenditure Statement. Other comprehensive income and expenditure within the Comprehensive Income and Expenditure Statement also now shows the financial effect of changes in financial assumptions, other experience and return on pension assets excluding amounts included in net interest.
The pension costs charged to the Comprehensive Income and Expenditure Statement in respect of employees are not equal to contributions paid to the funded scheme for employees. The amount by which pension costs under IAS19 are different from the contributions due under the pension scheme regulations are disclosed in the Movement in Reserves Statement for the General Fund Balance.
Pension assets have been valued at bid value (purchase price), as required under IAS19.
Further costs arise in respect of certain pensions paid to retired employees on an unfunded basis. Under pension regulations, contribution rates are set to meet 100% of the overall liabilities of the Fund.
1.19 Revenue Contributions
Revenue contributions from constituent councils have been included in the Annual Accounts on an accruals basis.
1.20 Reserves
Reserves held on the Balance Sheet are classified as either usable or unusable. Usable reserves hold monies that can be applied to fund expenditure. Unusable reserves cannot be applied to fund expenditure.
The Board operates the following usable reserves:
a) General Fund This represents the balance of the surpluses or deficits arising from the Comprehensive Income and Expenditure Statement. The Board changed its accounting policy in relation to unspent requisitions during 2015/16. In February 2018 the Board approved a formal reserves policy based on holding a general reserve with a minimum value of 3% of annual requisition. Balances held in excess of 3% require to be reviewed annually in-line with risk/identified commitments.
The Board operates the following unusable reserves:
b) Capital Adjustment Account This provides a balancing mechanism between the different rates at which assets are depreciated and financed.
c) Pension Reserve This represents the difference between the monies which the Board requires to meet its pension liability as calculated under International Accounting Standards 19, Employee Benefits (IAS 19) and the amount required to be charged to the General Fund in accordance with statutory requirement governing Local Government Pension Scheme.
d) Accumulated Absences Account This represents the net monies which the Board requires to meet its short-term compensated absences for employees under IAS19.
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1. STATEMENT OF ACCOUNTING POLICIES (Contd.)
1.21 Financial Instruments
a) Financial Liabilities Financial liabilities are initially measured at fair value and carried at their amortised cost. Annual charges to the Comprehensive Income and Expenditure Statement for interest payable are based on the carrying amount of the liability, multiplied by the effective rate of interest for the instrument. As at 31st March, 2018, the Board had no borrowings.
b) Financial Assets Loans and receivables are initially measured at fair value and carried at their amortised cost. Annual credits to the Comprehensive Income and Expenditure Statement for interest receivable are based on the carrying amount of the asset multiplied by the effective rate of interest for the instrument. The Board holds its surplus funds with the City of Edinburgh Council in a pooled investment arrangement and does not place external deposits in its own name. These sums are presented in the Balance Sheet as the balance due from the City of Edinburgh Council and interest receivable from this investment is credited to the Comprehensive Income and Expenditure Statement.
Where assets are identified as impaired because of a likelihood arising from a past event that payments due under the contract will not be made, the asset is written down and a charge made to the Comprehensive Income and Expenditure Statement.
Any gains and losses that arise on the de-recognition of the asset are credited/debited to the Comprehensive Income and Expenditure Statement.
1.22 Events After the Balance Sheet Date
Events after the reporting period are those events, both favourable and unfavourable, that occur between the end of the reporting period and the date when the Annual Accounts is authorised for issue. Two types of event can be identified:
• those that provide evidence of conditions that existed at the end of the reporting period - the Annual Accounts is adjusted to reflect such items;
• those that are indicative of conditions that arose after the reporting period - the Annual Accounts is not adjusted to reflect such events, but where a category of events would have a material effect, disclosure is made in the notes of the nature of the events and their estimated financial effect.
Events taking place after the date of authorisation for issue are not reflected in the Annual Accounts.
1.23 Exceptional Items
When items of income and expenditure are material, their nature and amount are disclosed separately, either on the face of the Comprehensive Income and Expenditure Statement or in the notes to the accounts, depending on how significant the items are to an understanding of the Board's financial performance.
1.24 Going Concern
It is appropriate to adopt a going concern basis for the preparation of the Annual Accounts as the constituent authorities have a legal obligation under the 1995 Combined Area Amalgamation Scheme Order to provide the Joint Board with funding to meet all liabilities as they fall due.
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2. EXPENDITURE AND FUNDING ANALYSIS
The Expenditure and Funding Analysis shows how annual expenditure is used and funded from resources (requisitions from local authorities) by the Lothian Valuation Joint Board in comparison with those resources consumed or earned by the Lothian Valuation Joint Board in accordance with general accounting practice. It also shows how this expenditure is allocated for decision making purposes between service areas. Income and expenditure accounted for under generally accepted accounting practices is presented more fully in the Comprehensive Income and Expenditure Statement (CIES) (see page 8).
EXPENDITURE AND FUNDING ANALYSIS
2016/17 2017/18 Net Expend. Adjustments Net Net Expend. Adjustments Net Chargeable to Expenditure Chargeable to Expenditure the General in the CIES the General in the CIES Fund Fund £000 £000 £000 £000 £000 £000 5,856 168 6,024 Core Budget 6,331 555 6,886 0 21 21 Individual Electoral Registration 0 27 27
5,856 189 6,045 Net Cost of Services 6,331 582 6,913
Other Income and Expenditure (6,118) 0 (6,118) Constituent council requisitions (6,118) 0 (6,118)
0 (3) (3) Interest and investment income 0 (3) (3)
0 221 221 Net pension interest cost 0 329 329
(262) 407 145 (Surplus) or deficit on the 213 908 1,121 provision of services
(749) Opening General Fund Balance (1,011) (262) (Surplus) / Deficit on the provision 213 of services
(1,011) Closing General Fund Balance at (798) 31 March
Notes to the Expenditure and Funding Analysis:
2.1 Adjustments from the General Fund to arrive at the Comprehensive Income and Expenditure Statement amounts 2017/18:
Adjusts. For Net Change for Pensions Other Total Presentatio Total Capital Adjusts. Differences Statutory n Adjusts. Adjusts. Purposes Adjusts. £000 £000 £000 £000 £000 £000 Core budget 109 477 (34) 552 3 555 Individual electoral registration 0 24 3 27 0 27
Net Cost of Services 109 501 (31) 579 3 582
Other Income and Expenditure Constituent council requisitions 0 0 0 0 0 0 Interest and investment income 0 0 0 0 (3) (3) Net pension interest cost 0 329 0 329 0 329
(Surplus) or deficit on the 109 830 (31) 908 0 908 provision of services
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2. EXPENDITURE AND FUNDING ANALYSIS (Contd.)
Notes to the Expenditure and Funding Analysis:
2.1 Adjustments from the General Fund to arrive at the Comprehensive Income and Expenditure Statement amounts
· Adjustments for capital purposes include the removal of depreciation and impairment costs, and the inclusion of capital funded from current revenue. · Net changes for pensions adjustment relates to the adjustment made for the removal of IAS19 Employee Benefits pension related expenditure and income with the pension contributions. · Other differences relate to the reversal of the value of entitlement to accrued leave. · Presentational adjustments relate primarily to the presentation of interest on revenue balances.
2.2 Segmental Analysis of Expenditure and Income included in Expenditure and Funding Analysis Expenditure and Income received on a segmental basis is analysed below:
Individual Electoral Core Budget Registration Total Expenditure £000 £000 £000 Employee expenses 4,786 66 4,852 Other service expenses 1,520 203 1,723 Support service recharges 66 0 66
Total Expenditure 6,372 269 6,641
Income Revenues from external customers (38) (269) (307) Interest and investment income (3) 0 (3)
Total Income (41) (269) (310)
Net Cost of Services per EFA 6,331 0 6,331
2.3 Expenditure and Income Analysed by Nature The Board's expenditure and income, as set out within the Comprehensive Income and Expenditure Statement is analysed as follows:
2016/17 2017/18 Expenditure £000 £000 Employee expenses 4,812 5,321 Other service expenses 1,712 1,720 Support service recharges 68 66 Depreciation and impairment 100 113 Interest payments 1,729 1,699
Total Expenditure 8,421 8,919
Income Fees, charges and other service income (647) (307) Interest and investment income (1,511) (1,373) Income from constituent Councils (6,118) (6,118) Government grants and other contributions 0 0
Total Income (8,276) (7,798)
(Surplus) or Deficit on the Provision of Services 145 1,121
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3. ACCOUNTING STANDARDS THAT HAVE BEEN ISSUED BUT HAVE NOT YET BEEN ADOPTED
The Code requires the disclosure of information relating to the impact of an accounting change that will be required by a new standard that has been issued but not yet adopted. This applies to the adoption of the following new or amended standards within the 2018/19 Code. For 2017/18 the following accounting policy changes that need to be reported relate to:
• IFRS 9 Financial Instruments, • IFRS 15 Revenue from Contracts with Customers including amendments to IFRS 15 Clarifications to IFRS 15 Revenue from Contracts with Customers, • Amendments to IAS 12 Income Taxes: Recognition of Deferred Tax Assets for Unrealised Losses, and • Amendments to IAS 7 Statement of Cash Flows: Disclosure Initiative.
The Code does not anticipate that the above amendments will have a material impact on the information provided in the Board's Annual Accounts.
4. CRITICAL JUDGEMENTS IN APPLYING ACCOUNTING POLICIES
In applying the accounting policies set out in Note 1, the Board has had to make certain judgements about complex transactions or those involving uncertainty about future events. The critical judgements made in the Annual Accounts are:
• There is high degree of uncertainty about future levels of funding for local government, however, the Board has determined that this uncertainty is not yet sufficient to provide an indication that the assets of the Board might be impaired as a result of a need to reduce levels of service provision.
5. ASSUMPTIONS MADE ABOUT THE FUTURE AND OTHER MAJOR SOURCES OF ESTIMATION UNCERTAINTY
The Annual Accounts contains estimated figures that are based on assumptions made by the Board about the future or events that are otherwise uncertain. Estimates are made taking into account historical experience, current trends and other relevant factors.
5.1 Property, Plant and Equipment
Uncertainties Assets are depreciated over useful lives that are dependent on assumptions about the level of repairs and maintenance that will be incurred in relations to individual assets. The current economic climate may mean that the Board restricts spending on repairs and maintenance which, in turn, may have an effect on the useful lives of the assets.
Effect if Actual Result Differs from Assumptions If the useful life of assets is reduced, depreciation increases and the carrying amount of the asset falls. It is estimated that the annual depreciation charge would increase by £0.001m for every year that useful lives had to be reduced.
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5. ASSUMPTIONS MADE ABOUT THE FUTURE AND OTHER MAJOR SOURCES OF ESTIMATION UNCERTAINTY (Contd.)
5.2 Pension Liabilities
Uncertainties Estimation of the net liability to pay pensions depends on a number of complex judgements relating to the discount rate used, the rate at which salaries are projected to increase, changes in retirement ages, mortality rates and expected returns on pension fund assets. A firm of consulting actuaries is engaged to provide the Board with expert advice about the assumptions to be applied.
Effect if Actual Result Differs from Assumptions Formal actuarial valuations are carried out every three years, where each employer’s assets and liabilities are calculated on a detailed basis, using individual member data, for cash contribution setting purposes. The formal valuations for Scottish LGPS Funds were concluded by 31 March 2018. The accounting balance sheet position as at 31 March 2018, and the projected charge to the P&L for 2018/19, are therefore based on this new roll forward from the 2017 formal valuation. This differs to the balance sheet position as at 31 March 2017 and the charge to the P&L for 2017/18, which were based on a roll forward from the 2014 formal valuation. This ‘step change’ can lead to sizeable asset and liability ‘remeasurement experience’ items in the reconciliation of the balance sheet from 31 March 2017 to 31 March 2018.
The following table shows the sensitivity of the results to the changes in the assumptions used to measure the scheme liabilities. Approximate percentage changes and monetary values are shown:
Approximate % increase Approximate to Employer monetary Obligations value % £000
0.5% decrease in Real Discount Rate 10% 5,929 0.5% increase in the Salary Increase Rate 2% 1,299 0.5% increase in the Pension Increase Rate 8% 4,500
6. EVENTS AFTER THE REPORTING PERIOD
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7. ADJUSTMENTS BETWEEN ACCOUNTING BASIS AND FUNDING BASIS UNDER REGULATIONS
7.1 This note details the adjustments that are made to the total Comprehensive Income and Expenditure Statement recognised by the Board in the year in accordance with proper accounting practice to the resources that are specified by statutory provisions as being available to the Board to meet future capital and revenue expenditure.
Usable Reserves Unusable Reserves 2017/18 - Current Financial Year General Fund Capital Pension Accumulated Movement in Balance Adjustment Reserve Absence Unusable Account Account Reserves
£'000 £'000 £'000 £'000 £'000 Adjustments primarily involving the Capital Adjustment Account
Reversal of items debited or credited to the Comprehensive Income and Expenditure Statement (CIES)
Charges for depreciation and (94) 94 0 0 94 impairment of non-current assets
Depreciation of intangible assets (20) 20 0 0 20
Insertion of items not debited or credited to the CIES
Capital expenditure charged against 4 (4) 0 0 (4) General Fund Balance
Adjustments primarily involving the Pensions Reserve
Reversal of items relating to retirement (1,589) 0 1,589 0 1,589 benefits debited or credited to the CIES
Employer's pension contributions and 759 0 (759) 0 (759) direct payments to pensioners payable in the year
Adjustments primarily involving the Employee Statutory Adjustment Account
Amount by which officer remuneration 32 0 0 (32) (32) charged to the CIES on an accruals basis is different from remuneration chargeable in the year in accordance with statutory requirements
Total Adjustments (908) 110 830 (32) 908
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7. ADJUSTMENTS BETWEEN ACCOUNTING BASIS AND FUNDING BASIS UNDER REGULATIONS (Contd.)
7.2 This note details the adjustments that are made to the total Comprehensive Income and Expenditure Statement recognised by the Board in the year in accordance with proper accounting practice to the resources that are specified by statutory provisions as being available to the Board to meet future capital and revenue expenditure.
Usable Reserves Unusable Reserves 2016/17 - Previous Year Comparative General Fund Capital Pension Accumulated Movement in Balance Adjustment Reserve Absence Unusable Account Account Reserves
£'000 £'000 £'000 £'000 £'000 Adjustments primarily involving the Capital Adjustment Account
Reversal of items debited or credited to the Comprehensive Income and Expenditure Statement (CIES)
Charges for depreciation and (82) 82 0 0 82 impairment of non-current assets
Depreciation of intangible assets (18) 18 0 0 18
Insertion of items not debited or credited to the CIES
Capital expenditure charged against 63 (63) 0 0 (63) General Fund Balance
Adjustments primarily involving the Pensions Reserve
Reversal of items relating to retirement (1,131) 0 1,131 0 1,131 benefits debited or credited to the CIES
Employer's pension contributions and 762 0 (762) 0 (762) direct payments to pensioners payable in the year
Adjustments primarily involving the Employee Statutory Adjustment Account
Amount by which officer remuneration (1) 0 0 1 1 charged to the CIES on an accruals basis is different from remuneration chargeable in the year in accordance with statutory requirements
Total Adjustments (407) 37 369 1 407
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8. PROPERTY PLANT AND EQUIPMENT
Movements on balances:
Total Vehicles Property 8.1 Current Year Movements in 2017/18 Leasehold Plant and Plant and Improvements Equipment Equipment Cost or Valuation £000's £000's £000's
At 1st April 2017 432 446 878 Derecognised assets GBV reversal 0 (110) (110) Additions 0 4 4
At 31st March 2018 432 340 772
Accumulated Depreciation
At 1st April 2017 (167) (258) (425) Derecognised assets depreciation reversal 0 110 110 Depreciation charge (18) (76) (94)
At 31st March 2018 (185) (224) (409)
Net Book Value at 31st March 2018 247 116 363
Total Vehicles Property 8.2 Previous Year Movements in 2016/17 Leasehold Plant and Plant and Improvements Equipment Equipment Cost or Valuation £000's £000's £000's
At 1st April 2016 432 388 820 Derecognised assets GBV reversal 0 0 0 Additions 0 58 58
At 31st March 2017 432 446 878
Accumulated Depreciation
At 1st April 2016 (149) (194) (343) Derecognised assets depreciation reversal 0 0 0 Depreciation charge (18) (64) (82)
At 31st March 2017 (167) (258) (425)
Net Book Value at 31st March 2017 265 188 453
8.3 Depreciation
The following useful lives have been used in the calculation of depreciation:
• Leasehold improvements (buildings) - 25 years (currently 14 years remaining) • Vehicles, plant and equipment - 5 years
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8. PROPERTY PLANT AND EQUIPMENT (Contd.)
8.4 Capital Commitments
At 31st March 2018, there were no capital commitments entered into by the Board.
8.5 Revaluations
Property, plant and equipment are shown in the balance sheet at depreciated historic cost. This does not comply with the Code, however, the difference is not considered material.
The significant assumptions applied in estimating the fair values are:
• the property was not inspected - this was neither practical nor considered by the valuer to be necessary for the purpose of the valuation;
• unless stated otherwise, all properties with greater than de-minimus value were assumed to be in reasonable state of repair and have a life expectancy of more than 50 years;
• the valuations were prepared using information from the City of Edinburgh Council's internal records as well as the Valuation Roll produced by the Lothian Valuation Joint Board.
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9. INTANGIBLE ASSETS
The Board accounts for its software as intangible assets, to the extent that software is not an integral part of a particular IT system and accounted for as part of the hardware item of Property, Plant and Equipment. The intangible assets include both purchased licences and internally generated software.
All software is given a useful life, based on assessments of the period that the software is expected to be of use to the Board. The useful lives assigned to the major software suites used by the Board are:
3 years: • Dacoll Limited - Back-up software • Phoenix Software - GFI langard software
5 years: • Civica UK Ltd - Software to increase robustness • Trustmarque Solutions Ltd - Sharepoint software • Zerion - Canvass operation software • Trustmarque Solutions Ltd - Visual Studio and SQL server licences
10 years : • Dacoll virtual environment - software/licences • Microsoft Office licences • Document & Data Disposal Module software
The carrying amount of intangible assets is depreciated on a straight-line basis. Amortisation of £0.019m was charged to the Comprehensive Income and Expenditure during 2017/18.
The movement on Intangible Assets during the year is as follows:
2016/17 2017/18 £'000 £'000 Balance at start of year: • Gross carrying amounts 131 136 • Accumulated amortisation (32) (50)
Net carrying amount at start of year 99 86
Additions 5 0 Amortisation for the period (18) (19)
Net carrying amount at end of year 86 67
Comprising: • Gross carrying amounts 136 136 • Accumulated amortisation (50) (69)
86 67
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10. FINANCIAL INSTRUMENTS
10.1 In accordance with IAS 32 Financial Instruments: Presentation; IAS 39 Financial Instruments: Recognition and Measurement; and FRS 7 Financial Instruments : Disclosures; this note details the make up of financial instruments, both assets and liabilities, the key risks the Board is exposed to in its management of its financial instruments, and how these are managed. From 1st April 2012, the Board changed its Accounting Policy in respect of the transfer of assets to comply with amendments to IFRS 7 issued in October 2010. The standard does not have a material impact on the Annual Accounts of the Board.
Current 31st March 31st March 2017 2018 £'000 £'000 Investments Loans and receivables 1,513 1,748
Creditors Trade creditors (12) (2)
Debtors Trade debtors 134 0
10.2 Income, Expenses, Gains and Losses
The gains and losses recognised in the Comprehensive Income and Expenditure Statement in relation to financial instruments are made up as follows:
Financial Financial Assets Assets measured at measured at amortised amortised cost cost 31st March 31st March Total expense and income in Surplus or Deficit on the Provision 2017 2018 of services : £'000 £'000
Interest income 3 3
10.3 Fair Values of Assets and Liabilities
The Fair Value of Financial Instruments have been calculated in accordance with IFRS 13.
• loans to and from the City of Edinburgh Council are variable rate and repayable on demand. The fair value of these loans has therefore been taken to be their carry value.
• the fair value of trade and other receivables is taken to be the invoiced or billed amount.
The fair values calculated are as follows:
31 March 2017 31 March 2018 Carrying Fair Carrying Fair Amount Value Amount Value £'000 £'000 £'000 £'000
Trade creditors (12) (12) (2) (2) Trade debtors 134 134 0 0 Loans and receivables 1,513 1,513 1,748 1,748
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11. SHORT TERM DEBTORS
2016/17 2017/18 £'000 £'000 Debtors: • HM Revenues and Customs - VAT 10 14 • Rent 57 57 • Car leasing 4 1 • Annual licenses, support or maintenance 51 46 • Insurances 16 17 • Other entities and individuals 134 0
272 135
12. CASH AND CASH EQUIVALENTS
The balance of cash and cash equivalents is made up of the following elements:
2016/17 2017/18 £'000 £'000
Cash held by the Board 1 1 Other local authorities 1,512 1,747
1,513 1,748
13. SHORT TERM CREDITORS
2016/17 2017/18 £'000 £'000
Employee costs (105) (346) Valuation Appeals Panel - Secretary's fees (10) (12) IER Grant (265) (350) Other entities and individuals (49) (30) HM Revenues and Customs 0 0
Total (429) (738)
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14. USABLE AND UNUSABLE RESERVES
USABLE 2016/17 2017/18 £'000 £'000 14.1 General Fund Balance (1,011) (798)
(1,011) (798)
UNUSABLE 2016/17 2017/18 £'000 £'000
14.2 Capital Adjustment Account (538) (429) 14.3 Pension Reserve 12,395 5,933 14.4 Accumulated Absence Account 94 63
11,951 5,567
14.1 General Fund Balance
Movements in the Authority's usable reserve are detailed in the Movement in Reserves Statement. The General Fund balance represents the balance of the surpluses or deficits arising from the Comprehensive Income and Expenditure Statement.
The table below details the surplus or deficits arising annually since 2010/11. Prior to 2010/11 all surplus balances were refunded to constituent councils.
In February 2018 the Board approved a formal reserves policy based on holding a general reserve with a minimum value of 3% of annual requisition. Balances held in excess of 3% require to be reviewed annually in-line with risk/identified commitments.
2016/17 2017/18 Year £'000 £'000 2010/11 (228) (228) 2011/12 (42) (42) 2012/13 (127) (127) 2013/14 (24) (24) 2014/15 (175) (175) 2015/16 (153) (153) 2016/17 (262) (262) 2017/18 - 213 (1,011) (798)
14.2 Capital Adjustment Account
The Capital Adjustment Account absorbs the timing differences arising from the different arrangements for accounting for the consumption of non-current assets and for financing the acquisition, construction or enhancement of those assets under statutory provisions. The Account is debited with the cost of acquisition, construction or enhancement as depreciation, impairment losses and Depreciations are charged to the Comprehensive Income and Expenditure Statement (with reconciling postings from the Revaluation Reserve to convert fair value figures to a historical cost basis). The Account is credited with the amounts set aside by the Board as finance for the costs of acquisition, construction and enhancement.
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14. USABLE AND UNUSABLE RESERVES (Contd.)
14.2 Capital Adjustment Account (Contd.)
2016/17 2017/18 £'000 £'000
Balance at 1st April (575) (538)
Reversal of items related to capital expenditure debited or credited to the Comprehensive Income and Expenditure Statement:
• Charges for depreciation and impairment of non-current assets 82 94 • Depreciation of intangible assets 18 19
Net written out amount of the cost of non-current assets consumed in year (475) (425)
Capital financing for the year:
• Statutory provision for the financing of capital expenditure (63) (4)
Balance at 31st March (538) (429)
14.3 Pension Reserve
The Pension Reserve absorbs the timing differences arising from the different arrangements for accounting for post employment benefits and for funding benefits in accordance with statutory provisions. The Board accounts for post employment benefits in the Comprehensive Income and Expenditure Statement as the benefits are earned by employees accruing years of service, updating the liabilities recognised to reflect inflation, changing assumptions and investment returns on any resources set aside to meet the costs. However, statutory arrangements require benefits earned to be financed as the Board makes employer's contributions to pension funds or eventually pays any pensions for which it is directly responsible. The debit balance on the Pensions Reserve therefore shows a substantial shortfall in the benefits earned by past and current employees and the resources the Board has set aside to meet them. The statutory arrangements will ensure that funding will have been set aside by the time the benefits come to be paid.
2016/17 2017/18 £'000 £'000 Balance at 1st April 6,239 12,395
Remeasurements of the net defined benefit liability / (asset) 5,787 (7,292)
Reversals of items relating to retirement benefits debited or credited to the Surplus or Deficit on the Provision of Services in the Comprehensive Income and Expenditure Statement. 1,131 1,589
Employer's pension contributions and direct payments to pensioners payable in the year. (762) (759)
Balance at 31st March 12,395 5,933
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14. USABLE AND UNUSABLE RESERVES (Contd.)
14.4 Accumulated Absences Account
The Accumulated Absences Account absorbs the differences that would otherwise arise on the General Fund Balance from accruing for compensated absences earned but not taken in the year, for example, annual leave entitlement carried forward at 31st March. Statutory arrangements require that the impact on the General Fund balance is neutralised by transfers to or from the Account.
2016/17 2016/17 2017/18 2017/18 £'000 £'000 £'000 £'000
Balance at 1st April 93 94
Settlement or cancellation of accrual made at the end of the preceding year (93) (94)
Amounts accrued at the end of the current year 94 63 Amount by which officer remuneration charged to the 1 (31) Comprehensive Income and Expenditure Statement on an accruals basis is different from remuneration chargeable in the year in accordance with statutory requirements
Balance at 31st March 94 63
15 CASH FLOW STATEMENT
15.1 Reconciliation between the General Fund Balance and the revenue activities net cash flow.
2016/17 2017/18 £'000 £'000
Net (increase)/decrease in the General Fund Balance (262) 213 Exclude accumulated absences 1 (31) Exclude revenue contribution to capital (63) (4)
(324) 178 (Decrease)/increase in revenue debtors (14) (137) (Decrease)/increase in long term debtors (5) (6) Decrease/(increase) in deferred credit 35 35 Decrease/(increase) in revenue creditors 34 (309)
Revenue activities net cash flow (274) (239)
15.2 Reconciliation of the movement in cash with the related items in the opening and closing balance sheets for the period.
2016/17 2017/18 £'000 £'000
Due by/(to) the City of Edinburgh Council at 31st March 1,302 1,513 Due by/(to) the City of Edinburgh Council at 1st April 1,513 1,748
(Increase)/decrease in cash (211) (235)
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16. MEMBERS ALLOWANCES
The Board paid the following amounts to members during the year. These figures include NI and Pensions.
2016/17 2017/18 £000's £000's Salaries (incl. NI and Pensions) 9 7 Expenses 0 0
Total 9 7
17. EXTERNAL AUDIT COSTS
The Board has incurred the following costs in relation to the audit of the Annual Accounts:
2016/17 2017/18 £000's £000's External audit services carried out for the year 7 7
18. RELATED PARTIES
The Board is required to disclose material transactions with related parties - bodies or individuals that have the potential to control or influence the Board or to be controlled or influenced by the Board. Disclosure of these transactions allows readers to assess the extent to which the Board might have been constrained in its ability to operate independently or might have secured the ability to limit another party's ability to bargain freely with the Board.
18.1 Scottish Government
The Scottish Government is responsible for providing the statutory framework within which the Board operates. It provides the majority of the Board's funding in the form of grants to the constituent councils, and prescribes the terms of many of the transactions that the Board has with other parties. Constituent councils provide funding to the Board at the start of each financial year.
18.2 Members
Members of the Board have direct control over the Board's financial and operating policies. The total of members' allowances paid in 2017/18 shown in Note 16 and the Remuneration Report.
18.3 Other Parties
During the year, the Board entered into the following transactions with related parties:
2016/17 2017/18 • The City of Edinburgh Council: £000's £000's Rates 195 111 Rent 305 305 Central support costs 68 66 Interest on revenue balances (3) (3) Constituent council contribution (3,744) (3,741) Constituent council requisition refund 0 112 Council Tax hearings 0 2 Vehicle hires 3 2 Printing 3 0 Trade Waste/maintenance 11 17 Refund of EU Referendum costs 21 0 Due from City of Edinburgh Council 1,513 1,747 Long term debtor - lease of office 85 79 Convener remuneration 6 5 Page 31
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18. RELATED PARTIES (Contd.)
18.3 Other Parties (Contd.)
• The Cabinet Office IER grant received (740) (619)
• Midlothian Council Constituent council contribution (560) (562) Constituent council requisition refund 0 17
• East Lothian Council Constituent council contribution (669) (667) Constituent council requisition refund 0 20
• West Lothian Council Constituent council contribution (1,145) (1,148) Constituent council requisition refund 0 34 Vice Convener remuneration 3 2
• Clackmannanshire Council 15 16 • Fife Council 1 2 • Glasgow City Council 11 3 • Renfrewshire Council 1 1 • HM Revenue and Customs 0 5 • Convention of Scottish Local Authorities 0 1 • Lothian Buses PLC 0 2 • Registers of Scotland 0 2 • Scottish Court Service 0 (3)
19. TERMINATION BENEFITS
There were a number of employees who left throughout 2017/18. Details are provided in the Remuneration Report - Exit Packages (page 44).
20. CAPITAL EXPENDITURE AND CAPITAL FINANCING
The total amount of capital expenditure incurred in the year is shown below, together with the resources that have been used to finance it. Where capital expenditure is to be financed in future years by charges to revenue as assets are used by the Board, the expenditure results in an increase in the Capital Financing Requirement (CFR), a measure of the capital expenditure incurred historically by the Board that has yet to be financed.
2016/17 2017/18 £000's £000's Opening Capital Financing Requirement 0 0
Capital investment • Property, Plant and Equipment 58 4 • Intangible assets 5 0
Sources of finance • Direct revenue contributions (63) (4)
Closing Capital Financing Requirement 0 0
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21. DEFINED BENEFIT PENSION SCHEMES
21.1 Participation in Pension Schemes
As part of the terms and conditions of employment of its staff, the Board makes contributions towards the cost of post employment benefits. Although these benefits will not actually be payable until the employees retire, the Board has a commitment to make the payments that needs to be disclosed at the time that employees earn their future entitlement.
The Board participates in the following post employment scheme:
• Local Government Pension Scheme (LGPS) - a funded defined benefit statutory scheme as administered by the City of Edinburgh Council's Lothian Pension Fund. The LGPS is administered in accordance with the Local Government Pension Scheme (Scotland) Regulations 1998, as amended.
The Local Government Pension Scheme (LGPS) changed from a final salary scheme to a career average scheme on the 1 April 2015. All benefits built up in the LGPS for membership after 31 March 2015 are worked out under the rules of the new career average scheme. Before 1 April 2015 benefits were built up based on a final salary scheme. A funded defined benefit scheme, requires the Board and employees pay contributions into a fund, calculated at a level intended to balance the pension liabilities with investment assets.
21.2 Transactions Relating to Post-employment Benefits
The Board recognises the cost of retirement benefits in the reported cost of service when they are earned by employees, rather than when the benefits are eventually paid as pensions. However, the charge we are required to make is based on the cash payable in the year, so the real cost of post employment/retirement benefits is reversed out of the General Fund via the Movement in Reserves Statement. The following transactions have been made in the Comprehensive Income and Expenditure Statement and the General Fund Balance via the Movement in Reserves Statement during the year:
2016/17 2016/17 2017/18 2017/18 Comprehensive Income and Expenditure Statement £000 £000 £000 £000 Cost of services, comprising: Current service costs 910 1,247 Past service costs 0 13 910 1,260 Financing and investment income: Net interest expense 221 329 Total post employee benefit charged to the 1,131 1,589 surplus on the provision of services
Other post-employment benefits charges to the Comprehensive Income / Expenditure Statement
Remeasurement of the net defined liability, comprising: Return on plan assets, excluding the amount incl. (8,237) 1,280 in the net interest expense above. Actuarial gains and (losses) arising on changes 13,969 (1,882) in financial and demographic assumptions
Other experience 55 (6,690) 5,787 (7,292) Total post-employment benefits charged to the Comprehensive Income / Expenditure Statement 6,918 (5,703)
Movement in Reserves Statement Reversal of net charges made to the surplus on the provision of services for post-employment benefits in accordance with the Code. (6,156) 6,462
Actual amount charged against the General Fund Balance for pensions in the year: Employer's contributions payable to the scheme 682 679 Contributions in respect of unfunded benefits 80 80 762 759 Page 33
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21. DEFINED BENEFIT PENSION SCHEMES (Contd.)
21.3 Pension Assets and Liabilities Recognised in the Balance Sheet
The amount included in the Balance Sheet arising from the Board's obligations in respect of its defined benefit plan is as follows:
2016/17 2017/18 £000 £000 Fair value of employer assets 52,793 52,764 Present value of funded liabilities (63,253) (56,872) Present value of unfunded liabilities (1,935) (1,825) Net liability arising from defined benefit obligation (12,395) (5,933)
21.4 Reconciliation of the Movements in the Fair Value of Scheme Assets
2016/17 2017/18 £000 £000 Opening fair value of scheme assets 43,186 52,793 Interest income 1,508 1,370 Remeasurement gain / (loss): Return on plan assets, excluding the amount included in the net 8,237 (1,280) interest expense Contributions from employer 682 679 Contributions from employees into the scheme 242 207 Contributions in respect of unfunded benefits 80 80 Benefits paid (1,062) (1,005) Unfunded benefits paid (80) (80) Closing fair value of scheme assets 52,793 52,764
21.5 Reconciliation of Present Value of the Scheme Liabilities
2016/17 2017/18 £000 £000 Present value of funded liabilities (47,721) (63,253) Present value of unfunded liabilities (1,704) (1,935) Opening balance at 1 April (49,425) (65,188)
Current service cost (910) (1,247) Interest cost (1,729) (1,699) Contributions from employees into the scheme (242) (207) Remeasurement gain / (loss): Change in financial assumptions (13,969) 1,935 Change in demographic assumptions 0 (53) Other experience (55) 6,690 Past service cost 0 (13) Benefits paid 1,062 1,005 Unfunded benefits paid 80 80
Closing balance at 31 March (65,188) (58,697)
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21. DEFINED BENEFIT PENSION SCHEMES (Contd.)
21.6 Fair Value of Employer Assets
The following asset values are at bid value as required under IAS19.
The IAS19 asset split is based on the Plan's benchmark investment split.
2016/17 2016/17 2017/18 2017/18 £000 % £000 % Equity Securities Consumer * 7,925.8 15 7,229.4 14 Manufacturing * 8,003.1 16 7,855.3 15 Energy and Utilities * 3,917.4 7 3,300.8 6 Financial Institutions * 3,686.4 7 4,687.6 9 Health and Care * 3,094.6 6 2,586.8 5 Information Technology * 2,612.8 5 3,216.8 6 Other * 3,637.9 7 3,311.1 6 Sub-total Equity Securities 32,878.0 32,187.8
Debt Securities: Corporate Bonds (non-investment grade) 0.0 0 1,028.0 2 UK Government * 109.7 0 5,115.4 10 Other 5,301.1 10 0.0 0 Sub-total Debt Securities 5,410.8 6,143.4
Private Equity All * 0.0 0 168.2 0 All 1,705.3 3 795.2 2 Sub-total Private Equity 1,705.3 963.4
Real Estate: UK Property 3,562.0 7 3,391.3 6 Overseas Property 0.0 0 55.2 0 Sub-total Real Estate 3,562.0 3,446.5
Investment Funds and Unit Trusts: Equities * 0.0 0 507.1 1 Bonds * 783.0 1 0.0 0 Infrastructure 4,724.2 9 6,253.4 12 Commodities * 154.8 0 0.0 0 Other 1,126.2 2 120.5 0
Sub-total Investment Funds and Unit Trusts 6,788.2 6,881.0
Derivatives: Foreign Exchange * 0.0 0 24.3 0 Sub-total Derivatives 0.0 24.3
Cash and Cash Equivalents All * 2,448.7 5 3,117.6 6 Sub-total Cash and Cash Equivalents 2,448.7 3,117.6
Total Fair Value of Employer Assets 52,793.0 100 52,764.0 100
Scheme assets marked with an asterisk (*) have quoted prices in current active markets or were in active markets 2017/18.
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21. DEFINED BENEFIT PENSION SCHEMES (Contd.)
21.7 Basis for Estimating Assets and Liabilities
Hymans Robertson, the independent actuaries to Lothian Pension Fund, have advised that the financial assumptions used to calculate the components of the pension expense for the year ended 31 March 2018 were those from the beginning of the year (i.e. 31 March 2017) and have not been changed during the year. The main assumptions in the calculations are:
Average future life expectancies at age 65: 2016/17 2017/18 Current pensioners male 22.1 years 21.7 years Current pensioners female 23.7 years 24.3 years Future pensioners male 24.2 years 24.7 years Future pensioners female 26.3 years 27.5 years
Financial assumptions: 2016/17 2017/18 Pension increase rate 2.4% 2.4% Salary increase rate 4.4% 4.1% Discount rate 2.6% 2.7%
Estimation of defined benefit obligations is sensitive to the actuarial assumptions set out above. In order to quantify the impact of a change in the financial assumptions used, the Actuary has calculated and compared the value of the scheme liabilities as at 31 March 2018 on varying bases. The approach taken by the Actuary is consistent with that adopted to derive the IAS19 figures.
To quantify the uncertainty around life expectancy, the Actuary have calculated the difference in cost to the Employer of a one year increase in life expectancy. For sensitivity purposes, this is assumed to be an increase in the cost of benefits of broadly 3-5%. In practice the actual cost of a one year increase in life expectancy will depend on the structure of the revised assumption (i.e. if improvements to survival rates predominately apply at younger or older ages).
Approximate % Approximate Change in assumptions at 31 March 2018 increase to Employer Monetary Amount 0.5% decrease in Real Discount Rate 10.0% 5,929 0.5% increase in the Salary Increase Rate 2.0% 1,299 0.5% increase in the Pension Increase Rate 8.0% 4,500
21.8 Analysis of projected amount to be charged to profit or loss for the period to 31 March 2019
Assets Obligations Net (liability) / asset £000 £000 £000 % of pay Current service cost 0 (1,221) (1,221) -39.10% Total Service Cost 0 (1,221) (1,221) -39.10% Interest income on plan assets 1,423 0 1,423 45.50% Interest cost on defined benefit obligation 0 (1,589) (1,589) -50.80% Total Net Interest Cost 1,423 (1,589) (166) -5.30% Total included in Profit or Loss 1,423 (2,810) (1,387) -44.40%
The Board's estimated contribution to Lothian Pension Fund for 2018/19 is £0.672m.
21.9 Impact on the Authority's Cash Flows
The objectives of the scheme are to keep employers' contributions at as constant a rate as possible. The Board has agreed a contribution stability mechanism with the schemes actuary until 31st March 2021.
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22. LEASES
Operating Leases The Board currently occupies land and buildings listed below by entering into the following operating lease:
17a South Gyle Crescent - offices 2016/17 2017/18 The future minimum lease payments due in future years are: £000's £000's
• Not later than 1 year 305 305 • Later than 1 year not later than 5 years 1,526 1,526 • Later than 5 years 2,747 2,442 4,578 4,273
Car Leases The Board operates an employee car leasing scheme. There were twelve active leases in operation at 31st March 2018 and employees contributed £0.027m during 2017/18 towards the cost of car leasing. The Board is committed to paying the following sums in future years:
2016/17 2017/18 The future minimum lease payments due in future years are: £000's £000's
• Not later than 1 year 22 30 • Later than 1 year not later than 5 years 12 25 34 55
The Board has two operational leases. These relate to mobile phones/tablet devices and a Xerox photocopying agreement. The costs incurred under both for financial year 2017/18 were £6,587 and £5,793 respectively.
The Board has no finance lease obligations.
23. LONG TERM DEBTORS
The long term debtor is in respect of a cash incentive received by the Board on its relocation of offices to its new premises at 17a South Gyle Crescent. The cash incentive is amortised on a straight line basis over the term of the lease. A 25 year lease was entered into in December 2006, the remaining life amounts to 15 years, consequently £5,642 will be written to the Comprehensive Income and Expenditure Statement each year.
2016/17 2017/18 £000's £000's • Cash incentive: Balance at 1st April 90 85 Amortised to Comprehensive Income and Expenditure Statement (5) (6) Balance at 31st March 85 79
24. OTHER LONG TERM LIABILITIES
The Board relocated to its new offices in December 2006. As part of the agreement, the landlord agreed to pay a cash incentive of £0.400m on date of entry and £0.475m in 2011. This will be amortised on a straight line basis totalling £0.035m per annum over 25 years, the term of the lease.
2016/17 2017/18 £000's £000's
Balance at 1st April (560) (525) Amortised to Comprehensive Income and Expenditure Statement 35 35 Balance at 31st March (525) (490)
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25. CONSTITUENT COUNCIL REQUISITIONS
The net expenditure of the Board is a charge upon the City of Edinburgh Council, West, East and Midlothian Councils. The division of net expenditure borne by the constituent councils is made in accordance with the Valuations Joint Boards (Scotland) Order 1995.
Amount due (to)/from Amount Amount Constituent due for received Councils 2017/18 2017/18 2017/18 £000's £000's £000's
City of Edinburgh Council 3,741 3,741 0 Midlothian Council 562 562 0 East Lothian Council 667 667 0 West Lothian Council 1,148 1,148 0
6,118 6,118 0
26. NATURE AND EXTENT OF RISKS ARISING FROM FINANCIAL INSTRUMENTS
All Treasury Management is carried out on the Board's behalf by the City of Edinburgh Council. The Council complies with the CIPFA Prudential Code, and has adopted the CIPFA Treasury Management in the Public Services Code of Practice. The City of Edinburgh Council, on behalf of the Board, has overall risk management procedures that focus on the unpredictability of financial markets, and implementing restrictions to minimise these risks.
The Board's activities expose it to a variety of financial risks which have been assessed in order to determine whether or not such risks have, in order to comply with financial instrument accounting requirements, an impact on these Annual Accounts. For all of the financial risks, the impact on Annual Accounts was found to be immaterial. Each risk is detailed below along with an explanation as to why there is no financial effect arising:
• Re-financing risk - the possibility that the Board might be required to renew a financial instrument on maturity at disadvantageous interest rates or terms is considered immaterial because although the Board has powers to obtain loan finance, no such loans were held during the year;
• Market risk - the possibility that financial loss might arise for the Board as a result of changes in such measures as interest rate movements is considered immaterial because the finances of the Board are such that during the year there was no interest payable and interest receivable was immaterial;
• Credit risk - the possibility that other parties might fail to pay amounts due to the Board is considered immaterial on the basis of past experience and the fact that most debt payable to the Board is due from other public bodies;
• Liquidity risk - the possibility that the Board might not have funds available to meet it's commitments to make payments is considered immaterial given the statutory responsibility that the Board has to have a balanced budget and that constituent authorities have to fund the activities of the Board.
• Price risk - the possibility that fluctuations in equity prices has a significant impact on the value of financial instruments held by the Board is considered immaterial because the Board does not generally invest in equity shares.
• Foreign exchange risk - the possibility that fluctuations in exchange rates could result in loss to the Board is considered immaterial because there are no financial assets or liabilities held at the year end denominated in foreign currencies.
The Board holds its surplus funds with the City of Edinburgh Council and does not place external deposits in its own name. The balance held by and due from the City of Edinburgh Council at 31st March 2018 amounted to £1.748m (2016/17 £1.513m). No breaches of the Board's counterparty criteria occurred during the reporting period and the Board does not expect any losses from non-performance by any of its counterparties in relation to deposits. During the reporting period, the Board held no collateral as security.
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ANNUAL GOVERNANCE STATEMENT
Scope of Responsibility Lothian Valuation Joint Board aims to ensure best value and provide equitable, customer focussed, high quality, professional valuation and electoral services for all its stakeholders.
The Board is responsible for ensuring that its business is conducted in accordance with the law and appropriate standards, that public money is safeguarded and properly accounted for, and used economically, efficiently, effectively and ethically. The Board also has a duty to make arrangements to secure continuous improvement in the way its functions are carried out.
In discharging these overall responsibilities Elected Members and Senior Officers are responsible for implementing proper arrangements for the governance of the Board’s affairs and facilitating the effective exercise of its functions, including arrangements for the management of risk.
The Board has approved and adopted a Local Code of Corporate Governance that is consistent with the principles, and reflects the requirements, of the CIPFA/SOLACE framework Delivering Good Governance in Local Government and is supported by detailed evidence of compliance, which is regularly reviewed. A copy of the code is on our website www.lothian-vjb.gov.uk or can be obtained from the Assessor.
This statement explains how Lothian Valuation Joint Board delivers good governance and reviews the effectiveness of those arrangements. It also includes a statement on internal financial control in accordance with proper practice.
The Board's Governance Framework The governance framework comprises the systems and processes, and culture and values, by which the Board is directed and controlled, and its activities through which it accounts to, engages with, and influences the community. It enables the Board to monitor the achievement of its strategic objectives and to consider whether those objectives have led to the delivery of appropriate, cost-effective services.
The framework reflects the arrangements in place to meet the six supporting principles of effective corporate governance.
• Focusing on the purpose of the Board and on outcomes for the community, and creating and implementing a vision for the local area;
• Members and officers working together to achieve a common purpose with clearly defined functions and roles;
• Promoting values for the Board and demonstrating the values of good governance through upholding high standards of conduct and behaviour;
• Taking informed and transparent decisions which are subject to effective scrutiny and managing risk;
• Developing the capacity and capability of members and officers to be effective;
• Engaging with local people and other stakeholders to ensure robust public accountability.
A significant part of the governance framework is the system of internal control which is based on an ongoing process designed to identify and prioritise the risks to the achievement of the Board’s policies, aims and objectives. These are outlined in the Board’s annual Corporate & Service Plan. This enables the Board to manage its key risks efficiently, effectively, economically and ethically.
Within the overall control arrangements, the system of internal financial control is intended to ensure that assets are safeguarded, transactions are authorised and properly recorded, and material errors or irregularities are either prevented or would be detected within a timely period. It is based on a framework of regular management information, financial regulations, administrative procedures and management supervision.
While the system of internal control is deigned to manage risk at a reasonable level it cannot eliminate all risk of failure to achieve policies, aims and objectives and can therefore only provide reasonable, and not absolute, assurance of effectiveness.
In May 2018, the Board introduced a Governance, Risk and Best Value Group which will meet key external stakeholders twice a year. The Governance Group provides formal, transparent arrangements for monitoring corporate reporting, risk management and internal financial and core system controls within Lothian Valuation Joint Board. These arrangements support an appropriate relationship with the Board’s external auditors and satisfy internal quality assurance and Joint Board requirements.
Determining the Board's purpose, its vision for the local area and intended outcomes for the Community
The Board has communicated its vision in the Corporate and Service Plan. Delivery of the vision is the responsibility of the Board, the Assessor and Heads of Service. The Board has developed a partnership approach when working with other Authorities.
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ANNUAL GOVERNANCE STATEMENT (Contd.)
Review of Effectiveness
The Board has put in place arrangements, detailed in the Local Code, for monitoring each element of the framework and providing evidence of compliance. A Principal Officer within Lothian Valuation Joint Board has been nominated to review the effectiveness of the Local Code and will report annually to the LVJB Board.
The review of the effectiveness of its governance framework including the system of internal financial control is informed by:
• the work of Internal Auditors and their annual opinion which is based on one audit per year; follow-up on the outcomes of audit work performed; the status of any open internal audit findings; and review of the LVJB draft annual governance statement.
• the Assessor’s Certificate of Assurance on internal control;
• the operation and monitoring of controls by Board Managers; and
• the External Auditors in their Annual Audit Letter and other reports;
Throughout the year Elected Members and Officers have responsibility for the development and maintenance of the governance environment. These review mechanisms include:
• The Lothian Valuation Joint Board provides strategic leadership, determines policy aims and objectives and takes executive decisions not delegated to officers. It provides political accountability for the Board’s performance.
• Internal Audit provides an independent and objective assurance service to the Board by providing one Internal Audit review each year, providing an opinion on the design and operating effectiveness of the key internal controls established to manage LVJB’s most significant risks.
• Scott-Moncrieff's Annual Audit Report is also considered by the Board.
• The Strategic, Operational and Project Risk Registers are reviewed as part of the Board’s Corporate and Service Plan (the Corporate and Service Plan is approved by the Board). Key risks are reported quarterly to the Board, financial risks through budget reports and service risks through the Assessors Progress report. This ensures that actions can be considered to effectively manage the Board’s highest risks.
• The Monitoring Officer is responsible to the Board for ensuring that agreed procedures are followed and that all applicable statutes and regulations are complied with.
Certification
In compliance with accounting practice, the Treasurer has provided the Assessor and Electoral Registration Officer with a statement on the adequacy and effectiveness of the Board’s internal financial control system for the year ended 31st March 2018. It is the Treasurer’s opinion that reasonable assurance can be placed upon the adequacy and effectiveness of the Board’s internal control system.
Internal Audit reviewed the schedule prepared by management supporting the annual governance statement and did not identify any instances of non compliance highlighted in the management responses that would adversely impact on our internal audit opinion. Additionally, no significant Internal Audit findings were raised in relation to governance and scrutiny performed by the Board.
From this year’s review there is evidence that the Code is operating effectively with overall compliance by the Board in all significant areas of its corporate governance arrangements.
Assessor and Electoral Registration Officer: Date: 3rd September 2018
Graeme Strachan
Convener of Lothian Valuation Joint Board: Date: 3rd September 2018
David Key
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REMUNERATION REPORT
The Remuneration Report provides details of the Board's remuneration policy for its senior employees and states how remuneration arrangements are managed. Senior employees within the Board are defined as those having the responsibility for the management of the Board to the extent that they can direct or control the major activities of the Board. This includes activities involving the expenditure of money, during the year to which the report relates, whether solely or collectively with other persons.
As well as providing details of the Board's remuneration policy, the Remuneration Report will also show:
• Details of the number of employees whose remuneration was £50,000 or more, which will be disclosed in pay bands of £5,000; • Details of remuneration paid to senior employees of the Board for 2017/18; • Details of the Board's senior employees who participate in the Local Government Pension Scheme, administered by the Lothian Pension Fund, and the benefits provided under the scheme.
1. Audit of Remuneration Report Auditors are required by ISA 720A to read the remuneration report to identify any;
• material inconsistencies with the financial statements; • information that is apparently materially incorrect based on, or materially inconsistent with, the knowledge acquired by auditors in the course of performing the audit, or that is otherwise misleading.
Scott-Moncrieff have reported in their annual report that the auditable part of the Remuneration Report has been properly prepared in accordance with The Local Authority Accounts (Scotland) Regulations 2014.
2. Remuneration policy The Lothian Valuation Joint Board is responsible for approving the remuneration level of the Assessor and Electoral Registration Officer, and the Depute Assessor, these being the only Chief Official posts within the Board at 31st March 2018. The Scottish Joint Negotiating Committee (SJNC) for Local authority Services sets the salaries for the Chief Officials of Scottish local authorities and is responsible for agreeing annual inflationary increases. The post of Assessor and Electoral Registration Officer was reviewed at the creation of the Joint Board in 1996. The post of Depute Assessor will be removed from 1st April 2018 as part of the Transformation and Cultural Change Programme approved during 2017/18. Advice on such matters is received from the Human Resources division of the City of Edinburgh Council and from the Executive Director of Resources, City of Edinburgh Council.
The salaries of all other employees is set by reference to the Scottish Joint Council for Local Government Employees for all other categories of staff. The Board's Scheme of Delegation provides the Assessor and Electoral Registration Officer with delegated authority to appoint employees within agreed staffing and expenditure levels. The City of Edinburgh Council provides remuneration advice and assistance to the Board on request.
The Convener and Vice-Convener of the Board are remunerated by the Council of which they are a council member. The remuneration of councillors is regulated by the Local Governance (Scotland) Act 2004 (Remuneration) Regulations 2007 (SSI No. 2007/183) as amended by the Local Governance (Scotland) Act 2004 (Remuneration and Severance Payments) Amendment Regulations 2015.
The Board has an arrangement with each council that remunerates the Convener and Vice-Convener to reimburse the Council for the additional costs of that councillor arising from them being a Convener or Vice-Convener of the Board. The disclosures made in this report are limited to the amounts paid to the council by the Board for remuneration and does not reflect the full value of the remuneration that may be paid to the councillor.
All other members of the Board are remunerated by the Council of which they are a council member.
The position of Chief Executive is provided and remunerated by the City of Edinburgh Council.
3. Pension Entitlement of Senior Employees The Board's senior employees participate in the Local Government Pension Scheme administered by the Lothian Pension Fund. This is a final salary pension scheme which means that pension benefits are based on the final year's pay and the number of years that person has been a member of the scheme. The scheme's normal retirement age for employees is 65.
From 1 April 2009 a five tier contribution system was introduced with contributions from scheme members being based on how much pay falls in to each tier. This is designed to give more equality between the cost and benefits of scheme membership. Prior to 2009 contribution rates were set at 6% for all non manual employees.
The tiers and members contributions rates for 2017/18 are as follows:
On earnings up to and including £20,700 (5.5%), on earnings above £20,700 and up to £25,300 (7.25%), on earnings above £25,300 and up to £34,700 (8.5%), on earnings above £34,700 and up to £46,300 (9.5%) and on earnings above £46,300 (12%). Page 41
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REMUNERATION REPORT (Contd.)
3. Pension Entitlement of Senior Employees (Contd.)
If a person works part-time their contribution rate is worked out on the whole-time pay rate for the job, with actual contributions paid on actual pay earned.
There is no automatic entitlement to a lump sum. Members may opt to give up (commute) pension for a lump sum payment up to the limit set by the Finance Act 2004. The accrual rate guarantees a pension based on 1/60th of final pensionable salary and years of pensionable service. Prior to 2009, the accrual rate guaranteed a pension based on 1/80th and a lump sum based on 3/80ths of final pensionable salary and years of pensionable service.
The value of the accrued benefits has been calculated on the basis of the age at which the person will first become entitled to receive a pension on retirement without reduction on account of its payment at that age; without exercising any option to commute pension entitlement into a lump sum; and without any adjustment for the effects of future inflation.
4. Remuneration by Pay Band Details of the Board's employees receiving more than £50,000 remuneration for the year, excluding employer's NI and pension contributions are:
Number of Employees Remuneration Band 2016/17 2017/18 £50,000 - £54,999 4 3 £55,000 - £59,999 - 1 £60,000 - £64,999 3 2 £65,000 - £69,999 - 1 £70,000 - £74,999 - - £75,000 - £79,999 1 1 £80,000 - £84,999 - 1 £85,000 - £89,999 1 1 £90,000 - £94,999 - - £95,000 - £99,999 - 2 £100,000 - £104,999 1 - £105,000 - £109,999 - - £110,000 - £114,999 - - £115,000 - £119,999 - - £120,000 - £124,999 - 1 £125,000 - £129,999 - - £130,000 - £134,999 - 1 Totals 10 14
5. Remuneration paid to Senior Employees The table below details remuneration paid to senior employees within the Board. Senior Employees are defined as having the responsibility for management of the Board to the extent that they can direct or control the major activities of the Board. This includes activities involving the expenditure of money, during the year to which the report relates, whether solely or collectively with other persons.
Salary, Salary, Fees and Fees and Allowances Allowances 31 March 31 March 2017 2018 Name and Post Title £ £ J. Hewton - Assessor and Electoral Reg Officer * 89,672 0 G. Strachan - Assessor and Electoral Reg Officer (Interim) ** 102,046 120,747 N. Chapman - Depute Assessor (Interim) *** 76,993 97,158
Total 268,711 217,905
* retired 01.01.17. ** interim Assessor and ERO from 01.01.17 until 31.03.18. Thereafter appointed Assessor and ERO. *** appointed interim Depute Assessor from 01.01.17 until 31.03.18.
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REMUNERATION REPORT (Contd.)
6. Pension Entitlement of Senior Employees
In-year pension contributions For year to For year to 31 March 31 March 2017 2018 Name and Post Title £ £ J. Hewton - Assessor and Electoral Reg Officer (Retired) 18,653 0 G. Strachan - Assessor and Electoral Reg Officer (Interim) 21,193 25,120 N. Chapman - Depute Assessor (Interim) 15,931 20,166
Difference Accrued Pension Benefits As at from 31 March 31 March 2018 2017 Name and Post Title £'000 £'000 J. Hewton - Assessor and Electoral Reg Officer Pension 0 0 (Retired) Lump sum 0 0
G. Strachan - Assessor and Electoral Reg Officer (Interim) Pension 61 11 Lump sum 128 20
N. Chapman - Depute Assessor (Interim) Pension 41 10 Lump sum 78 17
All senior employees shown in the tables above are members of the Local Government Pension Scheme.
The pension figures shown relate to the benefits that the person has accrued as a consequence of their total local government service, not solely their current appointment.
7. Remuneration of Convener and Vice Conveners
The following table provides details of the remuneration paid to the Board's Convener and Vice-Convener by the Board, excluding NI and Pensions.
Salary, Total Total fees and Taxable Remun. Remun. allowances Expenses 2017/18 2016/17 Name and Post Title £ £ £ £ N.Work - Convener * 965 0 965 4,225 D.Key - Convener * 2,595 0 2,595 0 B.Robertson - Vice-Convener ** 0 0 0 2,237 M. Russell - Vice Convener *** 286 0 286 469 A. McGuire - Vice Convener *** 1,956 0 1,956 0 5,802 0 5,802 6,931
* N. Work Convener until 21.08.17. Thereafter D.Key appointed Convener ** B.Robertson resigned 13.12.16. *** M.Russell Vice Convener until 21.08.17. Thereafter A.McGuire appointed Vice Convener.
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REMUNERATION REPORT (Contd.)
8. Pension Entitlement of Convener and Vice Convener
For year to For year to In-year pension contributions 31 March 31 March 2017 2018 Name and Post Title £ £ N.Work - Convener (former) 4,498 5,503 * D.Key - Convener 0 4,304 * B.Robertson - Vice-Convener (former) 3,947 0 * M. Russell - Vice Convener (former - not in LPF) 0 0 * A.McGuire - Vice Convener (not in LPF) 0 0 *
Difference Accrued Pension Benefits As at from 31 March 31 March 2018 2017 Name and Post Title N.Work - Convener Pension 4 0 (former) Lump sum 2 0 D.Key - Convener Pension 2 0 Lump sum 0 0 B.Robertson - Vice-Convener Pension 0 0 (former) Lump sum 0 0
* includes full pension entitlement as a Councillor, not just that in respect of Convener/Vice Convener of the Lothian Valuation Joint Board.
9. Exit Packages
The following information details the number, and total cost, of exit packages agreed and approved by 31st March 2018, grouped in rising bands of £20,000 up to £100,000.
Exit packages include compulsory and voluntary redundancy costs, pension contributions in respect of added years, ex-gratia payments and other departure costs.
Number of Employees Total Cost 2016/17 2017/18 2016/17 2017/18 Exit Packages Band £ £ £0 - £20,000 1 4 10,800 57,059 £20,001 - £40,000 0 4 0 120,236 £40,001 - £60,000 0 3 0 144,386 £60,001 - £80,000 0 1 0 63,422 £80,001 - £100,000 0 1 0 85,404 Totals 1 13 10,800 470,507
Costs are in respect of voluntary retirals which were approved on the basis of Regulation 30 (Rule of 85) of the Pension Fund Regulations.
10. Trade Union (Facility Time Publication Requirements) Regulations 2017 The Lothian Valuation Joint Board is required to report from 1st April 2017 a range of information on facility time made available to its employees who are trade union representatives. For the reporting year 2017/18, the equivalent of 0.02 FTE (across 3 individuals) of paid facility time was made available, with an associated cost of £2,288. This sum equates to 0.06% of Lothian Valuation Joint Board’s overall paybill. Of the total time made available, no individuals spent 100% of time during the year on trade union-related activities, the three between 0% and 50%.
Assessor and Electoral Registration Officer: Date: 3rd September 2018 Graeme Strachan
Convener: Date: 3rd September 2018 David Key Page 44
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INDEPENDENT AUDITOR'S REPORT
Independent auditor’s report to the members of Lothian Valuation Joint Board and the Accounts Commission This report is made solely to the parties to whom it is addressed in accordance with Part VII of the Local Government (Scotland) Act 1973 and for no other purpose. In accordance with paragraph 120 of the Code of Audit Practice approved by the Accounts Commission, we do not undertake to have responsibilities to members or officers, in their individual capacities, or to third parties.
Report on the audit of the financial statements
Opinion on financial statements We certify that we have audited the financial statements in the annual accounts of Lothian Valuation Joint Board for the year ended 31 March 2018 under Part VII of the Local Government (Scotland) Act 1973. The financial statements comprise the Movement in Reserves Statement, Comprehensive Income and Expenditure Statement, Balance Sheet, Cash-Flow Statement, and notes to the financial statements, including a summary of significant accounting policies. The financial reporting framework that has been applied in their preparation is applicable law and International Financial Reporting Standards (IFRSs) as adopted by the European Union, and as interpreted and adapted by the Code of Practice on Local Authority Accounting in the United Kingdom 2017/18 (the 2017/18 Code).
In our opinion the accompanying financial statements:
• give a true and fair view in accordance with applicable law and the 2017/18 Code of the state of affairs of the Lothian Valuation Joint Board as at 31 March 2018 and of its income and expenditure for the year then ended; • have been properly prepared in accordance with IFRSs as adopted by the European Union, as interpreted and adapted by the 2017/18 Code; and • have been prepared in accordance with the requirements of the Local Government (Scotland) Act 1973, The Local Authority Accounts (Scotland) Regulations 2014, and the Local Government in Scotland Act 2003.
Basis of opinion We conducted our audit in accordance with applicable law and International Standards on Auditing (UK) (ISAs (UK)). Our responsibilities under those standards are further described in the auditor’s responsibilities for the audit of the financial statements section of our report. We are independent of the Lothian Valuation Joint Board in accordance with the ethical requirements that are relevant to our audit of the financial statements in the UK including the Financial Reporting Council’s Ethical Standard, and we have fulfilled our other ethical responsibilities in accordance with these requirements. We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our opinion.
Conclusions relating to going concern basis of accounting
We have nothing to report in respect of the following matters in relation to which the ISAs (UK) require us to report to you where:
• the use of the going concern basis of accounting in the preparation of the financial statements is not appropriate; or • the Treasurer has not disclosed in the financial statements any identified material uncertainties that may cast significant doubt about Lothian Valuation Joint Board’s ability to continue to adopt the going concern basis of accounting for a period of at least twelve months from the date when the financial statements are authorised for issue.
Responsibilities of the Treasurer and Board for the financial statements As explained more fully in the Statement of Responsibilities, the Treasurer is responsible for the preparation of financial statements that give a true and fair view in accordance with the financial reporting framework, and for such internal control as the Treasurer determines is necessary to enable the preparation of financial statements that are free from material misstatement, whether due to fraud or error.
In preparing the financial statements, the Treasurer is responsible for assessing the Lothian Valuation Joint Board’s ability to continue as a going concern, disclosing, as applicable, matters related to going concern and using the going concern basis of accounting unless deemed inappropriate.
The Board is responsible for overseeing the financial reporting process.
Auditor’s responsibilities for the audit of the financial statements Our objectives are to achieve reasonable assurance about whether the financial statements as a whole are free from material misstatement, whether due to fraud or error, and to issue an auditor’s report that includes our opinion. Reasonable assurance is a high level of assurance, but is not a guarantee that an audit conducted in accordance with ISAs (UK) will always detect a material misstatement when it exists. Misstatements can arise from fraud or error and are considered material if, individually or in the aggregate, they could reasonably be expected to influence the economic decisions of users taken on the basis of these financial statements.
A further description of the auditor’s responsibilities for the audit of the financial statements is located on the Financial Reporting Council's website www.frc.org.uk/auditorsresponsibilities . This description forms part of our auditor’s report.
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INDEPENDENT AUDITOR'S REPORT (Contd.)
Other information in the annual accounts The Treasurer is responsible for the other information in the annual accounts. The other information comprises the information other than the financial statements, the audited part of the Remuneration Report, and our auditor’s report thereon. Our opinion on the financial statements does not cover the other information and we do not express any form of assurance conclusion thereon except on matters prescribed by the Accounts Commission to the extent explicitly stated later in this report.
In connection with our audit of the financial statements, our responsibility is to read all the other information in the annual accounts and, in doing so, consider whether the other information is materially inconsistent with the financial statements or our knowledge obtained in the audit or otherwise appears to be materially misstated. If we identify such material inconsistencies or apparent material misstatements, we are required to determine whether there is a material misstatement in the financial statements or a material misstatement of the other information. If, based on the work we have performed, we conclude that there is a material misstatement of this other information, we are required to report that fact. We have nothing to report in this regard.
Report on other requirements
Opinions on matters prescribed by the Accounts Commission In our opinion, the audited part of the Remuneration Report has been properly prepared in accordance with The Local Authority Accounts (Scotland) Regulations 2014.
In our opinion, based on the work undertaken in the course of the audit
• the information given in the Management Commentary for the financial year for which the financial statements are prepared is consistent with the financial statements and that report has been prepared in accordance with statutory guidance issued under the Local Government in Scotland Act 2003; and • the information given in the Annual Governance Statement for the financial year for which the financial statements are prepared is consistent with the financial statements and that report has been prepared in accordance with the Delivering Good Governance in Local Government: Framework (2016).
Matters on which we are required to report by exception We are required by the Accounts Commission to report to you if, in our opinion:
• adequate accounting records have not been kept; or • the financial statements and the audited part of the Remuneration Report are not in agreement with the accounting records; or • we have not received all the information and explanations we require for our audit; or • there has been a failure to achieve a prescribed financial objective.
We have nothing to report in respect of these matters.
Nick Bennett
For and on behalf of Scott-Moncrieff Exchange Place 3 Semple Street Edinburgh EH3 8BL
Date:
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Edinburgh, 18 June 2018
Present: City of Edinburgh Council – Councillors Key (Convener), Doggart, Gordon, Gloyer and Work. East Lothian Council – Councillor Goodfellow. Midlothian Council – Councillor Russell (from Item 5). West Lothian Council – Councillor McGuire (Vice-Convener).
1 Minute Decision To approve the minute of the Lothian Valuation Joint Board of 16 April 2018 as a correct record.
2 Unaudited Annual Accounts for the Year Ended 31st March 2018 The unaudited annual accounts were presented to the Board in accordance with the Local Authority Accounts (Scotland) Regulations 2014, which required that the Annual Accounts for the year 2017/18 be presented to the Board no later than 31 August 2018. The Annual Accounts were required to be presented to external audit by 30 June 2018. Decision 1) To note the report. 2) To note that the Annual Accounts for 2017/18 would be represented to the Board on completion of the external audit. (Reference – report by the Treasurer, submitted).
3 Performance Report 2017/18 The Assessor and ERO provided a report that accompanied the unaudited accounts report to allow consideration of the organisational performance and budgetary outcome.
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Lothian Valuation Joint Board 18 June 2018
The statistical performance information provided reflected upon the statutorily defined elements of the key service delivery areas. Comment was also provided on other aspects of organisational delivery. Decision 1) To note the report. 2) To agree that any issues elected members had in relation to online electoral registration and Council Tax bands should be fed back to the Assessor and ERO. (Reference – report by the Assessor and Electoral Registration Officer, submitted)
4 Update Report on Arrangements for Corporate Governance The Board considered a report providing an update on the progress made in respect of the arrangements for the introduction of a Governance Group within the Assessor and ERO organisation. Decision 1) To note the report. 2) To agree to the escalation procedure indicated at paragraph 13 of the Governance, Risk and Best Value Group Terms of Reference. (Reference – report by the Assessor and Electoral Registration Officer, submitted).
5 Treasury Management Annual Report 2017-18 The Annual Treasury Management report for 2017-18 was submitted. Decision To note the Treasury Management Annual Report for 2017-18. (Reference – report by the Treasurer, submitted)
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Edinburgh, 3 September 2018
Present: City of Edinburgh Council – Councillors Key (Convener), Corbett, Doggart, Gordon, Gloyer, Ricky Henderson and Work. East Lothian Council – Councillor Jane Henderson. Midlothian Council – Councillor Russell.
1 Minute Decision To approve the minute of the Lothian Valuation Joint Board of 18 June 2018 as a correct record.
2 Audited Accounts for the Year Ended 31 March 2018 The Board’s audited accounts for the year ended 31 March 2018 were submitted. There were no significant issues identified during the course of the audit which provided for an unqualified opinion on the accounts. Decision 1) To note the audited annual accounts for the year ended 31 March 2018 2) To authorise the annual accounts for signature. (Reference – report by the Treasurer, submitted)
3 Internal Audit Annual Opinion 2017/18 Internal Audit’s annual opinion for the Lothian Valuation Joint Board (LVJB) for the year ended 31 March 2018 was presented. The opinion was based on the outcomes of the audits included in the 2017/18 Internal Audit annual plan, the status of any open Internal Audit findings, and review of the Joint Board’s draft annual governance statement. Members discussed the high risks identified in the Audit Report and the extent to which these had been dealt with or would be followed up. Decision 1) To note the internal audit opinion.
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Lothian Valuation Joint Board 3 September 2018
2) To request the Assessor to provide an update to the next meeting of the Board in November 2018 on progress being made towards addressing the risks identified as “high” in the Audit Report. (Reference – report by the Assessor, submitted.)
4 2017/2018 Annual Audit Report to Members of the Joint Board and Controller of Audit The External Auditor’s report on the audit of the Joint Board’s 2017-18 financial statements was presented. The report set out relevant matters arising from the audit which required to be reported under International Standard on Auditing (UK and Ireland) 260 (ISA 260). An update was provided on the recommendations from the previous year’s audit. All had been followed up on except for environmental sustainability which was ongoing. Decision To note the annual audit report. (Reference – report by Scott-Moncrieff, External Auditor, submitted)
5 Period 4 Financial Statement 2018/19 Information was submitted of the projected revenue budget outturn position to 31st March 2019, based on the position at the period ending 31 July 2018. The forecast variance was an underspend of £0.115m. With the exception of employee costs, all other budget headings had been forecast on budget as it was relatively early in the year to predict otherwise and there were no known material budget variances at this stage. Decision To note the projected outturn position for 2018-19 and that a further 2018-19 budget update would be presented to the November meeting. (Reference – report by the Treasurer, submitted).
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Lothian Valuation Joint Board 3 September 2018
6. Assessor’s Progress Report to the Joint Board The Assessor presented an update on the service overview and priorities, current issues and the future direction of the Joint Board. An update on electoral registration and engagement strategies to encourage registration was provided, including electronic engagement. The Assessor requested the Board’s permission to access the reserve fund to support costs arising from the career progression scheme for trainee staff as indicated in paragraph 7 of the report. Members discussed the use of data, pilot projects in Scotland, increased funding pressures and non-domestic rating with regards to letting. Decision 1) To note the updates in the report. 2) To agree, in principle, access to the reserve fund to support costs arising, in part or whole, as and when required, in respect of sourcing external IT development capacity and in support of costs arising from the career progression scheme for trainee staff as indicated in paragraph 7 of the report. 3) To request the Assessor to provide an update to the next meeting of the Board in November 2018 on the funding provided to EROs by the Cabinet Office to offset the additional cost burden created by the introduction of Individual Electoral Registration. (Reference – report by the Assessor and Electoral Registration Officer, submitted).
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Edinburgh, 5 November 2018
Present: City of Edinburgh Council – Councillors Key (Convener), Cameron (substituting for Councillor Doran), Corbett, Doggart, Gordon, Gloyer, Rust and Work. East Lothian Council – Councillor Henderson. Midlothian Council – Councillor Russell. West Lothian Council – Councillor McGuire (Vice-Convener).
1 Minute Decision To approve the minute of the Lothian Valuation Joint Board of 3 September 2018 as a correct record.
2 Period 6 Financial Statement 2018/19 The projected revenue budget outturn position to 31 March 2019 was presented based on the position at period ending 30 September 2018. The forecast variance was an underspend of £0.103m, a reduction of £0.012m to that reported on 3 September 2018. Grant of £0.241m for Individual Electoral Registration (IER) had been received for 2018/19 from the Cabinet Office and unspent grant of £0.350m had been carried over from 2017/18. Total grant of £0.591m was currently available to fund IER costs 2018/19. It was not anticipated that costs would exceed grant and for reporting purposes the current forecast assumed a carry-forward to 2019/20 of £0.331m. The Board’s general reserve balance currently stood at £0.798m. This did not include the forecast underspend for 2018/19 of £0.103m. A final estimated 2018/19 outturn report would be reported in February 2019. Decision 1) To note the projected outturn position for 2018/19. 2) To retain the balance of uncommitted reserve in excess of 3% until such time that the Assessor could provide more certainty on the risks highlighted in paragraph 4 of the report.
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Lothian Valuation Joint Board 5 November 2018
3) To note that a further 2018/19 budget update would be presented in February 2019. 4) To note that the 2019/20 budget would also be presented in February where a further update on risk would be presented to the Board. (Reference – report by the Treasurer, submitted)
3 Mid Term Review – Treasury Management Activity Information was given on the investment activity undertaken on behalf of the Board during the first half of the 2018/19 financial year. Decision To note the investment activity undertaken on the Board’s behalf. (Reference – report by the Treasurer, submitted.)
4 Update on Barclay Review of Non Domestic Rates In light of the Scottish Government concluding its consultation into proposals arising from the Barclay Review of NDR published in September 2017, an update was provided to the Board for noting. Members discussed the Risk Register attached as appendix 2 of the report which reflected a range of possible risks across a number of criteria and set out what actions would be taken to provide mitigation. Decision 1) To note the report and that further reports would be provided as the impact of the Barclay recommendations developed further, and by way of progress in respect of the Barclay Implementation Plan. 2) To agree that the Barclay Review would remain on Board agendas as a standing item until post-implementation of the legislation. (Reference – report by the Assessor and Electoral Registration Officer, submitted.)
5 Electoral Registration Annual Canvass The Board was informed of the current draft proposals in respect of changes to the annual household electoral registration canvass.
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Lothian Valuation Joint Board 5 November 2018
Decision To note the report and that further reports would be provided by the Electoral Registration Officer during 2019/20. (Reference – report by the Assessor and Electoral Registration Officer, submitted.)
6. Performance Update The Assessor presented an update on the current service delivery, priorities and issues of the Joint Board. An update was provided on electoral registration and engagement strategies to encourage registration, including information on social media activity and the plan to link electoral registration to the university matriculation process. The Board was updated on the first meeting of the Governance Group with stakeholders and consulted on the method of reporting back on the Group’s discussion to future meetings. Decision 1) To note the report. 2) To agree that the proposed annual governance report to the Board would also be circulated to constituent local authorities represented on the Board for awareness. (Reference – report by the Assessor and Electoral Registration Officer, submitted.)
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- 242 - PARTNERSHIP AND RESOURCES POLICY DEVELOPMENT AND SCRUTINY PANEL WORKPLAN TO 7 JUNE 2019
Agenda Item Lead Officer P&R PDSP Date / Month 1. Code of Conduct Annual Report Chief Executive Annually
December 2019 2. Lothian Valuation Joint Board Chief Executive Annually Annual Report April 2020 3. West Lothian Development Trust Head of Planning, Economic Annually Annual Report Development & Regeneration April 2020 4. Annual Complaints Report Depute Chief Executive, Annually Corporate, Operational and Housing Services August 2019 5. Quarterly Performance Report Depute Chief Executive, Quarterly Corporate, Operational and Housing Services 7 June 2019 October 2019 December 2019 February 2020 6. Quarterly Welfare Reform update Head of Finance and Quarterly Property Services 7 June 2019 August 2019 December 2019 February 2020 7. Quarterly Sickness Absence Head of Corporate Services Quarterly Update 7 June 2019 August 2019 December 2019 February 2020 8. Horizon Scan Report Head of Finance and Quarterly Property Services 7 June 2019 August 2019 December 2019 February 2020 9. Supporting Performance Head of Corporate Services 7 June 2019 Framework
10. Commercial Property Performance Head of Finance and 7 June 2019 and Rent Strategy Property Services
11. Loans Fund Review Head of Finance & Property 7 June 2019
DATA LABEL: PUBLIC
- 243 - Agenda Item Lead Officer P&R PDSP Date / Month 12. Polling Scheme Review Chief Executive 7 June 2019
13. Lothian Valuation Joint Board Chief Executive As available minutes
Graham Hope Chief Executive
DATA LABEL: PUBLIC
- 244 - DATA LABEL: Public
Partnership and Resources Policy Development and Scrutiny Panel Timetable – 2019-20
Deadline for Submission of Committee Issue Final Agenda Meeting Date Venue Items for Agenda (12 noon)
Thursday 15 August 2019 Friday 16 August 2019 Friday 23 August 2019 Council Chambers
Thursday 26 September 2019 Friday 27 September 2019 Friday 4 October 2019 Council Chambers
Thursday 28 November 2019 Friday 29 November 2019 Friday 6 December 2019 Council Chambers
- 245 - Thursday 30 January 2020 Friday 31 January 2020 Friday 7 February 2020 Council Chambers
Thursday 26 March 2020 Friday 27 March 2020 Friday 3 April 2020 Council Chambers
Thursday 28 May 2020 Friday 29 May 2019 Friday 5 June 2020 Council Chambers
All meetings will be held at 09.30 am unless otherwise advised