-993
Notice of meeting and agenda
Midlothian Council
Venue: Council Chambers, Midlothian House, Dalkeith, EH22 1DN
Date: Tuesday, 27 June 2017
Time: 11:00 - 15:00
John Blair Director of Resources
Contact: Clerk Name: Kyle Clark-Hay Clerk Telephone: 0131 270 5796 Clerk Email: [email protected]
Further Information:
This is a meeting which is open to members of the public.
Recording Notice: Please note that this meeting will be recorded. The recording will be publicly available following the meeting, including publication via the internet. The Council will comply with its statutory obligations under the Data Protection Act 1998 and the Freedom of Information (Scotland) Act 2002.
Page 1 of 324
1 Welcome, Introductions and Apologies
Including any apologies from Members who are unable to attend
2 Order of Business
Including notice of new business submitted as urgent for consideration at the end of the meeting.
3 Declarations of Interest
Members should declare any financial and non-financial interests they have in the items of business for consideration, identifying the relevant agenda item and the nature of their interest.
4 Deputations
No deputations have been received for consideration.
5 Minutes of Previous Meeting
Submitted for approval as a correct record:
5.1 Note of Meeting of Midlothian Council of 23 May 2017 5 - 26
6 Questions to the Council Leader
The following questions have been received for consideration and response by the Council Leader:
6.1 Written Questions To Leader - no1 - report by Director, Resources
6.2 Written Questions To Leader - no2 - report by Director, Resources
6.3 Written Questions To Leader - no3 - report by Director, Resources
7 Motions
The following motions have been received for consideration by the Council:
7.1 Notice of motion - moved by Councillor Hackett and seconded by Councillor Russell
7.2 Notice of motion - moved by Councillor McCall and seconded by Councillor Baird
Page 2 of 324 7.3 Notice of motion - moved by Councillor Parry and seconded by Councillor Johnstone
8 Public Reports
8.1 Schedule of Meeting Dates - report by Director, Resources 39 - 46
8.2 Outside Bodies - Appointments - report by Director Resources 47 - 50
8.3 Social Work Complaints Review Panel - report by Director, Resources 51 - 54
8.4 Business Transformation Steering Group - report by Chief Executive 55 - 58
8.5 TO FOLLOW - Midlothian House - Office Accommodation - report by 59 - 60 Director, Resources
8.6 Audit Scotland Report - Local Government in Scotland - Performance 61 - 72 and Challenges 2017 - report by Chief Executive
8.7 Financial Monitoring 2016-17 – General Fund Revenue - report by 73 - 94 Head of Finance and Integrated Service Support
8.8 Housing Revenue Account - Revenue and Capital Final Outturn 2016- 95 - 102 17 and Capital Plan 2017-18 - 2021-22 - report by Head of Finance and Integrated Service Support
8.9 Annual Treasury Management Report 2016-17 - report by Head of 103 - 128 Finance and Integrated Service Support
8.10 General Services Capital Plan Outturn 2016-17 - report by Head of 129 - 138 Finance and Integrated Service Support
8.11 Financial Strategy 2018-19 to 2021-22 - report by Head of Finance 139 - 158 and Integrated Service Support
8.12 TO FOLLOW - Financial Accounts 2016-17 - report by Head of 159 - 160 Finance and Integrated Service Support
8.13 Community Empowerment Act - Implementation - report by Director, 161 - 166 Education, Communities and Economy
8.14 Single Midlothian Plan 2017-18 - report by Chief Executive 167 - 220
8.15 Midfest - 2017 - report by Director, Resources 221 - 230
8.16 Voluntary Sector Grants - report by Director, Education, Communities 231 - 252 and Economy Page 3 of 324
8.17 Update on Digital Centre for Excellence - Newbattle Community High 253 - 258 School - report by Head of Education
8.18 Saltersgate School Adaptations - report by Head of Education 259 - 266
8.19 Naming of New Centre at Newbattle - report by Head of Property and 267 - 270 Facilities Management
8.20 Update on Current Position of Complaint Handling Procedure - report 271 - 276 by Director, Education, Communities and Economy
8.21 National Mental Health Strategy - report by Joint Director, Health and 277 - 280 Social Care
8.22 Sustainable and Affordable Social Care Services - report by Head of 281 - 316 Service
8.23 Carers Act - report by Joint Director, Health and Social Care 317 - 324
9 Private Reports THE COUNCIL IS INVITED (A) TO CONSIDER RESOLVING TO DEAL WITH THE UNDERNOTED BUSINESS IN PRIVATE IN TERMS OF PART 1 OF SCHEDULE 7A TO THE LOCAL GOVERNMENT (SCOTLAND) ACT 1973 – THE RELEVANT REPORTS AND THEREFORE NOT FOR PUBLICATION; AND (B) TO NOTE THAT NOTWITHSTANDING ANY SUCH RESOLUTION, INFORMATION MAY STILL REQUIRE TO BE RELEASED UNDER THE FREEDOM OF INFORMATION (SCOTLAND) ACT 2002 OR THE ENVIRONMENTAL INFORMATION REGULATIONS 2004
9.1 TO FOLLOW - Education Appointments - report by Director, Education, Communities and Economy
9.2 Scottish Government Regeneration Capital Grant Fund – Call for Applications - report by Director, Resources
Page 4 of 324
Minute of Meeting Item 5.1
Midlothian Council
Date Time Venue 23 May 2017 10am Council Chambers, Midlothian House, Buccleuch Street, Dalkeith
Present:
Councillor Alexander Councillor Baird Councillor Cassidy Councillor Curran Councillor Hackett Councillor Hardie Councillor Imrie Councillor Johnstone Councillor Lay-Douglas Councillor McCall Councillor Milligan Councillor Montgomery Councillor Muirhead Councillor Munro Councillor Parry Councillor Russell Councillor Smaill Councillor Winchester
Religious Representatives (Non-voting observers for Education Business):
In attendance:
Matin Khan
Page 5 of 324 2
1. Welcome, Introductions and Apologies
1.1 It was noted that the Returning Officer (the Chief Executive) would assume the Chair of the meeting until the Provost was elected by the Council under the terms of Section 4(4) of the Local Government (Scotland) Act 1994.
1.2 In light of the terrorist attack in Manchester during the previous evening, the Chief Executive asked that the meeting stand to observe a minute silence in memory of the victims.
1.3 It was noted that apologies had been received from Rev. Ruth Halley and Vic Bourne.
2. Order of Business
2.1 The order of business was confirmed as that which was outlined in the agenda that had been circulated.
2.2 The Clerk further confirmed that when elected, the Provost would confirm whether they would agree to items in item 3.15 to be considered at the meeting.
3. Public Reports
Agenda Report Title Presented by: No. 3.1 Election Return – Midlothian Local Chief Executive Government Election 2017
Outline of report and summary of discussion The Council heard from the Chief Executive who in his capacity as Returning Officer and in terms of Rule 56 of The Scottish Local Government Elections Order referred to the letter circulated which set out the results of the Local Government Elections on 4 May 2017. Further the Chief Executive confirmed that all Councillors concerned had been written to.
In conclusion the Chief Executive offered congratulations to all Councillors on their election.
Decision The Council agreed to note the result
Page 6 of 324 3
Report No. Report Title Presented by: 3.2 Declaration of Acceptance of Director, Resources Office of Councillor
Outline of report and summary of discussion The Council heard from the Director, Resources began by offering all Councillors a warm welcome to the first meeting of the Council. The Director, Resources then confirmed that all Members had made their Declaration of Acceptance of Office of Councillor to a Proper Officer of the Council and therefore were eligible to participate at the meeting.
Decision The Council agreed to note the update from the Director, Resources
Report No. Report Title Presented by: 3.3 Election of Provost ; Director, Resources 3.4 Election of Depute Provost; 3.5 Election of Council Leader; 3.6 Election of Depute Council Leader
Outline of report and summary of discussion The Council heard from the Director, Resources who presented a report requesting that, in line with the Local Government (Scotland) Act 1994 and the Council’s Standing Orders, the Council elect a Provost from their number.
The Council then heard from Councillor Imrie who, in order to expedite matters, presented a motion covering items 3.3 to 3.6 of the business before the Council. Councillor Imrie continued that the terms of the motion were as follows: Councillor Montgomery be elected as Provost; Councillor Russell be elected as Depute Provost; Councillor Milligan be elected as Leader and Councillor Muirhead be elected as Depute Council Leader.
Councillor Curran seconded Councillor Imrie’s motion.
Councillor Parry moved that items 3.3 to 3.6 were not taken en bloc and moved that they were taken separately. Councillor Johnstone seconded Councillor Parry’s motion.
The Chief Executive thereafter asked the Council to vote in relation to whether items 3.3 to 3.6 were considered together as per Councillor Imrie’s motion or separately as per Councillor Parry’s motion.
Six Members voted in favour of Councillor Parry’s motion and twelve Members voted in favour of Councillor Imrie’s motion and therefore it was decided that items 3.3 to 3.6 would be considered together.
Following this the Chief Executive asked the Council whether there were further nominations for the positions. Page 7 of 324 4
Councillor Parry moved the following:
Councillor Cassidy be elected as Provost; Councillor Alexander be elected as Depute Provost; and Councillor Johnstone be elected as Depute Leader.
Councillor Johnstone moved that Councillor Parry be elected as Leader.
This motion was seconded by Councillor Cassidy.
Councillor Parry made a further request that a roll call vote be taken which was agreed by six Members which satisfied the Standing Order requirements for a roll call vote.
The Chief Executive confirmed that the Council were voting for either the motion put forward by Councillor Imrie or the amendment put forward by Councillor Parry.
Councillor Parry requested clarification in relation to the governance of the en bloc vote which was provided by the Chief Executive and further the Monitoring Officer confirmed that the vote would be a two stage process with the election of Provost being the first part of the vote and the other positions following. Further the Monitoring Officer confirmed that one vote could carry all items at the same time.
Following this the Council voted as follows:
Name Motion Amendment Moved by Cllr Imrie Moved by Cllr Parry 2nd by Cllr Curran 2nd by Cllr Cassidy Cllr Alexander X Cllr Baird X Cllr Cassidy X Cllr Curran X Cllr Hackett X Cllr Hardie X Cllr Imrie X Cllr Johnstone X Cllr Lay-Douglas X Cllr McCall X Cllr Milligan X Cllr Montgomery X Cllr Muirhead X Cllr Munro X Cllr Parry X Cllr Russell X Cllr Smaill X Cllr Winchester X TOTAL 12 6
Page 8 of 324 5 Decision The Council decided the following: (a) Councillor Montgomery to be elected as Provost (b) Councillor Russell to be elected as Depute Provost (c) Councillor Milligan to be elected as Council Leader (d) Councillor Muirhead to be elected as Depute Council Leader
In accepting the position of Provost, Councillor Montgomery stated that he would take an inclusive approach to provide the best service to the people of Midlothian and further that he would support the running of the Council for the people of Midlothian.
Report No. Report Title Presented by: 3.7 Determine Scheme of Director, Resources Administration and Schedule of Meeting Dates
Outline of report and summary of discussion The Provost referred to the Council Leader who confirmed that in approving the Scheme of Administration moved that the Council:
(a) agree to the implementation of the current Scheme of Administration with the exception of the Business Transformation Steering Group which the Council Leader proposed increase its membership to six Elected Members to provide a better political balance; (b) agree that the previous political party split be rescinded; (c) Continue the schedule of meeting dates to June with a report to be presented to June Council; and (d) Instruct the Director, Resources to initiate a full review of the governance arrangements in consultation with the Political Group Leaders with recommendations to be considered at a future Council meeting.
This motion was formally seconded by Councillor Muirhead.
Decision The Council agreed: (a) To the implementation of the current Scheme of Administration with the exception of the Business Transformation Steering Group which would have an increased membership of six Elected Members to provide a better political balance; (b) That the previous political party split be rescinded; (c) To continue the schedule of meeting dates to June with a report to be presented to June Council; and (d) To instruct the Director, Resources to initiate a full review of the governance arrangements in consultation with the Political Group Leaders with recommendations to be considered at a future Council meeting.
Page 9 of 324
6 Action Director, Resources
Report No. Report Title Presented by: 3.8 Appointment of Members in Director, Resources Accordance with the Scheme of Administration; 3.9 Appointment of Representatives to Joint Committees, Joint Boards and Outside Bodies; 3.10 Election of Members of the Midlothian Licensing Board; 3.11 Midlothian Integration Joint Board – Appointment of Voting Members and Vice-Chair
Outline of report and summary of discussion The Council heard from the Council Leader who proposed that items 3.8 to 3.11 in the agenda for the meeting were considered en bloc and in doing so circulated the Labour Group’s proposal for these items. Following this Councillor Milligan formally moved that items 3.8 to 3.11 were considered en bloc as per the paper that had been tabled.
Councillor Muirhead formally seconded the proposal.
The Council then heard from Councillor Parry who moved the SNP Group’s amendment for the items under consideration.
The Council then heard from Councillor Winchester who presented the Scottish Conservative Group’s proposals for the items under consideration.
Six Members voted for the amendment and twelve Members voted for the motion which therefore became the decision of the Council.
The Council further welcomed Mr Matin Khan who was present at the meeting as the 3 rd Religious Representative.
Decision The Council agreed to: a) Populate the Committees under the Scheme of Administration as per appendix 1 to the minute; b) Confirm the representation on the Midlothian Licensing Board and Midlothian Integration Joint Board as per appendix 1 to the minute; c) Populate the Representatives to Joint Committees, Joint Boards and Outside Bodies as per appendix 2 to the minute; d) The appointment of the three Religious Representatives to the Cabinet; e) The Religious Representatives continue to sit at Council meetings and at the invitation of the Provost speak in respect of education matters but have no voting rights. Page 10 of 324 7
Action Director, Resources
Report No. Report Title Presented by: 3.12 Midlothian Local Licensing Forum Director, Resources
Outline of report and summary of discussion The Council heard from the Provost who requested that the Council consider the re-appointment of existing members to serve on the Midlothian Local Licensing Forum.
Decision The Council agreed to: a) Approve the re-appointment of the existing members to serve on the Midlothian Local Licensing Forum.
Action Director, Resources
Report No. Report Title Presented by: 3.13 Scheme of Councillors’ Director, Resources Remuneration
Outline of report and summary of discussion The Council heard from the Council Leader who proposed that the Senior Councillors – excluding the Provost and Council Leader – to be:
• Depute Provost • Depute Leader • Cabinet members (other than Council Leader and Depute Council Leader) • Group Leader for the SNP Group • Group Leader for the Scottish Conservative Group
Decision The Council approved the proposal as per the Council Leader.
Action Director, Resources
Page 11 of 324 8
3.14 Minutes of Previous Meetings
At its last meeting on 28 March 2017, the previous Council agreed to invoke Standing Order 7.13 in respect of all outstanding minutes of meetings which had not at that date been considered and approved by their respective Committees
Meeting Date of Proposer Seconder Meeting Special Midlothian 28 March Cllr Imrie Cllr Milligan Council 2017 Midlothian Council 28 March Cllr Imrie Cllr Milligan 2017 Special Cabinet 28 February Cllr Johnstone Cllr Parry 2017 Cabinet 28 February Cllr Johnstone Cllr Parry 2017 Special Cabinet 14 March Cllr Johnstone Cllr Parry 2017 Planning Committee 28 February Cllr Muirhead Cllr Russell 2017 General Purposes 31 January Cllr Muirhead Cllr Imrie Committee 2017 General Purposes 28 March Cllr Imrie Cllr Muirhead Committee 2017 Appeals 9 March 2017 Cllr Muirhead Cllr Russell Local Review Body 7 March 2017 Council approved Performance, Review 7 March 2017 Cllr Muirhead Cllr Milligan and Scrutiny Committee Special Performance, 8 March 2017 Cllr Muirhead Cllr Russell Review and Scrutiny Committee Special Performance, 8 March 2017 Council Review and Scrutiny approved Committee Audit 21 March 2017 Council approved
3.15 Items of urgent business to be considered
The Provost agreed that the following items of urgent business be considered:
Report No. Report Title Presented by: 3.15.1 Midlothian Integration Joint Board Joint Director, Health and – Delegation of Resources Social Care 2016/17
Outline of report and summary of discussion The Council heard from the Joint Director, Health and Social Care who presented a report confirming approval for the anticipated final level of resources to be Page 12 of 324 provided by the Council to the Midlothian Integration Joint Board for the financial 9 year 2016/17.
Decision The Council agreed to: a) Approve the delegation of additional resources, estimated at £1.151 million, to the MIJB for 2016/17 for the provision of delegated functions; and b) Note that the final outturn position is an improvement of £0.666 million from that previously reported to Council on 7 February 2017.
Action Joint Director, Health and Social Care
Motion Motion Title Proposed by: Seconded by: No. 3.15.2 Police Community Councillor Council lor Teams Muirhead Montgomery
Motion: Midlothian Council recognises that the removal of funding for the Police Community Teams by the previous Council Administration was extremely unpopular with Midlothian residents who saw the value of the additional expenditure on this Police resource.
The last few months, over which the Community Action Teams were being phased out, has coincided with a significant rise in highly visible anti-social behaviour and damage to property across a number of our towns, placing massive pressure on existing police resources.
Council therefore agrees the principle of the reinstatement of the funding of the 2 Community Action teams and instructs officers to negotiate with Police Scotland to determine the following: • The timescales required for this to be achieved. • The cost of implementation in the current financial year. • The annual cost of implementation in future years. • The basis of a service level agreement between the Council and Police Scotland, which ensures, and is able to evidence, that the funding used will provide police officers in addition to that which is available through centrally funded resources.
Council expects the results of the negotiations to be presented to the next full meeting of Midlothian Council, or a soon as possible thereafter, with a view to then obtaining a final decision on the reinstatement at that point.
Summary of discussion Prior to the motion being heard the Provost asked for a show of hands to approve the suspension of Standing Orders to allow the motion to be heard. Twelve Members voted to approve the suspension of Standing Orders which therefore Page 13 of 324 satisfied the requirement under Standing Orders. 10
Councillor Muirhead then presented the motion citing public support for a reversal of the decision specifically in relation to the increase of instances of crime in Midlothian. Councillor Muirhead further cited evidence from recent Police and Fire and Rescue Board meetings in relation to the impact of removal of the Community Action Teams.
Councillor Parry then spoke about the importance of prevention activity in relation to reduction to crime and expressed hope that all options would be considered in preparation of the future paper to Council.
The Council then heard from the Provost who confirmed his reasoning for supporting the motion including the level of crime in Penicuik and further confirmed his commitment to the re-introduction of the Community Action Teams.
Following this the Council voted on the motion. Twelve Members voted for the motion and six Members abstained therefore the motion was carried. .
Decision The Council agreed to the principle of the reinstatement of the funding of the two Community Action teams and instructed officers to negotiate with Police Scotland to determine the following: • The timescales required for this to be achieved. • The cost of implementation in the current financial year. • The annual cost of implementation in future years. • The basis of a service level agreement between the Council and Police Scotland, which ensures, and is able to evidence, that the funding used will provide police officers in addition to that which is available through centrally funded resources.
The Council agreed that it expects the results of the negotiations to be presented to the next full meeting of Midlothian Council, or a soon as possible thereafter, with a view to then obtaining a final decision on the reinstatement at that point.
Action Joint Director, Health and Social Care
1. Exclusion of Members of the Public
No reports were considered in private at this meeting.
Page 14 of 324 Item 5.1 Midlothian Council
Office Bearers and Committee Membership under the Standing Orders and Scheme of Administration following the Council decision on 23 May 2017.
Provost – Councillor Adam Montgomery Depute Provost – Councillor Margot Russell Council Leader – Councillor Derek Milligan Depute Council Leader – Councillor Jim Muirhead
Committees /Boards Membership/Notes
(1) Cabinet (quorum of 3 5 Elected Members:- Elected Members) (1) Cllr Derek Milligan
(2) Cllr Jim Muirhead
(3) Cllr Stephen Curran
(4) Cllr John Hackett
(5) Cllr Russell Imrie
And for Education business, the 3 Religious Representatives:-
(1) Church of Scotland - Rev. Ruth Halley; (2) Roman Catholic Church - Victor Bourne; (3) ‘3 rd ’ Religious Rep - Matin Khan
(2) Performance Review and 13 non-Cabinet Members:- Scrutiny Committee (quorum of 3 Elected Members) (1) Cllr Adam Montgomery
(2) Cllr Margot Russell
(3) Cllr Kelly Parry
(4) Cllr Pauline Winchester
(5) Cllr Catherine Johnstone
(6) Cllr Janet Lay-Douglas
(7) Cllr Dianne Alexander
Page 15 of 324
(8) Cllr Andrew Hardie
(9) Cllr Kenneth Baird
(10) Cllr Kieran Munro
(11) Cllr Colin Cassidy
(12) Cllr Peter Smaill
(13) Cllr Debbi McCall
(3) Audit Committee (quorum of 8 comprising 6 Elected Members; an 3 Elected Members plus the independent Chair and; an Independent non- Independent Chair when voting person on the following basis:- appointed) (1) Independent Chair – (appointed by the Council on a report by the Chief Executive, following public advertisement of the position –
(2) (Labour) – Cllr Derek Milligan
(3) (Labour) – Cllr Jim Muirhead
(4) (SNP) – Cllr Kenneth Baird
(5) (SNP) – Cllr Kelly Parry
(6) (Scottish Conservatives) – Cllr Andrew Hardie
(7) Scottish Conservatives) – Cllr Peter Smaill
(8) Independent non-voting person (appointed by the Council on a report by the Chief Executive, following public advertisement of the position) who at the invitation of the Chair can comment on all aspects of the Committee’s business -
(4) Planning Committee All Elected Members (quorum of 6 Elected Members)
Page 16 of 324 (5) Local Review Body (quorum 10 Elected Members of 3 Elected Members)
(1) (Labour) – Cllr Russell Imrie
(2) (Labour) – Cllr Derek Milligan
(3) (Labour) – Cllr Adam Montgomery
(4) (Labour) – Cllr Jim Muirhead
(5) (SNP) – Cllr Colin Cassidy
(6) (SNP) – Cllr Kenneth Baird
(7) (SNP) – Cllr Dianne Alexander
(8) (Scottish Conservatives) – Cllr Janet Lay- Douglas
(9) (Scottish Conservatives) – Cllr Kieran Munro
(10) (Scottish Conservatives) – Cllr Peter Smaill
(6) General Purposes All Elected Members Committee (quorum of 6 Elected Members)
(7) Petitions Committee (quorum 6 Elected Members of 3 Elected Members) (1) (Labour) – Cllr Stephen Curran
(2) (Labour) – Cllr Margot Russell
(3) (SNP) – Cllr Kenneth Baird
(4) (SNP) – Cllr Colin Cassidy
(5) (Scottish Conservatives) – Cllr Pauline Winchester
(6) (Scottish Conservatives) – Cllr Kieran Munro
Page 17 of 324 (8) Appeals Committee (quorum 9 Elected Members (plus one religious of 3 plus one religious representative when dealing with cases representative when dealing involving teachers) on the following basis:- with cases involving teachers) (1) (Labour) – Cllr Russell Imrie
(2) (Labour) – Cllr Adam Montgomery
(3) (Labour) – Cllr Jim Muirhead
(4) (Labour) – Cllr Margot Russell
(5) (SNP) – Cllr Kenneth Baird
(6) (SNP) – Cllr Colin Cassidy
(7) (SNP) – Cllr Catherine Johnstone
(8) (Scottish Conservatives) – Cllr Pauline Winchester
(9) (Scottish Conservatives) – Cllr Peter Smaill
(9) Standards Committee 6 Elected Members and an independent (quorum of 3 Elected Members Chair:- plus the Independent Chair)
(1) Independent Chair (appointed by Council following a report by the Chief Executive after public advertisement of the position) –
(2) (Labour) - Cllr Derek Milligan
(3) (Labour) – Cllr Jim Muirhead
(4) (SNP) – Cllr Colin Cassidy
(5) (SNP) – Cllr Dianne Alexander
(6) (Scottish Conservatives) – Cllr Pauline Winchester
(7) (Scottish Conservatives) – Cllr Peter Smaill
Page 18 of 324 (10) Education Appeals Will comprise 5 persons as follows:- Committee (quorum of 5, however in the event that a • 3 Elected Members/religious member of the Committee has representatives; and to leave during an appeal, the • 2 non-elected Members who meet the Committee may continue, statutory criteria, one of whom shall be the provided the parties to the chair appeal so agree and the reduced membership complies Elected Members:- with the relevant statutory conditions including that the (1) Labour – Cllr Jim Muirhead Elected Members/religious representatives shall not (2) SNP – Cllr Kenneth Baird outnumber the other members by more than 1) (3) Scottish Conservatives – Cllr Janet Lay- Douglas
(11) Education Appointment 3 Elected Members/Religious Representative Committee (quorum of 2 plus other statutory persons. members nominated by the Council and 2 from the Parent Elected Members:- Council, plus the Head Teacher where required. (1) Labour – Cllr Jim Muirhead Notwithstanding this, every effort should be made to secure (2) SNP – Cllr Kenneth Baird the maximum possible attendance of members) (3) Scottish Conservatives – Cllr Janet Lay- Douglas
(12) Police and Fire and Rescue 6 Elected Members Board (quorum of 3 Elected Members) (1) Labour – Cllr Stephen Curran
(2) Labour – Cllr Jim Muirhead
(3) SNP – Cllr Kelly Parry
(4) SNP – Cllr Colin Cassidy
(5) Scottish Conservatives – Cllr Peter Smaill
(6) Scottish Conservatives – Cllr Kieran Munro
Page 19 of 324 Others
(13) Midlothian Joint 4 Cabinet Members (the Trade Unions Consultative Group (quorum of nominate 12 representatives):- 2 Cabinet Members and 4 Trade Union representatives with (1) Cllr Stephan Curran substitute Cabinet Members and Trade Union representatives (2) Cllr Russell Imrie allowed) (3) Cllr Derek Milligan
(4) Cllr Jim Muirhead
(14) Welfare Reform Elected 6 Elected Members Members Working Group (quorum of 3 Elected Members) (1) Labour – Cllr Stephen Curran
(2) Labour – Cllr John Hackett
(3) SNP – Cllr Debbi McCall
(4) SNP – Cllr Kelly Parry
(5) Scottish Conservatives – Cllr Pauline Winchester
(6) Scottish Conservatives – Cllr Janet Lay- Douglas
(15) Business Transformation 6 Elected Members Steering Group (BTSG) (quorum of 3 Elected Members) (1) Labour – Cllr Derek Milligan
(2) Labour –Cllr Jim Muirhead
(3) SNP – Cllr Kelly Parry
(4) SNP – Cllr Colin Cassidy
(5) Scottish Conservatives – Cllr Pauline Winchester
(6) Scottish Conservatives – Cllr Janet Lay- Douglas
Page 20 of 324 (16) Elected Member Joint Leader and Depute Leader of Council together Liaison Group – Shared with Chief Executive and Executive Directors – Services With East Lothian Council Leader of Council – Cllr Derek Milligan Depute Leader of Council – Cllr Jim Muirhead
Other Boards:
Midlothian Licensing Board
10 Members
(1) Labour – Cllr Russell Imrie (2) Labour – Cllr Adam Montgomery (3) Labour – Cllr Derek Milligan (4) Labour – Cllr Margot Russell (5) SNP - Cllr Dianne Alexander (6) SNP - Cllr Colin Cassidy (7) SNP - Cllr Catherine Johnstone (8) Scottish Conservatives - Cllr Pauline Winchester (9) Scottish Conservatives - Cllr Janet Lay-Douglas (10) Scottish Conservatives - Cllr Peter Smaill
Midlothian Integration Joint Board
4 Members
(1) Labour – Cllr Derek Milligan (Proxy – Cllr Margot Russell) (2) Labour – Cllr Jim Muirhead (Proxy – Cllr John Hackett) (3) SNP – Cllr Catherine Johnstone (Proxy – Cllr Kenneth Baird) (4) Scottish Conservatives – Cllr Pauline Winchester (Proxy – Cllr Janet Lay- Douglas)
Page 21 of 324
Page 22 of 324 Item 5.1
NAME OF ORGANISATION MEMBER 1 MEMBER 2 MEMBER 3 MEMBER 4 MEMBER 5 MEMBER 6
Alliance (formerly the Coalfield Communities Campaign) Voting Member -Cllr Curran Observer - Cllr Imrie Substitute - Cllr Russell N/A N/A N/A
Association for Public Service Excellence (APSE) - Cllr Russell Cllr Winchester N/A N/A N/A N/A
Borders Railway Stakeholder Group Cllr Milligan N/A N/A N/A N/A N/A
Carer's Scotland Cllr Russell N/A N/A N/A N/A N/A
Community Safety and Justice Partnership Board Cllr Curran Cllr Russell Cllr Parry Cllr McCall Cllr Winchester Cllr Smaill
Corporate Parenting Board Cllr Muirhead Cllr Lay-Douglas N/A N/A N/A N/A
COSLA - Leader's Group Cllr Milligan N/A N/A N/A N/A N/A
COSLA - Convention Cllr Imrie Cllr Parry Cllr Winchester N/A N/A N/A
Dalkeith and District Citizen's Advice Bureau Cllr Cassidy Cllr Curran Cllr Russell N/A N/A N/A
Dalkeith Arts, Music and Events (DAME) Cllr Cassidy Cllr Curran Cllr Russell N/A N/A N/A
Dean Tavern Trust, Newtongrange Cllr Muirhead N/A N/A N/A N/A N/A
East of Scotland European Consortium Cllr Imrie N/A N/A N/A N/A N/A Head of Communities and Easter Bush Development Board Cllr Imrie Economy N/A N/A N/A N/A
Edinburgh Airport Consultative Committee Cllr Imrie N/A N/A N/A N/A N/A Edinburgh and Lothian Area Tourism Partnership Cllr Montgomery N/A N/A N/A N/A N/A Edinburgh and Lothian Racial Equality Council (Observer) Cllr Hackett N/A N/A N/A N/A N/A
Edinburgh and Lothians Greenspace Trust Cllr Imrie Cllr Smaill N/A N/A N/A N/A Edinburgh, Leith and District Battalion of the Boys' Brigade Cllr Montgomery N/A N/A N/A N/A N/A Elected Member Joint Liaison Group - Shared Services with East Lothian Council Cllr Milligan Cllr Muirhead N/A N/A N/A N/A Family Reachout Project - Mayfield Management Committee (run by Midlothian Cllr Hackett N/A N/A N/A N/A N/A
Gladhouse Reservoir Advisory Committee Cllr Muirhead N/A N/A N/A N/A N/A Gorebridge Conservation Area Regenetation Scheme (CARS) Cllr Muirhead Cllr Johnstone Cllr Munro N/A N/A N/A
Handicabs (Lothian) Cllr Imrie N/A N/A N/A N/A N/A Page 23 of 324 NAME OF ORGANISATION MEMBER 1 MEMBER 2 MEMBER 3 MEMBER 4 MEMBER 5 MEMBER 6
Heriot-Watt University General Convocation Cllr Muirhead Cllr Smaill N/A N/A N/A N/A Lothian Buses plc (Authorised Council representative for General Meetings) Head of Commercial OperationsN/A N/A N/A N/A N/A
Lothian Electoral Joint Committee Cllr Russell Cllr Hardie N/A N/A N/A N/A
Lothian Mineworkers Convalescent Home Cllr Russell Cllr Montgomery N/A N/A N/A N/A
Lothian NHS Board Cllr Milligan N/A N/A N/A N/A N/A
Lothian Valuation Joint Board Cllr Russell Cllr Winchester N/A N/A N/A N/A Lowland Reserve Forces and Cadets Association Cllr Montgomery N/A N/A N/A N/A N/A
Mavisbank Trust Cllr Imrie Cllr Smaill N/A N/A N/A N/A Midlothian and East Lothian Chamber of Commerce Cllr Imrie N/A N/A N/A N/A N/A
Midlothian Association of Play Cllr Russell N/A N/A N/A N/A N/A
Midlothian Access Forum Core Group Cllr Imrie Cllr Montgomery N/A N/A N/A N/A
Midlothian Chamber of Commerce - Director Cllr Imrie N/A N/A N/A N/A N/A Midlothian Forum for Parents with Children who have Special Needs Cllr Muirhead N/A N/A N/A N/A N/A Midlothian Indoor Bowling Club (Members from Ward 3) Cllr Cassidy Cllr Russell Cllr Curran N/A N/A N/A
Midlothian Twinning Association VACANCY - Chair GP Cllr Russell VACANCY - SNP Cllr Lay-Douglas Midlothian Voluntary Action ( Honorary President + one other) Cllr Montgomery Cllr Russell N/A N/A N/A N/A Nuclear Free Local Authorities (Scotland) and Nuclear Free Local Authorities (NFLA) Cllr Imrie N/A N/A N/A N/A N/A
Newbattle Abbey College Cllr Munro N/A N/A N/A N/A N/A
Penicuik and District YMCA/YWCA Cllr Montgomery N/A N/A N/A N/A N/A Plus a Trading Standards Penicuik Citizens Advice Bureau Cllr Montgomery Officer N/A N/A N/A N/A
Pentland Hills Regional Park Advisory Group Cllr Hardie N/A N/A N/A N/A N/A Pentland Hills Regional Park Joint Committee (3 Members from Ward 4) Cllr Imrie Cllr Parry Cllr Winchester N/A N/A N/A
Project Penicuik Cllr Montgomery N/A N/A N/A N/A N/A
Scotland Excel Joint Committee Cllr Milligan N/A N/A N/A N/A N/A
Scottish Accident Prevention Council Cllr Imrie N/A N/A N/A N/A N/A Scottish Enterprise (East) Regional Advisory Board (appointment is rotational with 3 other Councils) Cllr Imrie N/A N/A N/A N/A N/A South East Scotland Area Support Team (Childrens Hearings Scotland) Cllr Muirhead N/A N/A N/A N/A N/A
South East of Scotland Transport Board (SEStran) Cllr Imrie Cllr Smaill N/A N/A N/A N/A
South East Scotland Strategic Development Planning Authority (SESplan) Cllr Imrie Cllr Winchester N/APage 24 of 324 N/A N/A N/A NAME OF ORGANISATION MEMBER 1 MEMBER 2 MEMBER 3 MEMBER 4 MEMBER 5 MEMBER 6
Scottish Provosts' Association Cllr Montgomery N/A N/A N/A N/A N/A Scout Association (South East Scotland area) Cllr Montgomery N/A N/A N/A N/A N/A
Torness Local Liaison Committee Cllr Imrie N/A N/A N/A N/A N/A
Tyne-Esk LEADER - Local Action Group Cllr Imrie N/A N/A N/A N/A N/A
Veterans Champion Cllr Montgomery N/A N/A N/A N/A N/A Zero Waste Edinburgh and Midlothian Strategic Forum Cllr Imrie N/A N/A N/A N/A N/A
Page 25 of 324
Page 26 of 324 Item 6.1 Midlothian Council 27 June 2017
Written Question to Leader of the Council
Report by John Blair, Director, Resources
1. Question to the Leader of the Council
In terms of Standing Order 4.3(vii), the following written question has been received from Councillor McCall:-
What steps has the Leader taken to assess whether any buildings in Midlothian are clad in the type of cladding used in the Grenfell Tower tragedy, or similarly dangerous coatings, and what steps is the leader taking to address the findings?
2. Recommendation
The Leader of the Council is invited to respond to the question.
19 June 2017
Report Contact: Kyle Clark-Hay Tel: 0131 270 5796 e:mail [email protected]
Page 27 of 324
Page 28 of 324 Item 6.2 Midlothian Council 27 June 2017
Written Question to Leader of the Council
Report by John Blair, Director, Resources
1. Question to the Leader of the Council
In terms of Standing Order 4.3(vii), the following written question has been received from Councillor Parry:-
(1) To acknowledge the fact that Midlothian Council achieved the highest percentage of equal representation of any local authority in Scotland at the May 2017 local elections, with 39% of women elected, rising from 24% in 2012. (2) Whether he thinks it is appropriate that he has chosen to appoint only male elected members to Cabinet positions of the Council and to all appointments at COSLA, ignoring the request from COSLA for a gender balance of elected members to represent local authorities at their meetings, thus ironically making Midlothian Council the most male run of local authorities in Scotland? (3) This being a missed opportunity to encourage and promote equal representation in Scottish politics to reconsider these decisions as a matter of urgency.
2. Recommendation
The Leader of the Council is invited to respond to the question.
19 June 2017
Report Contact: Kyle Clark-Hay Tel: 0131 270 5796 e:mail [email protected]
Page 29 of 324
Page 30 of 324 Item 6.3 Midlothian Council 27 June 2017
Written Question to Leader of the Council
Report by John Blair, Director, Resources
1. Question to the Leader of the Council
In terms of Standing Order 4.3(vii), the following written question has been received from Councillor Parry:-
What is the full nature of the agreement between Midlothian Labour and the Conservatives to allow it to maintain an administration, and which Conservative Councillors will receive additional allowances as a result of appointments to Committees, external bodies or changes to Councillors rates of pay as a result of decisions taken by the Administration or the Council.
2. Recommendation
The Leader of the Council is invited to respond to the question.
19 June 2017
Report Contact: Kyle Clark-Hay Tel: 0131 270 5796 e:mail [email protected]
Page 31 of 324
Page 32 of 324 Item 7.1
Midlothian Council Tuesday 27 June 2017
Notice of Motion
Midlothian Council wishes to congratulate Danielle Rowley on her election as the first female Member of Parliament for the Westminster Constituency of Midlothian. We look forward to working with her on behalf of the people of Midlothian.
Furthermore, Midlothian Council offers our appreciation to all the candidates that contested the election for their positive and respectful campaigns.
Moved
Councillor John Hackett
Seconded
Councillor Margot Russell
Page 33 of 324
Page 34 of 324 Item 7.2
Motion to Midlothian Council
27 June 2017
That Midlothian Council condemns the so-called rape clause in the UK Government’s welfare reforms to child tax credits, which require victims of rape seeking to claim child tax credits to prove to the Department for Work and Pensions that their third child was born as a result of non- consensual sex; considers it barbaric that rape victims from Midlothian should be compelled to recount their abuse via an eight-page claimant form in order to claim welfare and further commends what it sees as cross-party support from Scottish Labour.
The Council applauds the principled decision that Rape Crisis Scotland and Scottish Women’s Aid have taken to refuse to comply with a policy that is coercive and damaging to women and this council will write to Midlothian and East Women's Aid to offer to support their approach; the leader of the Council will also write to the Prime Minister and ask for an end to the policy of the ‘rape clause’ and ‘family cap’ to protect victims of rape and sexual abuse from untold distress and trauma arising from what it considers the cruel and callous welfare reforms of the Conservative Government.
Proposed By:
Councillor Debbi McCall
Seconded By:
Councillor Kenneth Baird
Page 35 of 324
Page 36 of 324 Item 7.3
Motion to Midlothian Council
27 June 2017
Midlothian Council congratulates the success of Gala Days, Festival's and Community Events held across Midlothian, and appreciates that these events bring together Midlothian's communities, require a huge effort from dedicated community champions as well as parents, carers, schools, children and other participants and recognises that these events could not take place without the help of volunteers who assist throughout the year as well as on the day.
Midlothian Council appreciates that these events are uplifting for Midlothian’s Communities, values these traditions and wishes to congratulate and thank everyone involved.
Proposed By:
Councillor Kelly Parry
Seconded By:
Councillor Catherine Johnstone
Page 37 of 324
Page 38 of 324 Midlothian Council 27 June 2017 Item 8.1
Schedule of Meeting Dates
Report by John Blair, Director, Resources
1 Purpose of Report
At its meeting of 23 May 2017, Council agreed to continue the discussion of item 3.7 Scheme of Administration and Schedule of Meeting Dates at the Council meeting on 27 June 2017.
2 Background
2.1 At its meeting of 23 May, the Council Leader proposed that in approving the recommendations in item 3.7 Scheme of Administration and Schedule of Meeting Dates (Appendix 1), the decision in relation to the schedule of meeting dates should be continued to the Council meeting in June 2017 with the approval that the schedule for meetings in the interim period being approved. This was to allow the Council time to review the schedule in line with Councillors diaries and commitments. This proposal was agreed by the Council.
2.2 Council is now recommended to approve the schedule of meeting dates as outlined in the report attached as appendix 1 to this paper.
3 Report Implications
3.1 Resource Implications
There are no Resource implications in relation to this report.
3.2 Risk Implications
If the Council is unable to agree a schedule of meeting dates for Council, Cabinet and Committee meetings, key decisions are unable to be made and the Council is unable to fulfill its obligations.
3.3 Policy Implications
Strategy There are no strategy implications arising from this report.
Consultation No consultations have been undertaken in connection with this report.
Equalities An equalities impact assessment is not required in connection with this report.
Sustainability There are no sustainability implications arising from this report. Page 39 of 324
4 Recommendations
The Council is invited to:
(a) Approve the schedule of meeting dates as contained in the report attached to this paper.
Appendices:
Appendix 1 – Council meeting 23 May 2017 – item 3.7 – Scheme of Administration and Schedule of Meeting Dates.
4 June 2017
Report Contact: Kyle Clark-Hay Tel No 0131 270 5796 [email protected]
Page 40 of 324 Midlothian Council Tuesday 23 May 2017 Item 8.1 Item 3.7
Determine Scheme of Administration and Schedule of Meeting Dates
Report by John Blair, Director, Resources
1 Purpose of Report
This report is brought forward in terms of Standing Order 4.1 (viii), which requires the Council at its first meeting after the elections to determine the Scheme of Administration (SOA) and consider an associated schedule of meeting dates.
The SOA remains in force from the outgoing Council until such time as any changes are made.
2 Background
2.1 The SOA in essence sets out the decision-making structure of the Council (i.e. Committees, Sub-Committees, etc), but also incorporates certain other meetings, for example as required by statute.
2.2 Following the determination of the SOA, the Council is then asked to appoint Members to the various Committees etc identified within the Scheme.
3 Scheme of Administration
3.1 Midlothian Council has adopted Standing Orders to regulate its proceedings and the SOA appears as an appendix to Standing Order 7. The SOA sets out:-
• the composition of the Council and the various Committees, Sub-Committees and other bodies etc appointed ; • what each can do; • the arrangements for their meetings; • what the quorum is; and • what is to happen to their minutes.
3.2 Unless otherwise covered by statute or regulation, all bodies referred to in the Scheme of Administration must give effect to any instructions or decisions of the Council on matters of principle.
3.3 The current Scheme of Administration reflects the political make up of the Council prior to the Local Government Elections in May 2017 It is therefore recommended that the previous political party/independent composition split contained within the scheme of administration in respect of each committee make up should be rescinded to reflect the make up of the new Council – i.e. there should be a one third equal split on all Committees reflecting the number of Councillors for each political party.
Page 41 of 324 4 Schedule of Meeting Dates to End of December 2017
4.1 The Director, Resources, presented a report to the meeting of Midlothian Council on 7 February 2017, which invited the Council to consider approving a temporary schedule of meeting dates for the incoming Council after the May 2017 local government elections.
4.2 The report provided a proposed schedule of meetings until the end of December 2017 based on the existing SOA.
4.3 In respect of the report the Council agreed to:
(a) Approve the temporary schedule of meetings dates for the incoming Council based on a six weekly cycle as per the report.
4.4 The agreed temporary schedule of meeting dates referred to at paragraph 4.3(a) above is attached at Appendix 1.
4.5 The new Council is not under an obligation to accept the temporary schedule referred to at paragraph 4.4 above, but if it does it will have to appoint Members to the various Committees identified in accordance with the SOA.
4.6 Council should note that there is also a requirement to convene an Education Appointments Committee during May/June 2017due to urgent recruitment of Head Teacher appointments. Dates and times of these meetings will be confirmed following this meeting.
5 Review of Standing Orders etc
5.1 The Standing Orders, Scheme of Administration and Schemes of Delegation were reviewed during 2016 with the previous Council approving the current arrangements at its meeting in September 2016. The review concluded that a further in depth review of the governance it was proposed that this should be the remit of the new Council.
6 Report Implications
6.1 Resource Implications
There are no resource implications arising from this report.
6.2 Risk Implications
The SOA provides a framework through which the Council can arrange the discharge of its various functions in an orderly manner.
The availability of the schedule of meeting dates contributes to the reduction of risk by:-
• facilitating planningPage for meetings; 42 of 324 • contributing to the framework which allows the Council to conduct its business; and • providing a timetable to which officers can work to ensure that reports are submitted timeously.
6.3 Policy Implications
Strategy There are no strategy implications arising from this report.
Consultation No consultations have been undertaken in connection with this report.
Equalities An equalities impact assessment has not been required in connection with this report.
Sustainability There are no sustainability implications arising from this report.
7 Recommendations
The Council is recommended to:
(a) Agree to the implementation of the current Scheme of Administration as agreed by the previous Council in September 2016 subject to recommendation (b) and (d) below;
(b) Agree that the previous political party/independent composition split contained within the scheme of administration in respect of each committee make up should be rescinded to reflect the make up of the new Council – i.e. there should be a one third equal split on all Committees reflecting the number of Councillors for each political party;
(c) Agree to the schedule of meetings as outlined at paragraph 4.4 of this report; and
(d) Instruct the Director, Resources to initiate a full review of the governance arrangements for the Council with recommendations to be considered by the Council at its meeting in November 2017
11 May 2017
Report Contact: Kyle Clark-Hay Tel No 0131 270 5796 [email protected]
Page 43 of 324 Appendix 1 –Schedule of Meeting Dates
May 2017
Tuesday 23 10.00 Midlothian Council Tuesday 30 11.00 Police and Fire and Rescue Board
.
June 2017
w/c Monday 5 Education Appeals Committee Tuesday 6 11.00 General Purposes Tuesday 6 14.00 Planning Monday 12 10.30 Business Transformation Steering Group Tuesday 13 11.00 Cabinet Tuesday 13 14.00 Local Review Body Tuesday 20 11.00 Performance, Review and Scrutiny Tuesday 20 14.00 Audit Wednesday 21 10.00 Midlothian Licensing Board Tuesday 27 10.00 Petitions Tuesday 27 11.00 Midlothian Council
.
July 2017
SUMMER RECESS .
Note: Due to time restraints, this schedule does not make provision for meetings of Special Cabinet and Special Performance, Review and Scrutiny Committees. Business which will normally go to these Committees will be referred to the meetings of Cabinet on 13 June and the Performance, Review and Scrutiny Committee on 20 June.
.
August 2017
Tuesday 15 10.00 Midlothian Council Monday 21 10.00 Police and Fire and Rescue Board Tuesday 22 11.00 General Purposes Tuesday 22 14.00 Planning Monday 28 10.00 Business Transformation Steering Group Tuesday 29 11.00 Cabinet Tuesday 29 14.00 Local Review Body
.
September 2017
Tuesday 5 10.00 Petitions Tuesday 5 11.00 Performance, Review and Scrutiny Tuesday 19 11.00 Audit Tuesday 26 10.00 Midlothian Council
.
Page 44 of 324
October 2017
Tuesday 3 11.00 General Purposes Tuesday 3 14.00 Planning Monday 9 10.00 Business Transformation Steering Group Tuesday 10 11.00 Cabinet Tuesday 10 14.00 Local Review Body Tuesday 17 10.00 Petitions Tuesday17 11.00 Performance, Review and Scrutiny
.
November 2017
Tuesday7 10.00 Midlothian Council Monday 13 10.00 Police and Fire and Rescue Board Tuesday 14 11.00 General Purposes Tuesday 14 14.00 Planning Monday 20 10.00 Business Transformation Steering Group Tuesday 21 11.00 Cabinet Tuesday 21 14.00 Local Review Body Tuesday 28 10.00 Petitions Tuesday 28 11.00 Performance, Review and Scrutiny
.
December 2017
Tuesday 12 11.00 Audit Tuesday 19 10.00 Midlothian Council
Note: Dates of meetings of Midlothian Licensing Board after the summer recess are not included
Page 45 of 324
Page 46 of 324 Midlothian Council 27 June Item 8.2
Outside Body - Appointments
Report by John Blair, Director, Resources
1 Purpose of Report
The purpose of this report is to invite the Council to fill the current vacancies within the Council’s representation on Outside Bodies.
2 Background
2.1 At the meeting of the Council on 23 May 2017, appointments were made to the Outside Bodies that require representation by Elected Members. As a result of the decision that was made at the meeting on the 23 May 2017, the following vacancy still exists:
• Midlothian Twinning Association
Within the Administration’s proposals which were agreed by the Council, it was suggested that this vacancy be taken by the SNP Group. It should also be noted that the further vacancy within the Midlothian Twinning Association is confirmed as the Chair of the General Purposes Committee and this nomination will be confirmed when the General Purposes Committee has confirmed the appointment of their Chair.
2.2 At the meeting of the Council on 23 May 2017, as part of the agreed representation on Outside Bodies, Councillor Muirhead was confirmed as the Council representative on the Dean Tavern Trust. Subsequently, the Chief Executive received a letter from Councillor Muirhead dated 1 June 2017 which confirmed the Councillor’s intention to resign from this position. Therefore at this meeting, the Council is invited to confirm its representative on the Dean Tavern Trust.
3 Standing Order Issues
3.1 The attention of the Council is drawn to the following Standing Order provisions:-
• Standing Order 11.2 (iv) which states that:-
“In any division each Member shall have one vote only. The Chair, in the case of an equality of votes, will have a second or casting vote. This will not apply however when the matter which is the subject of the vote relates to the appointment of a Member of the Council to any Page 47 of 324 particular office or Committee. In that case the decision will be by lot.”
• Standing Order 11.3(iii) which states that:-
“A Member may not move or second a motion or amendment for the election or appointment of him/herself to any of the positions referred to under Standing Order 4, whether appointed at the first meeting of the Council after the elections or at a later date. Neither shall a Member vote in any personal election or appointment. This Standing Order (11.3 (iii)) will not apply when block proposals are put forward to facilitate Council business.”
• Standing Order 11.5(ii) which states that:-
“Any vote will be taken normally by a show of hands. If any Member objects to the vote being taken this way and if one-third of the Members present (or the nearest whole number to this), similarly agree then the vote will be taken by calling the roll.”
• Standing Order 11.6 which states that:-
“(i) In the case of an election, selection or appointment of a Member or of any person to any office where the number of candidates nominated exceeds the number of vacancies, the Member or person to be elected, selected or appointed will be decided by a show of hands or by a ballot as the meeting may decide.
(ii) Where only one vacancy requires to be filled and any candidate has an absolute majority of the votes cast then that candidate will be declared elected, selected or appointed as the case may be. Where more than one vacancy requires to be filled, then voting will again be by ballot or show of hands, and the candidates so elected, selected or appointed will be those receiving the greatest number of votes. Where there is no clear result due to an equality of votes, the candidate(s) to be eliminated shall be determined by lot.”
4 Report Implications
4.1 Resource Implications
There are no resource implications arising from this report.
4.2 Risk Implications
The risk is that the Council does not have the most appropriate representation on these Outside Bodies.
4.3 Policy Implications
Strategy There are no strategy implications arising from this report.
Consultation No consultations have been undertaken in connection with this report.
Page 48 of 324 Equalities An equalities impact assessment is not required in connection with this report.
Sustainability
There are no sustainability implications arising from this report.
5 Recommendation
The Council is invited to:-
(a) confirm the appointments from the Council Elected Members to these vacancies.
5 June 2017
Report Contact: Kyle Clark-Hay Tel No 0131 270 5796 E-mail [email protected]
Page 49 of 324 5
Page 50 of 324 Midlothian Council 27 June 2017 Item 8.3
Social Work Complaints Review Panel
Report by John Blair, Director, Resources
1 Purpose of Report
The purpose of this report is to invite Council to nominate Members to the Social Work Complaints Review Panel in line with the Council’s Scheme of Administration. This Panel will be required on an interim basis as per the Public Services Reform (Social Work Complaints Procedure)(Scotland) Order 2016.
2 Background
2.1 Under the revised arrangements for dealing with Social Work Complaints by virtue of the Public Services Reform (Social Work Complaints Procedure)(Scotland) Order 2016, the current social work complaints procedure – including the requirement to have a Social Work Complaints Review Panel – is abolished. The new arrangements for the Social Work Model Complaints Handling Procedure will take effect from 1 April 2017
2.2 As a result of the 2016 Order there will be a period of overlap between the two systems, as organisations must continue to handle all social work complaints received by them prior to 1 April 2017 through the former social work complaints procedure. As a result the Council is required to convene a Social Work Complaints Review Panel to handle any complaint which entered the complaints process prior to 1 April 2017.
2.3 As a result of a complaint that meets the criteria under the pre 1 April 2017 requirements, the Council is now invited to appoint the relevant number of Elected Members to the panel.
2.4 The terms of reference for the Social Work Complaints Review Panel are currently included within the Council’s Scheme of Administration which was approved by the Council on 23 May 2017.
3 Report Implications
3.1 Resource Implications
There are no Resource implications in relation to this report.
3.2 Risk Implications
If the Council must comply with the existing arrangements to handle social work complaints in order to provide confidence in the system and to meet our statutory requirements. Page 51 of 324
3.3 Policy Implications
Strategy There are no strategy implications arising from this report.
Consultation No consultations have been undertaken in connection with this report.
Equalities An equalities impact assessment is not required in connection with this report.
Sustainability There are no sustainability implications arising from this report.
4 Recommendations
The Council is invited to:
(a) Nominate the requisite number of Members to the interim Social Work Complaints Review Panel as per the Council’s Scheme of Administration.
Appendices:
Appendix 1 – Extract from the Scheme of Administration in relation to the Social Work Complaints Panel
15 June 2017
Report Contact: Kyle Clark-Hay Tel No 0131 270 5796 [email protected]
Page 52 of 324 Appendix 1
Extract from the Scheme of Administration in relation to the Social Work Complaints Panel
Social Work Complaints Review Panel
Composition: The Social Work Complaints Review Panel will have the following membership:-
(i) 2 members from the Cabinet drawn from a list of members (but excluding the portfolio-holder for Adult and Social Care); and
(ii) an independent person to chair the meeting drawn from a panel of persons appointed by the authority in accordance with the Social Work (Representations Procedure)(Scotland) Directions 1996.
Business: This function of the Panel will be to:-
(i) review any matter in accordance with the procedure laid down in Section 5 (B) of the Social Work (Scotland) Act 1968 as amended by Section 52 of the NHS and Community Care Act 1990, including consideration of any complaints where the complainer has indicated that he/she is dissatisfied with the response from the Chief Social Work Officer; and
(ii) make recommendations in writing to the Cabinet as soon as reasonably practicable after a review.
Frequency of meetings: The Social Work Complaints Review Panel will meet as required.
Quorum: The quorum for meetings of the Review Panel will be 3.
Minutes: A minute will be drawn up by the Clerk and will be submitted to the next available meeting of the Cabinet.
Once the Cabinet has approved the minute, they will then be submitted to the Council as a private matter for approval.
Page 53 of 324
Page 54 of 324
Item 8.4 Midlothian Council Tuesday 27 June 2017
Business Transformation Steering Group Report by Chief Executive
1 Purpose of Report
This report advises the Council of the Membership and revised Terms of Reference of the Business Transformation Steering Group as proposed at its meeting on Monday 12 June 2017.
2 Membership
The Steering Group comprises of the following 6 Elected Members: Councillors Cassidy, Lay-Douglas, Milligan, Muirhead, Parry and Winchester. On a nomination by Councillor Muirhead and seconded by Councillor Winchester, Councillor Milligan was elected as the Chair of the Business Transformation Steering Group.
3 Revised Terms of Reference for the Business Transformation Steering Group
The Business Transformation Steering Group has had the role of challenging and scrutinising the development and delivery of the transformation programme to ensure its outcomes support the aspirations of the Council. The appendix attached outlines the existing overview of the Steering Group.
At its meeting on 12 June 2017, members of the Steering Group considered whether it would be appropriate to extend the remit of the Group to encompass all of the change programme activity and related projects aimed at addressing the challenging budget gap faced by the Council and requested that this proposal be brought forward in a report to the Council. On this basis, the proposed revised remit of the Business Transformation Steering Group is set out below.
The Steering Group will be responsible for:
• Approving the scope of the transformation programme and the wider change programme and related projects and proposals aimed at addressing the Council’s budget challenge, for onward transmission to Council.
• Providing the Business Transformation Board with a political steer on transformation and change priorities and related projects and proposals to address the Council’s budget challenge.
Page 55 of 324 V 1.3 Page 1 of 2 • Reviewing, challenging and approving options for delivering transformation, change and savings for onward approval by Council.
• Providing advice and guidance to the Business Transformation Board regarding transformation and change priorities, escalated programme risks, and any deviation from plans.
The Business Transformation Steering Group will normally meet on a six weekly cycle (subject to breaks for the summer recess, Christmas/New Year holidays and school holidays).
The Council will decide on the schedule of meetings for the Business Transformation Steering Group, usually on a rolling annual basis which will be published.
A special meeting can be called, at any time, by the Director, Resources giving detailed reasons for such a meeting. Likewise, the Steering Group has the right to request an update from the Business Transformation Board.
The quorum for meetings of the Business Transformation Steering Group will be 3 Elected Members.
The Minutes of the Group will be recorded by a member of the Democratic Services Team and submitted to the next ordinary meeting of the Steering Group for approval.
4 Report Implications
There are no implications arising from this report.
5 Recommendations
The Council is invited to approve the revised Terms of Reference for the Business Transformation Steering Group as detailed within this report.
12 June 2017
Report Contact: Janet Ritchie, Tel 0131 271 3158
Appendix 1: Business Transformation Steering Group (BTSG) - Overview
Page 2 of 2 Page 56 of 324
Business Transformation Steering Group (BTSG) - Overview
Item 8.4
The Steering Group comprises 6Elected Members of the Council.
One of the Elected Members of the Group will be the Chair, as determined by the Group membership.
The Steering Group is responsible for:-
o Approving the scope of the transformation programme and its related projects for onward transmission to Council;
o Providing the Business Transformation Board with a political steer on transformation priorities;
o Reviewing, challenging and approving options for delivering transformation for onward approval by Council;
o Providing advice and guidance to the Business Transformation Board regarding transformation priorities, escalated programme risks, and any deviation from plans.
The Group will normally meet on a 6 weekly cycle (subject to breaks for the summer recess, Christmas and New Year holidays and school holidays). The Council decides on the schedule of meetings, usually on a rolling annual basis following a report to Council. The schedule of meetings is published.
A special meeting can be called, at any time, by the Business Transformation manager giving detailed reasons for such a meeting. Likewise, the Steering Group has the right to request an update from the Business Transformation Board, or Business Transformation Manager as appropriate.
Page 57 of 324 Business Transformation Steering Group (BTSG) - Overview
The quorum for meetings of the Group is 3 Elected Members.
The Minutes of the Group will be recorded by a member of the Democratic Services Team and submitted to the next ordinary meeting of the Group for approval.
Date of Meeting (provisional dependent Agenda and reports to be published upon decision of Council on 27 June by 2017)
28 August 18 August 9 October 29 September 20 November 10 November
Flowchart See attached
Page 58 of 324
To follow agenda insert Item 8.5
Name of Committee Date of Meeting Midlothian Council 27 June 2017
Report Title Report Author Midlothian House – Office John Blair Accommodation
Page 59 of 324
Page 60 of 324 Midlothian Council Item27 June 8.6 2017
Audit Scotland Report: Local government in Scotland: Performance and Challenges 2017
Report by: Kenneth Lawrie, Chief Executive
1 Purpose of the Report
The purpose of this report is to provide Council with a summary of the Audit Scotland report, ‘Local government in Scotland: Performance and challenges 2017’ and the Council’s position in relation to the report’s findings. The following is a link to the full report:
http://www.audit- scotland.gov.uk/uploads/docs/report/2017/nr_170307_local_government_ performance.pdf
2 Background
2.1 Local government in Scotland: Performance and challenges 2017 was published by the Accounts Commission in March 2017. The report provides a high-level, independent view of the challenges facing councils, how well they are addressing these and what more they can do. It is aimed primarily at Councillors and senior council officers as a source of information and to support them in their complex and demanding roles. The report covers the following three areas:
• The current and future challenges facing councils.
• Council progress in meeting these challenges, including performance in key service areas, public satisfaction and unit costs
• What more councils can do to ensure they are best placed to successfully manage the changes and challenges they face.
To help councillors who are new to the role, those who are re-elected, and council officers, the report includes additional supplements as follows:
• A self-assessment checklist for councillors – this has questions that councillors could ask to help them understand their council’s position, scrutinise performance and make difficult decisions. Councillors should feel that they fully understand, and are satisfied with, the answers to the questions most relevant to them in their role within the council. (See Appendix 1)
• Good practice supplement – a summary of the good practice identified during the audit. It is not an exhaustive list of all good practice across Scotland but provides examples of councils improving performance
Page 61 of 324 2
and processes or using innovative techniques. This may be a useful source of reference for councillors or senior officers when appraising options for changes. (See Appendix 2)
2.2 The report draws on findings from local government audit work in 2016 (including annual audit reports, Best Value audit reports and national performance audits) and published performance data. All audit reports are available on Audit Scotland’s website which can be accessed via the following link ( http://www.audit-scotland.gov.uk/about-us/audit-scotland ).
3.0 Performance and challenges 2017 – Report findings
3.1 This section details the key messages from the report, the recommendations included and Midlothian’s position in relation to the recommendations.
3.2 The key messages identified in the report include:
• Councils have faced significant challenges from a long-term decline in revenue funding and from an ageing and growing population. The scale of these challenges continues to grow. Policy and legislative changes are also placing additional demands on councils and changing how councils work.
• Councils are responding to the challenges by continuing to adopt alternative ways of working, reducing the level of service they provide and reviewing fees and charges. While some councils are making good progress in managing services and delivering savings, others are not. The pace and scale of reform needs to increase in some councils. Despite these challenges, councils’ performance has been maintained or improved.
• With reducing budgets and workforces, councils will find delivering improvements increasingly difficult. It is critical, therefore, that they set clear long-term strategies and plans that target effort on priority areas. This includes organisation-wide workforce plans to ensure councils have the capacity to manage change and deliver services going forward.
• A councillor’s role is complex, demanding and evolving. They are required to provide effective and strategic leadership, and it is therefore critical that their knowledge is up to date and skills are refreshed to enable them to establish strategic priorities, fully assess options for change and hold services to account.
• Long-term financial strategies must be in place to ensure Council spending is aligned with priorities, and supported by medium-term financial plans and budget forecasts. Even where the Scottish Government only provides Councils with one-year financial settlements, this does not diminish the importance of medium and longer-term financial planning. This is necessary to allow Councillors and officers to assess and scrutinise the impact of approved spending Page 62 of 324 3
on future budgets and the sustainability of their Council’s financial position.
3.3 The recommendations identified within the report state that Councils should:
• set clear priorities supported by long-term strategies and medium-term plans covering finances, services, performance and workforce. These plans should inform all council decision-making, service redesign, savings and investment decisions.
A clear set of priorities for the Council and its partners have been developed through the Single Midlothian Plan process and the Council service plans which flow from that. Performance monitoring is focused on the key priority areas.
Whilst the Financial Strategy presented to Council in December 2016 (updated February 2017), and the earlier introduction of the ‘Delivering Excellence’ framework responds to the need for the medium term, the Strategic Leadership Group, have identified the need to develop a five year financial plan linked to a clear vision for Midlothian through to 2021/22. This looks to articulate and provide further clarity regarding the direction of travel and the ambition for Midlothian longer term, together with the financial implications of that.
• ensure that budgets are clearly linked to their medium-term financial plans and long-term financial strategies. Budgets should be revised to reflect true spending levels and patterns. This requires good financial management and real-time information to ensure spending is accurately forecast and monitored within the year
The budget exercise reflected in the Financial Strategy which was presented to Council in December 2016 was largely informed by the work of the Strategic Leadership Group and in particular followed a robust review and challenge exercise for each Head of Service from their peers. This resulted in a more cohesive ‘Delivering Excellence’ programme and provided clarity of spend and savings projections going forward. However the need to utilise reserves in 2017/18 and the projected greater decline in revenue funding in future years demands a new focus on the forward financial plan. Improved financial information is an important basis for this.
• have an organisation-wide workforce plan to ensure the council has the people and skills to manage change and deliver services into the future
An annual workforce plan is now produced for each service area and this is used to inform service and workforce planning decisions. Each Head of service completes projections of future workforce requirements and an associated action plan. The completed service level plans are then amalgamated into a council level report and action plan.
Page 63 of 324 4
• ensure workforce data allows thorough analysis of changes to the workforce at an organisation-wide and department level. This will allow councils to better assess the opportunities and risks in staff changes
The workforce planning data, at service level, is currently updated on an annual basis, however, ways of providing workforce updates on a quarterly basis to ensure service managers have the most accurate data on which to base decisions is currently being developed.
• thoroughly evaluate all options for change and service redesign, including options for investing to save, and monitor the impact of change on council priorities and desired outcomes
The service review and continuous improvement agenda is supported by the Delivering Excellence Framework, which includes the need to consider a range of service delivery models. Service planning is also informed by the Single Midlothian Plan which ensures a focus on agreed priorities and desired outcomes.
• support communities to develop their ability to fully participate in setting council priorities and making decisions about service redesign and use of resources
A key activity carried out as part of the Single Midlothian Plan annual review and identified as an expected delivery model to be considered as part of any service redesign is community engagement and consultation and, where possible, co-production is a targeted method of delivery. The ‘Shaping Our Future’ exercise carried out in 2016 demonstrates a clear focus on the need to encourage participation from communities, but this will need to be further developed for future years. The Council is responding positively to the Community Empowerment Act and has supported participatory budgeting exercises.
• ensure councillors get support to develop the right skills and knowledge to fulfil their complex and evolving roles
A full induction programme was developed for implementation following the May 2017 elections and is ongoing. This provides a strong basis for further development work with Elected Members to support them in their roles.
• ensure there is clear public reporting of performance linked to council priorities to help communities gauge improvements and understand reduced performance in lower priority areas
Midlothian’s public performance reporting activities meet current national standards and over the last few years has received a largely positive report when externally assessed. Areas previously noted for improvement have been addressed such as clear links to all SPIs (Statutory Performance Indicators) categories.
Page 64 of 324 5
• continue to work to understand the reasons for variation in unit costs and performance, and collaborate to identify and adopt good practice from each other.
Midlothian participates fully in Local Government Benchmarking and family groups and ensures an active internal focus on the agreed LGBF indicators by incorporating them within the ongoing planning and performance management reporting.
4 Report Implications
4.1 Resource There are no direct resource implications as a result of this report.
4.2 Risk Whilst there are no additional direct risks associated with this report, the Audit Scotland Report – Local government in Scotland: Performance and challenge 2017 does ask members to consider the wider scrutiny and performance management and risk elements associated with their role.
4.3 Single Midlothian Plan Themes addressed in this report:
Community safety Adult health, care and housing Getting it right for every Midlothian child Improving opportunities in Midlothian Sustainable growth Business transformation and Best Value None of the above
4.4 Key Priorities within Single Midlothian Plan Midlothian Council and its Community Planning Partners have made a commitment to treat the following areas as key priorities under the Single Midlothian Plan:-
• Reducing the gap in learning outcomes • Reducing the gap in health outcomes • Reducing the gap in economic circumstances
This report does not directly impact Midlothian Council’s key priorities but a key message within the Audit Scotland Report does make reference to the need for clear priorities.
4.5 Impact on Performance and Outcomes The report does not directly impact Midlothian Council’s and wider partners performance and outcomes but it does stress the need to ensure consideration is given to the wider strategic planning and objectives as part of the council’s response to Audit Scotland’s finding noted in their report.
Page 65 of 324 6
4.6 Adopting a Preventative Approach This report supports current actions and plans in place to adopt preventative approaches.
4.7 Involving Communities and Other Stakeholders This report supports involving communities and the Audit Scotland Report references the need to address the requirements in the Community Empowerment (Scotland) Act 2015.
4.8 Ensuring Equalities This report does not recommend any change to policy or practice and therefore does not require and Equalities Impact Assessment.
4.9 Supporting Sustainable Development The recommendations in this report support Midlothian Council’s position in relation to Audit Scotland’s findings for Local government in Scotland: Performance and challenges 2017 and supports ongoing sustainable development.
4.10 IT Issues There are no direct IT issues arising from this report at this time.
5 Recommendations
The Council is asked to note the Audit Scotland report and the position of Midlothian Council in relation to the report’s recommendations.
Appendix 1: Local government in Scotland: Performance and challenges 2017 – Supplement 1: Self-assessment tools for councillors Appendix 2: Local government in Scotland: Performance and challenges 2017 – Supplement 2: good practice
Date: 09 June 2017 Report Contact: Myra Forsyth Tel No: 0131 271 3445 [email protected]
Background Papers:
Accounts Commission - Local government in Scotland: Performance and challenges 2017– (March 2017)
Page 66 of 324
Appendix 1 - Supplement 1: Self-assessment tools for councillors Local government in Scotland: Performance and challenges 2017
Key messages 1. Councils have faced significant challenges from a long-term decline in revenue funding from an ageing and growing population. The scale of these challenges continues to grow. Policy and legislative changes are also placing additional demands on councils and changing how councils work. 2. Councils are responding to the challenges by continuing to adopt alternative ways of working, reducing the level of service they provide and reviewing fees and charges. While some councils are making good progress in managing services and delivering savings, others are not. The pace and scale of reform needs to increase in some councils. Despite these challenges, councils’ performance has been maintained or improved. 3. With reducing budgets and workforces, councils will find delivering improvements increasingly difficult. It is critical, therefore, that they set clear long-term strategies and plans that target effort on priority areas. This includes organisation-wide workforce plans to ensure councils have the capacity to manage change and deliver services going forward. A councillor’s role is complex, demanding and evolving. They are required to provide effective and strategic leadership, and it is therefore critical that their knowledge is up to date and skills are refreshed to enable them to establish strategic priorities, fully assess options for change and hold services to account.
Recommendations Councils should: • set clear priorities supported by long-term strategies and medium-term plans covering finances, services, performance and workforce. These plans should inform all council decision-making, service redesign, savings and investment decisions. Exhibit 14 (page 34) sets out the main elements of a councils' financial planning processes and how these link with other council plans • ensure that budgets are clearly linked to their medium-term financial plans and long-term financial strategies. Budgets should be revised to reflect true spending levels and patterns. This requires good financial management and real-time information to ensure spending is accurately forecast and monitored within the year • have an organisation-wide workforce plan to ensure the council has the people and skills to manage change and deliver services into the future • ensure workforce data allows thorough analysis of changes to the workforce at an organisation-wide and department level. This will allow councils to better assess the opportunities and risks in staff changes • thoroughly evaluate all options for change and service redesign, including options for investing to save, and monitor the impact of change on council priorities and desired outcomes • support communities to develop their ability to fully participate in setting council priorities and making decisions about service redesign and use of resources • ensure councillors get support to develop the right skills and knowledge to fulfil their complex and evolving roles • ensure there is clear public reporting of performance linked to council priorities to help communities gauge improvements and understand reduced performance in lower priority areas • continue to work to understand the reasons for variation in unit costs and performance, and collaborate to identify and adopt good practice from each other. Page 67 of 324
Self-assessment tool for councillors This self-assessment captures a number of potential questions for councillors and relates to our report Local government in Scotland 2017: Performance and challenges . It is designed to help councillors identify how well informed they are about key issues in their council and to highlight areas where they may wish to ask further questions of officers. As part of Local government in Scotland: Financial overview 2015/16 published in November 2016, we produced a checklist for councillors related to financial matters. This may be useful to help councillors identify how well informed they are about financial issues in their council.
How well informed am I?
Questions for councillors to consider What do I know? Do I need to ask any further questions?
Workforce planning (paragraphs 24-32)
What do you need the workforce to look like in
terms of numbers, skills and knowledge?
Does your workforce data allow accurate analysis of changes to the workforce at an organisation and department level?
Do you have an organisation-wide workforce plan with realistic targets and timescales for meeting objectives?
Do you think your organisation-wide workforce plan will ensure staff reductions do not have a negative
impact on the skills mix and ability of your council to scrutinise, manage and deliver services effectively?
Do you have the staff and skills necessary to
manage change and deliver services?
Scrutiny (paragraphs 39-40)
Page 68 of 324
How well informed am I?
Questions for councillors to consider What do I know? Do I need to ask any further questions?
How well do you scrutinise decisions on financial and service performance?
How do you ensure you have the knowledge and expertise you need to scrutinise effectively?
Community engagement (paragraphs 52-53 and 61-63)
How are you involving local communities and empowering them to design and deliver services to suit local needs?
Does your council have regular discussions with communities about service priorities and what level of service the council can afford to provide going forward? What is your role as councillor in this?
How can you consider more business in public?
Public satisfaction (paragraphs 50-51)
How can you better engage with local communities to understand why public satisfaction is declining?
What level of complaints does your council receive? For which departments? How has this changed?
Page 69 of 324
How well informed am I?
Questions for councillors to consider What do I know? Do I need to ask any further questions?
Are appropriate systems in place to deal with complaints?
Councillor skills and training (paragraphs 54-57)
How can you ensure that you have the right skills and knowledge to help carry out increasingly complex and challenging roles efficiently?
Transformational change and service redesign (paragraph 61-63)
How fully have you appraised all options for delivering services differently?
Do you need to invest in any skills, for example, change management?
Page 70 of 324
Appendix 2 - Supplement 2: Good Practice Local government in Scotland: Performance and challenges 2017
Good Practice This supplement provides a summary of the good practice we identified during the audit. It is not an exhaustive list of all good practice across Scotland but provides examples of councils improving performance, improving processes, making savings or adopting innovative approaches. This may be a useful source of reference for councillors and senior officers when considering service redesign.
The Improvement Service and SOLACE also maintain the Innovation Exchange www.innovationexchange.scot/ . This may also be a useful source of information on innovative projects being taken forward by Scottish councils. Councils can also access contact details for each project if they would like to find out more about a particular case study.
Digital and online solutions Digital and online solutions provide opportunities for councils to significantly reduce costs. The estimated cost of a face-to-face visit is £8.21, a telephone call is £2.59 and an online transaction is £0.09. (Figures from Society of Information Technology Management). Glasgow City Council Glasgow City Council has launched a myglasgow app and a new website which allows users to request services online (for example, request a bulk uplift). This is expected to deliver savings of £3 million a year and improve the customer experience.
Improving procurement East Ayrshire Council Through service redesign, councils are also procuring new models of care. For example, in East Ayrshire Council, changes to its model of care for supported living from 24-hour care per person to more flexible care that promotes independence has saved the council almost £500,000 in 2016/17 (around 40 per cent of costs). The council also reports improved service user satisfaction.
Reducing unit costs Glasgow City Council Glasgow City Council reduced the cost of collecting council tax in real terms from £18.48 per dwelling in 2010/11 to £10.98 in 2015/16. It achieved this by redesigning processes, better use of technology and closer working with partner organisations. Over the same period, the collection rate increased from 92.3 per cent to 94.7 per cent. City of Edinburgh Council City of Edinburgh Council has reduced the net cost of street cleaning per 1,000 residents by over 50 per cent in real terms, from £37,006 to £16,646, with the council’s cleanliness score only falling by 0.4 percentage points from 90.5 per cent to 90.1 per cent.
Community engagement North Ayrshire Council North Ayrshire Council reviewed its library opening hours in consultation with local communities and reduced the service by 475 hours a year, saving £315,000. Page 71 of 324
Options appraisal/review South Ayrshire Council The council has developed a comprehensive review system to help approve and reform services. This follows a nine-step process and includes topic selection, approval, consultations and options appraisal. The reviews and consultation procedures involve staff at all levels, trades unions and service users. Through this approach, the council has reported that it is starting to achieve positive results. For example, in April 2015, the council carried out a property maintenance service review that concluded that there has been an overall average increase in productivity of staff of 15 per cent from 2014; and an increase in the number of jobs completed on time, from 68 per cent in 2013/14 to 87 per cent in 2015/16. Stirling Council Auditors at Stirling Council reported that the council has a project-driven approach where all projects need to be fully backed up by business cases and completed option appraisals before a decision is taken. Options are effectively challenged throughout the process to ensure that they are achievable and that the project provides value for money.
Sharing services East Dunbartonshire, Inverclyde and West Dunbartonshire councils East Dunbartonshire, Inverclyde and West Dunbartonshire councils are exploring opportunities to share a range of services, beginning with roads and transportation services. In February 2016, the councils estimated that they may be able to generate recurring savings of 15 per cent of current spending on these services by 2020.
Participatory budgeting Comhairle nan Eilean Siar Community members were involved in designing and procuring the Uist and Barra public bus service. The procurement process involved using an ‘output performance specification’. In this, participants were asked at various public meetings to define their priorities, rank types of services and vote for their preferred price/quality ratio. The final decisions were made by panels of local people. This participatory budgeting approach has provided a more responsive service for the local community and the council has reported an increase in uptake since it began in March 2016. City of Edinburgh Council ‘£eith Decides’ is the longest-running participatory budgeting project in Scotland and has been used by Leith Neighbourhood Partnership since 2010/11. The approach involves the local community deciding how 50 per cent of the partnership's community grants fund is spent. In 2014/15, a total of 1,625 people took part in scoring projects (an increase of 66 per cent on the previous year) and £22,092 (in grants of up to £1,000) was allocated to 25 projects. In addition to this, the number of people engaged in local decisions has increased significantly, from 320 in 2010/11 to 1,625 in 2014/15. North Ayrshire Council In November 2016, the council launched one of Scotland’s largest online participatory budgeting projects in collaboration with Young Scot. Around 5,000 young people aged 11-25 years in North Ayrshire used Young Scot’s online voting platform to allocate a share of £60,762 to youth projects in their local area.
Page 72 of 324 Midlothian Council Item 8.7 Tuesday 27th June 2017
Financial Monitoring 2016/17 – General Fund Revenue
Report by Gary Fairley, Head of Finance and Integrated Service Support
1 Purpose of Report
The purpose of this report is to provide Council with information on performance against revenue budget in 2016/17 and details of the material variances.
2 Background
2.1 Budget Performance
The detailed budget performance figures shown in appendix 1 result in a net overspend of £2.517 million which is 1.28% of the revised budget for the year. This is a deterioration of £0.746 million on the quarter 3 position reported to Council on 7th February 2017.
The main areas of variance for the year are outlined below:
Pressures • Achievement of Council Transformation Targets for Integrated Service Support, procurement savings, tactical reductions in contracted hours, Customer Services and Education has slipped and has resulted in a £1.478 million overspend; • Demand led pressures in Adult Social Care, particularly the Community Care Resource Panel and in Care Homes. They overspent by £1.224 million which is £0.422 million less than reported at quarter 3. Projections of spend in this area can be very volatile given the fluidity of demand and potential high value of individual packages of care; • Staffing costs in Children’s Services is £0.498 million more than budgeted. This is due to the use of temporary staff to cover essential service provision during periods of staff absence and also to help manage through the transitional period during the Staffing Review which took place during 2016/17; • Slippage in the opening of Pentland House which has put additional pressure on Bed and Breakfast budgets for Homeless clients. An overspend of £0.480 million occurred; • Repairs and Maintenance costs for Council Buildings is overspent by £0.386 million. More revenue works than planned tool place during the year due to demand pressures particularly in the latter part of the financial year; • Running costs for Care Homes for Older people of £0.218 million; • Loan charges were £0.287 million over budget due to less slippage in the General Services Capital Plan than anticipated.
Page 73 of 324 2
Favourable Movements • Demand for Residential and Day Care placements for children was lower than budgeted by £0.763 million and some high value placements are now being provided in a different way; • A continued growth of properties in Midlothian will generate an improvement on budget of £0.600 million for Council Tax Income; • Energy costs are £0.270 million lower than budgeted due to a combination of successful energy savings measures and lower unit costs than anticipated.
Detailed information on material variances is contained in appendix 2 which identifies each variance, explains why it happened, outlines what action is being taken to control variances and details the impact of that action.
2.2 Council Transformation Programme
Council approved utilisation of £7.718 million of General Fund Reserve to fund costs associated with the ongoing transformation programme.
As at 31 st March 2017 £3.111 million of this has been applied with future commitments of £0.769 million identified for 2017/18 and 2018/19. This leaves £3.838 million as uncommitted.
2.3 General Fund Reserve
The General Fund Balance as at 31 March 2017 is as follows:
£ million £ million Balance as at 1 April 2016 24.625 Less earmarked reserves utilised in 2016/17 (5.947) General Reserve at 1 April 201 6 18.678
Planned movements in reserves Planned Utilisation (2.668) Supplementary Estimates (0.592) Council Transformation Programme Costs (0.161) One-off costs of VSER (0.156) Earmarked Budgets carried forward to 2016/17 5.060 Other 0.007 1.490 Overspend per appendix 1 (2.517) General Fund Balance at 31 March 201 7 17.6 51
Council were advised on 23 rd May 2017 that the final delegation of resources for 2016/17 to the Midlothian Integrated Joint Board was £38.237 million which was £0.742 million more than previously approved. This report provides details in appendix 2 of the makeup of this additional expenditure funded by the Council and also shows the £0.742 as a variance against budget in appendix 1 rather than as an approved utilisation of reserves in the table above.
Page 74 of 324 3
An element of the General Fund is earmarked for specific purposes and this is shown below: £ million General Fund Balance at 31 March 201 7 17.6 51 Earmarked for specific purposes Budgets carried forward to 2017/18 for specific purposes (5.060) Budgets earmarked for Council Transformation (3.838) Borders Rail Economic Development Opportunities (0.196) Uncommitted General Reserve at 31 March 201 7 8.5 57
The uncommitted General Fund Reserve at 31 March 2017 is £8.557 million of which £3.970 million was utilised in setting the 2017/18 budget on 7 February 2017. This therefore leaves £4.587 million, or 2.3% of next expenditure as a contingency in the context of the continuing challenging financial outlook, the uncertainty associated with future years grant settlements, pay awards, the economic impact of Brexit and also the potential costs to come from the historic child abuse enquiry.
3 Report Implications
3.1 Resource
Whilst this report deals with financial issues there are no financial implications arising directly from it.
3.2 Risk
Section 95 of the Local Government (Scotland) Act 1973 requires all Local Authorities in Scotland to have adequate systems and controls in place to ensure the proper administration of their financial affairs.
The assessment of performance against budgets by services is underpinned by comprehensive financial management and budgetary control arrangements. These arrangements are central to the mitigation of financial risk.
Ensuring that adequate systems and controls are in place minimises the risk of significant variances arising, and where they do arise they help to ensure that they are identified and reported on and that appropriate remedial action is taken where possible. The primary purpose of this report is to provide information on historic performance, however the material variances detailed in appendix 2 highlight that the financial management and budgetary control arrangements require continual review and enhancement if financial risk is to be effectively mitigated.
Page 75 of 324 4
3.3 Single Midlothian Plan and Business Transformation
Themes addressed in this report:
Community safety Adult health, care and housing Getting it right for every Midlothian child Improving opportunities in Midlothian Sustainable growth Business transformation and Best Value None of the above
3.4 Impact on Performance and Outcomes
The decisions taken to balance the budget will have fundamental implications for service performance and outcomes. The Council’s Transformation Programme aims to minimise the impact on priority services.
3.5 Adopting a Preventative Approach
The proposals in this report do not directly impact on the adoption of a preventative approach.
3.6 Involving Communities and Other Stakeholders
No consultation was required.
3.7 Ensuring Equalities
There are no equality implications arising directly from this report.
3.8 Supporting Sustainable Development
There are no sustainability issues arising from this report.
3.9 Digital Issues
There are no digital implications arising from this report.
4 Recommendations
It is recommended that Council note the contents of this report and consider the financial position in the context of the Financial Strategy for 2017/18 to 2021/22.
2nd June 2017
Report Contact: David Gladwin Tel No 0131 271 3113 E mail [email protected]
Background Papers: Page 76 of 324 Item 8.7 MIDLOTHIAN COUNCIL Appendix 1
GENERAL FUND OVERVIEW 2016/17
Revised (Underspend) Function Budget Outturn / Overspend £ £ £ Management 1,618,056 1,618,270 214 Education Communities and Economy Childrens Services 15,461,210 15,430,688 (30,522) Communties and Economy 4,301,194 4,377,759 76,565 Education 82,301,095 82,589,454 288,359 Health and Social Care Midlothian Integrated Joint Board - Adult Social Care 37,495,413 38,237,056 741,643 Customer and Housing Services 11,931,504 11,962,749 31,245 Resources Commercial Services 16,347,675 15,849,630 (498,045) Finance and Integrated Service Support 12,263,178 12,364,566 101,388 Properties and Facilities Management 14,009,258 14,048,927 39,669
Lothian Valuation Joint Board 555,551 560,409 4,858 Central Costs (452,300) 0 452,300 Non Distributable Costs 1,338,436 1,406,989 68,553 GENERAL FUND SERVICES NET EXPENDITURE 197,170,270 198,446,497 1,276,227 Loan Charges 6,582,639 6,870,081 287,442 Investment Income (300,475) (360,568) (60,093) Council Transformation Programme savings target (1,611,207) 0 1,611,207 Allocations to HRA, Capital Account etc. (4,781,596) (4,833,859) (52,263) 197,059,631 200,122,151 3,062,520 less Funding: Scottish Government Grant 152,002,000 152,002,000 0 Council Tax 40,600,000 41,145,723 (545,723) Utilisation of Reserves 4,457,631 6,974,428 2,516,797
Page 77 of 324
Page 78 of 324 Item 8.7
Appendix 2 Financial Monitoring 2016/17 – General Fund Revenue – Material Variances
Education, Communities and Economy
Children’s Services
Description of Quarter 1 Quarter 2 Quarter 3 Quarter 4 Variance Reason for Variance £000 £000 £000 £000 Additional information / Action taken Children’s services The Children’s Services Review 267 267 314 498 The service is in the process of implementing its review interim staffing took place throughout 2016/17. new structure. In order to move towards the new position structure it has employed supernumerary staff At the same time the service is and used high levels of agency staff. These experiencing higher than average actions have been taken in order to minimise levels of maternity leave which is permanent post holders being displaced by the adding to the requirement for review and to ensure the right people are in post temporary staff which has been for the new structure. met using agency workers. Non-residential Overspend on respite, direct 4 4 40 239 The causes and trends underlying this variance services commissioned payments and taxi services will be analysed and addressed in 2018/19 and provided for commissioned for children with budget setting process. Children with and disabilities due to higher than without disabilities anticipated levels of demand for these services.
There has also been an overspend on respite services commissioned for children without disabilities.
Employee vacancies Other vacancies throughout the 8 8 (20) (38) No impact on frontline service. and performance service, mainly in the Hawthorn factor Children’s Centre.
Gross Overspend 279 279 334 699
Page 79 of 324 Description of Quarter 1 Quarter 2 Quarter 3 Quarter 4 Variance Reason for Variance £000 £000 £000 £000 Additional information / Action taken Offset by: Residential and Day The requirement for residential (912) (1,003) (956) (763) This represents a 20% underspend on the Multi Education Placements placements is lower than Agency Resource Group budget of £3.9 million. anticipated and provided for in the The group continues to challenge new demand to budget. Demand for new keep costs under control and has recently been placements was low for the first successful in its work to progress children in half of the 2016 calendar year. secure placements to allow them to move to other forms of care. Family Placements Slippage in plans for the usage of (174) (174) (92) 59 A part time team leader and two social workers additional Scottish Government have been recruited to develop the kinship care Grant offset by higher than service. anticipated expenditure on inter- agency adoption fees and Between quarter 2 and quarter 3 forecast associated legal expenses. expenditure on inter-agency adoption fees increased by £30k. This increased by a further £88k between quarter 3 and quarter 4. Other non-material Miscellaneous over and (1) (1) (27) (26) No impact on frontline service. variances underspends covering the remaining areas of the Children’s Services budget. Net Underspend (808) (899) (741) (31)
Page 80 of 324 Communities and Economy
Description of Quarter 1 Quarter 2 Quarter 3 Quarter 4 Variance Reason for Variance £000 £000 £000 £000 Additional information / Action taken Landlord Registration Fewer registrations are due to be 25 25 20 25 Registrations run in a three year cycle. income renewed in 2016/17 than budgeted. Staffing costs and Unbudgeted one-off staffing costs 17 17 (11) 70 No impact on frontline service. other non-material and miscellaneous over and variances underspends covering the remaining areas of the Communities and Economy budget. Gross Overspend 42 42 193 95 Offset by: Building Standards There was an artificially high level 84 84 94 (14) Two large value applications were received Income of income received in 2015/16 as a during quarter 4 which reversed the projected result of changes to Building underspend reported at quarter 3. Regulations in October 2015. This created a high level of application The income received for Building Warrants is activity before the new regulations highly variable and is influenced by the timings of came into force. building works. Planning Income Applications for planning consent 64 64 66 (4) There were three large value planning are lower than budgeted. applications received during quarter 4 which reversed the projected underspend shown at quarter 3.
The income received for planning applications is highly variable and is influenced by the timing of major developments. Net Overspend 190 190 169 77
Page 81 of 324 Education
Description of Reason for Variance Quarter 1 Quarter 2 Quarter 3 Quarter 4 Variance £000 £000 £000 £000 Additional information / Action taken Early Years Significant demographic growth 0 0 0 173 Early Years budgets in 2017/18 and beyond, and the popularity of the Good particularly in light of the increase in pre-school time to be 2 initiative has resulted entitled hours to 1140, are being reviewed. in a rise in pupil uptake within Early Years.
Lifelong Learning and The Skill Development Scotland 167 167 171 51 Some windfall income was received in quarter 4. Employability Income Employability Fund has been reduced nationally by 40%. As a The 2017/18 budget reflects the up to date consequence Midlothian’s funding position in relation to projects. was significantly reduced for 2016/17.
Vacancies and Non achievement of employee 36 36 36 68 No impact on frontline service. Performance Factor performance factor. Other non-material Miscellaneous over and (9) (9) (9) 144 No impact on frontline service. variances underspends covering the remaining areas of the Education Service budget.
Gross Overspend 194 194 198 436 Offset by: PPP Contracts Insurance costs are lower than (67) (67) (83) (110) Windfall Income. provided for in the contract which leads to a refund from the contractor.
Contractual refund of funding paid (17) (17) (38) (38) Deductions for PPP1 have increased between to cover reparation of malicious quarter 2 and quarter 3. This has been addressed damage that was not utilised. in the 2017/18 budget setting process. Net Overspend 110 110 77 288
Page 82 of 324 Health and Social Care
Midlothian Integrated Joint Board - Adult Social Care
Description of Quarter 1 Quarter 2 Quarter 3 Quarter 4 Variance Reason for Variance £000 £000 £000 £000 Additional information / Action taken Community Care Assessed needs were more than 497 1,453 1,503 1,042 An underlying over-commitment of around Resource Panel budgeted. The budget is £30 £900k at the start of the financial year has been million, demand led and subject to partially addressed through the review of high demographic pressures. Individual cost packages. packages of care sometimes in excess of £100k per annum and as Demand for new and increased packages of care a consequence projections in this continues. A review team is in place and is area can be volatile. reviewing existing packages of care with a view to reduce the existing levels of commitments whilst still meeting critical and substantial need. The impact of this work will be seen more in 2017/18 when there will be a full year impact from savings.
Within this budget there has been an under delivery of care at home hours for older people due to availability from external suppliers. Home Care / Additional employee costs due to 254 274 332 394 The continued pressure within external providers Midlothian Enhanced the volume of care packages being has resulted in additional hours needing to be Rapid Response and provided. delivered within Homecare and MERRIT to Intervention Team support hospital discharge and admission (MERRIT) avoidance. Some of the costs have been offset by unfilled hours of external providers, resulting in lower spend within the Community Care Resource Panel budget, but with some of the additional hours within home care being worked at enhanced overtime rates this is a higher cost alternative and not sustainable in terms of staffing capacity.
Page 83 of 324 Description of Quarter 1 Quarter 2 Quarter 3 Quarter 4 Variance Reason for Variance £000 £000 £000 £000 Additional information / Action taken A review of care at home is in progress, with the short term aim of strengthening the partnership with external providers and in the longer term developing new models of care that include a wider community dimension to supporting people to live well at home. Care Homes for Older Overspend on running costs, 108 83 82 81 Additional supply costs associated with increased People including cleaning materials and complexity of residents. The 2017/18 budget has first aid supplies, at both Highbank been reviewed to address this. and Newbyres.
Overspend on staffing costs to 120 144 98 137 There continues to be challenges in the levels of cover gaps in the rota. sickness absence within Highbank and work continues to address this. The pressures reflect a wider need to review staffing levels and grades within Highbank and this is a priority for the service in 2017/18. This will be supported by the expansion of the locum bureau to avoid the ongoing need for agency staff. Gross Overspend 979 1.954 2,015 1,654 Offset by: Service User Income Contributions from service users 0 0 (189) (212) Review team work has contributed to an increase towards their care packages are in chargeable income. higher than anticipated.
Public Protection Scottish Government funding (150) (140) (134) (169) No impact on frontline service but the provided specifically for Adult underspend offsets care and support costs Support and Protection related to protection issues. requirements. Some spend relevant to this funding is in the form of care packages and is met from the Resource Panel budget.
Fieldwork Staffing Vacant posts pending recruitments 0 0 0 (157) No impact on frontline service.
Page 84 of 324 Description of Quarter 1 Quarter 2 Quarter 3 Quarter 4 Variance Reason for Variance £000 £000 £000 £000 Additional information / Action taken Learning and Spend continues to be constrained (128) (102) (134) (155) No impact on frontline service and offsets cost of Development to counter pressures elsewhere in essential cover for front-line staff with the service. mandatory training requirements. Commitments for 2017/18 will substantially reduce this underspend. Joint Equipment Store Demand is currently less than (79) (124) (97) (87) No impact on frontline service. and Aids and budgeted but spend level tends to Adaptations vary over the course of the year. Other non-material Miscellaneous over and (44) (100) (53) (132) This reflects a drive to limit non demand led variances underspends covering the spend. No impact on frontline service. remaining areas of the Adult Social Care budget. Net Overspend 578 1,488 1,408 742
Customer and Housing Services
Description of Quarter 1 Quarter 2 Quarter 3 Quarter 4 Variance Reason for Variance £000 £000 £000 £000 Additional information / Action taken Homelessness Specialist treatment required in the 229 390 411 480 The budget provided for an average 82 B and B accommodation conversion works to re-use places per week until 1 st August 2016 and 36 Pentland House has led to delays in spaces thereafter once Pentland House was the project. Consequently the anticipated to be available for use. Average saving against the Bed and occupancy is currently 68 places. Breakfast budget has not been made this financial year. The Polton Centre was made available for use from mid-January and Pentland House is now due to be handed over at the end of July 2017. Other non material Miscellaneous over and 13 11 50 (29) No impact on frontline service. variances underspends covering the remaining areas of the Customer and Housing Services.
Gross Overspend 242 401 461 451
Page 85 of 324 Description of Quarter 1 Quarter 2 Quarter 3 Quarter 4 Variance Reason for Variance £000 £000 £000 £000 Additional information / Action taken Offset by: Housing Benefit The difference between Housing (193) (163) (155) (153) The 2016/17 budget was set based on the Subsidy and Council Benefit subsidy received and experience of previous years. However, in Tax Reduction Scheme benefits paid was more than 2016/17 the subsidy receivable is now budgeted. Payments under the anticipated to be higher. Council Tax Reduction Scheme were less than budgeted. Housing Benefit Bad A reduced bad debt provision has 0 0 0 (115) Debt Provision given rise to a higher income generated than anticipated. Customer Services Customer Services is currently (123) (131) (168) (35) It is anticipated that vacancies will be filled once Staffing under review so current vacancies the review reaches its later stages. The volume of are being held until the review runs staff from the review entering switch reduced its course. the overspend during quarter 4. Revenues Service Vacancies in the Revenues (43) (68) (114) (117) No impact on frontline service. Vacancies Processing Team that were unfilled for a period or remain unfilled in Vacant posts are being retained pending addition to some maternity resource requirements for full service savings. commencement of universal credit in April 2017 becoming clearer. Net Overspend / (117) 39 24 21 (Underspend)
Page 86 of 324 Resources
Commercial Services
Description of Quarter 1 Quarter 2 Quarter 3 Quarter 4 Variance Reason for Variance £000 £000 £000 £000 Additional information / Action taken Waste Disposal Movement in tonnage and price. 119 119 239 (89) Market conditions in the recycling market have Charges resulted in issues with disposing of recyclate. A report to Council on 9 th February 2016 covered this in more detail and efforts continue to resolve the situation. Movement between quarter 3 and quarter 4 is due to a significant reduction in the anticipated disposal price. Fleet Repairs The cost of vehicle parts and 0 0 141 45 An element of repairs to the Councils fleet repairs carried out by third parties requires to be completed externally due to are expected to exceed budget. specialist skills. Burials Income Income from lairs and interments is 90 71 35 13 The number of burials varies throughout the lower than anticipated at this stage year. in the year. Zero Waste Procurement and transition costs 0 33 33 59 An update was provided to Council on 8 th for the Zero Waste project exceeds November 2016 and the 2017/18 budget was the remaining budget adjusted accordingly. Taxi-cards The taxi-card scheme was closed to 26 26 18 9 new entrants in 2015/16 but usage by remaining participants is higher than budgeted. Gross Overspend 235 249 466 37 Offset by: Winter Maintenance Mild weather over the winter 0 0 0 (182) The winter maintenance budget for 2017/18 has period resulted in less need for been reduced by £90k. gritting and snow clearance. Land Services Income is expected to exceed 0 0 (107) (92) One-off income in 2016/17. chargeable income budget due to additional income from work undertaken on capital projects.
Page 87 of 324 Description of Quarter 1 Quarter 2 Quarter 3 Quarter 4 Variance Reason for Variance £000 £000 £000 £000 Additional information / Action taken Street Lighting Conversion to LED lighting leads to 0 (82) (84) (72) Consumption and anticipated price are reviewed Electricity lower consumption. each year as part of the budget setting process. Staff Vacancies Vacancies across the service have (76) (52) (50) (82) This predominantly relates to Waste Services due exceeded the performance factor. to changes in the service provided and delays in recruiting to new posts. Fuel Costs Waste Services vehicles have lower (68) (68) (114) (107) This will be reflected in future years budgets. fuel usage than was anticipated when setting the budget. Bus Shelter Expenditure on bus shelter 0 0 (61) (63) The 2017/18 budget has been reduced by £30k. maintenance maintenance is largely reactive with lower demand to date in 2016/17. Other non-material Miscellaneous variances covering 16 (6) (44) 63 No impact on frontline service. variances the remaining areas of the service. Net Overspend 107 41 6 (498)
Finance and Integrated Service Support
Description of Quarter 1 Quarter 2 Quarter 3 Quarter 4 Variance Reason for Variance £000 £000 £000 £000 Additional information / Action taken Mi-Future The costs of staff in SWITCH during 130 133 130 129 6 months budget is moved to Switch with the year are exceeded budget. displaced employees. The Mi-Future team continues to work towards a satisfactory resolution for each employee in SWITCH and when compared to severance costs SWITCH remains a cost effective solution.
As at 30 th November 2016 there were 16 people in SWITCH on placements, some of whom are funded by services.
Page 88 of 324 Description of Quarter 1 Quarter 2 Quarter 3 Quarter 4 Variance Reason for Variance £000 £000 £000 £000 Additional information / Action taken Telephone costs The council’s telephone budget has 0 0 64 68 A tender process is underway which may been centralised and current costs contribute to reducing costs. exceed budget. There is also demand led pressures relating to growth in the school estate. Central Postages The volume and cost of postages 49 45 40 43 Despite changing suppliers and securing better exceeds budget of £122k. prices the volume and mix of postages continues to exceed budget. Work continues to address this by reducing postage volumes, avoiding all unnecessary postage costs and maximising compliance with contractual requirements. External Legal fees Continuing costs associated with 0 0 28 71 The residual legal issues related to Equal Pay residual equal pay claims and a claims are expected to be concluded in 2017/18 higher than anticipated incidence with no further costs anticipated. of children’s permanence cases. Photocopying Costs associated with the new 33 33 18 13 A review of activity is underway with the aim of centralised Council wide contract minimising volumes and reducing reliance on are greater than estimated due to paper in accordance with EWiM principles. higher than anticipated volume of use. The budget is £129k. Bank Charges The shift towards electronic 24 23 24 36 A review of bank charges is underway with the payments has led to increased aim of negotiating lower rates with service transaction costs. providers. Gross Overspend 236 234 304 360 Offset by: Digital Services Cost of equipment and support 0 0 0 (171) Future years budgets will be reviewed. charges are lower than budgeted. Iron Mountain Storage The cost of off-site storage is lower 0 0 0 (44) Future years budgets will be reviewed. Costs than anticipated. Occupational Health A change to the external provider 15 13 0 (16) Demand has been lower than anticipated. has resulted in a change to charging methodology which has moved from a predictable fixed cost to a demand driven cost.
Page 89 of 324 Description of Quarter 1 Quarter 2 Quarter 3 Quarter 4 Variance Reason for Variance £000 £000 £000 £000 Additional information / Action taken Other non-material Miscellaneous variances covering 0 0 (34) (28) No impact on frontline service. variances the remaining areas of the service. Net Overspend 251 247 270 101
Properties and Facilities Management
Description of Quarter 1 Quarter 2 Quarter 3 Quarter 4 Variance Reason for Variance £000 £000 £000 £000 Additional information / Action taken Repairs and A combination of a higher mix of 0 0 0 386 The Capital budget is underspent and the Maintenance revenue works to capital works and intention for 2017/18 is to have a higher capital some higher cost emergency to revenue mix. repairs late in the financial year has resulted in an overspend in the revenue budget. Property Costs for Slippage in planned building 0 0 192 160 Disposal of Dundas Building has been postponed EWiM phase 2 closures and disposals resulted in pending determination of plans for the adjacent unbudgeted costs. site. Eskdaill Court and Jarnac Court remain occupied pending long term decisions on Dalkeith Town Centre and conversion of Eskdaill court. Property Investment The cost of void properties exceeds 0 0 0 54 An insurance claim is being progressed for the Account that provided in the budget. fire damage. Further expenditure has been incurred in repairing the properties fire damaged at Mayfield. Loanhead Leisure Loanhead Leisure Centre will close 34 38 50 17 Work is ongoing to identify alternative locations Centre – loss of income temporarily in January 2017 before for various activities and classes currently held at re-opening as part of the new the centre. Loanhead Community Hub in August 2017. Other non-material Miscellaneous variances covering 0 0 0 31 variances the remaining areas of the service. Gross Overspend 34 38 242 648
Page 90 of 324 Description of Quarter 1 Quarter 2 Quarter 3 Quarter 4 Variance Reason for Variance £000 £000 £000 £000 Additional information / Action taken Offset by: Energy Costs The price paid per Kilowatt Hour 0 41 41 (270) Energy prices can be volatile and are difficult to was less than expected resulting in predict. a saving of £129k.
The mild winter and energy saving initiatives reduced projected cost by a further £75k.
The water budget is underspent by £88k, principally as a consequence of reduced meter sizes. Snowsports Event income and consequential 0 0 0 (96) Income from events and new initiatives have impact on cafe sales. generated higher income that expected.
Use of existing sock of ski matting 0 0 0 (29) Ongoing budget requirements will be reviewed. reduced the need to purchase new matting Leisure Centres Underspend on cleaning materials 0 0 0 (126) Ongoing budget requirements will be reviewed. and greater than budgeted income from Tone Zone membership and general hire of facilities. Catering Staffing Difficulty recruiting to vacant posts. (30) (45) (45) (75) Efforts continue to recruit to vacant posts targeting entry level applicants where appropriate. Catering – food costs Meal costs are lower than 0 0 93 (12) Menus are reviewed regularly to maintain budgeted as a consequence of economy, maximise nutritional value and to movements in meal numbers and minimise waste. also efficiencies in meal planning. Net Overspend 4 34 331 40
Page 91 of 324 Other
Description of Quarter 1 Quarter 2 Quarter 3 Quarter 4 Variance Reason for Variance £000 £000 £000 £000 Additional Information / Action taken Loan Charges The 2016/17 budget provided for 283 283 264 287 planned slippage in the General Services Capital Plan. Actual slippage was less than provided for.
Central Costs Insurance costs – an increase in the 112 163 163 80 Detail of these claims is being reviewed and any likely settlement costs of existing mitigating action required will be put in place. A claims. review of likely settlement costs since quarter 1 gave rise to increased exposure to one high value claim.
Investing in our Workforce – The 0 0 0 357 Full costs, including the ongoing pay protection part year costs for the new Pay and costs, have been provided in the 2017/18 Grading package implemented on 1 budget. October 2016 are higher than budgeted. The increased cost in the first year includes the impact of a larger proportion of staff opting to take pay protection as a lump sum payment rather than over a three year period.
Transformation A target of £1.018 million was set 0 0 0 700 It is anticipated that this target will be achieved Savings – Integrated for 2016/17. Service efficiencies during 2017/18. Service Support have taken longer to be achieved than planned.
Transformation A target of £290k was set for 0 0 0 290 Delivery of this saving has been deferred to Savings - Education secondary schools. future years as a consequence of government clarification on requirements surrounding pupil teacher ratios.
Page 92 of 324 Transformation A target of £350k for procurement 150 150 250 280 Inflationary pressures across a range of Savings - Procurement savings was set for 2016/17 which contracts, including national framework mainly reflected slippage in contracts, has significantly reduced the capacity targeted savings for previous years. to secure procurement savings which translate into a budget reduction. A revised procurement delivery plan for 2017/18 is being prepared which will identify the savings opportunities achievable for future years. Transformation The target of £150k will not been 150 150 150 150 Progress in taking forward a voluntary reduction Savings – Tactical achieved in 2016/17 in hours initiative and promoting flexible Reductions in retirement options was been delayed because of contracted hours the focus on resources on the Review of Pay and Grading. Actions will be progressed during 2017/18. Transformation The target of £175k has not been 0 0 0 58 The remaining element of the 2016/17 target will Savings – Customer achieved in full. be met during 2017/18. Services Council Tax Income A continued growth in Band D (452) (500) (600) (546) The continued growth in Band D equivalents has equivalents results in a higher than been factored into Council Tax income budgets budgeted Council Tax yield. for future years.
Page 93 of 324
Page 94 of 324 Midlothian Council 27th June 2017 Item 8.8
Housing Revenue Account Revenue and Capital Final Outturn 2016/17 and Capital Plan 2017/18 - 2021/22
Report by Gary Fairley, Head of Finance and Integrated Service Support
1 Purpose of Report
The purpose of this report is to provide Council with:-
• The final outturn position for 2016/17 for both the Housing Revenue Account (HRA) Capital Plan and the Revenue Account; • A revised capital plan for 2017/18 to 2019/20 reflecting the carry forwards from 2016/17.
2 Background
2.1 Capital Plan 2016/17
The revision of the Capital Plan reported to Council on 27 th September 2016 allowed for investment of £22.449 million in 2016/17. Both the Capital Expenditure and Receipts budget have been increased by £4.333 million to £26.782 million, as shown in Appendix 1, to reflect the additional subsidy received from Scottish Government for Site Purchases for Phase 2 and Phase 3 of New Social Housing.
A carry forward of £2.704 million to 2017/18 will be required due to:-
• Issues with site investigations and various remediation works will result in slippage of £1.392 million for Phase 2 of New Social Housing; • Continuing Solar Panel Investigation works for Phase 1 New Social Housing requiring £0.125 million to be carried forward; • Difficulties in gaining access to a number of properties to carry out works for the Sanitary Ware Replacement Programme and Kitchen Replacement programme resulting in a carry forward of £0.179 million and £0.121 million respectively; • Refurbishment works to Pentland House being delayed further resulting in slippage of £0.384 million; • General slippage in the Energy Efficiency Project and Buy Backs Project resulting in a carry forward of £0.884 million and £0.732 million respectively.
Offset by:-
• General acceleration of Central Heating Systems upgrades and SHQS repairs resulting in budget to be brought forward from 2017/18 of £0.148 million and £0.963 million respectively; Page 95 of 324 2 • Developer Contributions of £1 million which will be applied in future years.
A £0.056 million underspend was reported to Council 7th February 2017. This has increased to £0.171 million against the revised budget of £24.691 million, principally due to Scottish water reimbursements for Phase 1 of New Social Housing of £0.169 million. The variations explained above results in a reduction in borrowing required of £4.014 million for the year.
2.2 Revenue Account 2016/17
The underspend reported to Council on the 7th February 2016 was £0.301 million. This has increased by £0.238 million to £0.539 million, as shown in Appendix 2. This is primarily due to:-
• The provision for rental loss due to the introduction of Universal Credit was higher than actually required resulting in an underpsend of £0.240 million; • The provision for Insurance was higher than required resulting in an underspend of £0.083 million.
Offset by
• An increase in the number of house sales reducing rents received by £ 0.101 million.
The HRA reserve balance is £29.753 million at 31 st March 2017. The longer term financial projections demonstrate that the majority of this will be required to finance existing investment commitments to 2030/31.
2.3 Capital Plan 2017/18 – 2021/22
The capital plan has been updated to reflect the carry forwards from 2016/17 and is detailed in Appendix 3. A fuller review of the Capital Plan and other potential investment plans will be completed over the summer and reported to Council later in the year.
3 Report Implications
3.1 Resource There are no direct resource implications arising from this report.
3.2 Risk The principal risks are around the issue of affordability, ensuring that the investment in new build and the existing stock can be made without having to impose unacceptable increases on weekly rents.
Page 96 of 324 3 Whilst the HRA reserve balance is £29.753 million at 31 March 2017, the longer term financial projections demonstrate that the majority of this will be required to finance existing investment commitments.
3.3 Single Midlothian Plan and Business Transformation Themes addressed in this report:
Community safety Adult health, care and housing Getting it right for every Midlothian child Improving opportunities in Midlothian Sustainable growth Business transformation and Best Value None of the above
3.4 Impact on Performance and Outcomes This report links to the Corporate Priority 1a. “Provide quality, affordable housing including increasing homelessness accommodation”.
3.5 Adopting a Preventative Approach There are no issues arising directly from this report.
3.6 Involving Communities and Other Stakeholders No external consultation has taken place on this report.
3.7 Ensuring Equalities There are no equality issues arising directly from this report.
3.8 Supporting Sustainable Development There are no sustainability issues arising from this report.
3.9 IT Issues There are no IT issues arising directly from this report.
4 Summary The summarised financial performance for 2016/17 is: • Capital Investment in the year totalling £23.907 million; • A net underspend of £0.539 million on the Revenue Account; • An HRA reserve at 31 st March 2017 of £29.753 million.
5 Recommendations Council is recommended to note the contents of this report.
Date 31 st May 2017
Report Contact: Name Lisa Young Tel No 0131-271-3111 [email protected] Page 97 of 324 4
Background Papers: HRA Capital Plan and Revenue Budget
Page 98 of 324 MIDLOTHIAN COUNCIL Appendix 1 Item 8.8 HOUSING REVENUE ACCOUNT CAPITAL PLAN 2016/17
Approved Carry Revised Final Variation Budget Forward Budget Outturn (Under)/Over 201617 to/from 201617 201718 £'000 £'000 £'000 £'000 £'000
FUNDING Net Receipts from Sales 2,155 0 2,155 5,983 3,828 Grants -Incentivising New Build 5,097 0 5,097 5,276 179 -Mortgage to Rent 168 0 168 74 (94) -Buy Backs Funding 300 0 300 160 (140) Council Tax on Second Homes 118 0 118 156 38 Developer Contributions 1,000 1,000 0 0 0 Scottish Water Contributions 0 0 0 32 32 Borrowing Required 17,944 1,704 16,240 12,226 (4,014) TOTAL AVAILABLE FUNDING 26,782 2,704 24,078 23,907 (171)
APPROVED EXPENDITURE £'000 £'000 £'000 £'000 £'000 New Build Houses Phase 1 162 125 37 (132) (169) New Build Houses Phase 2 14,694 1,392 13,302 13,302 0 New Build Houses Phase 3 2,658 (2) 2,660 2,660 0 Buy Backs 1,603 732 871 871 0 Aids & Adaptations 300 0 300 373 73 Energy Assistance 1,000 884 116 116 0 Homelessness - Mortgage to Rent 303 0 303 117 (186) Homelessness - Pentland House Refurbishment 472 384 88 88 0 Homelessness - Midfield House Refurbishment 39 0 39 138 99 Environmental Improvements - McNeill Terrace 0 0 0 12 12 Scottish Housing Quality Standard -Upgrade Central Heating Systems 650 (148) 798 798 0 -Kitchen Replacement 201 121 80 80 0 -Sanitary Ware Replacement Programme 950 179 771 771 0 -SHQS Repairs 3,750 (963) 4,713 4,713 0 Total Expenditure 26,782 2,704 24,078 23,907 (171)
Page 99 of 324 MIDLOTHIAN COUNCIL
HOUSING REVENUE ACCOUNT 2016/17 Appendix 2
Revised Final Variation Budget Outturn (Under)/Over
Average No of Houses 6,864 6,842 (22)
£000's £000's £000's Repairs and Maintenance
General Repairs 5,400 5,404 4 Decant/Compensation 40 40 0 Grounds Maintenance 574 588 14 6,014 6,032 18
Administration and Management 4,782 4,782 0 Loan Charges 8,649 8,460 (189) Other Expenses 2,251 1,793 (458) TOTAL EXPENDITURE 21,696 21,067 (629)
Rents Houses (24,882) (24,657) 225 Garages (529) (527) 2 Others (586) (723) (137) TOTAL RENTS (25,997) (25,907) 90
NET EXPENDITURE/(INCOME) (4,301) (4,840) (539)
BALANCE BROUGHT FORWARD (24,913) (24,913) 0
BALANCE CARRIED FORWARD (29,214) (29,753) (539)
Page 100 of 324 HOUSING REVENUE ACCOUNT CAPITAL PLAN 2017/18 - 2021/22 Appendix 3
Proposed Proposed Proposed Proposed Proposed Budget Budget Budget Budget Budget 2017/18 2018/19 2019/20 2020/21 2021/22 £'000 £'000 £'000 £'001 £'002
FUNDING Net Receipts from Sales 0 0 0 0 0 Grants -Incentivising New Build 0 0 0 0 0 -Mortgage to Rent Subsidy 168 168 168 168 168 Council Tax on Second Homes 121 124 127 130 133 Developer Contributions 1,000 0 0 0 0 Borrowing Required 38,747 26,803 19,139 6,413 5,457 TOTAL AVAILABLE FUNDING 40,036 27,095 19,434 6,711 5,758
APPROVED EXPENDITURE £'000 £'000 £'000 £'001 £'002 New Build Houses Phase 1 125 0 0 0 0 New Build Houses Phase 2 20,776 5,089 285 0 0 New Build Houses Phase 3 9,998 14,000 11,000 1,000 0 Buy Backs 732 Aids & Adaptations 308 316 324 332 340 Energy Assistance 3,284 2,400 2,500 0 0 Environmental Works - McNeill Terrace 0 0 0 0 0 Homelessness - Mortgage to Rent 303 303 303 303 303 Homelessness - Pentland House Refurbishment 384 0 0 0 0 Homlessness - Midfield House Refurbishment 0 0 0 0 0 Scottish Housing Quality Standard -Upgrade Central Heating Systems 1,300 1,498 1,536 1,590 1,629 -Kitchen Replacement Programme 121 0 0 0 0 -Sanitary Ware Replacement Programme 179 0 0 0 0 -Future Works 2,526 3,489 3,486 3,486 3,486 Total Expenditure 40,036 27,095 19,434 6,711 5,758
Page 101 of 324
Page 102 of 324 Council Tuesday 27 June 2017 Item 8.9
Annual Treasury Management Report 2016/17
Report by Gary Fairley, Head of Finance & Integrated Service Support
1. Purpose of Report
The purpose of the report is to inform members of the Treasury Management activity undertaken in 2016/17 and the year end position.
2. Background
The Council has adopted the Code of Practice for Treasury Management in Local Authorities published by the Chartered Institute of Public Finance and Accountancy and complies with its requirements which include an annual Treasury Management report on the previous financial year to be presented by 30 September in each year.
A detailed report “Annual Treasury Management Review 2016/17 ” on the activity during 2016/17 is attached as Appendix 2.
The main points arising from treasury activity in 2016/17 were:
• Total new long term borrowing taken in the year amounted to £20.000 million, comprising two £10 million loans sourced from PWLB in July 2016 at the Certainty Rate (0.20% discount from standard PWLB rate) and thereby taking advantage of historically low PWLB rates;
• The average rate of interest paid on external debt was 3.32% in 2016/17, down from 3.61% in 2015/16;
• The average rate of return on investments was 0.77% in 2016/17, exceeding the benchmark of 0.46% for the thirteenth year in succession;
• The internal loans fund rate decreased from 3.28% in 2015/16 (lowest in mainland Scotland – see Appendix 1) to 3.24% in 2016/17, which is again expected to be one of the lowest when benchmarked against all mainland Authorities in Scotland;
• Were the internal loans fund rate to have equated to the Scottish weighted average of 4.33%, this would have generated loan charges in 2016/17 of £18.4m. The Council’s actual 2016/17 loan charges for General Services and HRA were £15.4m, representing a cash saving (compared to the Scotland average) of £3.0m in 2016/17;
• No debt rescheduling was undertaken during 2016/17.
Page 103 of 324 2
3. Report Implications
3.1. Resources
Although benefits from Treasury Management activity continue to accrue there are no direct financial implications or other resource issues arising from this report.
The loan charges associated with Capital Expenditure and Treasury Management activity during 2016/17 are reported in the Financial Monitoring 2016/17 – General Fund Revenue report elsewhere on today’s agenda.
3.2. Risk
As the Council follows the requirements of CIPFA Code of Practice and the Prudential Code there are few risks involved in Treasury Management activities. Those risks that do exist are further controlled through written Treasury Management Practices which define the responsibilities of all staff involved.
3.3. Single Midlothian Plan and Business Transformation
Themes addressed in this report:
Community safety Adult health, care and housing Getting it right for every Midlothian child Improving opportunities in Midlothian Sustainable growth Business transformation and Best Value None of the above
3.4 Impact on Performance and Outcomes
The strategies adopted are an integral part of the corporate aim to achieve Best Value as they seek to minimise the cost of borrowing by exercising prudent debt management and investment. This in turn helps to ensure that the Council’s capital expenditure is sustainable in revenue terms.
3.5 Adopting a Preventative Approach
The proposals in this report do not directly impact on the adoption of a preventative approach.
3.6 Involving Communities and Other Stakeholders
Although no external consultation has taken place, cognisance has been taken of professional advice obtained from Sector, the Council’s appointed Treasury Consultants.
3.7 Ensuring Equalities
Page 104 of 324 3
There are no equality issues arising from this report.
3.8 Supporting Sustainable Development
There are no sustainability issues arising from this report.
3.9 IT Issues
There are no IT issues arising from this report.
4. Summary
Treasury Management activity during the year has been effective in minimising the cost of borrowing and maximising investment income within the parameters set by the strategy for the year.
5. Recommendations
It is recommended that the Council:-
a) Note the Treasury Management Annual Report for 2016/17.
Date 5 June 2017
Report Contact: Gary Thomson 0131 271 3230 [email protected]
Appendices:-
Appendix 1: Loans Fund Rate Comparison with other Scottish Local Authorities Appendix 2: Annual Treasury Management Review 2016/17
Page 105 of 324 4 Appendix 1:-
Loans Fund Rate Comparison 2015/16
Council Loans Fund Rate Midlothian 3.24% Dumfries & Galloway 3.25% Perth & Kinross 3.30% East Lothian 3.53% Falkirk 3.70% Aberdeen City 3.82% Orkney 3.73% Fife 3.81% Inverclyde 3.84% Aberdeenshire 4.05% North Lanarkshire 4.05% East Renfrewshire 3.97% Dundee City 4.13% West Lothian 4.12% Shetland 4.11% West Dunbartonshire 4.21% South Lanarkshire 4.28% Renfrewshire 4.25% Stirling 4.41% Angus 4.47% North Ayrshire 4.45% Glasgow City 4.53% Highland 4.52% Moray 4.34% Argyll & Bute 4.56% Scottish Borders 4.62% East Dunbartonshire 4.62% Clackmannanshire 4.79% East Ayrshire 5.02% Edinburgh City 5.18% South Ayrshire 5.35% Comhairle Nan Eilean Siar 6.49%
The Loans Fund Rate combines the interest paid by the Council on money borrowed, with the interest earned by the Council on money invested, along with other charges such as internal interest allowed, premiums written off and treasury-related expenses to arrive at a weighted average “loans fund rate” figure for each authority, as noted in the final column above
Page 106 of 324 Appendix 2
Annual Treasury Management Review 2016/17 Midlothian Council June 2017
Page 107 of 324 6
Contents
1. The Council’s Capital Expenditure and Financing 2016/17 ...... 6 2. The Council’s overall borrowing need ...... 7 3. Treasury Position as at 31 March 2017 ...... 9 4. The Strategy for 2016/17 ...... 13 5. The Economy and Interest Rates ...... 14 6. Borrowing Rates in 2016/17 ...... 16 7. Borrowing Outturn for 2016/17 ...... 17 8. Investment Rates in 2016/17 ...... 18 9. Investment Outturn for 2016/17 ...... 18 10. Performance Measurement ...... 20 11. Conclusion ...... 21 Appendix 3: Investment Benchmarking ...... 23
Page 108 of 324 7
1. The Council’s Capital Expenditure and Financing 2016/17 The Council undertakes capital expenditure on long-term assets. These activities may either be:
• Financed immediately through the application of capital or revenue resources (capital receipts, capital grants, revenue contributions etc.), which has no resultant impact on the Council’s borrowing need; or • If insufficient financing is available, or a decision is taken not to apply resources, the capital expenditure will give rise to a borrowing need.
The actual capital expenditure forms one of the required prudential indicators. The table below shows the actual capital expenditure and how this was financed.
Table 1: Capital Expenditure + Financing 2015/16 2016/17 2016/17 Actual Budget Actual £000 £000 £000 General Fund Capital Expenditure 18,949 29,614 31,208 Available Funding 18,749 11,065 13,817 Borrowing Required 200 18,549 17,391
HRA Capital Expenditure 12,847 42,813 23,906 Available Funding 5,741 1,877 11,681 Borrowing Required 7,106 40,936 12,225
General Fund and HRA Capital Expenditure 31,796 72,427 55,114 Available Funding 24,490 12,942 25,498
Borrowing Required 7,306 59,485 29,616
Page 109 of 324 8
2. The Council’s Overall Borrowing Need
The Council’s underlying need to borrow for capital expenditure is termed the Capital Financing Requirement (CFR). This figure is a gauge of the Council’s indebtedness. The CFR results from the capital activity of the Council and what resources have been used to pay for the capital spend. It represents the 2016/17 unfinanced capital expenditure (see above table), plus prior years’ net or unfinanced capital expenditure which has not yet been paid for by revenue or other resources.
Part of the Council’s treasury activities is to address the funding requirements for this borrowing need. Depending on the capital expenditure programme, the treasury service organises the Council’s cash position to ensure sufficient cash is available to meet the capital plans and cash flow requirements. This may be sourced through borrowing from external bodies (such as the Government, through the Public Works Loan Board [PWLB] or the money markets), or utilising temporary cash resources within the Council.
Reducing the CFR – the Council’s underlying borrowing need (CFR) is not allowed to rise indefinitely. Statutory controls are in place to ensure that capital assets are broadly charged to revenue over the life of the asset. The Council is required to make an annual revenue charge, called the Scheduled Debt Amortisation (or loans repayment), to reduce the CFR. This is effectively a repayment of the borrowing need. This differs from the treasury management arrangements which ensure that cash is available to meet capital commitments. External debt can also be borrowed or repaid at any time, but this does not change the CFR.
The total CFR can also be reduced by:
• the application of additional capital financing resources (such as unapplied capital receipts); or • charging more than the minimum loan repayment each year through an additional revenue charge.
The Council’s CFR for the year is shown below, and represents a key prudential indicator.
Table 2: Council's Capital Financing Requirement 31-Mar-16 2016/17 31-Mar-17 CFR: Actual Budget Actual £000 £000 £000 Opening balance £ 253,909 £ 258,860 £ 254,011 Add Borrowing Required£ 7,306 £ 59,485 £ 29,616 Less scheduled debt amortisation £ (7,204) £ (7,411) £ (7,293) Closing balance £ 254,011 £ 310,934 £ 276,334
Borrowing activity is constrained by prudential indicators for net borrowing and the CFR, and by the authorised limit.
Page 110 of 324 9
Gross borrowing and the CFR - in order to ensure that borrowing levels are prudent over the medium term and only for a capital purpose, the Council should ensure that its gross external borrowing does not, except in the short term, exceed the total of the capital financing requirement in the preceding year (2015/16) plus the estimates of any additional capital financing requirement for the current (2016/17) and next two financial years. This essentially means that the Council is not borrowing to support revenue expenditure. This indicator allows the Council some flexibility to borrow in advance of its immediate capital needs in 2016/17. The table below highlights the Council’s gross borrowing position against the CFR. The Council has complied with this prudential indicator.
Table 3: Council's Gross Borrowing Position 31-Mar-16 2016/17 31-Mar-17 Actual Budget Actual £000 £000 £000 Gross Borrowing £ 237,272 £ 285,952 £ 257,303 CFR £ 254,011 £ 310,934 £ 276,334
The authorised limit – this Council has kept within its authorised external borrowing limit as shown by the table below. Once this has been set, the Council does not have the power to borrow above this level.
The operational boundary – the operational boundary is the expected borrowing position of the Council during the year. Periods where the actual position is either below or over the boundary is acceptable subject to the authorised limit not being breached.
Table 4: Gross Borrowing against Authorised Limit / Operational Boundary 2016/17 Authorised limit - borrowing £384,042 Operational boundary - borrowing £275,974 Maximum gross borrowing position £282,302 Average gross borrowing position £255,984
Page 111 of 324 10
3. Treasury Position as at 31 March 2017 The Council’s debt and investment position is organised by the treasury management service in order to ensure adequate liquidity for revenue and capital activities, security for investments and to manage risks within all treasury management activities. Procedures and controls to achieve these objectives are well established both through Member reporting detailed in the Purpose section of this report, and through officer activity detailed in the Council’s Treasury Management Practices. At the beginning and the end of 2016/17 the Council‘s treasury (excluding borrowing by PFI and finance leases) position was as follows:
Table 5: Treasury Position 31 March Average 31 March Average Rate/ Rate/ 2016 Life 2017 Life Return Return Principal (Yrs) Principal (Yrs) Debt Fixed Rate Debt PWLB£ 179,992 4.06% 23.77£ 197,964 3.79% 25.45 Market£ 37,280 0.91% 7.40£ 44,339 0.78% 6.93 Total Fixed Rate Debt£ 217,272 3.43% 20.65£ 242,303 3.24% 22.06 Variable Rate Debt PWLB £ - n/a n/a£ - n/a n/a Market£ 15,000 4.63% 34.71£ 15,000 4.63% 33.71 Total Variable Rate Debt£ 15,000 4.63% 34.71£ 15,000 4.63% 33.71 Total debt/gross borrowing£ 237,272 3.51% 21.54£ 257,303 3.32% 24.15 CFR£ 254,011 £ 276,334 Over/ (under) borrowing £ (16,739) £ (19,031) Investments Fixed Rate Investments In House£ 54,985 0.94% 0.76£ 74,985 0.80% 0.52 With Managers£ - n/a n/a£ - n/a n/a Total Fixed Rate Investments£ 54,985 0.94% 0.76£ 74,985 0.80% 0.52 Variable Rate Investments In House£ 13,354 0.50% 0£ 8,581 0.28% 0 With Managers£ - n/a n/a£ - n/a n/a Total Variable Rate Investments£ 13,354 0.47% 0£ 8,581 0.28% 0 Total Investments£ 68,339 0.86% 0.61£ 83,566 0.75% 0.47 Net Borrowing£ 168,933 £ 173,737
Statutory repayment of loans fund advances
Under Finance Circular 7/2016, Council is now required to set out its policy for the statutory repayment of loans fund advances prior to the start of each financial year. The repayment of loans fund advances ensures that the Council makes a prudent provision each year to pay off an element of the accumulated loans fund advances made in previous financial years.
Page 112 of 324 11
A variety of options are provided to Councils so long as a prudent provision is made each year. Council, on 7 February 2017, approved the following policy on the repayment of loans fund advances:- • For loans fund advances made before 1 April 2016, the policy will be to maintain the practice of previous years and apply what is termed “the Statutory Method”, with all loans fund advances being repaid by the annuity method. • For loans fund advances made after 1 April 2016, the policy for the repayment of loans advances will be to continue to operate under the “Statutory Method” – i.e. loans fund advances will be repaid by the annuity method. This annuity rate that is proposed to be applied to the loans fund repayments is based on historic interest rates and is currently 3.20%.
Under current legislation, the Statutory Method i.e. the annuity approach can be applied up to and including 31 March 2021, at which point consideration will need to be given to a number of alternative methods, with the broad aim to ensure that repayment periods are ‘reasonably commensurate with the period and pattern of the benefits provided to the community from capital expenditure’. Officers will review the impact of this on loan charges from 31 March 2021 and report back to Council in due course.
The following table outlines the advances from the loans fund as at 1 April 2016, advances and repayments made in the financial year 2016/17, and future principal repayments due.
Loans Fund Advances General Fund HRA £000's £000's Advances at 1 April 2016£ 99,959 £ 154,065 Advances in 2016/17£ 17,412 £ 12,225 Principal Repayments 2016/17-£ 3,632 -£ 3,661 Advances at 31 March 2017£ 117,371 £ 166,290
Principal Repayments 2017/18-2020/21-£ 15,611 -£ 21,019 Principal Repayments 2021/22-2025/26-£ 20,277 -£ 36,607 Principal Repayments 2026/27-2030/31-£ 18,582 -£ 36,240 Principal Repayments 2031/32-2035/36-£ 16,630 -£ 29,816 Principal Repayments 2036/27-2040/41-£ 16,171 -£ 21,116 Principal Repayments 2041/42-2045/46-£ 15,715 -£ 17,081 Principal Repayments 2046/47-2050/51-£ 12,625 -£ 19,082 Principal Repayments 2051/52-2055/56-£ 11,072 -£ 21,856 Principal Repayments 2056/57-2060/61-£ 6,952 -£ 25,588 Principal Repayments 2061/62-2065/66-£ 5,406 -£ 30,272 Principal Repayments 2066/67-2070/71-£ 3,906 -£ 21,020 Principal Repayments 2071/72-2075/76-£ 460 -£ 1,596
Page 113 of 324 12
The maturity structure of the debt portfolio was as follows: Table 6: Maturity Structure of Debt Portfolio 31-Mar-16 2016/17 31-Mar-17 Actual Original Limits Actual £000 %% £000 % Under 12 months £ 38,909 16% 0% to 50%£ 49,031 19% 12 months to 2 years £ 10,031 4% 0% to 50%£ 10,034 4% 2 years to 5 years £ 26,911 11% 0% to 50%£ 17,733 7% 5 years to 10 years £ 3,105 1% 0% to 50%£ 2,256 1% 10 years to 20 years £ 51,633 22% 0% to 50%£ 55,665 22% 20 years to 30 years £ 4,100 2% 0% to 50%£ - 0% 30 years to 40 years £ 60,700 26% 0% to 50%£ 80,534 31% 40 years to 50 years £ 36,883 16% 0% to 50%£ 37,049 14% 50 years and above £ 5,000 2% 0% to 50%£ 5,000 2% Total£ 237,272 100%£ 257,302 100%
The maturity structure of the investment portfolio was as follows:
Table 7: Maturity Structure of Investment Portfolio 31-Mar-16 31-Mar-17 £000 £000 Investments Under 1 Year£ 68,339 £ 83,566 Over 1 Year£ - £ - Total£ 68,339 £ 83,566
The exposure to fixed and variable interest rates on debt was as follows:-
Table 8: Fixed/Variable Interest Rate Exposure of Debt Portfolio 31-Mar-16 2016/17 31-Mar-17 Actual Original Limits Actual £000 %% £000 % Fixed Interest Rate Exposure £217,272 94% 0% to 100%£ 242,302 94% Variable Interest Rate Exposure £ 15,000 6% 0% to 30%£ 15,000 6%
Page 114 of 324 13
4. The Strategy for 2016/17 The expectation for interest rates within the treasury management strategy for 2016/17 anticipated low but rising Bank Rate, (starting in quarter 1 of 2017), and gradual rises in medium and longer term fixed borrowing rates during 2016/17. Variable, or short-term rates, were expected to be the cheaper form of borrowing over the period. Continued uncertainty in the aftermath of the 2008 financial crisis promoted a cautious approach, whereby investments would continue to be dominated by low counterparty risk considerations, resulting in relatively low returns compared to borrowing rates.
In this scenario, the treasury strategy was to postpone borrowing to avoid the cost of holding higher levels of investments and to reduce counterparty risk.
During 2016/17 there was major volatility in PWLB rates with rates falling during quarters 1 and 2 to reach historically very low levels in July and August, before rising significantly during quarter 3, and then partially easing back towards the end of the year.
With that in mind, the general strategy for any new borrowings required was to balance savings from the utilisation of short-term market money from other UK public sector bodies at rates available at less than base rate (0.5%), with borrowing from PWLB at historically low rates. This allowed longer-term borrowing to be undertaken in the early part of the financial year when rates were low, whilst continued use of shorter-term borrowing within the overall portfolio continued to add value.
Page 115 of 324 14
5. The Economy and Interest Rates
The two major landmark events that had a significant influence on financial markets in the 2016-17 financial year were the UK EU referendum on 23 June and the election of President Trump in the USA on 9 November. The first event had an immediate impact in terms of market expectations of when the first increase in Bank Rate would happen, pushing it back from quarter 3 2018 to quarter 4 2019. At its 4 August meeting, the Monetary Policy Committee (MPC) cut Bank Rate from 0.5% to 0.25% and the Bank of England’s Inflation Report produced forecasts warning of a major shock to economic activity in the UK, which would cause economic growth to fall almost to zero in the second half of 2016. The MPC also warned that it would be considering cutting Bank Rate again towards the end of 2016 in order to support growth. In addition, it restarted quantitative easing with purchases of £60bn of gilts and £10bn of corporate bonds, and also introduced the Term Funding Scheme whereby potentially £100bn of cheap financing was made available to banks.
In the second half of 2016, the UK economy confounded the Bank’s pessimistic forecasts of August. After a disappointing quarter 1 of only +0.2% GDP growth, the three subsequent quarters of 2016 came in at +0.6%, +0.5% and +0.7% to produce an annual growth for 2016 overall, compared to 2015, of no less than 1.8%, which was very nearly the fastest rate of growth of any of the G7 countries. Needless to say, this meant that the MPC did not cut Bank Rate again after August but, since then, inflation has risen rapidly due to the effects of the sharp devaluation of sterling after the referendum. By the end of March 2017, sterling was 17% down against the dollar but had not fallen as far against the euro. In February 2017, the latest CPI inflation figure had risen to 2.3%, above the MPC’s inflation target of 2%. However, the MPC’s view was that it would look through near term supply side driven inflation, (i.e. not raise Bank Rate), caused by sterling’s devaluation, despite forecasting that inflation would reach nearly 3% during 2017 and 2018. This outlook, however, is dependent on domestically generated inflation, (i.e. wage inflation), continuing to remain subdued despite the fact that unemployment is at historically very low levels and is on a downward trend. Market expectations for the first increase in Bank Rate moved forward to quarter 3 2018 by the end of March 2017 in response to increasing concerns around inflation.
USA . Quarterly growth in the US has been very volatile during 2016 but a strong performance since mid-2016, and strongly rising inflation, prompted the Fed into raising rates in December 2016 and March 2017. The US is the first major western country to start on a progressive upswing in rates. Overall growth in 2016 was 1.6%.
EU . The EU is furthest away from an upswing in rates; the European Central Bank (ECB) has cut rates into negative territory, provided huge tranches of cheap financing and been doing major quantitative easing purchases of debt during 2016-17 in order to boost growth from consistently weak levels, and to get inflation up from near zero towards its target of 2%. These purchases
Page 116 of 324 15 have resulted in depressed bond yields in the EU, but, towards the end of 2016, yields rose, probably due at least in part to rising political concerns around the positive prospects for populist parties and impending general elections in 2017 in the Netherlands, France and Germany. The action taken by the ECB has resulted in economic growth improving significantly in the eurozone to an overall figure of 1.7% for 2016, with Germany achieving a rate of 1.9% as the fastest growing G7 country.
On the other hand, President Trump’s election and promise of fiscal stimulus, which are likely to increase growth and inflationary pressures in the US, have resulted in Treasury yields rising sharply since his election. Gilt yields in the UK have been caught between these two influences and the result is that the gap in yield between US treasuries and UK gilts has widened sharply during 2016/17 due to market perceptions that the UK is still likely to be two years behind the US in starting on an upswing in rates despite a track record of four years of strong growth.
Japan struggled to stimulate consistent significant growth with GDP averaging only 1.0% in 2016 with current indications pointing to a similar figure for 2017. It is also struggling to get inflation up to its target of 2%, only achieving an average of -0.1% in 2016, despite huge monetary and fiscal stimulus, though this is currently expected to increase to around 1% in 2017. It is also making little progress on fundamental reform of the economy.
China and emerging market counties . At the start of 2016, there were considerable fears that China’s economic growth could be heading towards a hard landing, which could then destabilise some emerging market countries particularly exposed to a Chinese economic slowdown and / or to the effects of a major reduction in revenue from low oil prices. These fears have largely subsided and oil prices have partially recovered so, overall, world growth prospects have improved during the year.
Equity markets . The result of the referendum, and the consequent devaluation of sterling, boosted the shares of many FTSE 100 companies which had major earnings which were not denominated in sterling. The overall trend since then has been steeply upwards and received further momentum after Donald Trump was elected President as he had promised a major fiscal stimulus to boost the US economy and growth rate.
Page 117 of 324 16
6. Borrowing Rates in 2016/17
PWLB certainty maturity borrowing rates - the graphs and table for PWLB rates below and in appendix 3, show, for a selection of maturity periods, the average borrowing rates, the high and low points in rates, spreads and individual rates at the start and the end of the financial year.
The graph below shows how PWLB certainty rates have fallen to historically very low levels during the year.
Apr 2016 - Mar 2017 PWLB Maturity Certainty Rates 3.50%
3.00%
2.50%
2.00%
1.50%
1.00%
0.50%
1 Year 5 Year 10 Year 25 Year 50 Year 50 year target %
Short-dated market money :- sourced from other UK public bodies, rates fluctuated throughout the year from 0.20%-0.50% for 1 to 12 month maturities.
Page 118 of 324 17
7. Borrowing Outturn for 2016/17
New Treasury Borrowing:-
New loans were drawn to fund the net unfinanced capital expenditure and naturally maturing debt.
The loans drawn were:-
Table 9: New Loans Taken in Financial Year 2016/17 Date Principal Interest Fixed/ Maturity Term Lender Taken £000's Rate Variable Date (Yrs) PWLB 04 Jul 2016 £ 10,000 2.32% Fixed 04 Jul 2065 49.00 PWLB 08 Jul 2016 £ 10,000 2.28% Fixed 08 Jan 2063 46.50 Market Various £409,000 0.23%-0.48% Variable interest rate Various 0.08-0.17 Total £429,000
Market loans of £409.0 million reflect an average carrying value of £34.1m of Temporary Borrowing drawn on average every 1 month. This compares against a budget assumption of new short-term market borrowing of £30.0 million at an average interest rate of 0.50%.
Medium-long term borrowing of £20.0 million compares with a budget assumption of new borrowing of £47.6 million at an average interest rate of 3.28%.
Maturing Debt:-
The following table gives details of treasury debt maturing during the year:-
Table 10: Maturing Debt in Financial Year 2016/17 Date Original Date Principal Interest Fixed/ Lender Originally Term Repaid £000's Rate Variable Taken (Yrs) PWLB Various (Annuities) £ 29 8.72% Fixed Various 59.75 PWLB 25 Sep 2016 £ 2,000 10.50% Fixed 15 Jan 1992 24.70 Salix Various £ 61 0.00% Fixed Various 7-8 years Market Various £406,880 0.23%-0.48% Variable interest rate Various 0.08-0.17 Total £408,970
Rescheduling:-
No rescheduling was done during the year as the average 1% differential between PWLB new borrowing rates and premature repayment rates made rescheduling unviable.
Summary of debt transactions :-
The average interest rate payable on external debt decreased from 3.61% to 3.32%, as a result of the repayment of low coupon PWLB loans.
Page 119 of 324 18
8. Investment Rates in 2016/17
After the EU referendum, Bank Rate was cut from 0.5% to 0.25% on 4 August and remained at that level for the rest of the year. Market expectations as to the timing of the start of monetary tightening started the year at quarter 3 2018, but then moved back to around the end of 2019 in early August before finishing the year back at quarter 3 2018. Deposit rates continued into the start of 2016/17 at previous depressed levels but then fell during the first two quarters and fell even further after the 4 August MPC meeting resulted in a large tranche of cheap financing being made available to the banking sector by the Bank of England. Rates made a weak recovery towards the end of 2016 but then fell to fresh lows in March 2017.
Apr 2016 - Mar 2017 Bank Rate vs LIBID rates % 1.00 0.90 0.80 0.70 0.60 0.50 0.40 0.30 0.20 0.10 0.00
Bank Rate 7 day 1 mth 3 mth 6 mth 12 mth
Money market fund rates started the year between 0.23%-0.48%, trending at base and sub-base rate levels throughout the year.
Page 120 of 324 19
9. Investment Outturn for 2016/17
Investment Policy :-
The Council’s investment policy is governed by Scottish Government Investment Regulations, which have been implemented in the annual investment strategy approved by the Council on 8 March 2016. This policy sets out the approach for choosing investment counterparties, and is based on credit ratings provided by the three main credit rating agencies supplemented by additional market data (such as rating outlooks, credit default swaps, bank share prices etc.).
The investment activity during the year conformed to the approved strategy, and the Council had no liquidity difficulties.
Investments held by the Council :-
The Council maintained an average balance of £84.5 million of internally managed funds. The internally managed funds earned an average rate of return of 0.77%. The comparable performance indicator is the average 6- month LIBID un-compounded rate , which was 0.46%.
Page 121 of 324 20
10. Performance Measurement
One of the key requirements in the Code is the formal introduction of performance measurement relating to investments, debt and capital financing activities.
Loans Fund Rate
Combining the interest paid (earned) on external debt (investments) with charges for premiums written off and internal interest allowed into an average Loans Fund Rate, Midlothian’s result of 3.28% for 2015/16 was the lowest Loans Fund Rate amongst all mainland authorities in Scotland (see Appendix 1).
The comparative Loans Fund Rate for 2016/17, of 3.24%, is once again expected to be one of the lowest when benchmarked against all mainland authorities in Scotland (note that at present, these benchmark figures are not yet available).
Investment Benchmarking
The Council participates in the Scottish Investment Benchmarking Group set up by its Treasury Management Consultants, Capita. This service provided by Capita provides benchmarking data to authorities for reporting and monitoring purposes, by measuring the security, liquidity and yield within an individual authority portfolio. Based on the Council’s investments as at 31 March 2017, the Weighted Average Rate of Return (WARoR) on investments of 0.75% against other authorities is shown in the graph below:-
* Models for 30 June 2016, 30 September 2016 and 31 December 2016 are attached as Appendix 3.
As can be seen from the above graph, Midlothian is performing above the Capita model benchmarks (red to green lines), and is achieving one of the
Page 122 of 324 21 highest Weighted Average Rates of Return (WARoR) for the Weighted Average Credit Risk held, not only amongst peer Councils within the Benchmarking Group but also amongst the population of authorities across the UK.
Debt Performance
Whilst investment performance criteria have been well developed and universally accepted, debt performance indicators continue to be a more problematic area with the traditional average portfolio rate of interest acting as the main guide. In this respect, the relevant figures for Midlothian are incorporated in the table in Section 3.
Page 123 of 324 22
11. Conclusion
The Council’s overall cost of borrowing continues to benefit from proactive Treasury Management activity.
The cost of long term borrowing has been maintained by taking up opportunities to borrow from the PWLB at low interest rates whilst advantage has also been taken of the low rates available for temporary borrowing.
A better than average return on investments has been achieved for the tenth consecutive year and Midlothian continues to perform above the Sector model benchmarks and is achieving one of the highest Weighted Average Rates of Return (WARoR) for the Weighted Average Credit Risk held, not only amongst peer Councils within the Benchmarking Group but also amongst the population of authorities across the UK.
Overall Midlothian’s Loans Fund Rate of 3.24% for the year is expected to be one of the lowest when benchmarked against all mainland Authorities in Scotland.
Page 124 of 324 Appendix 3
Midlothian Council Investment Portfolio return as at 30 June 2016
Page 125 of 324 24
Midlothian Council Investment Portfolio return as at 30 September 2016
Page 126 of 324 25
Midlothian Council Investment Portfolio return as at 31 December 2016
Page 127 of 324
Page 128 of 324
1 Council Tuesday 27 ItemJune 8.102017
General Services Capital Plan 2016/17 Final Outturn
Report by Gary Fairley, Head of Finance and Integrated Service Support
1 Purpose of Report
This report presents the final outturn for 2016/17 on the General Services Capital Plan.
2 Background
2.1 Expenditure The latest 2016/17 General Services Capital Plan was approved by Council on 7 February 2017, with an expenditure budget of £34.604 million.
After reflecting rephasing of 2016/17 budgets to/from 2017/18 as shown in Appendix 1, the final budget for the year is £30.982 million. Material rephasing of budgets are shown in tables 1 and 2 below (further detail provided in Appendices 1 and 2):-
Table 1: Material Rephasing of budgets from 2016/17 forward to 2017/18
Project Amou nt Notes
£000’s Property Upgrades 739 Limited tender returns for a number of projects led to re-tendering and subsequent delay in work commencing. Interactive White 313 Rescheduling of works due to access and tp avoid Board Replacement disruption to schools over the exam period. Gorebridge Beacon 286 Delay to completion of project due to delayed including Sure Start progress on site from contractor provision New Recycling 244 Delay in obtaining planning consents Facility – Penicuik 7 Eskdaill Court 243 Project started later on site than anticipated due to design phase being extended to ensure accommodation requirements were met 49 Abbey Road 215 Site purchase settled early May 2017 Hillend Freestyle 208 Delayed pending resolution of funding Jump Slope Road Upgrades 201 Works on B6458 Tynehead were rescheduled to accommodate a request from the farming community. The works are now underway. Others 1,595 See Appendix 1 Total 4,044 Page 129 of 324
2
Table 2: Material rephasing of budgets from 2017/18 back to 2016/17
Project Amou nt Notes
£000’s Paradykes & Roslin 281 Roslin Primary school will be complete at the end of Primaries May 2017 which is earlier than the outline project programme, which had a summer 2017 completion Others 141 Total 422
Actual expenditure in the year was £31.146 million, giving an overspend of £0.154 million as detailed in Appendix 2. Material variances are as follows:-
Project Rephased Actual (Under)/ Notes Project Outturn Over Budget 2016/17 Spend 2016/17 £000’s £000’s £000’s EWiM Phase II 0 65 +65 Will be separately reported to Council at a later date Former Bonnyrigg 0 52 +52 Ongoing impact of design Leisure Centre variances required due to Building complex alteration to existing building that have been settled as part of the final account, agreed on 2 June 2016. Millerhill Access 0 37 +37 Risks materialising as a result of Road / Site Services claim from Scottish Water Horizons and additional ground investigation works, as reported to Council on 8 November 2016. Back Office – Server 175 198 +23 Changes to market conditions Replacement (Brexit) and some additional unplanned service requirements have resulted in additional costs. Others 415 402 -13 Total 590 75 4 +16 4
Page 130 of 324
3 2.2 Funding
The General Services Capital Plan approved by Council on 7 February 2017 budgeted for funding of £14.152 million. After adjusting for carry-forwards, the Plan budgeted for funding of £12.317 million, as shown in Section 2.4.
Actual funding was £13.495 million, £1.177 million more than budget, with the variances relating to:-
• A decrease in Scottish Government grants applied of £0.017 million, reflecting a net increase in the third party funding allocated for Contaminated Land and Public Sector Housing Grants of £0.017 million • An increase in other contributions of £0.069 million, including additional funding from Beeslack Community Fund for the Beeslack 3G Pitch project (£0.040 million), Entrust funding the East High Street & Burns Monument Public Realm works (£0.020 million) and Scottish Football Trust funding the Easthouses Lily Stand project (£0.005 million) and minor variances in other contributions received; • An increase of £1.125 million in developer contributions received and applied to the plan.
2.3 Borrowing
The General Services Capital Plan approved by Council on 7 February 2017 budgeted for an in-year borrowing requirement to fund capital investment of £20.452 million.
After adjusting for carry forwards, the Plan budgeted for in-year borrowing of £18.665 million.
Actual borrowing was £17.652 million. The reduction in borrowing of £1.013 million compared with the Plan approved by Council on 7 February 2017 broadly reflects:-
• the net rephasing of expenditure/funding for the year of £1.787 million as described in Sections 2.1 and 2.2; • the net overspend in 2016/17 of £0.164 million as described in Section 2.1; and • the additional funding of £1.177 million as noted in Section 2.2.
Page 131 of 324
4 2.4 Summary
A summary of the final outturn position for 2016/17 is outlined in the table below.
GENERAL SERVICES CAPITAL PLAN OUTTURN
2016/17 2016/17 2016/17 2016/17 2016/17
Carry Revised Budget Outturn Variance
Budget Forward £000's £000's £000's £000's £000's EXPENDITURE Resources 10,960 -3,025 7,936 7,987 52 Education, Community & Economy 23,308 -481 22,828 22,875 48 Health & Social Care 127 -32 95 95 0 Council Transformation 208 -85 124 189 65 Unallocated 0 0 0 0 0 Total Approved Expenditure 34,604 -3,622 30,982 31,146 164
FUNDING Government Grants 7,386 -156 7,230 7,213 -17 Receipts from Sales 5,178 0 5,178 7,106 1,928 Transfer to Capital Fund -5,178 0 -5,178 -7,106 -1,928 Developer Contributions 3,485 -418 3,067 4,192 1,125 Other Contributions 3,281 -1,261 2,020 2,090 69 Total Available Funding 14,152 -1,835 12,317 13,495 1,177
Approved Borrowing Required 20,452 -1,787 18,6 17,652 -1,013
2.5 Debt Outstanding
The previous Council approved cap on debt outstanding is £124.000 million, net of the debt outstanding on any projects that are forward funded (e.g. where the Council build the asset and recover monies from e.g. developers).
The actual level of debt outstanding, based on the outturn expenditure and income outlined above, and net of any forward funded projects, is shown in the table below:-
Page 132 of 324
5 2016/17 2016/17 2016/17 Budget Outturn Variance £'000 £'000 £'000
Debt Outstanding at 01 April 99,959 99,959 0 Borrowing arising from Capital Plan 20,452 17,652 -2,800 Debt Repayments -3,632 -3,632 0 Debt Outstanding at 31 March 116,779 113,979 -2,800
less: Net Capital Expenditure on Forward Funded projects Bilston Primary School 2,264 2,264 0 Gorebridge North Primary School 3,170 1,888 -1,282 Paradykes Primary School 0 0 0 Hopefield Primary School 0 0 0 Debt Outstanding at 31 March exc. Forward Funded projects 111,345 109,827 -1,518 Agreed Cap 124,000 124,000 0 Headroom 12,655 14,173 1,518
As can be noted from the table above, the overall level of debt outstanding (net of forward funded projects) at 31 March 2017 is within the cap of £124.000 million set by Council.
However, current projections forecast that the overall level of debt will exceed the cap by 2019/20 by c. £4m in 2019/20, rising to £15m above the cap in 2020/21. These projections are based on all projects which have received approval by Council for inclusion within the General Services Capital Plan, as at the date of writing of this report. Officers will review the appropriate level of cap which should be applied and bring a report forward to Council in due course.
2.6 Capital Fund
The Capital Fund at the start of the financial year was £15.378 million. Capital Receipts of £7.106 million were received in the year, which have been transferred to the capital fund. This increases the balance in the Capital Fund to £22.484 million. The timing and application of these funds will be considered in a future Financial Strategy report to Council.
3 Report Implications
3.1 Resource
The in-year borrowing requirement has reduced from £20.452 million to £17.652 million, with the resultant impact on loan charges reported in the Financial Outturn 2016/17 – General Fund Revenue report presented elsewhere on today’s agenda. Page 133 of 324 This reduction in borrowing in 2016/17 will also reduce the principal
6 repayments element of the loan charges in 2017/18, and this will be reported to Council in the next Financial Strategy report to Council.
The reduction in borrowing in 2016/17 is largely due to rephasing of a number of projects, with expenditure subsequently carried forward / rephased into 2017/18. As such, any saving in loan charges in 2016/17 will largely be unwound in 2017/18 and 2018/19, once the capital expenditure relating to these projects is incurred.
3.2 Risk
The inherent risk in the Capital Plan is that projects will cost more than estimated thus resulting in additional borrowing. The monitoring procedures ensure that significant variations are reported at an early stage so that remedial action can be taken to mitigate this risk.
3.3 Single Midlothian Plan and Business Transformation Themes addressed in this report:-
Community safety Adult health, care and housing Getting it right for every Midlothian child Improving opportunities in Midlothian Sustainable growth Business transformation and Best Value None of the above
3.4 Impact on Performance and Outcomes There are no issues arising directly from this report.
3.5 Adopting a Preventative Approach There are no issues arising directly from this report.
3.6 Involving Communities and Other Stakeholders No external consultation has taken place on this report.
3.7 Ensuring Equalities There are no equalities issues arising directly from this report.
3.8 Supporting Sustainable Development There are no sustainability issues arising directly from this report.
3.9 IT Issues There are no IT implications arising from this report.
4 Recommendations Council is asked to:-
1. Note the General Services Capital Plan outturn position for 2016/17;
Date: 6 June 2017
Report Contact: Gary Thomson Tel No 0131 271 3230 [email protected]
Background Papers: Appendix 1: Material RephasingPage of budgets 134 of from324 2016/17 forward to 2017/18 Appendix 2: General Services Capital Plan 2016/17 Expenditure Outturn
7 Appendix 1: Material Rephasing of budgets from 2016/17 forward to 2017/18
Project Amou nt Notes
£000’s SWAN Programme 167 Project behind schedule due to various supplier dependencies but still on track to delivery by Summer 2017. Street Lighting Upgrades 111 Suppliers were not able to supply columns quick enough leading to slippage in the plan. Saltersgate Alterations 124 Works carried out over Easter holiday (April 2017) to Phase II prevent disruption to pupils within school. Network Enterprise – 101 Project rescheduled to reflect office moves and other Network Assets (Power & scheduled works. Data) Stobhill Depot Upgrade 99 Essential health & safety repairs may still be required pending the progression of the new depot. Inspiring Learning Spaces 98 Delay to delivery of goods received due to bespoke nature of orders and supplier lead times. Newbattle Centre 69 Delay to finalisation of roadworks due to site Preparatory Works interface/co-ordination issues. New GoreGlen & Bilston 67 Main digital assets have been installed with further Digital Assets assets and work required in 2017/18 to complete the project. Former Hopefield Primary 59 Delay to appointment of design team due to School finalisation of project scope. Gore Glen Bing 58 Extent of rectification works could not be established prior to work commencing Cycling, Walking & Safer 52 Delay to commencement of project to install lighting Streets along the Bonnyrigg Bypass to Gorton Road cyclepath – now programmed for early 2017/18. Others 590 Total 1,595
Page 135 of 324
8 Appendix 2: General Services Capital Plan 2016/17 Expenditure Outturn
2016/17 2016/17 2016/17 2016/17 2016/17 GENERAL SERVICES CAPITAL PLAN Rephased Carry Revised Actual Variance 2016/17 Outturn Budget Forward Budget Outturn £000's £000's £000's £000's £000's RESOURCES Customer Services Front Office - Device & Interactive Asset Upgrades 481 -47 434 434 0 Back Office - Anti Virus Upgrades 0 0 0 0 0 Back Office - Server Replacement 175 0 175 198 23 Back Office - UPS Devices 1 0 1 1 0 Network Enterprise - Network Connection 0 0 0 0 0 Network Enterprise - Network Assets (Power & Data) 157 -101 57 57 0 IGS - Compliance - Data Encryption 0 0 0 0 0 IGS - Compliance - PCI 39 -39 0 0 0 Disaster Recovery 0 0 0 0 0 Service Desk - ITMIS Service Improvement 64 6 70 70 0 Committee Management System 3 -3 0 0 0 Paperless Meetings 16 -16 0 0 0 Business Application Upgrades inc. mobile working 19 -19 0 0 0 Interactive White Board Replacement 652 -313 339 339 0 SWAN Programme 208 -167 41 41 0 New GoreGlen & Bilston Digital Assets 147 -67 80 80 0 Newbattle Centre for Excellence in Digital Industries 0 0 0 0 0 Digital Services Asset Management Plan 0 0 0 0 0 Commercial Operations Street Lighting Upgrades 728 -111 616 616 0 Street Lighting LED Upgrade (Salix Funded) 0 0 0 0 0 Footway & Footpath Network Upgrades 1,122 7 1,129 1,129 0 Road Upgrades 1,524 -201 1,322 1,322 0 Millerhill Access Road / Site Services 0 0 0 37 37 Zero Waste Capital Contribution 0 0 0 0 0 Cycling, Walking & Safer Streets Projects 242 -52 190 190 0 Ironmills Park Steps 185 -21 164 164 0 Emily Bing 13 0 13 3 -11 New recycling facility - Penicuik 266 -244 23 23 0 Waste Collection Vehicles 140 64 204 204 0 Food Waste Collection 0 0 0 0 0 Vehicle & Plant Replacement Programme 1,523 -51 1,472 1,472 0 Electric Vehicles - Powerpoint Installation 73 -46 27 27 0 Grass Cutting Machinery 0 0 0 0 0 Geogrid - Barleyknowe Lane 68 -43 26 26 0 Loanhead Memorial Park 5 0 5 3 -2 20mph Limits 12 0 12 11 1 Vogrie Car Parking Barriers 33 -17 16 16 0 CCTV Upgrades 30 0 30 30 0 Webcasting Council, Cabinet & Committee Meetings 0 0 0 0 0 Mayfield Park Amenities 81 -25 56 63 7 King George V Park Outdoor Fitness Equipment 21 -4 17 17 0 Gore Glen Bing 270 -58 212 212 0 Easthouses Lily Stand 0 31 31 31 0 Property & Facilities Stobhill Depot Upgrade 100 -99 1 1 0 New Depot: EWiM Phase III 28 18 46 46 0 Straiton Bing Site Investigation 70 -2 68 68 0 Property Upgrades inc. Lighting/Lightning 1,550 -739 811 811 0 Purchase of 7 Eskdaill Court, Dalkeith 285 -243 41 41 0 Purchase of 49 Abbey Road, Dalkeith 215 -215 0 0 0 Purchase of 31 Jarnac Court, Dalkeith 205 -1 204 204 0 Hillend Freestyle Jump Slope Upgrade 208 -208 0 0 0 Primary 1-3 Free School Meals 3 0 3 0 -3 TOTAL RESOURCES 10,960 -3,025 7,936 7,987 53
Page 136 of 324
9
EDUCATION, COMMUNITY AND ECONOMY Early Years Woodburn Family Learning Centre 180 0 180 181 1 Gorebridge Development Trust (EYG Funded) 100 -100 0 0 0 Gorebridge Development Trust 91 -91 0 0 0 Gorebridge Development Trust (EYG Funded) 70 -70 0 0 0 Further Early Years Provisions 0 0 0 0 0 Primary 0 0 0 0 0 New Bilston Primary 3,414 -27 3,387 3,387 0 New Gorebridge North Primary 4,447 -57 4,390 4,390 0 Cornbank Primary Extension 19 0 19 12 -7 St Andrews Primary Extension -18 0 -18 0 18 Newtongrange Primary Extension 20 0 20 0 -20 Paradykes & Roslin Primaries Preparatory Works 436 0 436 436 0 Paradykes Primary Replacement 8,562 -1,107 7,455 7,455 0 Roslin Primary Replacement 3,782 1,388 5,170 5,170 0 Former Hopefield Primary School 100 -59 41 41 0 Inspiring Learning Spaces 310 -98 212 212 0 New Danderhall Primary hub 0 0 0 0 0 Secondary 0 0 0 0 0 Lasswade High School inc. 2nd MUGA 479 -51 428 428 0 Newbattle High School Preparatory Works 395 -69 326 326 0 Newbattle High School - Future Extension 0 0 0 0 0 Beeslack Community High School Pitch 360 23 383 383 0 General 0 0 0 0 0 Online Payments for Schools 45 -45 0 0 0 Bright Sparks 40 -40 0 52 52 PPP1 Land Acquisition 27 -27 0 0 0 Saltersgate Alterations Phase II 254 -124 130 130 0 Children and Families 0 0 0 0 0 Planning & Development 0 0 0 0 0 Environmental Improvements 70 73 143 143 0 Borders Rail - Economic Development Projects 0 0 0 0 0 Property Asset Management System 6 0 6 7 1 East High Street Public Realm & Burns Monument 120 0 120 122 2 TOTAL EDUCATION, COMMUNITY AND ECONOMY 23,308 -481 22,828 22,875 48
HEALTH AND SOCIAL CARE Adult & Social Care Assistive Technology 75 -10 65 65 0 Travelling Peoples Site Upgrade 17 -17 0 0 0 Homecare 35 -5 30 30 0 Customer & Housing Services TOTAL HEALTH AND SOCIAL CARE 127 -32 95 95 0
COUNCIL TRANSFORMATION Purchase to Pay 21 -15 6 6 0 EDRMS 0 0 0 0 0 EWiM 0 0 0 0 0 EWiM Phase 2 0 0 0 65 65 Online Housing Applications 27 -27 0 0 0 Corporate Telephony Services Upgrade 9 -9 0 0 0 EWiM - Buccleuch House Ground Floor 33 -33 0 0 0 Website Upgrade 119 -1 118 118 0 City Deal 0 0 0 0 0 TOTAL COUNCIL TRANSFORMATION 208 -85 124 189 65
GENERAL SERVICES CAPITAL PLAN TOTAL 34,604 -3,622 30,982 31,146 166
Page 137 of 324
Page 138 of 324 Item 8.11 Midlothian Council Tuesday 27 June 2017
Financial Strategy 2018/19 to 2021/22
Report by Gary Fairley, Head of Finance and Integrated Service Support
1 Purpose of Report
This report provides Council with an update on the Financial Strategy encompassing the years 2018/19 to 2021/22.
It includes:-
• An update on future years Scottish Government Grant; • Budget projections for 2018/19 to 2021/22; • A sensitivity analysis reflecting the potential impact of different pay and grant settlement scenarios years; • An update on the arrangements for the delegation of resources to the Midlothian Integration Joint Board; • An update on the change programme aimed at addressing the projected budget shortfalls; • The proposed governance arrangements and timetable for the 2018/19 budget; • Proposed additions to the General Services Capital Plan in 2017/18 in respect of the School estate; • An update on Reserves.
2 Background
The core objective of the Financial Strategy is that of securing the Council’s continued financial sustainability during an ongoing period of substantial financial constraint coupled with continuing service demand pressures and increasing customer expectations.
The last Financial Strategy report was presented to Council on 7 February 2017 and provided an updated assessment of projected budgets shortfalls through to 2021/22. At that meeting Council set both Council Tax levels and the budget for 2017/18.
This report begins the process by which Council will determine its budget and set Council Tax levels for 2018/19, within the context of the longer term financial projections.
Page 139 of 324 3 Scottish Government Grant Settlement
The Scottish Government’s grant settlement is one of the most critical aspects of the financial projections in this report.
The expectation is that the Cabinet Secretary for Finance and the Constitution will publish the Scottish Government budget proposals for 2018/19 in December 2017. This will follow on from the publication of the UK Government’s first Autumn Budget. It is currently anticipated that Scottish Government will publish a budget only for the year ahead and will not return to the publication of three year budgets. The Finance Circular setting out the proposed individual Council grant settlements figures and associated conditions, again for 2018/19 only, is expected to be published alongside the budget.
Thereafter the parliamentary process for approving Government’s budget is expected to be concluded in early February 2018. Members may recollect that for 2017/18 changes made during the parliamentary process resulted in an additional provision in the grant settlement for Local Government from that originally published in December 2016.
There are three main factors which will influence the level of grant support Council might expect for 2018/19 and beyond. Firstly a range of economic factors will influence the resources Governments have at their disposal, whether from the UK Government or through tax revenues directly controlled by Scottish Government. The other main factors will be the taxation and spending priorities of Government. Whilst an assessment of the economic factors can be made based on the information available from the Office of Budget Responsibility and the UK Government’s spending plans etc. the impact of Scottish Government’s tax and spending priorities will only become fully apparent when the budget is published in December 2017.
The CIPFA Directors of Finance section have engaged an economist to interpret the available data and his latest assessment indicates a continued cash reduction for the “unprotected” elements of the Scottish Government budgets of which the Local Government grant is the largest element. As such the indications are that the future years grant settlements will remain challenging with year on year cash reductions, other than for any additional resources provided to fund the cost of new legislative burdens. It is also expected that specific conditions and direction of resources will be an increasing feature of future years grant settlements.
The central planning assumption adopted for the Scottish Government grant projections is based on reductions in grant at a similar level to the original proposed 2017/18 settlement. This is an average 3.25% per annum cash reduction at a national level, offset by the impact of the relative growth in the Midlothian population. It is also assumed that government will continue to:-
Page 140 of 324 • Direct resources to Integrated Health and Social Care Boards via the NHS; • Direct resources to Schools through the Pupil Equity Fund or equivalent; • Provide flexibility to increase Council Tax by up to 3%; • Set specific requirements to maintain the overall pupil/teacher ratio and secure places for all probationers who require one under the teacher induction scheme .
It is stressed that the grant settlement figures through to 2021/22 as set out table 1 are projections, the actual figures being dependant on future budget decisions taken by Scottish Government. However they do provide Council with an assessment of the impact of the grant settlement on the Council’s financial position. Critically they highlight the severity of the challenge ahead for the term of this Council and the extent to which service provision will have to be significantly transformed and/or reduced.
4 Council Tax
The budget shortfalls set out in table 1 are based on the current Band D Council Tax of £1,246 and reflect the additional income from an increase in the number of properties.
As indicated earlier it is assumed that grant settlement conditions will provide flexibility to increase Council Tax by up to 3%. For Midlothian a 3% per annum increase is estimated to generate £1.274 million for 2018/19 rising to £1.334 million in 2021/22 and would result in Band D Council Tax rising to £1,283 in 2017/18 and to £1,403 by 2021/22.
Given the grant prospects set out in section 3 of this report the Financial Strategy incorporates the full 3% increase for each year to contribute to reducing the projected budget shortfalls.
5 Cost of Services
The projected cost of services for future years is derived from the 2017/18 approved budget detailed in appendix 1. The projections will be updated over the summer to reflect the latest information available and also to provide initial projections for 2022/23. Changes will be incorporated into an update report proposed for Council in September 2017.
Table 2 provides an analysis of the principle year on year budget changes which include the following key assumptions and cost drivers:
• Pay inflation of 1% per annum for all staff groups together with the cost of incremental pay progression; • The impact of Pension Reform and anticipated changes in the Council’s contribution towards employee pensions costs;
Page 141 of 324 • Provision for the Devolved School Management allocation to schools based on the current scheme, indicative pupil numbers and the requirement to maintain the pupil teacher ratio; • Contractual inflation linked to existing contractual conditions, many of which mirror pay inflation assumptions; • A provision for the future years costs of maintain pay levels for procured care services at or above the living wage; • The impact of current demand for services; • The demographic impact on the future demand for services; • Borrowing costs related to capital investment decisions based on future interest rate forecasts provided by the Council’s Treasury Advisers; • Any new government policy requiring budgetary growth will be fully funded through increased Scottish Government grant; • Council Tax income continues to grow in line with previous trends and planned future housing growth.
The projected budget shortfalls reflecting the assumptions set out in sections 3 to 5 are therefore as follows:-
Table 1: Budget Shortfalls 2018/19 to 2021/22 – 27 June 2017
2018/19 2019/20 2020/21 2021/22 £m £m £m £m Cost of Services 204.245 212.092 218.930 225.893 Less: Council Tax (45.604) (46.204) (46.854) (47.504) Less: Scottish Government Grant (145.708) (142.118) (138.618) (135.205) Budget Shortfall s 12.933 23.770 33.458 43.184
The budget shortfall in 2018/19 equates 6% of the net cost of services and the projections indicate this could rise to 19% by 2021/22.
As Council is aware, significant elements of the budget are either fixed or are challenging to change for a number of reasons including:-
• Historic decisions, for example, loan charges and unitary charge contractual payments; • Specific conditions, for example the maintenance of the teacher pupil ratio; and • Growing demand for services through demographic pressures.
These elements of the budget equate to £112 million in 2018/19 and are projected to rise to £140 million by 2021/22. Consequently the budget shortfall expressed as a percentage of the remainder of the budget equates to 14% for 2018/19 and has the potential to rise to 50% by 2021/22.
Page 142 of 324 Whilst the projected cost of service provision, Council Tax and Scottish Government grant has been projected forward to 2021/22 these are very much indicative projections based on the assumptions set out in sections 3 to 5 and will inevitable change over the period. The projections and planning assumptions on which they are based will be updated and reported to Council as new information becomes available. The main purpose of the projections is to provide Council with an assessment of the key factors which influence income and expenditure and the overall impact these may have on the Council’s financial position for future years. Critically they highlight the severity of the challenge ahead for the term of Council and the extent to which service provision will have to be significantly transformed and or reduced.
Members should note that the projections are based on the continuation of the existing service delivery and funding arrangements.
The budget shortfalls set out in table 1 arise for the following reasons:
Table 2: Analysis of Shortfalls – 27 June 2017
2018/19 2019/20 2020/21 2021/22 £m £m £m £m Opening Shortfall 3.970 12.933 23.770 33.458
Pay Inflation and Salary Progression 1.893 2.344 2.297 2.451 Pension Contributions 0.450 0.450 0.450 0.000 Contractual Inflation 0.547 0.637 0.571 0.652 Demographics: Care 1.040 1.040 1.040 1.040 Demographics: School Rolls 2.260 2.770 2.798 3.083 25 Hours in Primary Schools 0.090 0.000 0.000 0.000 Demand pressures: Children 0.324 0.024 0.024 0.024 School Estate Investment 0.381 1.126 0.033 0.036 Waste Disposal Costs 0.213 (0.285) 0.125 0.125 Non Domestic Rates 0.132 0.135 0.138 1.142 Borrowing Costs (0.003) (0.089) 0.123 (0.007) Scottish Government Grant 3.466 3.590 3.500 3.413 Council Tax Income (0.600) (0.600) (0.650) (0.650) Full year effect of 2017/18 savings (1.296) (0.358) (0.860) (0.610) Other Movements 0.066 0.053 0.099 (0.973) Totals 12.933 23.770 33.458 43.184
The principal movement from the figures set out in the 7 February 2017 report are as follows.
Page 143 of 324 Table 3: Movement from 7 February 2017 to 27 June 2017
2018/19 2019/20 2020/21 2021/22 £m £m £m £m Shortfall 7 February 2017 22.640 33.785 44.333 54.669
2017/18 Council Tax increase (1.254) (1.254) (1.254) (1.254) 2017/18 Transformation Savings (2.791) (2.791) (2.791) (2.791) 2017/18 Budget Savings (5.412) (5.770) (6.630) (7.240) Council Tax on Second Homes (0.250) (0.200) (0.200) (0.200) Shortf all 27 June 2017 12.933 23.770 33.458 43.184
6 Sensitivity Analysis
Given the level of uncertainty for future year grant settlements and outstanding pay awards table 4 provides a sensitivity analysis reflecting the potential impact of different scenarios/outcomes for these two key aspects of the budget.
Scenario 1. This is a more optimistic scenario which continues to assume a 1% pay award in each of the years but with cash flat grant settlements. Otherwise all other assumptions remain as set out in section 3.
Scenario 2. Is a more pessimistic scenario which assumes a 2% pay award and reducing grant income as set out in section 2.
Table 4: Sensitivity Analysis – 27 June 2017
2018/19 2019/20 2020/21 2021/22 £m £m £m £m Scenario 1 Central Assumption 12.933 23.770 33.458 43.184 Cash Flat Government Grant (3.466) (7.056) (10.556) (13.969) Amended Shortfall 9.467 16.714 22.902 29.215
Scenario 2 Central Assumption 12.933 23.770 33.458 43.184 Revised Pay Award Assumption 1.893 4.237 6.534 8.895 Amended Shortfall 14.826 28.007 39.992 52.079
These scenarios demonstrate the significance of the impact that changes from the central planning assumption for either government grant or pay inflation have on the projected budget shortfalls.
Page 144 of 324 7 Midlothian Integration Joint Board
As part of the budget setting process the Council will need to determine an allocation of resources to the Midlothian Integrated Joint Board (IJB). For 2017/18 the allocation was set at £37.510 million. The projected budget shortfalls set out earlier incorporate inflationary uplifts and a sum for demographic cost pressures in respect of services delegated to the IJB. The financial strategy also provides for a partial offset to these in 2018/19 of £1.000 million.
Given the severity of the financial challenge facing the Council there is a need for urgent dialogue with the IJB to ensure, if at all possible an agreed local strategy for the delivery of delegated services. This dialogue should inform the development of both the Council’s and the IJB’s Financial Strategies.
In addition as the future years budget projections are reviewed over the summer the resources for delegated services will also be assessed, reported to Council, and an update provided to The Chief Officer and Chief Financial Officer of the IJB.
This approach will support the IJB as it develops its own Financial Strategy within the context of the financial pressures and the available allocations anticipated to be available from both the Council and NHS Lothian.
8 Change Programme
In addition to the delivery of savings approved in the current and previous financial years and continued control over expenditure the strands of work that will continue to be necessary to address the projected budget shortfalls represent a change programme, encompassing:-
• The Transformation programme; • Delivering Excellence; • The EWiM programme; • An updated Capital Plan; • Operational savings encompassing financial discipline measures; • The development of further savings options for 2018/19 and beyond.
8.1 Transformation Programme
In addition to the £2.791 million of transformation savings targets included in the 2017/18 budget, future year’s savings targets are incorporated in the Financial Strategy. These are derived from those set out in the Council’s Transformation Programme update reports to Business Transformation Steering Group (BTSG) and are set out in table 5 below.
Page 145 of 324 Table 5: Council Transformation Programme Savings – 27 June 2017
2018/19 2019/20 2020/21 2021/22 £m £m £m £m Children’s Services 0.274 0.335 0.335 0.335 Services to Communities 0.850 0.850 0.850 0.850 Education 0.426 0.461 0.461 0.461 Health & Social Care 1.000 1.000 1.000 1.000 Totals 2.550 2.646 2.646 2.646
The savings targets set out in table 5 are predicated on the outcomes of the reviews and any subsequent decisions taken by Council and so remain indicative.
8.2 Delivering Excellence
The Delivering Excellence framework supports the repositioning of services to ensure they have a greater emphasis on and achieve better outcomes for those most disadvantaged and vulnerable in the community. The framework focuses on reshaping service delivery as the most sustainable way to address the financial and service challenges and maintain financial sustainability.
The framework sets out an approach that provides the means to:
• Realise savings of the scale and magnitude required and to continue to deliver high quality services by engaging staff, partners, stakeholders and citizens to determine the nature of service delivery, the level of service standards and the method of delivering these services; • To perform successfully in this environment, the Council will require to forward plan for the period beyond known financial settlements, to prioritise the services to be delivered and to clearly identify those services which will no longer be funded or indeed provided or may be provided through alternative mechanisms or approaches; and • To ensure that there is achievement of the outcomes and priorities of the Council and Community Planning Partners.
The Financial Strategy report to Council on 7 February 2017 set out further transformational activity which was anticipated would generate savings of £0.548 million in 2018/19 rising to £4.334 million by 2021/22. These savings are not factored into the projected budget gaps set out in table 6 below, but will feature as part of the Strategic Leadership Group’s proposals for a comprehensive change programme aimed securing the financial sustainability of Council Services.
8.3 Asset Management
The budget projections already reflect the full year impact of the first two phases of the Effective Working in Midlothian project. In addition the report to Council on 17 May 2016 in respect of Phase 3, Depots indicated a saving of
Page 146 of 324 £0.288 million which for the purposes of the Financial Strategy have been incorporated from 2019/20 onwards.
8.4 General Services Capital Plan
A comprehensive review of the General Service Capital plan will be progressed over the summer with the intention to present an updated plan for consideration by Council in September 2017 alongside a Learning Estate Strategy which is currently being developed and which will set out the long term plan for delivering denominational and non-denominational school capacity across Midlothian.
In addition to the proposed additions in respect of Saltersgate School and The Newbattle Community Campus reported elsewhere on today’s agenda there are two other items which are recommended for inclusion in the General Services Capital Plan. Both these projects require approval at this time to allow work to progress and contractual commitments to be made to ensure that the Council meets its statutory obligation to provide a place for every pupil, particularly for the 2017/18 academic year.
In advance of the consideration of a Learning Estate Strategy Council is recommended to approve provisions in the General Services Capital Plan for 2017/18 as follows:-
• £200,000 to allow the appointment of architects and to progress the preparation of detailed plans and costs for the extension of Cuiken Primary School and for the extension and refurbishment of Sacred Heart Primary School. • A total of £1.967 million to allow the procurement and installation of modular units during the 2017/18 academic year to provide additional capacity at Mayfield Nursery School, Danderhall, St David’s, Lasswade and Burnbrae Primary Schools. The costs are the best estimate at this point and will be confirmed after the procurement process and site surveys. £1.031 million will be met from the existing provision for early years thus the additional provision required in the capital plan is £0.936 million. Further details are set out in appendix 2.
An assessment is currently being undertaken to determine if these additional provision can be offset by income being collected through developer contributions. The outcome of this will be incorporated in the General Service Capital plan report scheduled for September 2017.
The projected future year’s budgets include a provision for the loan charges arising from the borrowing required to support the General Services Capital Plan and also the retention of a cap on borrowing, which had been set at £124 million, and which is currently expected to be exceeded. An increase in borrowing, including the impact of the projects included on today’s agenda, further exacerbates the position with regards to the borrowing cap and will inevitably lead to an increase the projected budget shortfalls set out in this
Page 147 of 324 report. In the absence of any other funding support this will in turn require further reductions in the service budgets.
8.5 Operational Savings
The budget projections set out in tables 1 and 2 already reflect the operational savings reported in previous year’s budgets. Further operational savings will be reflected in the projections as these are identified.
8.6 Savings
Taking cognisance of the extent of savings anticipated to secure a balanced budget for 2018/19 and the continued challenge for later years the Chief Executive has tasked Directors and Heads of Service to bring forward options aimed at addressing the projected budget gaps.
This work is ongoing and at the time of writing the Chief Executive, supported by each Director, is currently chairing a series of Challenge Boards aimed at scrutinising each Service budget and the emerging budget proposals. Thereafter a comprehensive change programme will be finalised and brought forward, via the Business Transformation Steering Group, to Council.
The timetable set out in section 9, if approved today, provides for these savings proposals to be first presented to Council in September 2017 with final budget decisions for 2018/19 being taken at Council early in 2018.
8.7 Fees and Charges
An inflationary increase for fees and charges are estimated to generate an addition £0.080 million in 2018/19 rising to £0.200 million by 2021/22.
8.8 Summary of Financial Strategy
The updated projections incorporating the impact of the various strands of the Financial Strategy and a 3% per annum increases in Council Tax are set out in table 6 below.
As the Financial Strategy develops over the coming months I will, as Section 95 Officer, require to seek assurance from Directors and Heads of Service that the budget proposals put forward by them for consideration are achievable.
It is stressed however that ultimately the achievement of savings will be dependent on decisions taken by Council.
Page 148 of 324 Table 6: Financial Strategy 2018/19 to 2021/22 – 27 June 2017 2018/19 2019/20 2020/21 2021/22 £m £m £m £m
Budget Shortfall Table 1 12.933 23.770 33.458 43.184 Less: Change programme Transformation Programme 8.1 (2.550) (2.646) (2.646) (2.646) Asset Management 8.3 0.000 (0.288) (0.288) (0.288) Operational Savings 8.5 0.000 0.000 0.000 0.000 Savings Options 8.6 0.000 0.000 0.000 0.000 Fees and Charges 8.7 (0.080) (0.140) (0.180) (0.200) Less: Council Tax Increase of 3% (1.274) (2.569) (3.884) (5.218) Remaining Budget Gap 9.029 18.127 26.460 34.832
9 Governance and Timetable
Each element of the Financial Strategy continues to have clear governance in place to ensure the timely delivery of the work stream. As separately reported on today’s agenda it is proposed to expand the remit of the Business Transformation Steering Group to encompass all of the change programme activities aimed at addressing the budget gap. All budget proposals will be reported through Business Transformation Steering Group and then to Council as appropriate. Responsibility for setting Council Tax, determining budgets and approving savings etc. remains, with Council.
Council has a duty as set out in Section 93 of the Local Government Finance Act 1992 (as amended) to set its Council Tax and a balanced budget for the following financial year commencing 1 April by 11 March. The proposed timetable set out in Table 7 would support the delivery of the Financial Strategy and specifically the determination of the 2018/19 budget and Council Tax levels before the statutory date.
Table 7: Timetable – Key Events Date * Event Action 27 June 2017 Council • Consideration of updated Financial Strategy. • Approval of timetable and approach for the 2018/19 budget. Ongoing to Development • Development of Change September 2017 Work programme and savings proposals by Strategic Leadership Group. 26 September 2017 Council • Consideration of updated projections. • Update on Financial and Strategy and Capital Plans. • Change programme proposals approved for engagement.
Page 149 of 324 Date * Event Action October/November Engagement • Shaping our Future engagement on 2017 Financial Strategy and change programme proposals. Mid December 2017 Grant • Assessment of grant settlement Settlement implications on budget. 19 December 2017 Council • Consideration of update report and feedback on engagement. Late January or Council • Consideration of update report, Early February reflecting grant settlement. 2018 • Consideration of change programme and savings proposals. • Recommendations to set Council Tax and determine a budget for 2018/19.
* Based on current meeting schedule and so may require revision. Interim reports will be presented to Council as necessary.
Members should also note that in terms of Section 112 of the Local Government Finance Act 1992 (as amended) it is an offence for members to participate in any vote in respect of setting Council Tax where the member has unpaid Council Tax. Accordingly at the Council meeting proposed for late January/Early February 2018 members would be required to disclose the fact if this section of the act applies to them and subsequently not vote on any question with respect to the matter.
10 Focussing Resources to Key Priorities
The Financial Strategy is designed to ensure that available resources are as far as possible targeted on delivery of improved outcomes, particularly against the key priorities of:-
• Reducing the gap in learning outcomes • Reducing the gap in health outcomes • Reducing the gap in economic circumstances
The Midlothian Community Planning Partnership continues to prioritise the available resources towards the delivery of the partnerships key priorities and the Financial Strategy sets out for partners the parameters the Council is working within and provides a means to better facilitate the sharing of budget and resource planning information.
The change programme will be central to ensuring that resources are directed towards the priorities set out in the Midlothian Single Plan.
Page 150 of 324 11 Reserves
The projected position for General Fund Reserves is set out in the Financial Monitoring 2016/17 – General Fund Revenue report also on today’s agenda.
The uncommitted General Fund Reserve at 31 March 2017 is £4.587 million, this reflects the £3.970 million which has been utilised in 2017/18 to balance the budget. This uncommitted reserve equates to 2.3% of next expenditure as a contingency in the context of the continuing challenging financial outlook, the uncertainty associated with future years grant settlements, pay awards, the economic impact of Brexit and also the potential costs to come from the historic child abuse enquiry.
Table 8 summarises the General Fund Reserve position.
Table 8: Available General Fund Reserve 31 March 2017 – 27 June 2017
£million General Fund Balance at 31 March 2017 17.651 Earmarked for specific purposes • Budgets carried forward to 2017/18 for specific (5.060) purposes • Earmarked for Council Transformation (3.838) • Borders Rail Economic Development Opportunities (0.196) Approved utilisation in 2017/18 (3.970) Available Contingent Reserve at 31 March 2017 4.587
In addition the unallocated balance on the Capital Fund at 31 March 2017 is £10.485 million.
12 Report Implications
12.1 Resources Whilst this report deals with financial issues there are no financial implications arising directly from it.
12.2 Risk Within any financial projections, there are a number of inherent assumptions in arriving at figures and budget provisions and therefore risks that may be faced if costs change or new pressures emerge. The following key risks and issues are highlighted in the context of this report:
• The economic outlook and decision by Scottish Government on future years grant settlements and grant distribution; • Given the nature of the savings options incorporated in the budget proposals the increase risk of non-delivery or late delivery of planned savings, including those arising from reductions in the staffing establishment; • The risk to service provision and service users associated with a continued decline in available resources to fund services;
Page 151 of 324 • Outstanding pay award settlements and the implications of the National Living Wage for external service providers; • Actual school rolls for the 2017/18 academic term exceeding those provided for in the budget; • The impact of the wider economic climate on range of factors including: inflation, interest rates, employment, tax and income levels and service demands; • Cost pressures, particularly demographic demand, exceeding budget estimates; • The impact of Universal Credit, and potential pension changes; • The costs of implementation of national policies varying from the resources provided by Government; and • Unplanned capital investment requirements and associated cost.
The Financial Strategy aims to mitigate a number of these risks by setting out the key assumptions on which forward plans are based, and through the Change programme activities, setting out the early identification of future saving proposals.
The projections set out in this report highlight the severity of the challenge ahead for the term of this Council and the extent to which service provision will have to be significantly transformed and or reduced.
The ongoing work of the Strategic Leadership Group, led by the Chief Executive, to develop and bring forward a comprehensive set of budget options for Council’s consideration is critical to addressing the projected budget gaps and securing financial sustainability for the continued delivery of services. To maintain the timetable set out above and present proposals to Council in September 2017 will require this work to be substantially completed before Council’s goes into recess allowing engagement with political groups during the summer. As such any slippage presents a significant risk.
The severity of the challenge is such that Council will require to approve a range of proposals over the coming months which not only achieves a balanced budget for 2018/19 but which will also contribute to reducing future years budget shortfalls. The risk of not doing so would be an erosion of reserves and so limiting the Council’s ability to deal with unforeseen or unplanned events.
12.3 Single Midlothian Plan and Business Transformation Themes addressed in this report:
Community safety Adult health, care and housing Getting it right for every Midlothian child Improving opportunities in Midlothian Sustainable growth Business transformation and Best Value None of the above
Page 152 of 324
12.4 Impact on Performance and Outcomes The Financial Strategy facilitates decision on how Council allocates and uses its available resources and as such has fundamental implications for service performance and outcomes. The budget projections indicate that in 2021/22 the Council will have available in the region of £180 million for the provision of services and the pursuit of key outcomes as set out in the Single Midlothian Plan.
12.5 Adopting a Preventative Approach Whilst the proposals in this report do not directly impact on the adoption of a preventative approach, an effective Financial Strategy in turn allows resources to be prioritised to support prevention.
12.6 Involving Communities and Other Stakeholders The proposed timetable set out in section 9 includes the continuation of Shaping our Future, the consultation strand of the Delivering Excellence framework. This has a focus on informing the community and other stakeholders of the financial and service challenges and provides a means to consult on a range of options as the change programme develops.
In addition, there continues to be engagement with the recognised Trade Unions on the Council’s financial position and service challenges.
12.7 Ensuring Equalities The Financial Strategy and the proposals which support financial sustainability will be developed within the context of the Midlothian Single Plan, ensuring that resources are directed towards key priorities. They will also reflect Midlothian’s commitment to the ethos of the Equality Act 2010 with consideration of the interests of the most vulnerable in our communities through equality impact assessment for all the proposals.
An overarching EQIA encompassing the revenue budget for 2018/19 will be prepared and incorporated in the report considered by Council when it sets the 20187/19 budget and Council Tax.
12.8 Supporting Sustainable Development There are no direct sustainability issues arising from this report.
12.9 Digital Issues There are no direct Digital implications arising from this report.
13 Summary This report provides:-
• An update on future years Scottish Government Grant; • Budget projections for 2018/19 to 2021/22; • A sensitivity analysis reflecting the potential impact of different pay and grant settlement scenarios;
Page 153 of 324 • An update on the arrangements for the delegation of resources to the Midlothian Integration Joint Board; • An update on the change programme aimed at addressing the projected budget shortfalls; • The proposed governance arrangements and timetable for the 2018/19 budget; • Proposed additions to the General Services Capital Plan in 2017/18 in respect of the School estate; • An update on reserves.
14 Recommendations Council is recommended to:-
a) Note the position in respect of the Scottish Government Grant Settlement as set out in section 2 and endorse the central planning assumption of average 3.25% per annum reduction in grant settlements;
b) Note the current projected cost of services, key assumptions and resultant budget shortfalls as set out in section 3 and endorse the key assumptions on which the budget projections are based;
c) Note the continuing uncertainties and the potential impact as outlined in the differing scenarios as set out in section 6;
d) Note the requirement to delegate resources to the Midlothian Integrated Joint Board and the ongoing work to support the development of the IJB’s own Financial Plans;
e) Note the impact of the Change programme and projected future years Council Tax increases and the impact on the Financial Strategy as set out in table 6;
f) Approve provisions in the General Services Capital Plan for 2017/18 as detailed in section 8.4 as follows:-
• £200,000 in respect of Cuiken and Sacred Heart Primary School; • A additional provision of £0.936 million to allow the procurement and installation of modular units during the 2017/18 academic year to provide additional capacity at Mayfield Nursery School, Danderhall, St David’s, Lasswade and Burnbrae Primary Schools.
g) Note the governance arrangements out in section 9 and approve the proposed timetable set out in table 7;
h) Note that the projections at this time indicate that a budget gap of £9.029 million for 2018/19 rising to £34.832 million by 2021/21, though these are heavily dependent on the assumptions detailed in the report;
Page 154 of 324 i) Note that the Strategic Leadership Group is engaged in developing budget options which will be presented to Council in September 2017, with budget decisions being in early 2018;
j) Note the severity of the financial challenge and also the risks as set out in section 12.2.
k) Otherwise note the contents of the report.
Date 19 June 2017 Report Contact: Gary Fairley Tel No 0131 271 3110 [email protected]
Page 155 of 324 MIDLOTHIAN COUNCIL Appendix 1
REVENUE BUDGET 2017/18 SUMMARY
Budget Service Function 2017/18 £ Management and Members 1,603,944 Education Communities and Economy Childrens Services 14,542,843 Communties and Economy 3,987,437 Education 85,143,974 Health and Social Care Adult Social Care 37,509,783 Customer and Housing Services 11,578,657 Resources Commercial Services 15,472,619 Finance and Integrated Service Support 11,736,179 Properties and Facilities Management 12,949,607
Lothian Valuation Joint Board 555,551 Centrally Held Budget Provisions 1,591,000 Non Distributable Costs 1,338,436 GENERAL FUND SERVICES NET EXPENDITURE 198,010,030 Loan Charges 7,406,000 Investment Income (300,475) Council Transformation Programme savings targets (1,667,125) Allocations to HRA, Capital Account etc. (4,782,000) NET EXPENDITURE 198,666,430
Utilisation of Reserves 3,970,430 Scottish Government Grant 149,692,000 Council Tax 45,004,000 TOTAL FUNDING 198,666,430
Page 156 of 324 Midlothian Council 27 June 2017 Appendix 2 Proposed Additions to General Services Capital Plan Item 8.11 Met from Additional Early Years Provision School Space Required Timing Estimated Cost Provision Required
Danderhall Primary School 30 nursery places - 162 sqm 2017 to 2020 £316,000 £363,000 1 class base - 65 sqm £68,000 £78,000
St David's Primary School 30 nursery places - 162 sqm 2017 ongoing £316,000 £363,000 1 class base - 65 sqm £68,000 £78,000 Requirement for play area £58,000 £67,000
Mayfield Primary School 30 nursery places 2017 ongoing £246,000 £283,000 Requirement for play area £58,000 £67,000
Lasswade Primary School 2 class base -155 sqm 2017 to 2022 £314,000 £361,000 Requirement for play area £58,000 £67,000
Burnbrae Primary School 20 nursery places 2017 to 2019 £208,000 £240,000
£1,710,000 Contingency (5%) and Professional fees (10%) £257,000 Total Estimated Cost £1,967,000 £1,031,000 £936,000
Page 157 of 324
Page 158 of 324
To follow agenda insert Item 8.12
Name of Committee Date of Meeting Midlothian Council 27 June 2017
Report Title Report Author Financial Accounts 2016/17 Head of Finance & Integrated Service Support
Page 159 of 324
Page 160 of 324 Midlothian Council Tuesday 27 June 2017 Item 8.13
Community Empowerment (Scotland) Act 2015: Council Implementation
Report by Dr Mary Smith, Director, Education, Communities and Economy
1 Purpose of Report
The purpose of this report:
a) Update the Council on the progress in implementing the Community Empowerment (Scotland) Act 2015. b) Note the establishment of the Asset Management Assessment Group and publish a searchable database of council assets. c) Demonstrate the front-facing web resource for Participation Requests. d) Seek approval for the process for coordinating Participation Requests.
2 Background
2.1 The Community Empowerment (Scotland) Act received Royal Assent on 24 July 2015. The 11 substantial parts of the Act come into force at different times. A summary of the requirements, leads and status of the different parts is summarised in appendix 1 of this report.
2.2 The Council has been kept fully informed of the requirements of the Act, most recently at their meeting on the 7 February 2017.
2.3 The Council is adhering to the legal requirements of the Act, with the exception of Part 5 Asset Transfer.
2.4 The statutory guidance details the support and process for managing Participation Requests, Part 3 of the Act. In summary Participation Requests follow four key steps:
a) A community body puts forward a participation request to a public service authority asking them to take part in a process with a view to improving the outcome set out by the community body. b) The public service authority must agree to the request and set up an outcome improvement process unless there are reasonable grounds for refusal. If it refuses the request, it must explain the reasons. c) How the outcome improvement process will work and how long it should take is discussed between the community body and the public service authority. d) At the end of the process the public service authority must publish a report on summarising the process, whether the outcomes were improved and how the community body contributed to that improvement. The service authority must publish an annual report.
Page 161 of 324 2.5 When making a request the Community Body must:
a) Specify an outcome that results from the provision of a service provided to the public by or on behalf of the authority. b) Set out the reasons why the community participation body considers it should participate in the outcome improvement process. c) Provide details of any knowledge, expertise or experience the community participation body has in relation to the specified outcome. d) Provide an explanation of the improvement in the specified outcome which the community participation body expects as a result of its participation. 2.6 To encourage community engagement a new webpage has been developed. This encourages people to make contact with the Community Officer, take part in a Place Standard Consultation and make a Participation Request: www.midlothian.gov.uk/info/200284/your_community
Participation requests will initially be screened by the Communities Team who will administer the process. Formal Participation requests will be reported to the CMT with recommendations on the appropriate course of action. The proposed process is included in appendix 2 of this report.
2.7 The CMT receives reports on the Council’s compliance with the implementation of the Act.
3 Report Implications
3.1 Resource There are no additional resources for public service authorities to implement the Act. The Act makes clear that there is now a legal duty that the five core partners, Council, NHS, Police, Fire and Scottish Enterprise share resources to deliver the outcomes agreed in Single Midlothian Plan.
3.2 Risk The asset register is available but is currently being developed into a searchable database as this is a requirement of the Act. The Community Management Asset Assessment Group needs to be established.
3.3 Single Midlothian Plan and Business Transformation Themes addressed in this report: All these are potentially affected by the Act. Community safety Adult health, care and housing Getting it right for every Midlothian child Improving opportunities in Midlothian Sustainable growth Business transformation and Best Value
3.4 Key Priorities within the Single Midlothian Plan The Act is now the basis of community planning duties, expectations, community engagement, structures and resource sharing.
3.5 Impact on Performance and Outcomes The Single Midlothian Plan has an agreed set of outcomes for the period up to 2019. The Act places a legal duty to report publicly and jointly with CPP partners on performance towards these outcomes and the rights of community groups to initiate requests to participate in outcome improvement processes.
Page 162 of 324 3 3.6 Adopting a Preventative Approach The Single Midlothian Plan commits partners to plan preventative approach to service provision.
3.7 Involving Communities and Other Stakeholders The Act and this guidance, makes a major shift in rights of community groups to request participation in public service decision making processes. New systems and procedures have been developed to meet this statutory requirement.
3.8 Ensuring Equalities The guidance makes clear that there must be a demonstrable effort to support the involvement in decision making of people that face additional barriers to participating in public life. The Communities Team will proactively support people who experience additional barriers to get involved and participate in council decision making.
3.9 Supporting Sustainable Development The guidance makes clear a continuing expectation that use of public land and assets is sustainable, including requiring a food strategy, provision of land for allotments, re-use of derelict land or surplus buildings by the community for social benefit.
3.10 IT Issues There are no specific IT issues.
4 Recommendations
Council is requested to:
a) Note the progress in implementing the Community Empowerment Act. b) Note the establishment of the Asset Management Assessment Group and the legal duty to publish a searchable database of Council assets. c) Approve the process for managing Participation Requests.
06 June 2017
Report Contact: Name Stephen Bermingham, 0131 271 3338
Background Papers: Appendix 1 & 2
1) Community Empowerment (Scotland) Act Timeline and current status. 2) Participation Requests Process.
Page 163 of 324
Page 164 of 324 Item 8.13 Appendix 1 Community Empowerment (Scotland) Act Timeline and current status: May 2017 Requirements Status Lead Part 1: National Outcomes. Decisions made in relation to the Came into force 15 April Alasdair Empowerment Act must align with the National Performance 2016 Mathers Framework. Part 2: Community Planning. Communities and CPP partners Came into force 20 Alasdair work more closely together to develop priorities for the local December 2016. Mathers area. Part 3: Participation Requests. A commu nity body can request Came into force on 1 Stephen to take part in the process with the public service authority to April 2017. Bermingham deliver an improved outcome of a service. Final regulations and guidance have been developed.
Part 4: Community Rights to Buy Land. Community groups can Expected to come into Scottish apply to buy land (privately owned) if it is abandoned, force summer 2017. Ministers neglected or causing harm and they can show the sale will benefit local people. Part 5: Asset Transfer. Community groups can make an Asset Came into force 23 Gareth Davies Transfer request for land/or a building managed by the public January 2017.The body (to buy or to lease). An Asset Register must be current asset register published. needs to be developed into a searchable database. Part 6: Delegation of Forestry Commissioner’s Functions. To Came into force 23 Forestry align forestry leasing better with asset transfer. January 2017. Commission
Part 7: Football clubs. Should give football supporters the Scottish Government is TBC opportunity to be involved in decision making and running of currently considering their club. consultation responses.
Part 8: Places a statutory duty on local authorities to establish Dra ft guidance for TBC and maintain a register of all property held by them for the consultation following common good. It also requires local authorities to publish the 2017 local elections. their proposals and consult community bodies before disposing of or changing the use of common good assets.
Part 9: Updates and simplifies legislation on allotments. It Consultation early to Grant requires local authorities to take reasonable steps to provide mid 2016. Responses Ballantine & allotments if waiting lists exceed certain trigger points and are currently being James Kinch strengthens the protection for allotments. considered, not yet in force.
Part 10: Participation in Public Decision -Making. Scottish Stakeholde r event was Stephen public authorities must promote and facilitate the held in March 2016, but Bermingham participation of members of the public in the decisions and no statutory guidance activities of the authority, including in the allocation of its published yet. resources. Part 11: Non -domestic rates. Councils have the power to Came into force 31 Council create and fund their own localised business rates relief October 2015. schemes; in addition to existing national rates relief.
Page 165 of 324 £On target £ Off target £Not yet in force
Participation Requests Process
Page 166 of 324 Midlothian Council 27 June 2017 Item 8.14
Single Midlothian Plan 2017-18
Report by Kenneth Lawrie, Chief Executive
1 Purpose of Report The Community Planning Partnership (CPP) Board has approved a 3 year plan for the period 2016-19, with medium term outcomes and associated indicators This report to Council asks that it approve the attached 2017/18 annual action plan, outcomes and indicators, and their adoption as the partnership’s shared Local Outcome Improvement Plan for 2017/18.
2 Background
2.1 The Community Planning Partnership established under the Local Government Act 2003, and now strengthened legislatively by the Community Empowerment Act 2015, is required to submit a Local Outcomes Improvement Plan (replacing the former Single Outcome Agreement ) each year to the Scottish Government. This plan must set out what shared local outcomes the partners are pursuing within the outcomes framework established by the Community Empowerment Act statutory guidance.
2.1 The Midlothian Community Planning Partnership Board, is now a statutory Board, under the terms of the Community Empowerment Act 2015, which includes a duty on 5 core partners (Council, Police, NHS, Fire and Rescue and Scottish Enterprise) to co-facilitate community planning. Revised governance arrangements are in development to meet this requirement and are being addressed in a separate report to CPP Board and the Council for consideration as a partner.
2.2 Community Planning Partnerships (CPPs) are required under the new Act to mobilise public sector assets, activities and resources, together with those of the voluntary and private sectors and local communities, to deliver a shared plan to improve outcomes in Midlothian. This document is now referred to in the Act as the Local Outcomes Improvement Plan .The Midlothian version of this, The Single Midlothian Plan uses an evidence based approach, underpinned by data, to drive improvement in meeting the differing needs of local populations and client groups
2.3 The shared planning cycle of the partners is as follows: • Annual revision of the Midlothian Profile: Jan–March (a comprehensive data set of information about the area, updated annually by the community planning research and information group) • Revision of the Strategic Assessment: April–June (a business planning and risk assessment process undertaken by the thematic partnerships ) Page 167 of 324 2 • Public engagement processes: July – Oct • ( citizens panel, and stakeholder engagement led by the community engagement sub group of the partnership) • Drafting of budgets and one year priorities: Oct – Dec (Each partner agency is able to use the priorities to contribute to their budget setting processes.) • Achieving formal approval of plans and budgets: Jan – March
Council service plans for 2017/18 were drafted and approved by Council in March 2017 using the shared priorities. The CPP Board, chaired by the Council leader formally agreed the final version of the plan at its meeting in April 2017.
2.4 Local Priorities As a final part of this planning cycle, the CPP as a whole (130 delegates from public and private sector partner agencies, council, community councils and third sector representatives) met and debated what this evidence indicated and how we could develop further the previous three priorities of early years/child poverty; positive destinations for young people; and economic growth. The CPP conference recommended the partnership focus on three priorities for the period 2016-19: o Reducing the gap in learning outcomes o Reducing the gap in health outcomes o Reducing the gap in economic circumstances
It is clear that these new priorities build on work previously undertaken within Midlothian. They recognise the importance of learning and attainment from early years through to positive destinations, the criticality of addressing health inequalities as set out in the Midlothian Integrated Joint Board’s Integration Plan, and the significant negative impact of inequalities in economic circumstances and opportunity.
Whilst developed locally they reflect the national priorities of addressing health inequality; closing the gap in learning and inclusive economic development and the CPP has committed to working together to address these priorities.
2.5 The three “approaches” - Preventive intervention; Changing access; Capacity building and co-production At the beginning of 2012-13 Midlothian Council initiated a project to consider how it should reshape its values and its operating systems. . The recommendations from this were approved by the Council in January 2013. Agreement was subsequently reached by all partners on the CPP Board to adopt, as far as possible in their context, the same three principles as appropriate ways for all local public services to develop. These three ways are:-
Preventive intervention The term prevention refers to the ways in which public services, including the voluntary sector (and citizens), can act now to prevent increased need for public services in future by helping people to retain their independence in the face of age, ill health, disability or other challenges; or to achieve self-supporting life circumstances requiring Page 168 of 324 3 much reduced future public support by overcoming difficulties associated with poverty, unemployment, addiction or exposure to crime and related issues.
Building communities’ capacity to manage their own affairs and co-production of public services with service users and communities Working with communities of place, interest or need to plan, develop and maintain public services; potentially transferring some public assets to community ownership or management; co-designing with service users and their families.
Shifting where and how the public can access services For example: making access local through shared public buildings; changing working hours; moving to online, digital or telephone access; delivering services through community owned buildings.
2.6 Area targeting At the 2013 annual planning event, re-confirmed at the 2015 event which set the current 2016-19 3 year cycle in place, the CPP agreed that in future it will add a further dimension to how it sets priorities. For many years there has been a significant statistical gap between the outcomes for residents living in certain parts of the County and the average outcomes for Midlothian and Scotland as a whole.
These areas have been identified nationally by Scottish Government by use of 7 sets of statistical data about living circumstances known as the Scottish Indicators of Multiple Deprivation (SIMD). The national approach is to recognise that areas which fall into the top 20% of SIMD and require a particular focus to reduce the gap between the outcomes for people in these communities and the Scottish averages. In Midlothian there are three communities within which there are concentrations of statistics which place parts of these areas in the top 20% of SIMD.
These communities are currently:_
Dalkeith Central/Woodburn, Mayfield/Easthouses, and Gorebridge.
In the 2016 SIMD update 2 new datazones emerged that also fall into the top 20%, one in Bonnyrigg, and one in Loanhead. As individual groupings of between 350 and 500 households, it is not yet clear there is sufficient need to amend the targeted communities list. Attention will need to be paid to analysing the reasons for these areas emerging and seeking to reduce the factors that have caused this.
The CPP therefore decided to set a clear shared target of closing the gap between the outcomes experienced in the 3 named parts of Midlothian and the average outcomes experienced by residents across the County. It is also recognised that there are areas of relative disadvantage, including the 2 new datazones referred to above in other communities across Midlothian and so closing the outcomes gap for residents affected across all areas of the county is of importance.
Page 169 of 324 4 This decision means that partners will work together to give priority to actions in these three geographies, developing ideas in partnership with local people and the community agencies they lead.
Inequality Indicators are being agreed that will allow the Board to consider the outcomes gaps between local geographies and between Midlothian and Scotland averages. These are not operational performance indicators, as they take a long term view of social/ economic and demographic circumstances including matters affected by factors beyond the CPP’s control.
3 Report Implications
3.1 Resource The Single Midlothian Plan for 2016-19 and the 2017/18 action plan comprise outcomes, actions and indicators agreed with Community Planning Partners. The CPP Board members are now required by law under the Community Empowerment Act 2015 Section 9 (3) to provide joint resourcing of actions to improve agreed outcomes, and to jointly resource the CPP processes to enable community participation in decision making.
3.2 Risk By ensuring that appropriate, measurable outcome indicators are in the Plan, the Partnership is in a better position to ensure it is working effectively towards improving quality of life in Midlothian.
3.3 Policy
Strategy The Plan outlines how the CPP will deliver the priorities for Midlothian and therefore contribute to the achievement of 15 national outcomes outlined by Scottish Government. Performance management reports are produced every six months, and enable the contributions of partners to be seen. The Board have agreed to focus on the three key priorities set out earlier in this report, and a dashboard of performance indicators has been developed to give the Board an overview of performance on these three areas specifically .
Consultation As indicated there is an annual process of engagement as part of the planning cycle. Work continues to strengthen the voice of communities of place and interest in the community planning process.
Equalities and Sustainability Equalities issues are key, and the plan identifies actions aimed at reducing inequalities by partners for 2017-18 in each theme, as well as some specific actions with protected characteristics groups involving partnership working. The Equalities and Human Rights Commission has statutory reporting requirements which the CPP must comply with. To comply each thematic partnership needs to ensure it tracks how its actions have made a positive impact with and for protected Page 170 of 324 5 characteristics groups. This requires an equalities impact performance system across the partners.
3.4 IT Issues There are no specific IT issues
5 Recommendations
Council is asked to approve the Single Midlothian Plan for 2017/18 as agreed by the Community Planning Partnership Board
Date 4/06/2017
Report Contact: Alasdair Mathers Name Tel No 0131 271 3438 E-mail alasdair.mathers @midlothian.gov.uk Background Papers: Single Midlothian Plan 2017/18
Page 171 of 324
Page 172 of 324
Item 8.14
Community Planning Partnership
Single Midlothian Plan
2017-18 Midlothian Council Midlothian Performance Team Performance
Page 173 of 324
Page 174 of 324
Contents
VISION ...... 1 PURPOSE ...... 2 PROCESS ...... 2 STRUCTURE ...... 3 AREA TARGETING ...... 3 LEGAL CHANGES ...... 3 EQUALITIES ...... 4 THE PLAN ...... 4 ADULT HEALTH AND CARE ...... 6 COMMUNITY SAFETY AND JUSTICE PARTNERSHIP ...... 11 GETTING IT RIGHT FOR EVERY MIDLOTHIAN CHILD (GIRFEMC) ...... 18 IMPROVING OPPORTUNITIES MIDLOTHIAN ...... 24 SUSTAINABLE GROWTH ...... 32 EQUALITIES ...... 43
Page 175 of 324 Page 176 of 324
SINGLE MIDLOTHIAN PLAN 2017-18
The local outcomes improvement plan for Midlothian
VISION In 2003 the Community Planning Partners after extensive public debate and engagement, set out a vision for the long term future of Midlothian up to 2020 based on 2 key principles of ‘People’ and ‘Place’. This was spelt out as the following shared tasks:
Improve quality of life for everyone; and Safeguard the resources we haveOur today 2020 for future Vision generations
Sustainable Culture Identity and
Environment Diversity Lifelong Health and Learning Well-being
Safety Economic SUSTAINABILITY Capacity QUALITY OF LIFE
Social Inclusion
The Community Planning Partnership (CPP) Board encapsulated these concepts in its revised vision statement in 2015/16:
“Midlothian – A Great Place to Grow”
Page 177 of 324 Page 1 PURPOSE Community Planning Partnerships (CPPs) draw together public sector assets, activities and resources, together with those of the voluntary and private sectors and local communities to deliver a shared ‘plan’ that uses an evidence based approach to drive improvement in meeting the differing needs of local populations. CPPs have to have clear performance measures and make demonstrable improvements in people’s lives, by reducing outcome gaps within populations and between areas, promoting preventative approaches that reduce demand for public services, and working with communities to increase their influence in decision making and managing their own needs.
PROCESS The Midlothian CPP undertakes an annual data collection exercise, gathering together key available published data about the Midlothian area. The Midlothian Profile is produced by the Community Planning Research and Information Group, and is used by the CPP as the starting point for an annual “Strategic Assessment” of Midlothian.
A Strategic Assessment is a review of statistics, followed by a review of the political, social, economic, technological, environmental and legal (PESTEL) changes either currently or in the next immediate period affecting the area, followed by an assessment of the level of impact (business risk) that these are likely to have on the communities of Midlothian. The shared planning cycle of the partners is as follows:
Annual revision of the Midlothian Profile: March - April Revision of the Strategic Assessment: April – June Public engagement processes: July – September Drafting of budgets and one year priorities: October – December Achieving formal approval of plans and budgets: January – March
MAP OF THE CPP AND ITS MAIN PRIORITIES
Page 178 of 324 Page 2 STRUCTURE The full structure of the CPP, including remits membership of each thematic group governance documents sub groups and sub group action plans are all available on the Midlothian Council website at: Community Planning web pages The current partnership structure can be accessed by following the link below Community Planning Structure Community Planning Board membership list Community Planning Working Group membership list
AREA TARGETING The CPP is aware that for many years there has been a significant statistical gap between the life outcomes for residents living in some parts of the County and the average outcomes for Midlothian and for Scotland as a whole. These areas have been identified nationally by Scottish Government by use of 7 sets of statistical data about living circumstances known as the Scottish Indicators of Multiple Deprivation (SIMD).
Examples of the gaps include poorer levels of employment; lower wage rates; lower average life expectancy and greater concentrations of people who are elderly or disabled; poorer access to physical amenities such as shops, health care, public spaces and play facilities; lower than average qualifications; higher levels of crime.
In Midlothian there are three communities within which there are concentrations of statistics which place parts of these areas in the top 20% of SIMD. These communities are Dalkeith Central/Woodburn; Mayfield/Easthouses and Gorebridge. The CPP has therefore set a clear shared target of closing the gap between the life outcomes experienced in these parts of Midlothian, and the average life outcomes experienced by residents across the County. Each of these areas must now by law ( Community Empowerment Act ) also have a “ Locality Outcome Improvement Plan” in which local residents have been actively engaged in creating the content with public bodies ; responding to local needs and aspirations. The CPP ‘s existing Neighbourhood planning arrangements fulfil this requirement with new plans in place for Dalkeith/ Woodburn and Gorebridge , and the Mayfield /.Easthouses plan under revision with local residents but the existing plan still being delivered . The 2016 SIMD has also identified a single datazone in Loanhead and one in Bonnyrigg which fall into the top 20%. In addition SIMD data indicates that there are individual features of other areas that fall into the top 20%, notably crime indicators and qualification level indicators.
LEGAL CHANGES In 2015 - a new act was passed into law, significantly affecting the operations of the CPP.
The Community Empowerment (Scotland) Act (2015) CPPs have been made statutory (required by law) and new duties have been placed on public sector partners to play a full and active role in Community Planning. The Act makes clear that Community Planning is the process by which public bodies must work together and with community bodies to plan for, resource and provide services which improve local outcomes in the local authority area; The Act confirms that the role of a CPP is to prepare a plan for improving local outcomes, in consultation with community bodies and others. These outcomes are to be consistent with the national outcomes determined by the Scottish Ministers under Part 1 of the Act The CPP must publish the plan, monitor progress being made and report annually on progress. The Bill extends the list of key partners to include a wider range of public authorities, including Scottish Natural Heritage, FE Colleges, Skills Development Scotland, and the new integrated health and care boards. Individual partners now have a legal duty to work collaboratively and to take into account the plan when setting their individual priorities, and to commit resources to delivery of the plan and report to the CPP on their contribution. The Scottish Government expects that all public sector organisations engage with communities and support their participation in setting priorities and in the design and delivery of services. Community bodies must in turn ensure that ensure they are open, inclusive and truly represent their communities.
Page 3 Page 179 of 324 Where an appropriate community body, or a group of bodies, believes it could help to improve the outcome of a service, it is now entitled to make a request to a public body that delivers that service, asking to take part in a process to improve that outcome. The public body must agree to the request for dialogue unless there are reasonable grounds for refusal. If it refuses the request, it must explain the reasons. If a community body proposes to deliver a service itself, the public body will need to decide whether the community body has an appropriate corporate structure and the capacity to take on that role; The Act makes amendments to the community right to buy, making it easier for communities to define their community in a greater variety of ways. It gives the initiative to communities to identify unused public property they are interested in and place a duty on public authorities to agree to the request unless they can show reasonable grounds for refusal. Community bodies will be able to approach public authorities for detailed information about a property they are interested in before making a formal request.
EQUALITIES The Community Planning Partnership is fully committed to ensuring the legislative requirements placed on all public service delivery agencies in the Equality Act are met. The partners have in place processes for equality impact assessment (IA) to monitor the potential impact of any changes in service planned individually or jointly. The impact assessment of this plan is published on the Community planning pages of the Council website.
THE PLAN The CPP undertook a review and engagement process in 2015 /16 resulting in changed priorities for the next three financial years 2016/17 to 2019/20. Taking into consideration evidence about the comparative quality of life of people living in Midlothian, where it is clear that less well off residents experience poorer health, have fewer or no choices in how they use low incomes, and where there is an proven relationship between these factors and their learning; as a result the top three priorities for the three year period are:
Reducing the gap in learning outcomes Reducing the gap in health outcomes Reducing the gap in economic circumstances
More widely, the five themes of community planning have agreed shared outcomes to work towards over the next 3 years. These outcomes are that, by the end of the 2019/20 budget year
Adult Health and Care People are able to look after and improve their own health and wellbeing and live in good health for longer People, including those with disabilities/long term conditions or are frail are able wherever possible, to live independently and in their own home. Health and Social Care have contributed to reducing health inequalities. Unpaid carers are supported to look after their own health and wellbeing
Community Safety Fewer people are victims of crime, abuse or harm People feel safe in their neighbourhood and homes Our communities take a positive role in shaping their future
Getting it Right for Every Midlothian Child Children in their early years and their families are being supported to be healthy, to learn and to be resilient All Midlothian children and young people are being offered access to timely and appropriate support through the named person service - All care experienced children and young people are being provided with quality services Children and young people are supported to be healthy, happy and reach their potential Inequalities in learning outcomes have reduced
Page 180 of 324 Page 4 Improving Opportunities for the People of Midlothian Poverty levels in Midlothian are lower than the Scottish average Midlothian residents are successful learners and young people go on to positive destinations when they leave learning There is a reduction in inequality in health outcomes Citizens are engaged with service development and delivery
Sustainable Growth New jobs and businesses are located in Midlothian Midlothian’s economic growth rate consistently outperforms the Scottish average Midlothian is an attractive place to live work and invest in The gap between average earnings of those living and working in Midlothian and the Scottish average has decreased Environmental limits are better respected , in relation to waste , transport, climate change and biodiversity More social housing has been provided taking account of local demand Homelessness has reduced and people threatened with homelessness can access advice and support services
Action plans for 2017/18 The priorities and actions for 2017-18 set out under the 5 themes of community planning are designed to improve life outcomes for the people of Midlothian. These one year priority actions are intended to take steps towards achieving the three year outcomes and long term vision of the partnership.
Page 5 Page 181 of 324 ADULT HEALTH AND CARE
Demographics Population demographics show that an estimated 13,266 people aged 65 years and over reside within Midlothian. By 2028, it is estimated that there will be 20,200 people aged 65yrs+, with just over half of those individuals being over 75 years old. A particular challenge for the Partnership is the projected sharp rise in the numbers of people with dementia; national estimates are these will double between 2011-31.There are growing numbers of people with learning difficulties surviving with complex care needs and people with learning difficulties are also surviving longer in old age.
Deprivation There are eight data zones in Midlothian within the 20% most deprived areas of Scotland; with 4 of these in the most deprived 15%. There is one data zone in Midlothian that falls into the most deprived 15% for health deprivation. The most health-deprived areas are Woodburn, Dalkeith and Mayfield. We know there other pockets of deprivation elsewhere in Midlothian. We also know that people with disabilities and/or long-term physical or mental health problems are more likely to experience inequalities.
Long Term Conditions and Health Inequalities Managing long-term conditions is one of the biggest challenges facing health care services worldwide, with 60% of all deaths attributable to them. Midlothian has a higher incidence than the national prevalence of cancer, diabetes, depression, hypertension and asthma. Older people are more susceptible to developing long-term conditions; most over 65s have two or more conditions and most over 75s have three or more conditions. People living in areas of multiple deprivation are at particular risk with, for example, a much greater likelihood of early death from heart failure. They are also likely to develop 2 or more conditions 10-15 years earlier than people living in affluent areas. Addressing health inequalities and supporting people with long term conditions will be key priorities for the new Health and Social Care Partnership and the broader Community Planning Partnership.
Alcohol & Drugs Scotland's drink problem is significantly worse than the rest of the UK. Alcohol consumption across the country has increased by 19 per cent since 1980 and as consumption has increased, so has alcohol related harm. Drug misuse is a priority for a number of agencies throughout the Midlothian area and has direct links to crime and social deprivation. It is estimated that a quarter of new individual patients reported to the Scottish Drug Misuse Database in Midlothian are living in households with dependent children. The estimated cost to Midlothian in terms of crime; social care; loss of productivity; health; accidents etc is in the region of £27 million per annum.
Primary Care There are currently significant pressures facing General Practice both as a profession and at individual Practice level. In part, these are being driven by increasing demand on health services due to people living longer with multiple long- term conditions and increasingly complex needs as well as the proportion of older people growing more rapidly that the rest of the population. There are also serious challenges in the recruitment and retention of GPs, which is placing further demands on general practice at a time that workload, is at an all time high. This is having the effect of both turning people away from entering a career as a GP and/or facilitating an early exit from the profession. There is a need to find new ways of working with patients and practices that focus on easier access to information, promoting the use of recovery networks and seeking advice of other professionals.
New Technology The increasing numbers of older people and people with disabilities living in their own homes has resulted in significant developments in the use of technology such as telecare and telehealth. It is anticipated that the pace of change in this area will increase. The use of social media for health promotion and prevention is also likely to increase. There is a need to consider carefully the potential for a digital divide where people who are not confident of using new technology may be left out of service developments and information provision.
Page 182 of 324 Page 6 Integration Following legislation health and social care have been integrated in Midlothian. This aims to improve the experience of service users through the provision of more joined up services and to support the move to provide more services locally and in people’s own homes. This will include maximising the services which are provided in Midlothian Community Hospital and ensuring that people are not delayed inappropriately in acute hospital settings with the ultimate aim of ensuring people are discharged within 72 hours of being fit for discharge. Long term sustainability of health and care services will be dependent on supporting people to live healthier lifestyles, including addressing social isolation and enabling people to take more responsibility for managing their own health conditions. The context of integration is one of continually increasing demands for health and care services against a backdrop of very difficult and diminishing resources. This makes it imperative that we find alternative ways of addressing health and social care needs.
Our Vision The vision of the Midlothian Health and Social Care Partnership is that people will lead longer and healthier lives by getting the right advice, care, and support, in the right place, at the right time.
Three Year Outcomes We will provide services, support and advice to ensure that:
1. People are able to look after and improve their own health and wellbeing and live in good health for longer 2. People, including those with disabilities/long term conditions or are frail, are able wherever possible, to live independently and in their own homes 3. Unpaid carers are supported to look after their own health and wellbeing 4. Health and Social Care contribute to reducing health inequalities
This vision and three year outcomes will only be achieved through close interagency working with the wider Community Planning Partnership and through genuine partnership working and capacity building with local communities
Page 7 Page 183 of 324 Reference Adult Health and Care 2017-18 Ownership Code Actions Due Date Performance Indicator Target Baseline Previous Team trend data AHC - People are able to look after and improve their own health and wellbeing and live in good health for longer( 3 year outcome ) AHC - Isolation – Develop approaches to prevent or address isolation and reduce the detrimental impact on physical and mental health Continue to strengthen both formal and 31/03/18 The number of older people using 825 739 Planning informal approaches to addressing local services, facilities and Older People isolation. This will involve working with activities through participation in voluntary organisations; local communities; 1:1 or group sessions and improving information about community resources The number of older people using 375 357 Planning local services, facilities and Older People activities through participation in community services
AHC - Physical Activity - Contribute to the development of a local strategy and support its implementation with older people, people with disabilities and those at greatest risk of inequalities Work with Ageing Well to support older 31/03/18 Average number of people 750 750 Ageing-Well people attending activity groups each Project week hosted by Ageing Well
Work with Midlothian Council Active 31/03/18 Number of people attending 4828 16/17 Q3 Exercise Choices to support people with longer term activity groups hosted by figure of Referral health needs including Mental Health Midlothian Active Choices.(MAC) 1207
31/03/18 Number of people attending one to 816 16/17 Q3 Exercise one sessions with MAC figure of 204 Referral
AHC – Workforce - Address the workforce challenges in recruitment and retention of health and social care staff Work with relevant education and 31/03/18 Reduce the number of agency staff From To be New Payments Team employment agencies to develop a Baseline established Measure sustainable health and social care workforce 31/03/18 Reduce turnover of social care staff 2016/17 – Applications 5.74%
Page 8 Page 184 of 324 Reference Adult Health and Care 2017-18 Ownership Code Actions Due Date Performance Indicator Target Baseline Previous Team trend data Develop the recruitment and retention of 31/03/18 Number of young people recruited From To be New Lifelong young people in the 3rd and independent into Social Care baseline established Measure Learning & sector to provide a career pathway in social Employability
care
AHC - Health and Social Care have contributed to reducing health inequalities AHC - Financial Inclusion _ Work with MFIN to maximise income of people who are vulnerable or at particular risk of inequalities Deliver Welfare Rights service to people 31/03/18 Number of people supported with Data 16/17 - 283 Welfare Rights with Health Care needs Cancer. Only Team
31/03/18 Number of people supported with Data 16/17 - 135 Mental Health needs. Only
Strengthen the role of mainstream workers 31/03/18 Maximise the number of staff 90 16/17 -88 Health in Money Matters receiving training in “Health Promotion Inequalities Bite Size training (NHS) sessions”.
AHC – Health Equalities - Develop a programme of work across agencies to reduce health inequalities in Midlothian Work with the Royal Infirmary to develop a 31/03/18 Referrals from hospital to 10 16/17 - 2 14/15 – 0 Homeless stronger pathway to local services and Homeless Service 15/16 -2 support for young adults attending the hospital regularly 31/03/18 Referrals to Community Health 10 CHIT Team Inequalities Team (CHIT)
Extend the Wellbeing Service supporting 31/03/18 Number of people receiving the 900 508 Public Health people with long term health conditions and Wellbeing Service supporting (NHS) mental health issues to 6 more GP Practices people with long term health conditions and mental health issues.
Page 9 Page 185 of 324 Reference Adult Health and Care 2017-18 Ownership Code Actions Due Date Performance Indicator Target Baseline Previous Team trend data Promote Weight Management Programmes 31/03/18 Number of people who go through 200 15/16-109 Public Health to help address and prevent obesity and Weight Management Triage 16/17-172 (NHS) type 2 diabetes AHC – Information - Improve the provision of Information on Health, Social Care and Community Resources Work closely with local Libraries to provide 31/03/18 No PI for this action Communication a wide range on information s
Disseminate widely newsletters, directories 31/03/18 Number of Newsletters circulated Data Communication and specific service information Only s Number of Directories reviewed Data Only Number of service specific Data information brochures issued. Only
Page 10 Page 186 of 324
COMMUNITY SAFETY AND JUSTICE PARTNERSHIP
Community Safety is essential to the quality of life of people in Midlothian. The Community Safety and Justice Partnership embraces a range of issues including crime prevention; antisocial behaviour; drug and alcohol misuse; domestic abuse; road safety; fire safety and accident prevention. It is about ensuring everyone has the right to live in safe and secure communities, feeling safe and with reduced incidence of crime. The Partnership aims to support and manage offenders in the community in such a way as to reduce re-offending and arrange services so that offenders may access and use them. The Partnerships’ key aim is to ensure Midlothian is a safe place to live, grow up, work and visit. To achieve this aim the Partnership works towards the following outcomes:
• Fewer people are victims of crime, abuse or harm • People feel safe in their neighbourhoods and homes • Our communities take a positive role in shaping their future
The Partnership focuses on prevention, early intervention and diversionary activity at the same time as providing a problem solving approach to community safety and antisocial behaviour issues. Key to this approach is the recognition that solutions to specific problems are sometimes area based rather than solely issue based.
The Community Safety and Justice Partnership is responsible for driving forward work towards the national priority to achieve safer and stronger communities and reduce reoffending. The partnership links closely and seeks to build on the work of the Scottish Community Safety Network and Building Safer Communities Programme.
Partnership Structure The Community Safety and Justice Partnership (CSJP) structure has been developed to maximise the effect of partnership working. The partnership is led by the Community Safety & Justice Partnership Board (CSJPB) and regular Community Safety Delivery Group (CSDG) and Community Justice Working Group (CJWG) meetings, supported by a range of sub groups. The Community Safety & Justice Partnership Board holds a wide and inclusive strategic scope and operates with support of the sub groups such as the Mid and East Lothian Drugs and Alcohol Partnership and Mid and East Lothian Violence Against Women Delivery Group. These groups ensure that partners collectively focus on prevention across all services. The partnership Antisocial Behaviour and Violent Offender monitoring group (ASBVO) ensures a co-ordinated approach to the management of offenders causing concern through anti-social and/or violent behaviour. Further information on the Community Safety Partnership structure is included in the Community Safety & Justice Strategy.
The Community Safety & Justice Partnership residents group, MIDSAFE brings together local residents with an interest in tackling community safety and antisocial behaviour issues. The group plays an important role in the development and co-production of community safety projects. During 2017/18 the group will be focussing on engaging with the public to raise awareness of community safety issues.
Key Strategic documents The Community Safety & Justice Partnership produces a Strategic Assessment, which is a forward-looking and predictive document informing the work of the Partnership. It is an analysis of issues impacting on community safety within Midlothian, with each issue prioritised through an evidence-based process of analysis, environmental and horizon scanning and risk assessment. This Scottish Government priority-setting matrix model was applied and has resulted in an evidence-led ranking of priorities that the Partnership has used to focus resources on for the year ahead. We will continue to develop community justice analytical capacity, working with partners to deliver on and service the requirements of the national strategic outcomes improvement framework.
The Midlothian Community Safety and Justice Strategy sets out how the partnership will utilise systematic and collaborative approaches to ensure Midlothian is a safe place to live. The strategy action plan ensures regular, organised, planned and integrated work to support individuals and families involved in offending to reduce this
Page 11 Page 187 of 324 pattern through preventative approaches, early intervention and diversionary activity that focuses on community level problem solving.
The Community Justice Outcomes Improvement Plan has been developed in response to the Community Justice (Scotland) Act 2016 which comes into effect on 1st April 2017. The Act brings planning for reducing offending and reoffending back to a local level where decisions can be made by people that know their area best. After carrying out analysis of offending over a three year period, strategic assessments of the causes of offending and engagement and consultation with members of the public and community bodies the Midlothian Outcomes Improvement Plan was published on 1st April 2017. The consultation told us that the public felt that provision of support to address mental health issues, victims of abuse, drug abuse and tackling youth anti-social behaviour should be our main priorities. These have been reflected in the plan.
Priorities The following areas have been highlighted as priorities for 2017-18. All priorities are included in the Community Safety and Justice Strategy however only those marked as high priorities and the Re-offending (Community Justice) priority are included in the Single Midlothian Plan. The Re-offending priority has been included in the Single Midlothian Plan due to the need to work across the Community Planning Partnership to deliver an improved model for Community Justice. Detailed information about each of the priorities is available within the Community Safety and Justice Strategy and Community Justice Outcomes Improvement Plan.
High Priorities: Alcohol and Drug misuse Gender based violence (including domestic abuse) Crimes of dishonesty Violent crime Priorities: Antisocial Behaviour Home safety & unintentional harm Death and injury on Midlothian’s roads Cross cutting priorities: Re-offending (Community Justice) Feeling safe Community Involvement in setting and delivering outcomes
Local Policing Plan Police Scotland is a core partner in the delivery of Community Planning in Midlothian and under the terms of the Community Empowerment Act shares a new statutory duty to facilitate community planning with Scottish Fire and Rescue, Scottish Enterprise, NHS Lothian and Midlothian Council. Police Scotland has a legal duty to produce a local policing plan, and for the first time this plan is being included as part of the Single Midlothian Plan, on this occasion as an appendix to the Community Safety and Justice plan; working towards full integration of the local policing plan in future.
Local Fire Service plan Scottish Fire and Rescue is a core partner in the delivery of Community Planning in Midlothian and under the terms of the Community Empowerment Act shares a new statutory duty to facilitate community planning with, Scottish Enterprise, Police Scotland NHS Lothian and Midlothian Council. The Local Fire and Rescue planning cycle was amended to match the 3 year cycle of the Single Midlothian plan, and the new Fire and Rescue plan will be developed alongside the next 3 year SMP cycle to allow for better connection and integration across the partnership.
Page 12 Page 188 of 324 Reference Community Safety and Justice 2017-18 Ownership Code Actions Due Date Performance Indicator Target Baseline Previous trend Team data CS - Fewer people are victims of crime, abuse or harm CS - People feel safe in their neighbourhoods and homes CS - Our communities take a positive role in shaping their future CS - Alcohol and Drugs Misuse Undertake a range of communication and 31/03/18 Reduce the volume of violence and 25.2% 26.2% 16/17: N/K Community engagement activity regarding responsible ASB aggravated by alcohol (Group based on 15/16: 25.2% Safety alcohol consumption. 1&6)by 1% three year 14/15: 25.6% Delivery average 13/14: 27.5% Group (Also included in Violent Crime) (CSDG)/ MELDAP
Increase the number of licensed 5 4 (15/16) 4 (15/16) CSDG/ premises participating in the Best 4 (14/15) Licensing Bar None scheme 3 (13/14) Forum
Increase the number of licensed 9 15/16: 7 15/16: 7 CSDG/ premises participating in proactive Licensing partnership licensing activity Forum
Sustain the number of Alcohol Brief 1000 15/16: The ABI target CSDG Interventions undertaking in 1000 was set for /MELDAP Midlothian Baseline each health board. NHS Lothian has consistently delivered more than the set target
Page 13 Page 189 of 324 Reference Community Safety and Justice 2017-18 Ownership Code Actions Due Date Performance Indicator Target Baseline Previous trend Team data Reduce the number of alcohol 370 15/16: 15/16: 377.2 CSDG/ related hospital admissions 377.2 14:15: 370.7 MELDAP (patients per 1,000 population) 13/14: 376.8 12/13: 398.1 11/12: 361.8 10/11: 407.8
Recovery College: number of 75 16/17: 70 15/16: 35 CSDG/ people engaging in education, MELDAP training, volunteering and employment.
Develop substance misuse services to reduce 31/03/18 Maintain the number of clients 60% 60% 15/16: 60% CSDG/ immediate harm, future harm and successfully completing the LEAP MELDAP promoting recovery. 12 week rehabilitation programme
Increase the weekly attendance at 3500 65 per 15/16 Avg. CSDG/ Horizons Cafe: week 65 people per MELDAP week
Achieve Service Level agreement 75% 84% 16/17 16/17: 84% CSDG/ for the % of women completing the (SLA 75%) MELDAP Pink Ladies 10 week course
CS - Gender based violence (including domestic abuse) Raise awareness of Violence Against Women 31/03/18 % of MARAC cases showing 100% 100% 15/16: 100% CSDG/ and Girls (VAWG) with services and reduction in risk upon exit from the 14/15: 100% Violence communities and strengthen support for domestic abuse service Against survivors. Women Delivery Group (VAWDG)
Page 14 Page 190 of 324 Reference Community Safety and Justice 2017-18 Ownership Code Actions Due Date Performance Indicator Target Baseline Previous trend Team data Increase detection rates for crimes 79.1% 78.1% 15/16: 75.6% CSDG/ of domestic abuse by 1% 13/14 to 14/15: 80.3% VAWDG 15/16) 13/14: 78.4%
% of Citizen Panel respondents that 87% 84.5% CSDG show an awareness of what actions characterise VAWG.
Proportion of men who From To be New CSDG/ successfully complete the Baseline established Measure VAWDG Caledonian programme who do not have any crime reports completed for domestic abuse in the following 12 months.
Number of secondary schools that 3 0 0 in 16/17 CSDG/ deliver VAWG awareness. VAWDG
% of people who undertake From To be New training that report they Baseline established Measure CSDG/ understand what is expected of VAWDG them in their role in relation to VAWG.
Proportion of MAPPA clients 2% 2% 15/16: 0% CSDG/ convicted of a level 1 or 2 offence 14/15: 0% MAPPA 13/14: 0%
CS - Crimes of dishonesty Raise public awareness of crime prevention 31/03/18 Reduce the number of crimes of 291 13/14 to 16/17: 310 * ASBVO/ through campaigns and crime prevention non domestic housebreaking 16/17: 294 15/16: 252 CSDG/TACG initiatives. (excluding businesses) by 1% 14/15: 319 13/14: 293
Page 15 Page 191 of 324 Reference Community Safety and Justice 2017-18 Ownership Code Actions Due Date Performance Indicator Target Baseline Previous trend Team data Reduce the number of crimes of 141 13/14 to 16/17: 161 CSDG housebreaking to domestic 16/17: 143 15/16: 161 dwellings by 1% 14/15: 112 13/14: 137
Reduce The number of crimes of 104 13/14 to 16/17: 137 CSDG non-domestic housebreaking to 16/17: 106 15/16: 76 business premises by 1% 14/15: 130 13/14: 79
Reduce the number of crimes 421 13/14 to 16/17: 504 CSDG recorded for theft by shoplifting 16/17: 425 15/16: 438 (Group 3) by 1% 14/15: 349 13/14: 409
Reduce the number of bogus 6 13/14 to 15/16: 7 CSDG/ workmen crimes recorded by 1% 15/16: 6 14/15: 5 Financial 13/14: 6 Harm Group CS – Violent Crime Work with partner agencies to manage 31/03/18 The number of secondary schools 3 New Measure CSDG violent offenders and develop a programme that deliver Mentors in Violence of interventions to reduce levels of violent Prevention or Fearless initiatives crime. Reduce the volume of violence and 25.2% 13/14 – 16/17: N/K CSDG ASB aggravated by alcohol (Group 15/16 15/16: 25.2% 1&6) by 1% 26.2% 14/15: 25.6% (Also included in Alcohol & Drug 13/14: 27.5% Misuse)
Reduce the number of common 911 13/14 to 16/17: 936 * CSDG assaults crimes recorded (Group 6) 16/17: 921 15/16: 882 by 1% 14/15: 910 13/14: 955
Page 16 Page 192 of 324 Reference Community Safety and Justice 2017-18 Ownership Code Actions Due Date Performance Indicator Target Baseline Previous trend Team data Reduce the number of serious 83 13/14 to 16/17: 88 * CSDG violent crimes recorded (Group 1) 16/17: 85 15/16: 79 by 1% 14/15: 86 13/14: 85
CS - Community Justice Reduce offending and re-offending through 31/03/18 There is no Pi for this indicator Community delivery of the Community Justice Outcomes Justice Improvement Plan. Working Group (CJWG)/ Community Safety & Justice Partnership Board (CSJPB))
Page 17 Page 193 of 324 GETTING IT RIGHT FOR EVERY MIDLOTHIAN CHILD (GIRFEMC)
A full version of the current statutory integrated children’s services plan, of which this is a summary, can be found on the Midlothian Council website community planning pages. From April 2017, each CPP will need to produce a three year ‘Children’s Services Plan’ under part 3 of the Children Young People (Scotland) Act 2015. The full GIRFEMC Board will work together to create this plan, but the NHS Lothian and Mid Lothian Council will have equal legal responsibility for this plan, and will be required to report annually to Scottish Government on progress. The Scottish Government’s Early Years Framework and the Early Years Taskforce Shared Vision and Priorities set out the need for all agencies to jointly invest in prevention and early intervention especially during the early years of children’s lives.
New national frameworks for monitoring attainment in education have been established alongside a national commitment to closing the gap in attainment between the children of better off families and those whose families are in difficult economic circumstances. A pupil equity fund of £2.2 million has been allocated directly to schools in Midlothian by Scottish Government, specifically to be used to close the gap in educational attainment, with each head teacher receiving a variable share of this direct funding based on the number pupils in their school eligible for free school meals. Commitments to reducing the educational attainment gap have to be balanced with the requirements for improving universal outcomes and meeting the needs of children and young people facing challenges because of disability or other additional support needs.
Major reductions in public sector funding over the last five years and the continuing sharp decline in public service funding now anticipated as continuing up to 2021, presents additional difficulties in providing universal services , making a shift to prevention, and simultaneously continuing to meet the needs of the vulnerable families that we encounter. Nevertheless all partners are committed to taking up the challenge of shifting resources to prevention and early intervention and to work closely together to align our resources to the outcomes that have been agreed. Addressing legislative changes will be central to the work of the GIRFEMC Board in the next year.
Children and Young People (Scotland) Act 2014 Implementation of the various provisions of the Act has been taking place, such as part 6, the increase to 600 hours of Early Learning and Childcare from August 2014 and of free school meals for Primary 1 to 3 pupils from January 2015. This year sees further increased expectations; placing a duty on public bodies to report on how they are improving outcomes for children and young people. Requiring an increase from 600 to 1140 hours per year free early learning and childcare provision for 3 and 4 year old children. Extending the number of 2 year old children entitled to 600 hours per year free early learning and childcare .The introduction of part 4 the Named Person Service has been delayed due to legal problems but it is still the stated intention of Scottish Government to reintroduce this expectation in amended legislation this year. A new expectation in part 5 of the Act requires the partners to deliver a single ‘Child’s Plan’ replacing a number of other plans. Part 9 of the Act applies a Corporate Parenting responsibility to promote and support the needs of care experienced children and young people. The Act extends the age that a looked after young person can remain in care and subsequently receive support, and introduces additional support for kinship carers (where children are looked after by relatives who are not their parents). Part 1 of the Act places a duty on public authorities to provides a children’s rights report as soon as practicable after the end of each 3 year period and advices on how public authorities can fulfil their duties in relation to the United Nations Convention on the Rights of the Child
Education (Scotland) Act 2016 Amongst the provisions contained in the Act are proposals for a duty upon education authorities to have account for reducing inequalities resulting from socio-economic disadvantage, duties relating to Gaelic medium education provision and revisions to children’s rights relating to Additional Support for Learning. The Act also requires Councils in their role as Education Authority to deliver the requirements of a new National improvement framework for Scottish Education.
GIRFEMC Principles The following principles inform the approach of all Midlothian partners’ services when working with children, young people and families, either individually as single agencies or when collaborating with partner agencies
Page 18 Page 194 of 324 The child or young person will be placed at the centre of our thinking and action The capacity of families and communities will be strengthened to meet the needs of their children and young people We will intervene early to ensure children and young people get the help they need when they need it The capacity of universal services will be developed to prevent the need for intervention, meet low level need as it arise and address concerns at the earliest stage Children, families and communities will be helped to secure outcomes for themselves Our responses to each child’s needs will be personalised, proportionate, appropriate, and timely Targeted support will be provided to those children and young people in greatest need Services will work together to undertake holistic assessments of children’s needs and plan to meet needs in a co-ordinated way The ethnic, cultural, religious, and language needs of children and young people will be fully considered when we assess, plan, and deliver services for them Children, young people and families will be supported to help us plan the services they need and help us evaluate our effectiveness
Wellbeing Outcomes Framework All partners have agreed to continue to adopt the national Getting it right for every child safe, healthy, active, nurtured, achieving, respected/responsible, included (SHANARRI) wellbeing framework to measure progress in achieving outcomes for children and young people.
Long term outcomes The partners have framed long term outcomes (to 2023) as follows:
Every child in Midlothian has the best start in life and is ready to succeed The life chances for Midlothian’s children, young people and families at risk have improved Our people are successful learners, confident individuals, effective contributors and responsible citizens
The 2016/17- 2019/20 financial year outcomes as agreed by the GIRFEMC Board are: Outcome 1 children in their early years and their families are being supported to be healthy, to learn and to be resilient Outcome 2 all Midlothian children and young people are being offered access to timely and appropriate support through the named person service - Outcome 3 all care experienced children and young people are being provided with quality services Outcome 4 children and young people are supported to be healthy, happy and reach their potential Outcome 5 inequalities in learning outcomes have reduced
Actions towards some of the 5 outcomes have been delegated to sub groups of the Board, and will report progress to the Board on a regular basis. The template below sets out the priority actions towards outcomes that the Board has agreed to lead itself in 2017/18.
Page 19 Page 195 of 324 Reference GETTING IT RIGHT FOR EVERY MIDLOTHIAN CHILD 2016-17 Ownership Code Actions Due Date Performance Indicator Target Baseline Previous Managed by trend data
GIRFEMC - Children and young people are supported to be Healthy, happy and reach their potential GIRFEMC - Develop new ways of working to improve and promote positive mental wellbeing with children and young people across Midlothian GIRFEMC - Establish a baseline of level of engagement with children and young people in planning for their needs Reduce the number of young people 31/03/18 Annual number of CAMHS Data 689 N/A Performance referred to Child and Adolescent Mental referrals Only Team Health Services (CAMHS) by providing alternative support
Ensure CAMHS meet HEAT targets for 31/03/18 Annual percentage seen within 18 90% 33.98% Performance waiting times weeks for first treatment (16/17) Team
Implement appropriate learning pathways 31/03/18 Reduce the Rate of Child Protection Data 2015/16 2014/15 Performance to promote healthy lifestyles in line with referrals connected with parental Only 10% 24% Team Education Scotland guidance alcohol or drug misuse
Alcohol Related Youth Calls (rate per 140 2016/17 N/A Performance 10,000 population aged 8-17 yrs) 149 Team
Percentage of repeat Child 0% 2015/16 11/12-5.6% Performance Protection referrals within a 12 6% (4/68) (10/179) Team month period 12/13-9.9% (14/141) 13/14 13.8% (21/152) 14/15-5.2% (4/77)
Establish where and how children and 31/03/18 Report prepared setting out current Annual To be N/A Performance young people are engaged in planning for practice with. Recommendations Target established Team their own needs submitted and next steps agreed Yes
Page 20 Page 196 of 324 Reference GETTING IT RIGHT FOR EVERY MIDLOTHIAN CHILD 2016-17 Ownership Code Actions Due Date Performance Indicator Target Baseline Previous Managed by trend data
Support girls and young women to enable 01/07/17 Number of young women supported Data 6 New Performance them to reach their full potential through only measure Team teenage pregnancy pathways
Work with CPP to challenge social norms 01/04/17 Number of women smoking at 14.2% 169 women N/A Performance and prevention/early intervention maternity booking to be below the 16.9% Team approaches to reduces smoking in women Lothian average of 14.3% of child bearing age
Work with CPP partners to increase activity 01/04/17 Percentage babies being exclusively 45.9%, 36.1% Performance to promote BF as an option and to adjust BF at 1st visit Team cultural barriers to BF being considered in lower SIMD areas Percentage babies being exclusively 38.1% 27.3% Performance BF at 6-8 week check Team
Work with CPP partners to increase dental 01/04/17 Percentages registered with a dentist From To be New Performance registration of 0-2 yr olds and 3-5 yr olds between 0-2 and 3-5 yrs Baseline established Measure Team
Work with CPP partners to decrease the 01/04/17 Percentages in the combined 14.1% 15.3% Performance percentage of those found to be clinically overweight and obese clinical clinical Team overweight or obese at P1 entry and to thresholds at P1 to be below Clinical reduce the percentage of those at risk Lothian average of 14.2%
Percentages in category using 21.1% 23.6% Performance epidemiological thresholds for P1 to epidemiologi Team be below Lothian average of 21.2% cal GIRFEMC - Inequalities in learning outcomes have reduced GIRFEMC - Undertake and complete the schools inclusion review GIRFEMC - Deliver national improvement actions set by Scottish Government GIRFEMC - Close the attainment gap affecting children and young people facing additional barriers to learning
Page 21 Page 197 of 324 Reference GETTING IT RIGHT FOR EVERY MIDLOTHIAN CHILD 2016-17 Ownership Code Actions Due Date Performance Indicator Target Baseline Previous Managed by trend data
Establish a data system of capturing 31/03/18 Data system in place and ability to Annual Performance information across agencies relating to generate reports Target Team additional support needs to allow a baseline Yes to be established and performance dashboard to give confidence that interventions are being offered in a timely and appropriate manner
Reduce numbers of exclusions 1/07/18 SEEMiS Exclusion data - Primary (2% 119 121 83 Performance reduction) Team
1/07/18 SEEMiS Exclusion data – Secondary 199 203 404 Performance (2% reduction) Team
Ensure children with additional support 1/07/18 Numbers of children/young people in 85 90 n/a Performance needs are offered timely and appropriate part time attendance at school or Team interventions specialist provisions
Complete review of evidence available and 30/08/18 PIPS score (standardised) for maths 52.7 Based on 2% 52.0 (11/12) Performance establish process to monitor proportion of for Midlothian P1 pupils at end of P1 increase in 51.5 (12/13) Team children achieving expected levels by year score per 51.1 (13/14) Primary 1 year 51.7 (14/15) 51.58 (15/16)
PIPS score (standardised) for reading 50.8 Based on 2% 51.3 (11/12) Performance for Midlothian P1 pupils at end of P1 increase in 51.5 (12/13) Team year score per 50.6 (13/14) year 49.7 (14/15) 50.8 (15/16
Page 22 Page 198 of 324 Reference GETTING IT RIGHT FOR EVERY MIDLOTHIAN CHILD 2016-17 Ownership Code Actions Due Date Performance Indicator Target Baseline Previous Managed by trend data
Percentage of increase in PIPS score 90% 81.2% 76.1% Performance achieved by P1 pupils from SIMD (2015/16) (2014/15) Team deciles 1 and 2 between entry and exit compared to the Midlothian average improvement.
Establish joint education and raising 30/08/18 Percentage of P4 pupils scoring 100 or 63.6% 61.6% 60.5% of Performance attainment for all evidence base; establish above in standardised assessments in Pupils Pupils Team process to monitor proportion of children reading, maths and numeracy achieved achieved achieving expected levels by Primary 4 100 or above 100 or in Granada above in Learning P4 Granada testing Learning P4 (15/16) testing (14/15)
Ensure pupils are secure at First level by end 30/08/18 Percentage of pupils achieving First 92% 90% 72% Performance P4 in reading, writing, listening and talking, level by end P4 in reading, writing, Team maths and numeracy listening/talking, maths and numeracy
Identify the current gaps in educational 30/08/18 Improvement in the percentage of From To be New Performance attainment at individual school level and pupils from SIMD deciles 1 and 2 Baseline established measure Team implement a range of targeted strategies to achieving the expected CfE level by close the gap the end of P1, P4,P7 and S3
Ensure delivery of the 2017/18 actions in 30/03/18 % of Corporate Parent actions that 80% 2016 -19 N/A Performance the 3 year Corporate Parent Plan are on target. Corporate Team Parent Action plan
Page 23 Page 199 of 324 IMPROVING OPPORTUNITIES FOR THE PEOPLE OF MIDLOTHIAN (IOM)
IMPROVING OPPORTUNITIES MIDLOTHIAN
The IOM group play a central role in supporting the CPP to monitor and improve the outcome gaps in learning, health and economic circumstances of the communities in Midlothian. The group helps to connect communities, social enterprises, third sector and public bodies in a shared agenda of reducing inequalities.
The link between poor economic, health and learning outcomes is supported by a body of evidence. Improving household income is critical in reducing inequalities. Despite progress, adults of working age have lower levels of qualification than the Scottish average, there is a need to improve access to learning opportunities and improve the destinations for people of all ages. Being able to access high quality digital services helps improves people’s health, learning and economic opportunities whilst connecting people and reducing social inclusion.
The IOM will continue to focus on interventions that have economic, learning and health benefits, particularly in the communities that experience the highest levels of deprivation.
The Community Empowerment Act (2015) represents an opportunity for greater public engagement to help improve the CPP to design and deliver services. Building on the successes of Neighbourhood Planning there is an opportunity for the community to play an active role in improving their communities.
The Midlothian Profile and the IOM 2016 Strategic Assessment identified external factors likely to have an adverse effect on some of the most vulnerable people in Midlothian; the roll out of Universal Credit as part of the Governments Welfare Reform Programme, increasing levels of household and child poverty and further reductions in the public sector. Careful scrutiny, monitoring and measurement of these impacts will help the IOM identify partnership opportunities and interventions that will help mitigate against these risks.
The group priorities for 2017/18 are:
1. Support people out of poverty and welfare dependency 2. Increase the positive destinations of young people 3. Increase the qualifications of working aged adults 4. Reduce health inequalities and improve the health of the population 5. Increase access to digital services 6. Increase public engagement in the design and delivery of services
Page 24 Page 200 of 324 Reference IMPROVING OPPORTUNITIES – 2017/18 Ownership Code Actions Due Target Baseline Previous Team Date Performance Indicator trend data IOM - Poverty Levels in Midlothian overall are below the Scottish average(3 year) IOM - Support people out of poverty and welfare dependency(1year) Provide high quality and localised welfare 31/03/18 Midlothian Council Welfare Rights £2m £1.5Million £1.5milion Welfare Right advice and support, targeted at the areas Team (WRT) will generate an Team with the highest levels of poverty. additional benefit income maximization of £500k per quarter.
31/03/18 Midlothian Citizen Advice Bureaux £2.5 million £2.5 million £2.5 million CAB's (CABs) will generate an additional
income maximization of £625k per quarter
31/03/18 Midlothian CABs will provide 125 New CAB's benefit advice sessions in the 3 measure targeted areas
Reduce barriers to learning by poverty 31/03/18 Number of schools that poverty 11 New proofing the school day of the 11 primary proof the school day measure schools in the priority areas. 31/03/18 Relative to Scotland, Midlothian 21.5% 22.5% 22.5% All partners can demonstrate a 1% reduction in child poverty. Currently the Scottish Average is 22% and Midlothian is 22.5%
Provide short term support to people 31/03/17 Midlothian Foodbank will provide 2,200 2,000 2,000 Midlothian experiencing significant hardship. This will people with emergency food Foodbank include practical interventions including supplies
access to food banks; travel vouchers and trial energy vouchers for households experiencing fuel poverty.
Page 25 Page 201 of 324 Reference IMPROVING OPPORTUNITIES – 2017/18 Ownership Code Actions Due Target Baseline Previous Team Date Performance Indicator trend data 31/03/18 The number of Foodbank service From To be New Midlothian users using the Foodbank on baseline established measure Foodbank multiple occasions will be tracked and will demonstrate a reducing trend
31/03/18 Provide £5 food vouchers to 300 New MFIN Foodbank users to purchase fresh measure food and vegetables from the Toot 4 Fruit Van
Provide training to front line workers on 31/03/18 MC Welfare Rights Team will train 100 50 50 Welfare Right the Welfare Reform Act so they can advice staff and volunteers on Team provide high quality support to people welfare rights issues, in particular, experiencing poverty. the new requirements of the Welfare Reform Act
31/03/18 Of the staff and volunteers that 80% 80% 80% Welfare Right undertake training 80% will report Team an improved understanding of Welfare Rights and will report that they feel better equipped to support the people they work with
Increase the number of local people 31/03/18 Midlothian’s unemployment 3.9% 4.1% Lifelong accessing the Lifelong Learning and figures are 1% below the national Learning & Employability Focus Service, support young unemployment measure (currently Employability people and adults with work place 4.9% nationally and 4.1% in literacy’s, implement the new Midlothian), as reported by the Employability and Learning Midlothian Labour Force Survey work plan including in work progression, accreditation, embed 10 employability skills, improve learning pathways to
Page 26 Page 202 of 324 Reference IMPROVING OPPORTUNITIES – 2017/18 Ownership Code Actions Due Target Baseline Previous Team Date Performance Indicator trend data employment and improve engagement with employers. ESF Midlothian Pipeline Project will engage 31/03/18 Number of unemployed and 310 New Lifelong and support clients through is operation to inactive participants with multiple Measure Learning & remove the barriers they face to barriers to employment Employability employment and vocational training. 31/03/18 Number of unemployed and 126 New Lifelong inactive participants with multiple Measure Learning & barriers entering vocational Employability training
IOM – Increase the positive destinations of young people IOM - Increase the qualifications of working age adults IOM - Increase access to digital services Deliver the actions and targets in 31/03/18 % of 16-19 years olds secure a 95% 93.5% 88% Developing Scotland’s Young Workforce positive destination (reported (2014/15) (2013/14) (DSYW) Plan quarterly). DSYW plan details the DMYW group
actions required to achieve this
Volunteer Midlothian, LLE and Third 31/03/18 Number of Saltire Awards achieved 385 375 2014 - 363 Volunteer Sector partners will develop new by young people (12-25) for Centre and volunteering roles and recruit new volunteering in their community partners volunteers in line with the Volunteer Charter 31/03/18 Based on Midlothian Citizens Panel, 30% 29% 15/16 - 29% Citizen Panel
the number of volunteers will increase by at least 1% a year
Deliver the actions identified in 31/03/18 Increase % of SVQ4 and above 40.9% 39.9% 2014 - 38.5% Lifelong Employability and Learning Midlothian qualification levels of Midlothian 2013 - 31.7% Learning and (previously Midlothian Adult Learning residents 2012 - 33.8% Employability
Page 27 Page 203 of 324 Reference IMPROVING OPPORTUNITIES – 2017/18 Ownership Code Actions Due Target Baseline Previous Team Date Performance Indicator trend data Partnership) so that qualification levels are 31/03/18 Increase % of SVQ3 and above 60.5% 59.5% 2014 - 57.0% improved at all levels (SVQ1-4) qualification levels of Midlothian 2013 - 50.4% residents 2012 - 53.9% 31/03/18 Increase % of SVQ2 and above 76.5% 77.1% 2014 - 75.7% qualification levels of Midlothian 2013 - 71.4% residents 2012 - 72.8%
31/03/18 Sustain % of SVQ1 and above 87.3% 87.3% 2014 - 85.7% qualification levels of Midlothian 2013 - 82.7% residents 2012 - 82.9%
31/03/18 Midlothian residents with no 7.0% 7.9% 2014 - 9.6% qualifications have reduced 2013 - 12.7% 2012 - 11.8%
Provide one-to-one or group ICT tuition to 31/03/18 Older people and vulnerable adults 40 40 40 Volunteer 115 older people and vulnerable adults will receive one-to-one IT tuition at Midlothian over the age of 50 as part of the Connect home or in a library Online Programme Older people and vulnerable adults 120 120 120 will receive group IT tuition to improve their digital literacy
144 clients will have access to IT 144 144 144 tuition and support to improve their job-seeking skills and general employability Provide training and support to Third 31/03/18 Third Sector organisations who 150 150 150 Volunteer Sector organisations to improve the quality have access to support and training Midlothian of their volunteer placements and report that they are better able to volunteer management recruit, manage and retain volunteers as a result of receiving training and support Page 28 Page 204 of 324 Reference IMPROVING OPPORTUNITIES – 2017/18 Ownership Code Actions Due Target Baseline Previous Team Date Performance Indicator trend data Agree actions with CPP Partners to 31/03/18 All actions identified in 2017/18 100% New technology improve digital access across Midlothian action plan delivered measure steering group”
under “technology steering group” IOM - There is a reduction in inequality in health outcomes IOM - Reduce health inequalities and improve the health of the population Increase availability of support for those 31/03/18 Number of people offered 350 New Joint Health who experience mild to moderate mental immediate mental health measure Inequalities health issues assessments through the new Partnership Midlothian Wellbeing Mental (JHIP) Health Access Point.
Deliver programmes that will impact 31/03/18 There will be a Healthy Respect 100% 83% - 5 JHIP positively on sexual health, Drop-in, near (15 minute walk) or from 6 in, every high school schools
No young person will leave 0 0 JHIP education before the age of 18 as a result of getting pregnant.
Deliver programmes that will impact 31/03/18 Decrease the % who never or rarely 5% 7% 7% 14/15 positively on physical activity engages in physical activity 11% 15/16 JHIP 8% 16/17 Deliver programmes that will impact 31/03/18 Increase the number of days per 36% 34% JHIP positively on healthy eating week people eat their five a day
Produce a guide to "Healthy eating on a 31/03/18 Copies distributed to targeted 1500 New project MFIN budget in Midlothian" and will distribute groups 1500 copies targeting individuals and families experiencing food poverty
Page 29 Page 205 of 324 Reference IMPROVING OPPORTUNITIES – 2017/18 Ownership Code Actions Due Target Baseline Previous Team Date Performance Indicator trend data Improve the knowledge and skills of the 31/03/18 Number of staff attending bite- 50 . JHIP local workforce in relation to health sized training sessions. inequalities, health literacy and money matters Feedback from bite sized training 90% JHIP will show that they have learnt something on health inequalities, health literacy or money matters.
Increase the uptake of benefits such as the 31/03/18 Increase in % uptake 81% 71% N/A JHIP Healthy Start vouchers
Provide intelligence on the gap indicators 31/03/18 Gap indicators monitored and 2 Indicators in the priority areas. Monitor trend data shared with CPP partners during working group over time. CPP meetings
Provide support and direction to 31/03/18 Number of organisations or 10 New JHIP programmes and partnerships to ensure services benefit from advice and measure they undertake work to tackle health information related to health inequalities inequalities.
IOM - Citizens are engaged with service development and delivery IOM - Increase public engagement in the design and delivery of services Complete Neighbourhood Plans in all of 31/03/18 Each of the Neighbourhood Plans 45 Communities the 16 Community Council areas. Agree a can demonstrate 3 tangible Team schedule of Neighbourhood Plan reviews. improvements as result of the process Provide support to Third Sector and 31/03/18 All of the Community Councils to 75% 25% New target Communities community groups, increase the capacity have adopted a new constitutions Team of Community Councils to involve a wide that enables 16-18 year olds to cross section of the community become members.
Page 30 Page 206 of 324 Reference IMPROVING OPPORTUNITIES – 2017/18 Ownership Code Actions Due Target Baseline Previous Team Date Performance Indicator trend data 31/03/18 Undertake a pilot with 3 of the 3 0 0 Communities Community Councils, to increase Team the involvement of young people.
31/03/18 Number of organisations supported 25 Midlothian with training and funding support Voluntary Action
31/03/18 Number of individuals participating 100 Midlothian in training events Voluntary Action Undertake the Citizens Panel survey as a 31/03/18 Complete two citizen panel surveys 60% 62% 2014 - 61% Planning and way of informing service development and with a response rate of at least 60% Performance delivery Team
Test new approaches to funding that 31/03/18 Attract external funding to test at 2 Communities enable more community involvement in least 2 new approaches that enable Team budgeting decisions. public engagement in the decision making processes
Provide bespoke support and training to 31/03/18 Provide 1-2-1 support for social 25 Social social enterprises and establish new social enterprises Enterprise enterprises that reflect the social needs of Alliance Midlothian Midlothian 31/03/18 Provide 5 networking events 5
Establish clear processes for community 31/03/18 No more than one formal From To be New Communities groups to improve access the CPP decision Participation Requests per quarter, baseline established measure Team making as part of the Community early high quality engagement will Empowerment Act, Including Participation prevent the need for formal Requests Participation Requests.
Page 31 Page 207 of 324 SUSTAINABLE GROWTH
The CPP has recently merged into one theme three complementary dimensions of ‘promoting economic growth’; ‘ensuring a sustainable environment’; and ‘developing housing to meet communities’ needs’. These three dimensions are the underpinning principles of planning legislation in Scotland. It was the view of the CPP that by aligning the structure of the CPP in this way there would be opportunities for improved links between the Community Planning and local development planning processes. Progress has been made in linking the outputs of neighbourhood planning to the development planning process and Midlothian has been complemented nationally for the extent to which its local development plan process has undertaken engagement throughout its development phase. New legislation is being planned which will further bring together community planning and development planning strengthening public engagement in the latter, and building on Community Empowerment Act principles
Ambitious Midlothian The economic recession that started in mid/late 2008 and the economic downturn that followed created enormous challenges for CPP partners such as the Council, Scottish Enterprise, Edinburgh College, the Federation of Small Businesses, and Midlothian and East Lothian Chamber of Commerce.
Significant progress has been made in Midlothian in terms of addressing the adverse socio-economic impact of the economic downturn, this is against a background of a continuing aftermath of higher taxation to fund borrowing /government debt repayment with at the same time significant public sector budget cuts, rising demand for services from a growing and ageing population and the as yet largely unknown impact of the decision to leave the European Union. The UK General election in June 2017 may again change the relationship of the UK economy with the EU trading zone.
Recent ( February 2017) economic predictions by the Institute for Fiscal Studies states that there will be continuing downward pressure on public services for most of the next decade, and goes on to summarise their predictions for 2017-21 as follows:
“The medium-term outlook is subdued. The combination of a period of relatively weak business investment, slowing levels of immigration, the impending break to increases in the state pension age and the persistent weakness in productivity growth leads us to expect potential output growth of just 1.5% a year between 2017 and 2021. This would represent a modest deceleration compared with the 2007–16 period (1.6% a year) but a substantial slowdown relative to the decade prior to the global financial crisis (2.7% a year).
A sizeable output gap will allow GDP growth to be firmer (1.8% a year from 2017 to 2021), though growth could be stronger still were it not for the fiscal consolidation, which is expected to exert a sizeable drag on economic growth over the next three years. The imminent start of the negotiations around the UK’s departure from the EU means that there is a large degree of uncertainty around future prospects.
Assuming that the government is able to agree a transitional arrangement with the EU, the impact of Brexit within the forecast horizon being studied in this report (to 2021) is likely to be relatively minor, although our research points to the negative effects escalating over time. Brexit is not the only source of uncertainty surrounding the forecast.
Domestically, it is unclear how high household indebtedness and weak productivity growth – both legacies of the global financial crisis – will impact on growth prospects. And externally, while a stronger US fiscal stimulus might provide some support to UK activity, we are also concerned about the scope for the problems in the eurozone banking sector to come to the fore once again. If these problems were to coincide with turbulence in the Brexit negotiations, we could see UK GDP growth grind to a halt by late 2017.”IFS Green Budget Feb 2017
At a national level, the Scottish Government (SG) reacted to the economic and budgetary challenges through the launch of a refreshed SG Economic Strategy in March 2015. This refreshed strategy sets out an overarching Page 32 Page 208 of 324 framework for a more competitive and a fairer Scotland. The strategy reaffirms the commitment to creating a more successful country with all of Scotland to flourish through increasing sustainable economic growth. It sets out an overarching framework for achieving the two mutually supportive goals of: Increasing competitiveness and Tackling inequality
The national strategy is driven by the following four priorities: Investing in our people and our infrastructure in a sustainable way Fostering a culture of innovation and research and development Promoting inclusive growth and creating opportunity through a fair and inclusive jobs market and regional cohesion Promoting Scotland on the international stage to boost trade and investment, influence and networks
The Ambitious Midlothian plan was jointly prepared by the Council and CPP Partners. This followed extensive engagement/consultation with the business communities of Midlothian. Ambitious Midlothian is the overarching strategic economic development plan for Midlothian, shaping the economic development work of the Council and its CPP Partners. Key topics included within the plan include:
Maximise the socio-economic benefits of the Borders Railway Support the local economy to grow and become more productive and Inclusive Define , develop, exploit and promote Midlothian’s visitor attractions Develop digital connectivity and increase its use Develop Midlothian Science Zone to the benefit the local economy and community Support sustainable town centre regeneration
The plan has achieved a number of its goals, and is being revised to keep it current and relevant. Specifically of recent note:
Maximise the socio-economic benefits of the Borders Railway Extensive activity in 2016/17 co-ordinating inward investment and tourist destination development, projects to bring back into use buildings at Newtongrange and Gorebridge stations, the initiation of masterplans for Stobhill, and for Newtongrange Town Centre, funding for environmental/public realm works at Gorebridge, and marketing and web-site development activity. Support sustainable town centre regeneration A successful phase 1 heritage bid for Penicuik, securing grant funding from the Heritage Lottery Fund and from Historic Environment Scotland – which has the potential to release approximately 1.8m towards regenerating Penicuik. The Gorebridge Conservation Area Regeneration Scheme has continued to allocate funds towards environmental improvements and building repairs in the town centre. The Dalkeith Burns Monument was successfully refurbished and relocated. The Penicuik Business Improvement District has become established Support the development of Midlothian Science Zone to the benefit the local economy and community During 2016/17 a number of planning permissions for significant developments have been granted, including the University of Edinburgh’s Large Animal Imaging Facility. Support the local economy to grow and become more productive and Inclusive Part of the strategy was to maximise external investment in economic development. One notable success has been achieving EU funding for rural development, (LEADER). The LEADER team of three officers is in place, the Local Advisory Group has been formed, and applications received with funding offers already made. Other external funds have been drawn in, including the East of Scotland Investment Fund, a shared (part EU funded) loan fund for business development. Additionally, the Business Gateway contract has provided a core of support services to local businesses.
Page 33 Page 209 of 324 City Region Deal The Midlothian area is part of the Edinburgh and South East Scotland City Region “City Deal” bid. City Deal offers access to retrospective UK Treasury and Scottish Government investment if projects achieve specified economic impact levels. The Edinburgh City Region City Deal includes all Lothian’s Councils, Fife, Scottish Borders and City of Edinburgh Councils. The most recent budget statement by the Chancellor of the Exchequer indicates that this City Deal bid is close to approval, with confirmation expected in the summer of 2017
Proposals affecting Midlothian directly include capital infrastructure investment to improve connectivity, with a focus on the Midlothian Science Zone; skills and learning investment in widening access to and achievement from further and higher education; support for public transport improvements -especially connections around the city bypass to improve links to employment in the wider travel to work area. Other projects include capital investments to support innovation and research across the City Region.
HOUSING NEED AND DEMAND Midlothian’s Local Housing Strategy is submitted to the Scottish Government on a five year basis and sets out outcomes for the development, improvement and management of the housing stock over that period. This includes a housing needs and demand analysis to ensure appropriate provision of suitable housing is being delivered whilst also providing accommodation for particular needs groups such as those who are homeless or at risk of homelessness, young people leaving care, older people, people with disabilities and people affected by fuel poverty. A new Local Housing Strategy for 2017 – 2022 is currently under development.
The key priorities for housing in Midlothian are increasing the supply of affordable housing and the prevention of homelessness.
Midlothian Council has agreed to develop a further phase of new council homes and works with registered social landlords to support them to access Scottish Government grant funding to develop affordable housing. The Scottish Government has announced significant increases in investment in affordable housing to meet the high housing need in Midlothian. Currently there are 4,782 households on the Council’s Common Housing Register. The Partnership will look to encourage innovative methods of construction to lever economic benefit from housing growth.
There has been a reduction in the number of homeless households in Midlothian through providing increased housing options to households at risk of homelessness. A significant number of homeless households continue to reside in emergency bed and breakfast accommodation. Additional accommodation with support is being planned to reduce the number of households who have to spend time in this type of accommodation. However, rental income for affordable housing let by the Council and registered social landlords may be adversely impacted during 2017/18 as more tenants will receive welfare payments through Universal Credit.
Page 34 Page 210 of 324 Reference SUSTAINABLE GROWTH 2017/18 Ownership Code Actions Due Date Performance Indicator Target Baseline Previous Team trend data SG - Support the local economy to grow and become more productive and Inclusive ( 3 year outcome) Identify top 50 economically important 31/03/18 List of growth potential businesses 100% 0 0 Scottish businesses ( Scottish Enterprise account created, up to date and in use Enterprise/ managed , Business gateway pipeline with Midlothian growth potential ) Council
Work with key groups of business start ups 31/03/18 Proportion of business start ups 30% 2016/17: 59 Business in target communities to increase assisted which operate in target starts from gateway economic activity in these communities communities 60 from 200 163 - 36%
Work with key start ups or groups of new 31/03/18 Increase number of business 12 8 0 Business businesses that are able to grow without progressing into Growth Pipeline and Gateway / causing displacement and that will increase Account Management Scottish economic activity in Midlothian Enterprise / Businesses
Increase economic impact from use of 31/03/18 Increase level of Income generated in £80m Report Sustainable Midlothian tourism assets Midlothian by Tourism assets published growth / April 2016 Tourism on year to Forum March 2015: £79.71m Review public services procurement 31/03/18 Public sector partners on the board From To be Council Sustainable arrangements to identify a baseline of local reporting their local procurement Baseline established procures growth procurement from Midlothian businesses figures by 14% from partners November local annual small planning business day
Page 35 Page 211 of 324 Reference SUSTAINABLE GROWTH 2017/18 Ownership Code Actions Due Date Performance Indicator Target Baseline Previous Team trend data SG Maximise the socio-economic benefits of the Borders Railway( 3 year outcome ) Increase take up of economic land supply 31/03/18 % of Hectarage of available land in the Data Midlothian along the Borders Rail corridor which corridor taken up. Reviewed through Only Council and comprises Shawfair, Dalkeith, Bonnyrigg, the LDP process and annual land Landowners Rosewell, Newtongrange and audit. Annual Report on promotion of Mayfield/Easthouses, Gorebridge, economic land as part of Borders Rail Pathhead) blueprint programme
SG Develop Midlothian Science Zone to the benefit the local economy and community ( 3 year outcome ) Increase connections between local business 31/03/18 Number of local businesses working From To be New Sustainable and the Midlothian Science Zone (MSZ) with MSZ partners known Baseline established Measure growth / Science Zone
31/03/18 Embedding the Midlothian Science 100% New Sustainable Zone (MSZ) brand through the Measure growth / creation of website. Science Zone
31/03/18 Improve access to MSZ through 100% New Sustainable signage and other activities Measure growth / Science Zone
1/07/17 Open new Roslin Innovation Centre 200 0 Roslin August 2017 will creating new jobs Innovation available to Midlothian residents Centre, MSZ
31/03/18 Number of local business interacting 8 8 0 Sustainable with Midlothian Science Festival. growth / Midlothian Science Festival
Page 36 Page 212 of 324 Reference SUSTAINABLE GROWTH 2017/18 Ownership Code Actions Due Date Performance Indicator Target Baseline Previous Team trend data Increase connections between local schools 1/08/18 Number of School /MSZ links 6 New MSZ/ Science and the Midlothian Science Zone increased due to creation of Science Measure Outreach Outreach Centre – opening in Oct Centre/ 2017 schools /LLE
Business Insights work placement 12 New MSZ/Science scheme for S3/S4 students in Measure Outreach Midlothian Schools. (12 student Centre/ placements across 6 schools) schools /LLE
Pilot a enhancement scheme for From To be New MSZ/ Science science students in Midlothian baseline established Measure Outreach Increase participation in Career Ready Centre/ Scheme schools /LLE
SG Sustainable town centre regeneration( 3 year outcome) Support regeneration of Town Centres ( 1year action) Establish the “Gorebridge Connected” 31/03/18 Secure Scottish Government Borders 100% Annual To be New Midlothian project including the Railway Cafe at the Railway Blueprint grant funding for Measure established Council former Gorebridge train station; public the “Gorebridge Connected” project, Community realm works at Hunter Square and the Link supplemented by funding from and private Project. LEADER and the Railway Heritage sector Trust partners
Improve the viability, vitality and 31/03/18 Development phase of the Penicuik 1 Annual 0 New Midlothian environmental quality of Penicuik Town Heritage Regeneration project (TH and Measure measure Council/ Centre by; CARS project) submitted to The Community Preparing the development phase of the Heritage Lottery Fund and Historic (Neighbourh Penicuik Heritage Regeneration project Environment Scotland. ood planning (TH and CARS project) for The Heritage group) and Lottery Fund and Historic Environment private Scotland sector
Page 37 Page 213 of 324 Reference SUSTAINABLE GROWTH 2017/18 Ownership Code Actions Due Date Performance Indicator Target Baseline Previous Team trend data Securing the long term future of the partners Town Hall building (BIDS)
Build upon the setting up of the Penicuik 31/03/18 Number of BIDS projects completed 10 0 New Penicuik Business Improvement District and support from BIDS action plan measure BIDS group the implementation of BIDS activities.
Develop a Dalkeith BIDs initiative 31/03/18 Application made to Scottish 1 0 New Midlothian Government Borders Railway measure Council/ One Blueprint funding programme to Dalkeith provide support for a Dalkeith BIDs initiative.
Engage with One Dalkeith about Dalkeith 31/03/18 Evidence of engagement between Data New Midlothian Town Centre redevelopment One Dalkeith and Council on Dalkeith Only measure Council town centre regeneration through minutes of meetings and consultations
SG Deliver LEADER projects (EU funding programme)( 1 year action) Encourage Tyne Esk LEADER Programme 31/03/18 Number of LEADER applications 15 0 New Leader applications from Midlothian eligible areas approved Measure Action Group (LAG) 31/03/18 Percentage of LEADER funds allocated 30% 0 New LAG Measure
31/03/18 Number of community facilities 5 0 New LAG created Measure
31/03/18 Number of community facilities 5 0 New LAG improved Measure
Page 38 Page 214 of 324 Reference SUSTAINABLE GROWTH 2017/18 Ownership Code Actions Due Date Performance Indicator Target Baseline Previous Team trend data SG - More social housing has been provided taking account of local demand(3 year outcome ) SG - Homelessness has reduced, and people threatened with homelessness can access advice and support services(3 year outcome ) SG - Deliver further affordable housing (1year action) In partnership between the Council, 31/03/18 Number of new homes completed. 165 56 16/17: 66 MC Housing/ Registered Social Landlords and private (2014/15) RSL’s/ developers, deliver 165 new affordable Developers homes.
Investigate accelerated development of 31/03/18 Number of units currently under 1 - Annual 0 16/17: 45 Housing/ affordable housing via use of innovative construction Measure RSL’s / approaches and consequent economic Developers benefit 31/03/18 Number of Units complete 1 - Annual 0 16/17:0 MC Housing/ Measure RSL’s / Developers
Develop affordable housing to meet 31/03/18 Number of complete unit complex 12 - Annual 4 13/14 - 32 MC Housing/ specialist needs. care development and plan additional Measure 14/15 – 0 RSL’s provision of extra care housing 16/17 – 1
31/03/18 Number of other specialist provision 1 - Annual 1 16/17 :1 MC Housing/ housing units complete Measure RSL’s
SG - Homelessness has reduced, and people threatened with homelessness can access advice and support services(3 year outcome ) SG - Deliver further affordable housing Increase the support to young people 31/03/18 % of young people approaching the 95% New MC Housing/ through the Youth Homelessness Prevention homelessness service who engage measure Third sector Service with Youth Homelessness Prevention Service
Page 39 Page 215 of 324 Reference SUSTAINABLE GROWTH 2017/18 Ownership Code Actions Due Date Performance Indicator Target Baseline Previous Team trend data Deliver online housing options and advice to 31/03/18 Number of households using this 300 186 16/17 186 MC Housing improve availability of tailored information service per annum and advice
Reduce bed and breakfast accommodation 31/03/18 Number of households at any time 40 80 16/17:56 MC Housing use by 50% by 2017. living in bed and breakfast / RSL’s / accommodation Landlords
Deliver "Leaving Home" education 31/03/18 Number of secondary schools 6 6 15/16: - 6 MC Housing programme in Schools delivering “Leaving Home” education 16/17 :6 programme
Raise awareness of energy saving or fuel 31/03/18 Increase the number of households 3000 1,800 15/16: MC Housing/ poverty advice and assistance schemes. accessing energy saving or fuel 2013/14 3724 Third sector poverty advice and assistance 16/17: partners schemes. 2449
SG - Environmental limits are better respected, especially in relation to waste, transport, climate change and biodiversity(3 year outcome ) SG – Increase sustainable travel (includes Borders Railway and Active Travel – walking, cycling and green networks) Development of pedestrian and cycle path 31/03/18 Cycle path completed by end of March 100% To be New Sustrans/ from north of Loanhead, in Edinburgh, to 2018 Annual established measure Mid Council south of Danderhall. Measure Undertake active travel promotional work 31/03/18 Extend the Midlothian Walking Yes - Annual New Transport/ Festival to a Midlothian Walking and Measure measure Community Cycling Festival organisations
31/03/18 Introduce IBike projects to Dalkeith 2 0 New Council/ schools Campus and Penicuik schools measure Parent and to promote getting to school by pupil walking, cycling, scooting and public councils transport
Page 40 Page 216 of 324 Reference SUSTAINABLE GROWTH 2017/18 Ownership Code Actions Due Date Performance Indicator Target Baseline Previous Team trend data 31/03/18 Produce Work Place Active Travel Yes - Annual New Council/ Plans through engagement with major Measure measure Chamber of Midlothian employers commerce / FSB
Develop and deliver the Midlothian Green 31/03/18 Identify a Midlothian Green Network Yes - Annual New Planning/ Network in draft supplementary guidance for Measure measure Federation public consultation of CC’s
31/03/18 Secure and delver components of the Yes - Annual New SG group green network through new Measure measure development, Council work programmes, and where relevant from accessing external funding sources
SG - Environmental limits are better respected, especially in relation to waste, transport, climate change and biodiversity
SG – Increase use of Renewable Energy Midlothian Council to explore establishment 31/03/18 Feasibility study complete Yes - Annual To be New Council of an ESCO (Energy Service Company) to Measure established measure Property promote energy saving and promotion of services renewable energy in Midlothian
Midlothian Council to explore installation of 31/03/18 Feasibility study complete Yes - Annual New Council ground and roof mounted solar panels on Measure measure Property Council owned land and property services
Provide information on the Planning pages 31/03/18 Information is available on Midlothian Yes - Annual New Midlothian of Midlothian Council’s website on the types Council’s website Measure measure Council availability of renewable energy, and their Planning requirements for planning consent
Page 41 Page 217 of 324 Reference SUSTAINABLE GROWTH 2017/18 Ownership Code Actions Due Date Performance Indicator Target Baseline Previous Team trend data 31/03/18 Disseminate this information to and Yes - Annual Midlothian through the Federation of Midlothian Measure Council Community Councils. Planning / FCC
Page 42 Page 218 of 324 EQUALITIES
Equality, Diversity and Human Rights are cross-cutting and underpin all that the Community Planning Partnership does, plans and provides. The Equality Act 2010 & Public Sector Equality Duty requires public organisations, both as an employer and in the planning and delivery of services to have due regard to the need to (1) eliminate unlawful discrimination, harassment and victimisation, (2) advance equality of opportunity and (3) foster good relations between people who share a protected characteristic and those who do not. Success/failure to meet this overarching outcome will be reported on to the Community Planning Working Group and Board throughout 2017/18 and to the Equality & Human Rights Commission by 30 April 2019 and subsequently by 30 April 2021. Midlothian H&SC Partnership , managed by the Integration Joint Board for Adult Health and Care also have equality outcomes and mainstreaming reports on which it is due to report to the Equality and Human Rights Commission by 30 April 2018
This year the equalities impacting actions of the partnership are embedded in and across the 5 themes rather than being set out as a separate action plan template. Key actions that are intended to reduce inequalities affecting protected characteristics groups are:
Getting it Right for Every Midlothian Child Develop new ways of working to improve and promote positive mental wellbeing with children and young people across Midlothian. Establish a baseline of level of engagement with children and young people in planning for their needs Close the attainment gap affecting children and young people facing additional barriers to learning Deliver national improvement actions set by Scottish Government Close the attainment gap for children and young people affected by additional barriers to learning Improving Opportunities Support people out of poverty and welfare dependency Increase the positive destinations of young people Increase the qualifications of working aged adults Reduce health inequalities and improve the health of the population Increase access to digital services Increase public engagement in the design and delivery of services Adult Health & Care 2017-18 Action Plan Information - Improve the provision of Information on Health, Social Care and Community Resources Financial Inclusion: Work with MFIN to maximise income of people who are vulnerable or at particular risk of inequalities. Health Equalities - Develop a programme of work across agencies to reduce health inequalities in Midlothian Physical Activity - Contribute to the development of a local strategy and support its implementation with older people, people with disabilities and those at greatest risk of inequalities Isolation – Develop approaches to prevent or address isolation and reduce the detrimental impact on physical and mental health Sustainable Growth Action Plan Increase sustainable travel Support regeneration of town centres Deliver further affordable housing. Safer Communities Reduce Gender based violence (including domestic abuse)
The following additional specific partnership actions add to this.
Page 43 Page 219 of 324 Reference EQUALITIES 2017/18 Ownership Code Actions Due Date Performance Indicator Target Baseline Previous Managed by trend data Contribute in terms of equality issues & 31/03/18 Evidence of equalities work/issues 5 None Community initiatives to the Midlothian Equality from 5 thematic partnership groups Planning Working Plan 2017-21 and sub groups is reflected in the Group minutes of these groups
Address LGBT prejudiced based 31/03/18 Level of LGBT support groups activity in 100% 83% 2 Council Equalities bullying/discrimination/inappropriate secondary schools Engagement behaviour in our schools and colleges Officer/ MYPAS/ LGBT Youth Develop the role of Neighbourhood 31/03/18 Neighbourhood plans to including at 15 0 0 Communities planning groups in creating and least one action to promote equalities team/ NP sustaining inclusive communities groups/partners equalities leads Find opportunities for equalities 31/03/18 Number of joint working actions 3 2 3 Midlothian characteristics groups to maximise undertaken (projects) Peoples Equalities influence by working together Group
Page 44 Page 220 of 324 Item 8.15 Midlothian Council Tuesday 27 June 2017
Midfest 2017
Report by John Blair, Director Resources
1 Purpose of Report
This report is presented to advise the Council of:-
(a) the success and outcomes of Midfest 2016 festival and (b) the proposed arrangements going forward for the Midfest 2017 festival.
2 Background
2.1 Previous Events
Midfest 2013
In May 2013 a joint report by Director Corporate Resources and Director Education and Community Services entitled “Midfest” initiated the inaugural Midfest Festival of Arts and Culture which took place across Midlothian during the period 21 to 28 September 2013.
Midfest 2014
Based on the success of Midfest 2013, Midfest 2014 was held from the 6 to 14 September 2014 featuring opening events and local community based events. The addition of a pop concert (Grown in Scotland) broadened Midfest’s reach. Furthermore the Director, Resources oversaw the event planning under the auspices of the Legacy 2014 Active and Connected themes as approved by Council in February 2014 and supported by Event Scotland for marketing activity as part of the Year of Homecoming Scotland 2014.
The creation of the Safety Advisory Group led by the Council included key partners involved in the organisation of the events.
To fund the event costs Council agreed to utilise funding of £30,000 from the Members’ environmental budget .
Page 221 of 324
Midfest 2015
The opening of the Borders Railway on 6 September 2015 coincided with the original planned Midfest weekend. Therefore the Director Resources gained agreement from Midstock organisers in February 2015 to reschedule the event to avoid a clash. Subsequent planning of the Fun Day and community based events commenced from February onwards to ensure the necessary planning and safely arrangements were established for two major events.
The 2015 event comprised:
• Midstock Festival – Pop music event, Saturday 12 September 2015 as a commercial ticket, ticketed venture with Council support for Safety Advisory Group management.
• Midfest 2015 Family Fun Day – Sunday 13 September 2015 offering local music bands, school bands, stalls remaining from the Midstock event and additional market stalls and Community Safety Village. This was a free ticket event.
• Community Events at Local venues throughout Midlothian with 2000 attending across the Council area.
Midfest 2016
The Council at its meeting 17 May 2016 requested the Director Resources explore opportunities to reduce costs and maximise external funding.
Accordingly the Midfest 2016 event followed the same format as 2015 with the exception of the Community Events in part due to time constraints and ongoing resource implications.
The Director Resources directed the organisation of on-line ticket sales at £3.00 per adult for the Family Fun Day on Sunday 4 September 2016. On the day of the event ticket sales were set at £5.00 per adult, with children being admitted free of charge.
Page 222 of 324 2.2 Audience Reach and Attendance Levels
Table 1 illustrates the attendances for the last three years.
Table 1: Attendance Comparison 2014-2016
Numbers Numbers % Numbers Event Details % attending attending Attending
2014 2015 2016
Midfest Fun Day 5,500 7,000 27% 8,000 14%
Grown in Scotland /Midstock 3,500 4,500 29% 4,500 0%
Sub total 9,000 11,500 28% 12,500 9%
Community Venue Events 1,550 2,000 29% N/A N/A
Total 10,550 13,500 12,500
It should be noted that, since the community events did not take place in 2016 overall attendance figures reduced. However, Midfest Fun Day increased by 14.3% and taking account of Midstock and Midfest Fun Day attendance combined figures show an overall increase of 8.7%.
A Survey Monkey survey was issued to those who purchased tickets online. As with previous years those attending were mostly from Midlothian (78.9%) and the vast majority agreeing that they would attend this event again (79.69%) and 80% of respondents rating the event as either Very Good or Excellent.
A copy of the Survey results is appended to this report.
3 Resource
3.1 Financial Implications
In terms of the human resource implications, organising events, venues and publicity was managed by existing Council staff in conjunction with partner organisations. The Safety Advisory Group led by the Council established the principal forum for event co-ordination, management and facilitation, particularly with regard to the large scale public events across the Council area.
Page 223 of 324 The costs of the providing the event is as set out in the following table.
2014/15 2015/16 2016/17 Notes Premises Costs £2,799 ---- £349 Supplies and £45,340 £36,949 £28,000 (a) Services Payments £805 ------Total Costs £48,944 £36,949 £28,349 Fees and (£14,044) (£260) (£10,037) (b) Charges Net Costs £34,900 £36,689 £18,212
Notes
(a) The staff costs included in the above figures amount to £9,795 (b) The net costs to do not include contributions from members environmental funds.
Based on a critical review of the experiences gained over the last three years it is possible to provide the Sunday Fun Day event using reduced resources and introducing entry charges and to continue to seek additional funding to cover the costs of providing the event.
Furthermore consideration was given to reducing the stewarding costs however in view of recent events and the current threat level relating to security at public events this was discounted by the Director Resources on safety grounds.
In view of the financial position facing the Council the proposals have been based on a significantly reduced cost to the Council of providing the Sunday event and the introduction of further charges.
With regard to the Family Fun Day the entrance fee proposed is as follows:-
Category In Advance On the Day Notes
Adults £3.00 £5.00 As in 2016
Children (16 and under) £1.00 £1.00 New charge for 2017
Additionally the Director, Resources is in dialogue with a number of organisations to determine and explore any opportunities for sponsorship of the event.
The promotion of the event will commence as soon as possible to ensure maximum uptake and to ensure that costs are part recovered via entrance fees.
Accordingly the following table details the anticipated financial costs to the Council of providing the 2017 event on the basis outlined above.
Page 224 of 324
Costs/Charges Actuals Actuals Actuals Estimated
2014/15 2015/16 2016/17 2017/18
Premises Costs £2,799 --- £349 ---
Supplies and Services £45,340 £36,949 £28,000 £24,387
Payments £805 ------
£48,944 £36,949 £28,349 ---
Fees and Charges (£14,044) (£260) (£10,037) (£14,456)
Net Costs £34,900 £36,689 £18,212 £9,931
The Director Resources proposes that the net costs up to a ceiling of £10,000 be funded from existing budgets.
The week long community events are well established and it is proposed that the Council role is one of co-ordination and marketing if these events are to continue and to be operated by the community.
3.2 Risk
Midfest 2016 Family Fun Day saw minimum disruption due to close consultation involving partners from the emergency services and their involvement is crucial within the Safety Advisory Group event planning meetings.
For future large events the proposed risk relates to crowd control, safety and local disturbance will be mitigated via close consultation with the Scottish Ambulance Service, Police and Fire Services. This will continue to be overseen by the Safety Advisory Group led by the Council and resulting in the compilation of detailed Event Management Plans involving all key partners.
The Safety Advisory Group is co-ordinated across the Council by the Head of Commercial Operations. This arrangement is particularly critical given the recent severe threat level facing the United Kingdom. There is a risk that depending on the level of entry fees generated the costs may not be fully recovered. This will be mitigated by pre event publicity and focused promotions particularly via social media and the Director Resources funding the event up to a maximum of £10,000 from existing resources should external funding fail to materialise.
Page 225 of 324
3.3 Single Midlothian Plan and Business Transformation
Themes addressed in this report:
Community safety Adult health, care and housing Getting it right for every Midlothian child Improving opportunities in Midlothian Sustainable growth Business transformation and Best Value None of the above
3.4 Impact on Performance and Outcomes Midfest alongside Midstock raises the profile of Midlothian on a wider stage. Major publicity surrounding the Borders Railway links will support the continued promotion and marketing of Midlothian and Midfest.
3.5 Adopting a Preventative Approach
Supporting the local economy by attracting visitors to the area is considered preventative and contributes to the overall well being of the Council area.
3.6 Involving Communities and Other Stakeholders
The initial preparation and planning for Midstock Festival 2017 is already underway. The establishment of the Safety Advisory Group provides an essential platform for the continuation and development events such as Midfest. The Director, Resources and relevant colleagues are in regular contact with the event organisers and the owners of Dalkeith Country Park.
3.7 Ensuring Equalities
There are no Equalities Implications arising from this report. Everything possible is being done to ensure that events are accessible to all and event partners also require to comply with Equalities legislation.
3.8 Supporting Sustainable Development
This report does not impact on sustainable development.
3.9 IT Issues
There are no IT implications associated with the proposals set out in this report.
Page 226 of 324
4 Recommendations
The Council are invited to:-
(a) Note the success of Midfest 2016
(b) Note the resource implications particularly arising from the Sunday event; and the intention of the Director Resources to fund up to £10000 from existing budgets.
(c) Instruct the Director Resources to continue to explore opportunities for reducing costs and maximising external funding.
(d) to approved the proposed entry charges as set out in this report.
5 May 2016 Report Contact: John Blair Tel No 0131 271 3102 [email protected]
Appendix A: Midfest 2016 Survey Monkey Findings.
Page 227 of 324
Midlothian Council Resources Directorate
Appendix A: Midfest 2016 Survey Monkey Results.
Midfest 2016 – Survey Monkey Findings. 1. Attendance 8000, up by 1000 on 2015 and by 2000 for 2014.
2. Survey monkey response = 128 (226 in 2015). Note only 5 questionnaires were completed on the day.
3. Attendee residence split: a. Dalkeith 32.8% b. Other Midlothian Town 46.1% c. Other Scottish Town 21.1%
4. 100% were day visitors (ie none staying over night in serviced accommodation or self catering).
5. The 128 respondents represented 673 individuals in their groups. For 2015 the 226 represented 1247 individuals.
6. Respondents age range – 45% in 35-44 age group (same for 2015). There were 32% in the 35-24 age group, which is higher than 2015 by 8.5% points.
7. 78.91% of respondents were female. This compared with 80.1% in 2015.
8. Over all event rating: 2016 2015 Excellent 38.28% (27.00%) Very Good 42.19% (51.03%) Fairly Good 14.06% (14.06%) Mildly Good 05.47% (06.06%) Not good at all 0.00% (0.04%)
9. Likely to visit again (scale of 1-10 – least likely to very likely): Responses for Very likely (10) were significantly higher at 61.72%, up by 21.26% on 2015 figure.
For 2016 top 3: 10 = 61.72%, 9= 7.81%, 8 = 10.16%. So Top 3 (10 – 8) = 79.69% This is slightly up on 2015 top 3 figures: 10 = 50.9%, 9= 13.7%, 8= 14.2%, Top 3 (8-10) = 78.8% Taking the top 5 give 87.51% (2015) and 87.70% (2016) show the events to be of equal standing over the 2 years.
Page 228 of 324 10. None of the respondents travelled to the event by train. 64% travelled by private car, 25% on foot and 10.16% by bus and 0.78% by taxi. 58% spent up to £10 of travel.
11. Thoughts regarding the MarketCraft Stalls are as follows: 61.72% felt stall were interesting and varied and what you’d expect. This was a substantial increase from 2015 (46.5%). 30.47% felt there were not enough stalls, down on last year’s 39.8%. Most of the spend this year was up to £20, but remained at a similar level to 2015.
12. Food and Drink provision- Satisfaction of respondents is as follows: 2016 2015 Very Satisfied 25% 23.9% top 2 rating up by 3.4% points. Fairly satisfied 62.5% 60.2% Not very satisfied 9.38% 11.5% Not satisfied at all 3.13% 4.4%
The ‘spend’ on Food and Drink saw a small increase according to respondents; with 75% of respondents spending up to £20.
13. Fairground attractions. Spend on the Fairground appeared to be up according to respondents. In 2016 86.7% of respondents attended and spent money at the fair. In 2015 this was 80.5% There were many comments from respondents regarding the cost of the fair was far too high and many suggested having a set price to allow festival goers to buy a pass for the day allowing unlimited rides.
14. Attendance at the Community Safety Stalls. 35% of respondents visited these stalls. This is in contrast to 2015 figure of 47.3% The most popular stall was the Fire and Rescue Service then Home Safety and child safety.
15. The Fun Activity Tents were very popular and the addition of the RUTS and Nordoff Robbins tents. The most visited tent was the Midlothian Science Festival. The Science Buskers, which proved to be very successful engaging with 850 people on the day. This is very significant for the Science Festival organisers aiming to engage people in science activity at non-science based events.
Page 229 of 324 16. Entertainment: 85.94% of respondents thought that the entertainment was varied and appropriate for a family fun day (88.5% - 2015). 8.59% would have preferred other entertainment 5.47% responded with ‘other’ comments. Some of these were asking for more kids entertainment and others for more bands for older people. Timing of bands was commented on; fun box too early, best band played in middle of afternoon but should have been at the end. Others would prefer local bands. The excessive noise was mentioned as this irritated children and babies. It can be concluded that it seems difficult to please so many tastes within a broad reaching family fun day.
17. COMMENTS: 43.75% of comments were positive or neutral, 20.31% suggestions and 20.31% negative points and 7.81% had a mix of suggestions, positive and negative comments. Another 7.81% had other comments (on lack of information available on layout and what was available/happening on the day). Many of the negative comments were aimed at the expensive food and drink, ice cream and fairground as well as the noise being problematic for young children and babies. Parking seemed to be an issue , particularly if people went to facilities at the Restoration Yard and then had to walk back. Disabled parking was also raised.
Page 230 of 324 Midlothian Council 27 June 2017 Item 8.16
Voluntary Sector Grants
Report by Dr Mary Smith, Director, Education, Communities and Economy
1 Purpose of Report
This report sets out options for the next 3 year Grants budget cycle, and invites elected members to consider extending current 3 year grant holders grants by six months to one year, to allow for engagement with stakeholders, voluntary organisations and elected members, to agree how we can use our limited resources going forward to best meet the needs of our communities.
2 Background
2.1 In 2015, a full scale review of the grants system was undertaken by a co-production panel chaired by the then Director Health and Social Care including all Council services with grants portfolios and representative bodies for the voluntary sector.
The resulting report to Council, created 4 new grants streams, centrally coordinated by the communities section, operating to new priorities aligned to the core policy goals of the Singe Midlothian Plan.
Associated detailed work was undertaken to revise processes and procedures to ensure consistency and equity in decision making. All these changes were approved at Council and a new 3 year large grant and annual small grant funding system was put in place. An overview of the current system is attached (appendix 1).
2.2 As a result of the decision by Council to reduce the grants, the voluntary sector partners withdrew formally from the co-production panel. Grant recommendations were then drawn up by cross directorate officer groups and approved by elected members.
2.3 A further area of work, grants to cover rental of council properties revealed a number of properties that had not been taken into account in the grants review, and inconsistencies in the terms of use and level of grant support being offered to different external agencies.
2.4 During the 2 years following the review the annual small grants scheme which supports the same 4 themes of work but at lower levels of funding, has also been amended. In August 2016 Council agreed that the reducing poverty small grants scheme be adapted to provide funding only to the target communities in line with the Single Midlothian plan commitment to ‘bend the spend’ to these areas. This £40,000 fund is being allocated using a Participatory Budgeting methodology to begin to address the Scottish Government expectation that 1% of council budget is allocated in this way. Grants to gala days were withdrawn from competitive bidding and allocated fixed sum per event.
2.5 In 2010 the Council entered into a long-standing commitment with the voluntary sector, signed by Provost Cllr Adam Montgomery and the Chair of Midlothian Voluntary Action on behalf of the voluntary sector forum known as the “Compact” (appendix 2), which sets out mutual obligations to work in partnership and commits the Council to ensuring all grant decisions are made sufficiently early to allow planning for change in voluntary organizations. This requires decisions on any changes to the existing grants scheme to be made before the grant funding system reopens for bids in September 2017.
Page 231 of 324
2.6 Given the Council’s financial position going forward and to ensure that we meet the requirements of the Community Empowerment Act, it is important that we take the opportunity of the new Council to review the Grants that we give to voluntary groups and organisations in Midlothian. A set of options for change in the current system are set out in appendix 3. These include:
Option 1 Retain the existing large grant streams. Option 2 Retain the existing large grant streams with unaltered criteria but restrict applications only to local agencies registered as based in Midlothian. Option 3 Revise main grants criteria to align with 3 year CPP priorities. Option 4 Do not run another 3 year grants round, but extend the current period of grant for a further 3 years to current recipients. Option 5 Using new Top 3 Single Midlothian Plan priorities develop a participatory budgeting model for large grants. Option 6 The three streams of 1) Developing Communities 2) Employability Learning & Training 3) Health and Physical Activity be replaced by one fund. Option 7 Extend the current 3 years Grants Funding Cycle between six months and one year.
Small Grants Funding Allocation The small grants streams should be maintained for the coming year and be included in the review of the 3 year Grants above.
2.7 The Third Sector Interface partnership, a Scottish Government national network of voluntary groups, (in Midlothian consisting of Midlothian Voluntary Action, Volunteer Midlothian and Social Enterprise Action Midlothian who operate to a shared annual development plan approved by Scottish Government) has written to the Chief Executive on behalf of the voluntary sector forum and voluntary sector children and young people forum to request a number of commitments (appendix 4).
2.8 The Council has committed to a policy of developing voluntary and community groups’ capacity to deliver services in the community for a number of reasons:
• Such groups can, and do, draw in external funds denied to Councils. Many millions have been achieved over the past 20 years by the voluntary sector, both revenue and capital. At the last review the core funding supplied by the Council was estimated to generate £10 return of external funding per £1 of Council investment.
• Volunteers contribute significantly to the wellbeing of the Midlothian community. 30% of local people actively volunteer each week, with some volunteers forming management committees taking on the management of paid staff and significant budgets on an unpaid basis.
• Often voluntary sector organisations innovate and take risks as social entrepreneurs that improve how public services are delivered.
• The network of community bodies and volunteers contributes significantly to prevention of public service costs by providing self help groups in areas such as mental health, drug or alcohol dependency, community activities that reduce isolation and loneliness, learning opportunities for children and young people, social welfare such as food banks, advocacy for vulnerable groups such as carers, people with disabilities. It is clear that as public sector resources decline the added value of this work is increasingly important.
• Removing such capacity is likely to lead to increased demand for services as home care, child care, anti- social behaviour, community safety, mental and physical health care, family support services and homelessness support.
Page 232 of 324
3. Policy Issues
The Community Empowerment Act 2015, Public Bodies Joint Working Act 2014, Community Justice Act 2016, Children and Young People Act 2014, all make clear the need for Councils and other community planning partners to work closely in partnership with community and voluntary sector groups. As Council resources decline, voluntary groups and voluntarism is likely to replace areas of activity from which direct Council delivery withdraws.
3.1 There is a need to ensure that there is alignment between the grants streams and the top 3 priorities of the Single Midlothian Plan. The current 5 grants streams are:
1. Employability, learning and training. 2. Poverty reduction. 3. Developing communities. 4. Health and physical activity. 5. Rents.
The SMP top priorities are:
1. Reducing health inequality (links to grant streams 1, 2, 3, 4). 2. Reducing learning inequality (links to grant streams 1, 2, 3 and 4). 3. Reducing economic inequality (links to 1, 2, 3 and 4).
The grants scheme offers a continuing “fit” with current policy priorities.
3.2 Concerns have been raised by some council officers that the grants streams have resulted in less priority being given to community safety related applications as these had a poor fit with any of the revised criteria. Similarly concerns have been raised that arts, culture and heritage applicants have been required to present their work under ‘building community capacity’ or ‘lifelong learning and employability’ criteria, rather than in terms of the merits of these fields of work in themselves.
These are also legitimate concerns however targeted use of the grants budget was designed to align use of grants with policy priorities, and in making such choices some other valuable areas of work have been de-prioritised, or require to undertake work that supports the agreed priorities if they wish to seek funding.
3.3 Concerns have been expressed that competitive grant funding arrangements, reward organisations with “better grant application writers” tend as a result to favour larger groups with staff over smaller unstaffed groups.
Prospective grant applicants are offered training and support in sessions spaced across the county held in day and evening and have access to telephone advice from the Communities team. Competition for grant aid has been a standard feature of grant decision making throughout the history of local government and meets the Audit Scotland requirements to demonstrate best value, openness and equity by fulfilling the same role as competitive tendering.
There is a need to balance support for micro-organisations which have very diverse forms of activity but contribute to community wellbeing and cohesion; with larger grants to bodies with whom the Council is partnering in service delivery that are voluntarily led by unpaid board members, but employ staff to deliver their goals.
For this reason the grants budget was spilt into larger and small grants and within this to 4 streams that avoided wherever possible comparing ‘unlike’ organisations.
Page 233 of 324
3.4 The rental grants stream requires considerable further review. After the 2015 grants review reported to Council, a number of arrangements emerged that were inconsistent with the new policy and procedures. For example, despite the Council agreeing to cease ‘in kind’ offers of property to organisations, a number of such arrangements have either continued or been implemented leading to inequitable treatment inconsistent with agreed policy. Efforts to resolve this have not succeeded to date. The national ‘following the public pound guidance’ requires the Council to show the value of any support to an outside body, preferably by a visible transaction. This has led to a circular transfer of grant budget outwards to make payment of rent back inwards to the Council, with the resulting overheads in use of staff time to process this.
The previous review was advised that ceasing to demonstrate the transaction may be illegal, after a case in City of Edinburgh. Legal advice will be required to clarify this. Under the 2003 Local Government Act, there is a ‘general power to promote the wellbeing of communities’ and under 2015 Community Empowerment Act, there is provision for community asset transfer. Both of these Acts make clear that ‘social value’ can be used as the basis for any Council undertaking non commercial arrangements.
4 Report Implications
4.1 Resource In 2017/18 the Council paid out £1million in grants, but got back £128,600 of this in rentals and an estimated £303, 949.00 in lets charges for use of Council properties by third sector groups( it is not yet possible to confirm that all these groups are Council grant recipients) .
Any decision to offer rental costs / lets instead of cash grant aid needs to be after a transparent grant process to ensure equity, fairness and compliance with ‘Following the Public Pound’ statutory guidance.
4.2 Risk There is significant risk that further reducing grants budget will:
• Increase other costs to the Council and its partners. • Reduce the ability of the third sector to attract additional external funding affecting public service and policy goals of the Council. • Damage community quality of life affecting the tracked indicators used in the Citizens panel. • Lead to reputational and operational damage as small groups run by volunteers are less likely to work in partnership with the Council and be less willing to extend support to the preventive intervention, increased self help model of services being pursued by the Council.
There is also a risk that radical alterations to the priorities and grant streams will take up administrative, managerial and front line staff’s time amending systems, advertising new criteria, providing applicants with briefings and application advice at a time when there are reducing staff resources .
4.3 Single Midlothian Plan and Business Transformation Themes addressed in this report:
Community safety Adult health, care and housing Getting it right for every Midlothian child Improving opportunities in Midlothian Sustainable growth Business transformation and Best Value None of the above
Page 234 of 324
4.4 Key Priorities within the Single Midlothian Plan Grant aid supports the core funding of third sector to enable it to bring added resources (funding and volunteers) to bear on the three top priories as identified above.
4.5 Impact on Performance and Outcomes Use of grant aid supports achievement of a set of outcomes and specific actions in the SMP.
4.6 Adopting a Preventative Approach Use of grant aid supports social contact, learning, self help, mutual support, volunteering and both universal and targeted services that reduce demand on public service.
4.7 Involving Communities and Other Stakeholders Grant aid is a key mechanism to support partnership with and infrastructure of community groups across the County.
4.8 Ensuring Equalities/ Supporting Sustainable Development Grant aid processes are subject to Integrated Impact assessment.
4.9 IT Issues There are no IT issues arising from this report.
5 Recommendations
It is recommended that Council:
• Extends 3 year grants for a further six months to the end of September 2018 to allow consideration of future options. • Invites third sector partners to re –enter “co- production” of revised arrangements, aiming to have an agreed position available for Council consideration during the budget setting process for 2018/19. • Request equalities staff undertake an Integrated Impact Assessment so that any changes to the grants programme comply with equality legislation and do not inadvertently discriminate against specific groups. • Continue with another round of one year small grants on the existing basis.
07 June 2017
Report Contact: Alasdair Mathers Tel No - 0131 271 3438 alasdair.mathers @midlothian.gov.uk
Background Papers: Appendices 1 Current grant system 2 Compact 3 Options 4 Voluntary sector forum letter
Page 235 of 324 Appendix 1. Overview of Grants Process
Grants Processes and Procedures 2015-18
1. Procedure notes : Process for Applying for a Grant
Step Action Sub-action
1. Start-up Grant Stream Lead confirms budget, criteria and terms and Website / distribution lists / partners / conditions (including no appeal rule), recruits to the press. decision-making Panel. Daytime/evening information sessions. Letter of agreement/Service Level Agreement (SLA) Dedicated grant stream advice phone template developed. number. Council markets available grants and deadline for submissions.
2. Decision to Applicants contacts the Council by phone / email / website Applicant decides which grant stream to apply apply for, and which form is required.
4. Complete Form is posted/emailed to applicant, applicant downloads Council staff / MVA meet with applicant to application form. Applicant attaches additional required information to discuss and complete form if required. form and the form. supply Application form and information must be kept together. additional Electronic application form can only be completed if information electronic information can be appended to it.
Where the applicant is applying for more than one grant, the additional information should be appended to only one of the application forms. Each application form should include a cross-reference to the others.
3. Application In person / by post / by email. Postal / hand delivered entries are scanned. form and All entries are saved in relevant grant additional stream application folder. information received
4. Initial Grant Admin checks the form has been properly completed. Grants Admin check form is fully completed. processing Contacts applicant to complete the form if
incomplete.
5. Grant Stream Lead checks the eligibility criteria
6. Application is Grant Stream Lead collates applications and sends them to Grant Stream Lead may contact applicant to collated the decision-making Panel clarify application.
7. Application is Grant Stream Lead carries out induction training of assessed decision-making Panel. Includes vested interests declaration.
8. Decision-making Panel assesses all applications and makes recommendations to Director and Council Leader (or nominated representatives). This can this include partial awards
9. Application is Director and Council Leader (or nominated representatives) Panel may be required to meet if Council confirmed or confirm or reject recommended applications (subject to risk rejects recommendations. rejected assessment) and confirm budget is available. Assign link officer to successful applicants Page 236 of 324 7
Step Action Sub-action
(unless already assigned).
10. Application is The following rules relate to the total amount of grant If risk assessment deems risk too high, Link risk-assessed funding applied for (applicant may apply to more than one Officer refers decision to Director (or grant stream simultaneously, for funding for separate nominated representative) regarding projects to be received up to 3 years). Grant Stream Leads whether application can be accepted. to co-ordinate risk assessments required:
• Grants below £10,000 to applicants who have never previously received a council grant, require a simplified risk assessment. Other grants below £10,000 do not require an assessment.
• Grants between £10,000 and £50,000 require a simplified risk assessment.
• Grants greater than £50,000 require a comprehensive risk assessment.
A Link Officer is allocated to this application and may meet the applicant to complete the assessment. Includes negotiating measures to reduce risk.
11. Applicant Link officer writes a letter which is emailed (or posted) to informally applicants to confirm success or failure. informed of
outcome
12. Corporate Grant Stream Lead updates corporate register with details Register of successful applications and registers any conflicts of updated interest.
13. SLA agreed SLA (based on standard template and in line with the SLA signed (with witness and noting Following the Public Pound policy) negotiated. SLA should location) and scanned and saved in include performance indicators and targets: electronic folder. Applicant should also have a copy. • Grants under £10,000 require Letter of Agreement.
• Grants up to £50,000 require a simplified SLA.
• Grants greater than £50,000 require a comprehensive SLA.
SLA also describes method of monitoring, proportionate to the size of grant, its purpose, the result of risk assessment, etc.
14. SLA and grant agreement signed off by the line manager of the Grant Stream Manager (or another representative nominated by the Director) in accordance with Following the Public Pound policy and Financial Directives.
15. Corporate Grant Stream Lead updates corporate register with details register of SLAs. Grant Stream Lead informs annual report writer of updated and these details and any identifies any agreements greater annual report than £50000.
16. Payment Grant stream manager informs Finance Section and other relevant officers of payments required over the lifetime of Page 237 of 324 8
Step Action Sub-action
the grant arrangement:
• Grants under £1000: one annual payment in advance.
• Grants between £1000 and £500,000 require quarterly advance payments.
• Grants greater than £500,000 require monthly advance payments.
17. Finance Section makes first payment.
18. Subsequent payments are subject to the monitoring process.
Page 238 of 324
Appendix 2. Compact Document
THE MIDLOTHIAN COMPACT
Joint Foreword
By
The Council Leader
And
The Convener of Midlothian Voluntary Action
The last 10 years has seen a new relationship developing between local government and the voluntary sector, a relationship built on mutual trust and appreciation of our distinctive values and roles. The Scottish Compact of 1998, which drew on the lessons of the previous two decades, provided the framework for this new relationship. But the time is now right to bring the Compact up to date with the challenges facing us in the early 21 st century; challenges such as the protection of vulnerable youngsters, ending poverty, discrimination and disadvantage, and creating safe, strong communities that are underpinned by the Compact’s basic values of active citizenship, equality of opportunity and sustainable development. Midlothian’s voluntary sector has already responded with great energy and commitment to these and the many other challenges facing our society today, and it shares the Council’s determination to apply the Compact’s principles throughout the public sector and across the voluntary sector. Together we are pleased to endorse this new Midlothian Compact as the foundation for a community planning based partnership that will make Midlothian a better place.
……………………………………. ………………………………………………….. Council Leader Convenor of Midlothian Voluntary Action
Page 239 of 324
THE MIDLOTHIAN COMPACT BETWEEN THE COUNCIL AND THE VOLUNTARY SECTOR IN MIDLOTHIAN
PRINCIPLES FOR WORKING TOGETHER
Remit of the Compact The Midlothian Compact is a local adoption of the Compacts providing a framework for national Government/voluntary sector relationships across the UK. Although the Scottish Compact applies specifically to Scotland, it is expected that relationships between UK voluntary organisations and the Scottish Executive, and between Scottish voluntary organisations and the wider UK government, will also embrace Compact principles. The Scottish Executive has made clear that it expects local Councils to establish arrangements in line with these UK and Scottish policies.
The Midlothian Compact sets out the high level principles that we are seeking to achieve in the relationship between the Council and the voluntary sector. This latest version of the Compact has been updated to reflect renewed commitment to achieving an open and participative working relationship between the Council and the voluntary sector in Midlothian.
The Compact commitments have also been strengthened for all parties to reflect the Scottish Compact Good Practice Guidelines, which set out the detail on how we can work together to develop our relationships. These, and other relevant publications, can be accessed at both the SCVO and the Scottish Executive Voluntary Issues Unit, and can be accessed through their relevant websites (www.scvo.org.uk and www.scotland.gov.uk/viu) . T his national Compact documentation is supported by the work of the Scottish Executive/Voluntary Sector Forum and the Scottish Compact Implementation Strategy (2003). The Scottish Compact Implementation Strategy reflects the following key themes: strategic aims and vision; leadership; mainstreaming; raising awareness and promoting best practice; communication; and resources. Monitoring and evaluation issues are also covered. Midlothian’s Compact adopts these themes.
Setting the Scene
Aim of the Compact The Compact is an agreement on the principles of working in partnership between all the Midlothian Council divisions (referred to collectively as the ‘Council’ throughout this document), and the voluntary sector. It is based on a mutual understanding of the distinctive values and roles of the Council and the voluntary sector. Its aim is to develop robust relationships for the wider public good.
Voluntary Sector and Council Roles The Compact acknowledges that the voluntary sector and the Council have their own spheres of action with different roles, responsibilities and resources. In terms of value to Midlothian, the Voluntary sector makes a significant contribution to the local economy and to the delivery of public policy objectives. The close partnership of Councils and Local Voluntary groups is an integral part of successful public service delivery and mutually beneficial.
It is accepted that not all voluntary organisations will have an interest in seeking partnership with the Council. Some will prefer to pursue their own objectives without reference to the objectives of local government. Others may find themselves from time to time taking issue with Council or partner agencies strategies. But for the growing number of cases where partnership is sought by all parties, the Compact describes agreed principles for working together effectively.
Implementation of the Compact Implementation of the Compact is a key role for intermediary voluntary organisations, which in Midlothian include Midlothian Voluntary Action, Volunteering Centre , Midlothian Association for Play, Lothian Association of Youth Clubs , Coal Industry Social Welfare Organisation, and others whose purpose is to represent and support other voluntary organisations in a particular area or Page 240 of 324 11 field of activity. Intermediaries include some bodies with a national remit, local Councils for Voluntary Service, specialist ‘umbrella’ organisations, and many forums and alliances .
The Voluntary Sector in Midlothian
The sector requires some definition since it is made up of a wide range of agencies. It includes the following main categories:
• Community groups run solely by volunteers that may or may not be grant aided by the Council or its community planning partners such as the NHS, they may also receive grants from national bodies such as Awards for All. • Local voluntary organisations employing staff, but managed by voluntary management committees or Boards, these may receive funding as grants from the Council, but may also be suppliers of services on a contracted basis to the Council or its community planning partners- for example, M.Y.P.A.S. These may be Midlothian-wide, or cover a smaller area within Midlothian. • Regional or national voluntary sector organisations that may be contracted by the Council to deliver services on its behalf - for example, Children First, Scottish Association for Mental Health. • Social Enterprises - not-for-private profit organisations, usually run by volunteer directors, which trade in goods and services and re-invest profit in activities with social benefits – such as McSence Ltd. • Social Firms – trading not-for-profit organisations set up specifically to employ people with additional needs, such as learning or physical disabilities, or mental health support needs.
The legal structure of each of these main types of agency can vary, from:
• “Unincorporated bodies”, such as most single arts groups (Brass bands, Pipe bands etc), playgroups, mother and toddler groups, many youth clubs, Miner’s Welfares, and small scale sports groups. These have a constitution and may often have charitable status. • Company Limited by Guarantee – where the voluntary Board have protection by having limited personal liability to any debts incurred, these can range from local to national organisations. • Charitable Trusts- these do not require the same annual general meeting and election of volunteers to form a Board of Trustees, but are run by appointed Trustees.
Whatever form or scale they take, some defining factors are:
• The not-for-private profit nature of the agency, and provision of a social benefit as a primary purpose. • The use of volunteers as deliverers of service in whole or alongside paid staff. • The voluntary nature of the management committee, or board.
In addition, there are bodies (such as the Royal National Institute for the Blind, Scottish Association for Mental Health or SACRO), which provide a sub-contracting service to the Council on a wholly staffed basis without use of volunteers, but who are not for private profit and whose directors are volunteers.
The Economic Aspect of the Voluntary Sector In terms of value to Midlothian, the Voluntary sector makes a significant contribution to the local economy.
For example, recent research has been carried out by Volunteer Development Scotland based on the Scottish Household Survey, costing the work of volunteers in Midlothian at the equivalent of the average weekly wage of a Midlothian based worker. This shows that volunteers( in 2004/05) contributed £1,814,755 of unpaid labour to the delivery of a wide range of community care, learning, youth work, sport and leisure and social welfare activities. Without this work and the unpaid work of the management committees of the wide range of community groups from Page 241 of 324 12 playgroups to day centres for the elderly, the Council could not deliver the levels of service expected by its citizens.
The Sector also employs a large number of local people in paid work, and the level of external investment attracted by these staff and spent in purchasing goods and services in Midlothian is a significant contribution to local economic as well as social well-being.
Funding the Voluntary Sector
However, most voluntary sector organisation require ‘core’ funding of management and administration staff, premises and overheads to be in a position to make bids for such funds. It is often Midlothian Council that provides this ‘core’ funding, offering a stable base for creative development or projects to benefit the Midlothian population. Without this core funding many of the public services delivered by the Voluntary Sector but ‘project’ funded by the Scottish Executive, European Structural Funds, National Lottery distributors, or national government agencies such as the Department for Work and Pensions, would not be possible.
The sector is able to access considerable resources from sources external to Midlothian Council to deliver services in Midlothian.
THE MIDLOTHIAN COMPACT
Benefits of the Compact
The Compact will deliver benefits by:
• Strengthening the relationship between the Council and the voluntary sector. • Extending opportunities for the voluntary sector’s members, supporters and users to contribute their experience and ideas to the development and implementation of public policy. • Making the policies and practice developed by the Council, more responsive to the potential and needs of the voluntary sector. • Recognising the potential of the voluntary sector to assist the Council in the delivery of shared public policy and operational service goals; enabling voluntary organisations to communicate more effectively to the Council, the needs of their users and wider constituencies. • Extending the opportunities to collaborate with the voluntary sector where Council programmes and the objectives of voluntary organisations coincide. • Increasing mutual understanding of how the Council and the voluntary sector work. • Generating evidence and information on the value and impact of the work of the Council and of the voluntary sector. • Informing longer-term planning and strategic thinking.
Shared Values
The Council and the voluntary sector in Midlothian share a commitment to basic values including:
• A democratic society that acknowledges the value of voluntary sector activity and upholds the right of individuals to associate freely with one another in pursuit of a common purpose within the law. • Active citizenship involving the widest possible participation by people in the lives of their national and local communities. • Pluralism, which welcomes the diversity of identities and interests within Scotland, including minority groups such as ethnic minorities and disabled people, and upholds the right of each interest group to speak on its own behalf; well as their own particular communities of need and interest. This includes opposing all forms of discrimination and promoting participation and
Page 242 of 324 13
inclusion. Equality of opportunity also encompasses the principle of fair access to the shared life of the wider community and to the public services provided. • Quality services, which provide the highest achievable standards; within available resources. • Cross-sectoral working to promote effective cross-sectoral and cross-agency collaboration to respond to the complex needs of society, which often cannot be compartmentalized. • Sustainable development that meets the needs of the present without compromising the ability of future generations to meet their own needs. • Human rights, promoting a sense of strong community and encouraging respect for each other as both individuals and as members of a community with common values. • Equality of opportunity, which maximises the opportunities for all people to contribute from their distinctive traditions, religions, cultures, values and abilities to the shared life of the wider community.
Roles And Responsibilities
Midlothian Council Commitments
In working with voluntary organisations, volunteers and community development groups, the Council will:
• Acknowledge the value of the contribution which the voluntary sector makes to the social, economic, environmental and cultural life of Midlothian and assisting the delivery of shared community planning aims. • Recognise and support the sector’s independence, including its right to comment on and challenge the Council policy. • Recognise volunteering as an important part of citizenship and support volunteering as a means of extending people’s participation in their community. • Recognise the importance of community action as a form of active citizenship and as contributing towards social and economic development. • Take positive steps to involve in the partnership, groups which face difficulties in making their voices heard. • Promote an understanding of the value of voluntary sector activity to all public sector bodies and stakeholders in community planning .
Voluntary Sector Commitments
In working with the Council , the sector undertakes to:
• Acknowledge that the Council works within a statutory framework laid down by the Scottish Parliament, to which it is accountable for its policy towards the voluntary sector. • Acknowledge the Council’s public accountability for the resources it provides to voluntary organizations. • Recognise that the Council, like all other agencies, acts within constraints. • Meet with the Council to discuss issues of mutual interest. • Take positive steps to involve in the partnership, groups which face difficulties in making their voices heard. • Promote an understanding of the value of voluntary sector activity to all public sector bodies and stakeholders in community planning .
Page 243 of 324 ACCESS
Midlothian Council Commitments
The Council acknowledges its obligation to facilitate access for the voluntary sector to its processes. The Council will:
• Clearly state objectives and priorities. • Ensure clear and accessible channels of communication. • Provide access and support, including the provision of information, to enable voluntary organisations to contribute to the policy development process. • Ensure nominations are sought through open and transparent mechanisms from voluntary sector interests as appropriate for community planning, collaborative working groups and service user groups. • Consult in an open way, communicate clearly using appropriate media and ensure feedback is provided to all responders’ and consultees. • Consult fully and to a stated timetable, jointly agreed.
Voluntary Sector
No single body or group of bodies can represent the complete range of interests that the voluntary sector pursues with the Council. However, where there are recognised representative lead bodies such as MVA, Volunteering First , CISWO, MAP, LAYC these bodies commit themselves to:
• Ensure clear and accessible channels of communication to the sector; within resources available. • Represent accurately and honestly the views of their sectoral interests. • Promote collaborative working between voluntary sector partners wherever possible. • Promote the development of voluntary sector capacity to enable particular interests and groups to develop and communicate their views to the Council. • Contribute to consultation and policy development exercises. • Consult fully and to timetables jointly agreed with the Council.
PARTNERSHIP WORKING
Midlothian Council Commitments In encouraging good practice and co-operative methods of decision-making, the Council undertake to:
• Work collaboratively with the sector to develop policy and practice. • Promote effective dialogue, using a jointly agreed format and the efficient use of time. • Work with the sector on issues of concern to either party in the spirit of openness and partnership. • Recognise the role which intermediary bodies have in representing the views of their sectors without prejudice to the right of individual organisations to represent their own views. • Ensure that in the process of policy-making, the impact of changes in policy and procedure on the sector and on volunteering and community groups are considered and taken fully into account (a process known as ‘proofing’). • Assume that information is not confidential unless otherwise stated. • Be aware of the resource constraints on voluntary sector participation in partnerships. • Operate sub-contracting arrangements in line with Best Practice as defined by Audit Scotland. • Ensure cross divisional co-ordination of relationships with the voluntary sector.
Page 244 of 324 Voluntary Sector Commitments In working with the Council the voluntary sector undertakes to:
• Engage in collaborative working with the public sector in the best interest of its members, users and the wider public. • Intermediary agencies will strive to ensure that the full range of voluntary organisations and interests are, as far as possible, informed of, and represented in, collaborative working to develop policy and practice and to promote effective dialogue. • Work with the Council on issues of concern to either party in the spirit of openness and partnership. • Work with the council to ensure that representatives at partnership meetings are properly and timeously briefed and supported. • Respect any agreed commitments to the confidentiality of the Council information. • Work with the Council when receiving funding to provide ‘Best Value’ services and work with the council to conform to national legal standards in respect of financial affairs, employment law and charity law, as required in grant conditions and contract law.
Resources
Midlothian Council Commitments Where the Council pursues its interest in promoting a healthy voluntary sector through public funding based on clear measures of performance. It will:
• Apply best practice in funding and in the administration of grants consistently, including prompt payment of agreed funds; Including telling voluntary organisations before the end of the financial year how much they can expect in the next financial year, paying grants within one month of the start of the financial year, and working toward developing three year grant cycles and Full Cost Recovery funding, subject to agreement being reached between CoSLA and the Scottish executive regarding funding of councils to meet this goal. • Recognise the need for supporting the infrastructure of the voluntary sector in bids for service contracts and make reasonable contributions to core costs; follow best practice in monitoring publicly funded work, in a manner that reflects the scale of funding and of the organisation receiving support and apply and promote Best Value processes proportionately in ways which secure equality of treatment for voluntary organisations; support, intermediary bodies to develop the capacity of the sector. • Target resources, including non-financial resources, effectively and in a way which takes account of changing needs and the maintenance of the infrastructure of voluntary organizations. • Proof documents in order that potential impact on the voluntary sector is considered routinely as part of policy development. • Respect the confidentiality of commercially sensitive information and respect organisations’ duties under the Data Protection Act.
Voluntary Sector Commitments In using public resources, the sector undertakes to:
• Practice good management of financial and non-financial resources and promote good management practice, including fulfilling conditions of funding; within available resources. • Strive to secure Best Value for its declared objectives from the resources it uses, and apply and promote Best Value processes in ways which secure equality of treatment for voluntary organisations; • Maintain agreed monitoring, performance evaluation and report-back systems to secure effectiveness in the use of resources. • Recognise that public resources are limited and that public funding is provided on the basis of value for money and its contribution to policy priorities.
Page 245 of 324 IMPLEMENTATION
Midlothian Council Commitments In endorsing this Compact, the Council undertakes to:
• Work collaboratively with the sector to put in place effective and flexible arrangements to implement the Compact; Work collaboratively with the sector to monitor and evaluate Compact operations jointly with the sector; put in place mechanisms to facilitate cross- departmental and organisational working and the mainstreaming of Compact principles. • Promote the spirit and principles of the Compact throughout the Council and its community planning partners. • Within the Council ensure all Divisions having responsibility for relations with the voluntary sector implement, review, monitor and evaluate implementation of the Compact; and report regularly on progress in implementing the Compact to the Cabinet and Corporate management team of the Council. • Within the Council ensure that there continues to be a dedicated cross divisional working group to promote and address voluntary sector interests. • Jointly agree voluntary sector representation at all levels of community planning decision- making, and monitor the application of the Compact as part of community planning core activities. • Report regularly jointly with voluntary sector intermediaries on progress in implementing the Compact to the Community Planning Partnership.
Voluntary Sector Commitments By endorsing this Compact, the lead representative bodies of voluntary organisations intermediary bodies listed in the Compact undertake to:
• Publicise to the sector the principles and understandings embodied in the Compact. • Promote and champion practices which are consistent with the Compact to voluntary organisations, volunteering activities and to community groups. • Promote the spirit and principles of the Compact to all community planning partners; ensure implementation of the Compact is a core function of capacity building intermediary voluntary organisations; establish a framework to monitor and evaluate the Compact jointly with the Council; Work collaboratively with the council put in place systems to monitor the implementation and operation of the Compact throughout the voluntary sector.
Page 246 of 324
Appendix 3 Grants Options
3 Year Grant Allocation
Option 1
Retain the existing large grant streams with unaltered criteria and open up to any applicants in a new competitive bidding round. This is the simplest option but does not address the changes in legislation over the last 3 years due to Community Empowerment Act, nor does it address the financial issues the Council faces over the next five years.
Option 2
Retain the existing large grant streams with unaltered criteria, but restrict applications only to local agencies registered as based in Midlothian, requiring all national or regional charities to be commissioned. This clearly differentiates between grant aid for community activities led by local residents; and contracting national professional agencies with charitable status as arm’s length delivery agencies for Council services. This option includes services such as Citizens Advice Bureau and YMCA who clearly provide local services but are also linked to National Organisations. This option needs to be explored further.
Option 3
Revise main grants criteria to align with 3 year CPP priorities – reducing inequalities in learning, health and economic circumstances. New criteria would be needed and in line with Council policy commitment to co-production, such revisions should be designed with communities participating in the redesign process.
It is likely that this would be a resource intensive and time-consuming process and result in formal participation requests from community groups with 30 members under the new Community Empowerment Act provisions. A determination needs to be made whether applicants for grant aid could make a participation request to redesign a grants scheme.
All applicants in the current 3 year grants round had to satisfy a requirement to deliver against an element of the Singe Midlothian Plan, as well as meeting the other tests of:
• Fit with one of the 4 grants streams specific criteria. • Viability. • Value for money. • Risk management and other legal requirements around employment law, equalities and sustainability.
Option 4
Do not run another 3 year grants round, but extend the current period of grant for a further 3 years to current recipients. At current levels of grant this would reduce the real purchasing value of such grants by the rates of inflation over a 6 year period by @ 12%, assuming an average 2%per year rise in costs.
This option avoids any administrative or professional officer time being taken up and maintains a level of support through continuing public sector reductions in budget. It would still require new 3 year service level agreements to be negotiated with each grant recipient, and these negotiations being used to negotiate use of funding within current grant stream priorities to support the SMP’s revised top 3 priorities.
Page 247 of 324
Option 5 Using new Top 3 Single Midlothian Plan priorities develop a participatory budgeting model for large grants. Lessons from the small grants pilots suggest this would be very logistically challenging at a Midlothian wide level.
The essence of PB includes the meaningful participation of residents in dialogue with public service managers about the options / consequences and constraints before choices are voted on, the alternative becomes a ‘beauty contest’ that favours particularly emotive causes. It is possible to envisage this kind of dialogue being undertaken through a series of face to face meetings with residents, explanation of grant systems and co-development of criteria, followed by presentations by applicants of their case for funding, and then a form of voting; possibly electronically, if security of this process could be assured to avoid multiple voting by one person. It is hard to envisage how the resources would be available for this in current constraints. PB for the large grants is not the preferred option of the grants stream lead officers, who will continue to test and trial PB using other funding sources, including the small grants poverty stream and elected members environmental funds – as agreed by Council.
Option 6
The three streams of 1) Developing Communities 2) Employability Learning & Training 3) Health and Physical Activity be replaced by one fund. This would consider applications based on the priorities in the Single Midlothian Plan of reducing inequalities in health, learning and economic circumstances.
The grant stream leads, along with others, would assess the applications to ensure there is an equitable spread across the three priorities. In practice this would mean that applications would receive additional weighting if they can demonstrate that they will reduce inequalities in each of the three priorities.
Over a three year period applicants could apply for over £3000 per year. It is proposed to put an application limit of £100,000 over a three year period. Applications should not be limited to existing grant recipients or exclusively to groups that are based in Midlothian.
Option 7
Extend the current 3 years Grants Funding Cycle between six months and one year. In order to address some of the issues as presented in the options 1-6 above and to allow time for new elected members and Council Leadership to develop awareness of their community groups and the activities undertaken by voluntary sector it is our preferred option that the Council agrees to extend the current large grants for a period of six months to one year. This will allow for Community, Voluntary sector engagement in the process and ensure that the Grants allocation process meets any legislative requirements under the Community Empowerment Act.
Small Grants Funding Allocation The small grants streams should be maintained for the coming year as they provide invaluable financial support to sustain local organisations that connect and strengthen communities. This grant stream would also be reviewed as part of the whole grants review process.
The small grants system requires some further amendments. There are too many types of group bidding under the ‘developing communities’ theme, making scoring bidders challenging. Currently groups can apply for up to £3000. It is proposed that Council maintain this upper limit but have a lower limit of £500.
It is further proposed that a micro-grant stream for groups that want up to £500 to help with modest running costs or one-off purchases is added. The application form would be simplified and they would not be required to complete a monitoring form, simply submit a statement of expenditure.
Page 248 of 324
It is proposed that there is in future an income threshold of organisations that can apply for the small or micro funding streams. Organisations with an annual income of over £20,000 or £20,000 in reserves would not be eligible to apply –advice and feedback on an appropriate threshold levels will be needed.
It is proposed that a new grants stream of arts and cultural organisations is established to recognise the contribution such groups make to reducing social isolation, developing individual skills and capacities in the community, creating and sustaining a sense of community identity and wellbeing.
Page 249 of 324
Appendix 4 Voluntary Sector Letter
Kenneth Lawrie Chief Executive Midlothian Council Midlothian House Dalkeith 02 May 2017
Dear Kenneth
MIDLOTHIAN COUNCIL GRANTS PROGRAMME
I have been asked to write to you on behalf of the Midlothian Voluntary Sector Forum (VSF) regarding any potential changes to the Midlothian Council Grants Programme which funds a number of local Third Sector organisations.
MVA has a vested interest in the grants programme, as part of our funding comes from this source. In order to ensure that any discussions we have with the Council regarding the grants programme are truly representing the voice of the sector, we have consulted with the Voluntary Sector Forum about any concerns they have or issues they wish to raise regarding the new three-year programme.
We are keen to work in partnership with Midlothian Council to address any concerns the sector has, and we are also hoping to have discussions with the new elected members after the upcoming election. The key concerns the VSF raised are noted below.
Grants budget: As you can imagine, the key concern for the sector is that there continues to be access to Council funding for the local Third Sector. In the last round of grant funding, we saw the grants budget cut from £1.5m to £1.0m per annum, and we would ask that there are no further cuts made.
Local organisations: The organisations, large and small, which are currently funded by the grants budget all have long histories of working in Midlothian, and supporting the outcomes in the Single Midlothian Plan. Added to this, there are other local organisations who may be hoping to apply. The VSF would like to see an additional weighting given in the scoring criteria to organisations already delivering a service in Midlothian.
CABx: We understand that a recent review was undertaken of money advice services across Midlothian, and that one of the recommendations is that the CABx are taken out of the grants budget, and become a commissioned service. If the two CABx are removed from the Grants Budget at their current rate of funding, it would reduce the pot of money available by approximately £250,000, which represents one-quarter of the entire grants budget. The implication of this is that the remaining organisations and any new organisations that apply will be competing for a share of a much-reduced pot. The VSF, therefore, asks that the Council not to remove the two CABx from the grants budget, or if the CABx are removed, the Council to consider the impact on the size of the remaining grants budget and mitigate this accordingly.
Poverty Small Grants budget: The Poverty Small Grants budget was underspending, and the Council took the decision to redirect the £40,000 budget into a participatory budgeting (PB) scheme benefiting the three targeted areas. Given the pressure for mainstream core funding that our organisations are currently experiencing, we request that this money is redirected into the mainstream grants programme. We recognise the benefits of participatory budgeting, but the many vulnerable clients in the targeted areas will be particularly disadvantaged if local Third Sector organisations are unable to continue to deliver their services.
Page 250 of 324 Participatory budgeting: We recognise that participatory budgeting is a useful tool to promote community involvement, and that the Council has targets to meet in its use of participatory budgeting. However, there were a number of very strong concerns raised by the VSF about its use in allocating large grants. Of particular concern were the funding of ‘unpopular’ but vital work, and concerns about staff having to ‘pitch’ for their own jobs. We request that PB is not used to allocate the large grants stream.
MVA is keen to work with the Council to see how we can, in partnership, build on the good work already done with user involvement in tendering.
Co-production: The last round of funding was allocated after a co-productive review of grants, which was not without its challenges. We would be keen to know how the Council anticipates involving the Third Sector in shaping and allocating the new grants programmes. We are very happy to discuss all of the above issues with you and your staff, and look forward to an early response from you.
Yours sincerely,
George Wilson Chair, Midlothian Voluntary Sector Forum
Page 251 of 324 22
Page 252 of 324 Midlothian Council Tuesday 27 June 2017 Item 8.17
Creating a World-Class Education System: Update on Digital Centre for Excellence at Newbattle Community High School
Report by Dr Grace Vickers, Head of Education
1 Purpose of Report
The Centres of Excellence model is a core part of our strategy to create a world-class education system in Midlothian. This is an ambitious project designed to deliver excellence and equity with a particular emphasis on interrupting the cycle of poverty. The purpose of this report is to update Council on progress towards this new Digital Centre of Excellence and to seek approval for the capital and revenue funding for the mainstream digital assets of the wider Centre.
2 Background
2.1 A report was submitted to Council on 7 February 2017 giving the background to the proposed development of Newbattle Community High School as a Centre of Excellence in Digital. Council approved the appointment of a Centre Coordinator and the recruitment process is now underway.
2.2 A bid for funding of £1.3m to establish a Centre of Excellence at Newbattle Community High School is included as part of Edinburgh and South East Scotland City Region (ESESCR), Skills and Innovation bid (City Deal Project G). Discussions on the content and timing for the City Deal bid are ongoing with the next update likely to come over the summer 2017.
2.3 Research and development into the enhanced learning technology that would be funded by the City Deal is ongoing. In the meantime, detailed planning has been progressed to assess the mainstream digital assets required to support all services in the Centre.
3 Mainstream Digital Assets
3.1 Mainstream digital assets refers to the digital technology that needs to be installed in the school and wider Centre to allow services to be delivered from March 2018. The technology needs have been collated across services and costed against current Procurement Scotland framework prices. This is in addition to the assets in the existing facilities that can and will be transferred to the centre.
3.2 Appendix 1 sets out the proposed additional digital asset requirements for the centre. In addition to network, telephony, software and applications there is a requirement for approximately 296 additional devices. The total capital cost is estimated at £545,000 with an ongoing revenue cost of £53,000.
3.3 Indications are that costs for devices and some of the other items may rise by as much as 20% during the purchase window and as such a contingency of up to £65,000 is included within the overall bid to cope with that eventuality.
Page 253 of 324 2 3.4 The General Service Capital Plan already includes a budget for the replacement of end of life Digital Assets across the whole digital estate, £153,000 of which was earmarked to replace assets for Newbattle Community High School.
3.5 Accordingly to equip the Centre with the necessary Digital assets will require a provision in the general services capital plan in 2017/18 of £457,000 and will result in an additional revenue cost in 2019/20 onwards of £38,000.
3.6 The exact configuration of the mainstream digital assets may change if successful City Deal funding is secured prior to the end of 2017.
4 Further work on the Digital Centre of Excellence
4.1 Research and development on the Centre of Excellence continues and a number of workstreams are planned to support its implementation. Workstreams include:
• Curriculum – exploring the enhancements to the curriculum that will emerge from collaboration with further education, higher education, industry and commerce. • Community Ownership – ensuring students, staff and wider community have a strong voice in the development of the Centre and its services. • Professional Learning – addressing the need for the up-skilling of teachers and other centre staff to be comfortable with an enhanced level of technology. • Digital Technology – identifying appropriate technology to support each curricular area, in particular to straddle the school, further and higher education and industry. • Support – ensuring that the support arrangements meet the needs of a Digital Centre of Excellence. • Partnership – developing strong partnerships across education sectors and with local, national and international technology companies. • Digital Participation – looking for innovative ways of ensuring that the Centre aspires to deliver best practice in digital inclusion, ensuring learners are equipped for learning in the digital age. • Enterprise – looking for ways that the centre can engage with the wider community, supporting local business and attracting funding streams to support its activities. • Digital Hub – establishing the Centre as a hub for the delivery of digital learning across Midlothian, including curriculum for excellence, lifelong learning and professional learning programmes.
4.2 Update on DHT Centre Coordinator A job specification for the centre coordinator based on a Depute Head Teacher (DHT) post has been developed. The indicative size of this post is DHT6 which is the same as the current Newbattle DHT posts. The salary for DHT6 at 2017/18 prices is £52,203 which comes to £67,266 including on- costs. The cost for three years totals £202,000 compared to the funding of £170K which was agreed for this appointment at February 2017 Council.
4.3 Partnership working with the University of Edinburgh We are continuing to work closely with the University of Edinburgh on developing the concept of the centres of excellence. Working together in this way will help us to develop a number of priorities which we share particularly in terms of a skills solution for Midlothian and potentially the wider South East of Scotland area.
Page 254 of 324 3
5 Report Implications
5.1 Resource
To equip the Centre with the necessary Digital assets will require a provision in the general services capital plan in 2017/18 of £457,000 and will result in an additional revenue cost in 2019/20 onwards of £38,000.
Based on this level of capital investment the additional loan charges arising as a result of the capital expenditure as outlined above would add in the region of £100,000 per annum to the Council’s revenue budget from 2018/19 onwards.
This would further exacerbate the position with regards to the borrowing cap and add to the projected budget shortfalls reported in the Financial Strategy report elsewhere on today’s agenda and in absence of any other funding support would require further reductions in the budget to offset them.
5.2 The anticipated increase to the revenue budget as a consequence of the growth in the digital asset base is estimated at £38,000 . This expenditure will be also require to be provided in future years budgets.
5.3 Risk In past years, significant delays have been experienced in the supply chain, caused by the global availability of some components. To mitigate that risk, procurement for the mainstream digital assets will take place prior to the end of 2017.
Any delay to the delivery timeline would present a business, educational and financial risk surrounding the mainstream digital assets in the Centre. A risk register for this aspect of the build will be developed over the coming months with regular reporting to the Project Board.
5.4 Single Midlothian Plan and Business Transformation Themes addressed in this report: Community safety Adult health, care and housing Getting it right for every Midlothian child Improving opportunities in Midlothian Sustainable growth Business transformation and Best Value None of the above
5.5 Key Priorities within the Single Midlothian Plan Getting it Right for Every Midlothian Child: • Children and young people are supported to be healthy, happy and reach their potential. • Inequalities in learning outcomes have reduced.
Improving Opportunities for the People of Midlothian: • Midlothian residents are successful learners and young people go on to positive destinations when they leave learning.
5.6 Impact on Performance and Outcomes It is proposed to provide Digital Technology which is fit for 21st Century delivery of education and other services and gives children, families and the local community access to modern education and leisure facilities.
Page 255 of 324 4 5.7 Adopting a Preventative Approach The provision of digital technology across the Centre will support the delivery of positive destinations for pupils and the wider community. It will also produce more effective working practices for Midlothian staff.
5.8 Involving Communities and Other Stakeholders The wider learning community has been involved in the development of the Centre. Once the position of the City Deal funding bid is known, this will trigger a wider consultation on the range of services that could be delivered as a Digital Centre of Excellence. 5.9 Ensuring Equalities Once of the core principles of the Newbattle Digital Centre of Excellence is to help tackle social and economic inequalities and develop skills, knowledge and ambition in the wider community, thereby improving outcomes and positive destinations for young people. Wider aspirations include reducing the poverty based attainment gap.
5.10 Supporting Sustainable Development The initiative seeks to deliver a sustainable level of digital technology within the centre.
5.11 IT Issues This report sets out the actions to ensure that the centre has the digital foundations necessary for it to operate effectively and for the Newbattle Community High School to deliver a full curriculum. The Newbattle Centre Project Board will receive ongoing reports on the delivery of the digital investment.
6 Recommendations
It is recommended that Council:
• Note the proposed investment in digital assets which are designed to ensure that centre is fully equipped to deliver services from March 2018. • Approve the addition of £457,000 to the General Services Capital Plan in 2017/18 to fund the proposed investment. • Approve the additional revenue operating and borrowing costs of £38,000 as a consequence of this investment which will increase future years budget shortfalls. • Note the ongoing work to support the development of Newbattle Digital Centre of Excellence. • Approve the increased cost of DHT as outlined in 4.2. • Note that a further report will be brought to Council once the outcomes and implications of City Deal funding is known.
Report Contact: Dr Grace Vickers
Page 256 of 324 Appendix 1 Item 8.17 New Build Capital & Revenue Costings Project - Summary Newbattle Centre as at May 2017 Document owner - Digital Services Total Capital Headings Cost Total Revenue
Network Telephony Devices Library additions Software Management Systems \ Applications Misc Equipment required Third Party Resource Staffing - Resource Decommisioning Activities - Old School
Total Project Cost (for Building ) 545,216 53,183
Potential Cost increases on selected Digital Assets and Software - 20% 65,220 6,521.98
Total Capital Cost Total Revenue
Total Project Cost (For Building) with Projected Cost Increases included 610,435 59,705
Notes 1 Decision required on Digital Assets & Software 2 Potential Market conditions are forecasting 15/ 20 % uplift in hardware \ software costs 3 New Wifi provision (install) within Building construction capital costs but consideration required for ongoing wifi maintenance 4 Interactive Panels are within Building construction capital costs but consideration required for ongoing maintenance 5 Figures are indicative and are subject to change depending on a number of factors - Technology , Market conditions and change in requirements 6 Procurement of Solutions & software will be subject to the Councils Standard procurement framework & guidelines 7 Exisitng Capital Project needs to align with other Capital projects and programmes of work 8 If dual running of any sites - additional equipment, assets and services may require to be purchased
Total Current Digital Assets - Asset Management Plan 153,164 15,316
Difference between Newbattle Centre requirement and existing Digital Asset Management plan 392,052 37,867
Total Digital Assets Requirement from - General Services Capital Plan 457,271 Total Additional Revenue Costs 37,867
Business Systems - Notes 1 Leisure Management system implementation will facilitate Room bookings in Newbattle HS - dependency on implementation 2 Cashless Catering is included in construction costs opportunity to introduce Online School payments - dependenncy on implementation 3 New Public Wifi Solution costs have been included within this summary and existing contract allows for contract changes and variations - new sites 4 Self Service Kiosk - current discussion ongoing with Procurement , Leisure Management and Customer Services
Page 257 of 324
Page 258 of 324 Midlothian Council Tuesday 27 June 2017 Item 8.18
Saltersgate School Adaptations: 1. Update on works for session 2016-2017 & establishment of a capital budget for internal adaptations and alterations for session 2017-18. 2. Proposal for development of School Playground.
Report by Dr Grace Vickers, Head of Education
1 Purpose of Report
The purpose of this report is:
1. To update Council on the approval given in October 2016 to establish a capital budget within the General Services Capital Plan for adaptations and alterations to take place session 2016-2017. 2. To request funding to complete further internal adaptation and alterations in session 2017-18 and for the estimated costs on redevelopment of all sections of the playground.
2 Background
2.1 Saltersgate school currently serves about 130 children with additional support needs from across Midlothian. The support needs of these children vary significantly. Alterations to the physical environment of the school have to be made on a regular basis as the needs of the children change over time and classroom usage changes in response.
In recent years the Council has been successful in reducing the number of children being educated out with Midlothian. As a result of this children are being educated within Saltersgate who would have gone to school elsewhere at significant expense because of their level of need.
Saltersgate School is managed by BAM PPP under a PPP arrangement and as such the cost of alterations has to be agreed between the contractor and the council. When such alterations are agreed there is a one-off cost associated with the capital spend and a potential increase to the regular unitary charge paid to the contractor on a monthly basis to cover maintenance and operational costs associated with the changes.
2.2 Playground Proposal The purpose is to implement the fully designed and priced project plan which will transform the existing poorly equipped and inaccessible playground at Saltersgate School (on Dalkeith Community campus) into 5 themed play and learning spaces. These purpose-made and safe spaces with specialist play equipment will meet the outdoor play and learning needs of all children, whatever their additional support needs and disabilities, providing fun and stimulation for children from the earliest stages of development through to young adulthood. It will be used throughout every day of the school year for all pupils’ learning and will also be available to any holiday clubs accessing the building. There are sheltered areas to allow pupils to be outdoors in all weathers; all areas are wheelchair accessible and safe for pupils who have no safety awareness due to their disability. Page 259 of 324 2 Outdoor learning is a national and Midlothian curriculum requirement and this project will provide greater and more regular opportunities for staff to deliver this vital area of the curriculum to the pupils. The projected spaces provide for all children to play and learn together outdoors and so supports informal social and peer interaction. One area promotes sensory development, others promote safe environmental exploration; there are areas to allow safe ball games and opportunities for all pupils to experience cycling, through the use of the schools’ specialist bikes.
There is a long term plan to also make the spaces available, through the community campus booking system, at all other times throughout the year for children from across Midlothian and beyond to use with their friends and family.
2.3 Work Agreed for Session 2016 – 2017 There was a requirement to carry out adaptations to redevelop the sensory room, install ceiling hoists, carry out adaptations to the playground doors, replace the perimeter fencing, install door access control card readers, install a stronger magnetic lock on an internal cross-corridor doorway and make significant internal alterations to two areas of the school.
The profile of the complex needs of pupils has changed significantly over a number of years, In order to respond to this changing profile of pupils it was necessary to make modifications to the building these included:
• Upgrade of the sensory room. The sensory room activities form a significant part of the timetable for many of our pupils with autism and complex physical needs.
• Installation of electronic swipe access. In order to create a safe environment for all our pupils it is necessary to fit swipe access panels on our fire doors, selected class doors and internal corridor doors.
• Re-design and re-fit of identified classrooms. We have a number of pupils who present with significant challenges to staff and also present with significant risks to themselves. We need to re-design a number of classrooms in order to make classrooms safe and an appropriate teaching environment.
• Upgrade of school fence to create a safe, secure outdoor area.
• Installation of ceiling track hoists and widening of (Identified) class doors. The number of pupils in wheelchairs and with significant health needs has risen and they are now using more specialist equipment.
2.4 Playground Redevelopment Currently Saltersgate School playground is in need of significant redevelopment and upgrading to continue to meet the needs of the changing profile of the pupils who attend the school. Within Midlothian there is no outdoor space that fully meets the needs of pupils with Severe, complex and profound needs. The closest provision is the Yard in Edinburgh. Saltersgate School frequently utilise this resource at cost, travel and time during the school day. However this is not accessible to all pupils within Saltersgate and with the proposed redevelopment of the existing outdoor space all pupils would have better educational experiences and equity of programmes and provision.
Page 260 of 324
Outdoor education is a fundamental part of all pupils’ education and development, even more so for pupils with complex learning needs, the sensory activities are a key development to allow pupils to fully communicate, explore and develop. With this in mind the redevelopment of the whole school playground has been split into sections, with each section having a focus on developing an education area.
Due to the summer school provision needed in Saltersgate all works for the redevelopment of the playground will need to be carefully planned. Saltersgate School have utilised their devolved budget to allow the first phase to be completed in weeks 1&2 of the summer holidays. The upgrade to the fence will also take place at this time. With these two playgrounds completed in weeks 1&2, this will allow the summer school access these while work can continue on other areas. The last available time to complete the outdoor work would be the October break.
The proposal has been broken down into sections for estimates of each of the playground areas these are as follows: • Front Playground • Secondary Playground • Middle Playground • Football Playground • Relaxing Playground
3 Report Implications
3.1 Resource
3.1.1 Resource Agreed The one-off cost of adaptations agreed for session 2016-2017 was £253,669. This amount was allocated to complete the following work: • Adaptations to playground doors. • Installation of ceiling track hoists. • Sensory room redevelopment. • Replace perimeter fencing. • Supply and install door access control card readers. • Supply and install magnetic lock for internal cross-corridor door. • Design and implement internal alterations to rooms in the Rainbow Corridor. • Design and implement internal alterations to room S50.
3.1.2 Resource Required The anticipated capital cost of internal adaptations required for session 2017- 2018 is £154,563. There is a requirement to extend the scope of the works carried out in 2016/17. Proposed work involves installing door access control readers on internal doors; further adaptations to cross-corridor doors; installing recessed key locks and upgrading the construction of the playground door.
The estimated capital cost to develop the playground is £300,000. Detailed costings have been requested from the contractor but have yet to be received. There is also a requirement to remove a greenhouse from the playground in order to make the area safer for pupils at a cost of £912.
Page 261 of 324
The costs associated with the proposed works are set out in the table below.
Description of Capital Cost Unitary Charge Loan Works Cost Charges Impact Upgrade to £25,328 £630 playground doors – OP369 Installation of Stay 38,063 3,524 Open adaptations to cross-corridor doors – OP375 Installation of 14,529 806 Recessed Key Locks – OP379 Door access control 76,643 4,928 readers to internal doors fencing – OP390 Internal 154,563 9,888 34,000 adaptations and Alterations Remove greenhouse 912 0 0 from playground Adaptations to 300,000 tbc 26,000 playground – OP416, OP435 to OP439 Total £455,475 £9,888 £6 0,000
Saltersgate School in partnership with parents and wider stakeholders over the past 3 years have been working towards this redevelopment and have secured to date £38,341 , this is a combination of fund raising work by Friends of Saltersgate School (FOSS) and contributions from elected members environmental capital budgets.
Since 2014 fund-raising by the school and families, working with its supporting charity Friends of Saltersgate School (FOSS), have raised approximately £14,341. Recently we been allocated £24,000 from Local Councillor environmental capital budgets and these amounts combined are sufficient to begin work on one space. We intend to continue to apply for external funding grants for the remaining 4 areas and in 2017-18 we have plans to apply to Awards for All, The Wooden Spoon and also Cash for Kids. However, the reality is that these 4 organisations are unlikely to provide funding to cover the remaining total cost of the project. We have tried to access larger grants via the Lottery funding but we do not currently meet their funding criteria.
Accordingly it is recommended that a budget of £417,134 is established in the General Services Capital Plan 2017/18to fund this work.
Based on the capital expenditure as outlined the additional loan charges arising as a result of the capital expenditure as outlined above would add £60,000 per annum to the Council’s revenue budget from 2018/19 onwards.
Page 262 of 324
This would further exacerbate the position with regards to the borrowing cap and add to the projected budget shortfalls reported in the Financial Strategy report elsewhere on today’s agenda and in absence of any other funding support would require further reductions in the budget to offset them.
3.1.3 The anticipated increase to the unitary charge for these adaptations is £9,888 plus an amount to be confirmed for the works on the playground and the removal of the greenhouse. This expenditure will also require to be provided in future years budgets.
3.2 Risk The main risk to not undertaking this work is that we will not be able to meet Midlothian children’s needs, safety or inclusion in our schools. This will mean that we will have an increase in commissioned placements to private providers that will incur significant costs. We also have a risk around staff health and well being as the lack of appropriate school environment has a direct impact on safety, well being and morale of all staff in Saltersgate School.
3.3 Single Midlothian Plan and Business Transformation Themes addressed in this report: Community safety Adult health, care and housing Getting it right for every Midlothian child Improving opportunities in Midlothian Sustainable growth Business transformation and Best Value None of the above
3.4 Key Priorities within the Single Midlothian Plan Reducing inequality of educational provision and support for our learners.
3.5 Impact on Performance and Outcomes Reducing inequality will impact on closing the gap and therefore outcomes for all.
3.6 Involving Communities and Other Stakeholders
Saltersgate works with parents and wider partners to ensure best use and allocation of support and resources.
3.7 Ensuring Equalities There are no equality implications arising from this report.
3.8 IT Issues None
Page 263 of 324 4 Recommendations
The Council is invited to
1. Note the successful completion of the internal adaptations and alterations approved in October 2016. 2. Note the proposed internal alterations and adaptations and the proposed playground development which are designed to ensure that Saltersgate School continues to meet Midlothian children’s needs. 3. Approve the addition of £154,563 to the General Services Capital Plan in 2017/18 to fund the proposed internal alterations and adaptations. 4. Approve a net addition of £262,571 to the General Services Capital Plan in 2017/18 to fund the playground Improvements. 5. Note that there will be additional unitary Charge and Borrowing costs as a consequence of these projects as detailed in the report.
12 June 2017
Report Contact: Name Andrew Sheridan Tel No: 0131 271 3701 [email protected]
Page 264 of 324 7
Page 265 of 324
Page 266 of 324 Item 8.19 Midlothian Council 27 June 2017
Naming of New Centre at Newbattle
Report by Garry Sheret, Head of Property and Facilities Management
1 Purpose of Report
The Purpose of this report is to seek approval for the new multi use building at Newbattle to be named Newbattle Community Campus.
Newbattle High School will retain its name and will remain as Newbattle High School within the Newbattle Community Campus building.
Up until now the site has been referred to as Newbattle Centre. Officers were approached by Mayfield and Easthouses Community Council in January 2017 who suggested that Newbattle Community Campus was the preferred choice of name by the majority of people living within the Communities.
Officers approached the Community Councils of Mayfield and Easthouses, Newtongrange and Gorebridge. Following their support the name change was subject to an online survey within the communities. The outcome of this survey has been clear that Newbattle Community Campus is the preferred choice of the community.
2 Background
2.1 Newbattle History
Newbattle, a familiar name, was named so by a colony of Cistercian Monks, who came to the area from Melrose in search of a larger residence, more than 900 years ago. On finding a suitable site, on the banks of the South Esk, they decided to settle down and named their new home Newbotle,’botle’ being an old Scottish name for steading or dwelling. Eventually, after ten recorded variations in the spelling of Newbotle, an extra ‘’t” was added and the ‘o’ gave way to an ‘a’ becoming Newbattle, the name by which is known today.
2.2 Community Feedback
Newbattle Centre reached financial close on the 12 February 2016. The project commenced on site on site on the 19 January 2016 (to complete essential pre contract enabling works).
It has always been the case that Newbattle High School will retain it’s name when it moves to the new building.
Page 267 of 324 2
The new building however has been referred to as Newbattle Centre from early in its inception. The purpose of this terminology is to distinguish the new building as a facility for community use rather than a building whose sole purpose is for Educational use reflecting a one Council ethos.
At the end of 2016 Mayfield and Easthouses Community Council undertook a poll through their Community Council facebook page looking for suggestions for the name for the new building at Newbattle. A number of suggestions were put forward by the Community but by far the most popular was Newbattle Community Campus.
Officers requested the Secretary of Mayfield and Easthouses Community Council to approach the Community Councils for Gorebridge and Newtongrange to establish if they agreed with the use of the Newbattle Community Campus name.
Newtongrange County Council was supportive of using this name and Gorebridge Community Council did not have any particular preference at this stage.
Feedback from these discussions was discussed at the project board and a decision was taken to carry out a consultation survey with the three communities to establish which of the two names should be used for the new building.
The survey contained two choices:-
1. Newbattle Centre 2. Newbattle Community Campus
The survey went live on the 31 March 2017 and remained open until the 5 May 2017. Links to the survey were circulated to each of the Community Councils. Adverts were also put up in Council buildings around the three communities along with advertisement on the Council Website and facebook page. Black Diamond FM also provided media coverage of the survey results.
The survey received 307 votes in total. 221 people voted for Newbattle Community Campus whilst 86 people voted for Newbattle Centre.
4 Report Implications
4.1 Change of Name
The only implication of this report is a change of name for the new building to Newbattle Community Campus which can be accommodated with the overall project costs.
Page 268 of 324 3
4.2 Resource
There are no additional resource implications resulting from the proposals outlined in this report.
4.3 Risk
There are no risks associated with this report.
5 Policy
5.1 Single Midlothian Plan and Business Transformation
Themes addressed in this report:
Community safety Adult health, care and housing Getting it right for every Midlothian child Improving opportunities in Midlothian Sustainable growth Business transformation and Best Value None of the above
5.1.1 Key Priorities within the Single Midlothian Plan
This project supports the provision of suitable infrastructure for the efficient and effective delivery of services to meet the full range of community needs. The co-location of facilities would ensure closer working relationships and assist in the delivery of strategic initiatives such as the Ageing Well, Getting it Right for Every Child (GIRFEC), Midlothian Active Choices and Get Going programmes.
5.2 Impact on Performance and Outcomes
This work is a part of the Single Midlothian Plan’s key priority of Early Years, providing fit for purpose community schools to present every child with the opportunity to attend the school which serves their community and supports improvement in pupil attainment and achievement.
5.3 Adopting a Preventative Approach
Providing fit for purpose community schools to provide every child the opportunity to attend the school which serves their community supports the preventative approach by improving achievement and attainment of pupils and increasing their prospects of progressing onto positive destinations.
5.4 Involving Communities and Other Stakeholders
The content of this report has been subject to a community wide survey where all members of the local communities were able to participate.
Page 269 of 324 4
5.5 Ensuring Equalities
An EQIA has previously been provided for the Newbattle Project.
5.6 Supporting Sustainable Development
The Communities involvement in the decision making process ensures that this decision will have a positive impact on long term sustainability.
5.7 Digital Services Issues
This report has no impact on Digital Services.
6 Recommendations
It is therefore recommended that Council approve the change of name from Newbattle Centre to Newbattle Community Campus with immediate effect.
11 May 2016
Report Contact: Maurice McCann Tel No: 0131 561 5422 E-mail: [email protected]
Background Papers:
Page 270 of 324 Midlothian Council Tuesday 27 June 2017 Item 8.20
Update on Current Position of Complaint Handling Procedure
Report by Dr Mary Smith, Director, Education Communities and Economy
1 Purpose of Report
The report is to provide Council with an update on the current position of the Complaint Handling Procedure, including the management of the corporate approach.
The report will propose areas for progression that will allow for improvements to be made, and outline the Council’s obligations in respect of the requirements of the Scottish Public Services Ombudsman (SPSO) with particular reference to the reporting of learning from complaints.
2 Background, Current Position and Proposals
2.1 Midlothian Council has a Complaints Handling Procedure (CHP) in place that reflects our commitment to valuing feedback from our customers.
The Customer Complaints Handling Procedure allows us to directly engage with our customers and get the feedback that we need to drive our service plans. The procedure is in place to ensure that we take the most appropriate action to resolve complaints; that we identify areas for improvement as a result; and that we take value in the lessons that can be learned so that future service delivery is improved.
Complaints that are made directly to the Council are formally registered and assessed under a set procedure. The complainant will be contacted by the relevant service of the Council with a response, an outcome, and any action taken. The Council’s established Customer Relationship Management system (CRM) is in place to record all of the reportable information relating to the complaint.
There are 2 stages to a complaint, and Midlothian Council uses 3 categories within these 2 stages. These are:-
Stage 1 – to be resolved within 5 working days 1st Point Resolution- (straight forward and quickly resolved at point of contact, and closed on system) Service Resolution- (allocated to the service area for service manager/feedback officer to deal with and close off)
Stage 2 – to be resolved within 20 working days Investigation- (heads of service aware and senior officer appointed to investigate objectively).
Page 271 of 324
Stage 2 complaints arise in two ways; 1) complaints that have not been resolved at stage 1. This is known as escalation and we report on ‘escalated’ complaints to the Scottish Public Services Ombudsman. 2) complaints that are complex from the outset and require detailed investigation.
Midlothian Council manages the Complaint Handling Procedure using a devolved management system, with one grade 6 Customer Service Improvement Officer having oversight of the procedure from a Corporate perspective.
After the Council has fully investigated the complaint, and if the customer is still not satisfied with the decision or the way that the Council has dealt with the complaint, then it can be referred to the Scottish Public Services Ombudsman.
Currently oversight of stage 2 complaints takes place at Directorate level. It is suggested that the Customer Service Improvement Officer has oversight of all stage 2 investigations, and takes the lead in supporting service managers, or other appointed persons to investigate.
This report requests Council’s endorsement to put in place a cohesive system that will ensure that all complaint Investigations are brought to the attention of the Customer Service Improvement Officer and allow oversight.
2.2 Understanding Complaints Statistics It is important to ensure a thorough understanding of both the rationale for logging complaints, and Council obligations when it comes to the reporting of complaints. It is necessary to understanding the data that is required for the Customer Relationship Management system, and how this system drives the procedure.
Statistics on complaints are based on eight key performance indicators. These indicators are standardised across all of the 32 Scottish Councils. We must annually report information relating to the indicators to the Scottish Public Services Ombudsman, and the Council is required to publish the indicator data on their own website quarterly.
Currently, the complaint data that Midlothian Council reports is quarterly and is done so through the established reporting structure, along with all other divisional data.
Generating and consolidating the full Council complaint data into a suitable format for the quarterly reports is complex and time consuming. The skill set required to do this is very detailed.
The raw data for the whole Council is initially generated from the Customer Relationship Management System using Business Intelligence (BI) Query, where a series of queries are written to gather the initial relevant data from the various categories. This initial data then needs to be extensively formulated to enable comprehensive manipulation. During this phase, inconsistencies become apparent. This includes complaints left open, or closed incorrectly (without the reportable data needed), or closed far out with timescale. This process can take several days.
The paper requests Council’s endorsement to initiate a training programme for staff directly involved in complaints management that will ultimately raise the profile of the Complaint Handling Procedure, and train staff to use the system efficiently. Page 272 of 324 3
This paper proposes that Complaints are a standing item at all Divisional Management Team meetings. The Customer Relationship Management system has a facility that enables service specific reports to be generated quickly. Divisional PAs would be trained to generate these so that they can be brought to each weekly meeting. It is suggested that the Customer Service Improvement Officer alternates between the DMTs in an advisory capacity.
2.3 Learning from Complaints One of the eight reportable indicators is to provide a description of how the Council has learned from complaints. This can be as a whole Council, or specific to services. The rationale behind this is to demonstrate that we are listening to our customers, and improving our services as a result. An example could be as simple as a procedural change; or something more significant such as a new service provision.
Midlothian Council has documented the learning that we have gained as a result of complaints. The data has been reported through the Local Authority Complaint Handlers Network group as part of a wider benchmarking exercise. However, the data has not been made publicly available.
To address this matter, and to improve the current practice, a separate annual report that is specific to all aspects of complaints information, including case studies in relation to how we have learned from complaints, is underway. The report will be in addition to the established method of reporting complaints, and will be in a user friendly format that is in line with the recommendations of the SPSO. Other data for inclusion in this document will comprise data that has been brought to the SPSO, and the outcome thereof.
2.4 Governance Governance and assurance around complaints must be robust, not only to realise efficiencies in the process among service areas, but also to ensure that there is an awareness of the issues and concerns people are raising and how well the Council handles complaints. Effective scrutiny of these issues will help to ensure that service users receive a high quality service and that taxpayers receive value for money.
The above mentioned ‘separate’ annual report that is underway will compliment the data that is already reported and provide a more logical method that will facilitate the scrutiny process.
3 Report Implications
3.1 Resource In order to achieve what is set out in the background information in this report it will be necessary to consider the impact on both time and Human Resource.
Time; i) training for Directorate PAs to generate the required reports. ii) training programme for all staff to raise the profile of complaints handling procedure and the correct use of the system, and iii) development of the new annual report.
Page 273 of 324 Human resource; i) creation of the new annual document for publication to meet the Councils obligations. ii) producing the ongoing statistical analysis, and iii) creating and implementing a training programme.
3.2 Risk There is a risk that continued inaccuracy in recording of complaints and the publication of the required annual report would fail to demonstrate the learning opportunities or potential implications of policy and practice.
3.3 Single Midlothian Plan and Business Transformation Themes addressed in this report:
Community safety Adult health, care and housing Getting it right for every Midlothian child Improving opportunities in Midlothian Sustainable growth Business transformation and Best Value None of the above
3.4 Key Priorities within the Single Midlothian Plan This report does not relate directly to the key priorities within the Single Midlothian Plan; however the proposed action supports the ongoing improvement agenda across a number of the thematic areas.
3.5 Impact on Performance and Outcomes Closer monitoring of complaints and feedback will highlight opportunities for operational improvements even where the service was initially delivered properly. There will be lessons to be learned where service failures are identified and remedial action can be taken to ensure that similar mistakes are avoided in the future.
3.6 Adopting a Preventative Approach The Council is proactively responding to improvement opportunities noted as part of the complaints process.
3.7 Involving Communities and Other Stakeholders The Council is using complaints evidence as another form of customer feedback to assist in its responsiveness of service and any necessary re- design for more effective service delivery.
3.8 Ensuring Equalities There are no equalities issues with regard to this report, although any such matters raised by complainants are, and will be, addressed.
3.9 Supporting Sustainable Development There are no sustainability issues with regard to this report.
3.10 IT Issues Review of the CRM data was carried out and various fixes and development requests were highlighted. Feedback has been that the provision of a new CRM system is being investigated and therefore no resources will be made available by Digital Services to amend the existing CRM system.
Training and closer monitoring of the complaints will reduce the number of errors on the system and hence reduce the number of errors which will require manual intervention, i.e. impact on Digital Service.
Page 274 of 324 5 4 Recommendations
Council is asked to note:
I) The approach to the way the Council handles complaints to meet its obligations and the ongoing work in relation to developing the Council’s approach to complaint handling.
Date 06 June 2017
Report Contact: Marina Miller Tel No: 0131 271 3783 [email protected]
Background Papers:
Page 275 of 324
Page 276 of 324 Midlothian Council Tuesday 27 June 2017 Item 8.21
National Mental Health Strategy 2017/2027
Report by Eibhlin McHugh, Joint Director Health and Social Care
1 Purpose of Report On 30 March 2017 the Scottish Government published a ten-year Mental Health Strategy for Scotland. This report provides a summary of the objectives and key actions outlined in the Strategy.
2 Background
2.1 There has been a wide range of national strategies and guidance intended to inform practice and service delivery in mental health most recently “ Good Mental Health for All ”. The National Mental Health Strategy 2017-2027 provides a long- term plan outlining how to improve the prevention and treatment of mental health problems.
2.2 The strategy places particular emphasis on the strong link to Inequalities highlighting the need to address poverty and access to employment. It also recognises that mental health problems are frequently a factor affecting people who become involved with the Justice System including those in prison.
2.3 A third key area of the strategy is that of the growing concern about the incidence of mental health issues amongst children and young people. 16 of the 40 Actions have particular relevance for children and young people. In Midlothian many of these actions will be the responsibility of the GIRFEMC Board (Getting it Right for Every Midlothian Child).
2.4 There is a clear acknowledgement that while mental health problems are very common and can have a significant impact on both quality of life and demand on services, there remains a need to “ prevent and treat mental health problems with the same commitment, passion and drive as we do with physical health problems”.
2.5 The strategy has been issued by Scottish Government with COSLA deciding not to be a joint signatory to the strategy. There are some continuing concerns that the respective roles and responsibilities of Integration Authorities and Scottish Government require further clarification.
2.6 The strategy http://www.gov.scot/Publications/2017/03/1750 .outlines 40 actions to be addressed by local Partnerships under the following themes:
a) Prevention and Early Intervention b) Access to treatment and joined up accessible services c) The physical wellbeing of people with mental health problems d) Rights, information use and planning
2.7 A number of the National Strategy actions reference the need to develop and enhance the mental health workforce. A local Midlothian Workforce Strategy across Health and Care including the Third and Independent Sectors is being developed. More specifically a group has been established by NHS Lothian to consider workforce issues including potential initiatives and solutions to improve recruitment and retention on non–professional workforce who deliver care and treatment in a number of community, care home and hospital settings. Page 277 of 324 2 2.8 Locally many of the actions set out in the new strategy are already being addressed. For example • A local working group is considering the best possible out of hours care for people with mental health issues. • The physical health of people with mental health issues is being addressed by clinics at the Joint Mental Health team offices and in the community through the Community Health Inequalities Team as well as by projects such as Midlothian Active Choices. • The strategy mentions developing mental health support systems in primary care and there are already a wide range of “social prescribing” initiatives within Midlothian. • The Midlothian Access Points and the Wellbeing projects in 8 GP practices are assisting many people to access self-help resources and quicker access to psychological therapies. • The co-location of the Substance Misuse services and the Joint Mental Health Team in a local hub will provide improved assessment and referral arrangements for people with problem substance use and mental health diagnosis.
2.9 More generally planning mental health services for adults is overseen by the Strategic Mental Health Planning Group while a working group has recently been established to consider the mental health needs of children and young people in Midlothian.
2.10 The Strategy has implications for a range of services and agencies beyond health and social care, including Children’s Services, Leisure and Recreation and Lifelong Learning and Employability. In this regard the Strategy is being brought to the attention of Midlothian Council given its wider role in helping to strengthen prevention and in addressing inequalities linked to mental health difficulties.
3 Report Implications
3.1 Resource The Minister is quoted as stating that over the next five years the Government will increase investment to a further £35 million for 800 additional mental health workers in key settings such as A&E, GP surgeries, custody suites, and prisons. She went on to say that the £35 million to increase the mental health workforce is on top of an additional £150 million over five years announced in 2016 for improvement and innovation. This means that over the next five years the total Scottish Government direct investment in mental health will be more than £300 million.
Nevertheless concerns about resources have been raised. Much of this investment in mental health is through NHS services. Local Authorities have pointed to their shrinking budgets and voiced their frustration through their umbrella organisation COSLA. In principle it should be possible to address this concern through the IJB which has the authority to decide how best to allocate new monies across the Partnership.
3.2 Risk Mental health is a major health concern. It is for instance, a very frequent reason for people going to their GP; for being absent from work due to ill-health; and is a common factor for people who become involved in the Criminal Justice system.
Page 278 of 324 3
3.3 Single Midlothian Plan and Business Transformation Themes addressed in this report:
Community safety X Adult health, care and housing X Getting it right for every Midlothian child X Improving opportunities in Midlothian Sustainable growth Business transformation and Best Value None of the above
3.4 Impact on Performance and Outcomes Preventing and treating Mental Health problems will impact on a range of indicators including inequalities.
3.5 Adopting a Preventative Approach The emphasis on prevention is consistent with the Christie Report on the reshaping of public services. It also mirrors the more general evolving approach of the Midlothian Partnership towards the delivery of health and care, with priority being given to prevention and recovery.
3.6 Involving Communities and Other Stakeholders This report concerns a new national strategy and therefore has not yet been subject to local discussion with staff or the public. Prior to the publication of the national strategy, the local Strategic Mental Health Planning Group submitted its views on the proposals.
3.7 Ensuring Equalities It is well recognised that people with mental health needs are much more vulnerable to experiencing inequalities in health, income and access to employment. The implementation of the strategy will help to address such inequalities.
3.8 Supporting Sustainable Development There are no Sustainable Development issues associated with this report
3.9 IT Issues There are no IT issues associated with this report
4 Summary This report provides a summary of the new national 10 year mental health strategy. The strategy highlights how common it is for people to experience mental health problems during their lifetime. Considerable emphasis is placed on both prevention and recovery from periods of mental ill-health. The report provides some commentary upon what the situation is currently in Midlothian in relation to the key recommendations of the Strategy. . 5 Recommendations Council is asked:-
a) to note the new Mental Health Strategy and b) to note the implications highlighted in the report for Council services.
6 June 2017
Report Contact : Martin Bird Tel No 0131 271 3680 [email protected] Page 279 of 324 4
Page 280 of 324 Midlothian Council Tuesday 27 June 2017 Item 8.22
Sustainable and Affordable Social Care Services
Report by Alison White – Head of Service
1 Purpose of Report
The growing pressures on social care coupled with the continuing budget reductions faced by Midlothian Council mean it is essential that there is a radical overhaul of the approach to the delivery of services. This report summarises the work being undertaken to reshape services and seeks approval of two specific policies intended to ensure a stronger approach to the equitable provision of social care.
2 Background
2.1 Pressures on Social Care
2.1.1 Demographic Pressures: As the following diagram illustrates the overall population of Midlothian is growing rapidly and this will include people with care needs. Additionally as is the case across the country the population is ageing with the number of people in Midlothian over the age of 75 years set to double over the next 20 years. The number of people living considerably longer with long term health conditions and complex need is also increasing in part as a result of the improvements in health care.
2.1. 2 Growing Budget Pressures: The pressures facing the Council are well documented and are so severe that despite growing demand, Adult Social Care must contribute to the savings programme. Reducing expenditure in care services is a major challenge recognised by the additional investments made by Scottish Government in 2016-17 in Social Care, specifically in relation to the Living Wage. Page 281 of 324 2
2.1.3 Workforce Pressures: Despite changes to terms and conditions such as guaranteed hours for home carers and the delivery of the Living Wage, recruitment and retention is a growing problem, particularly in the field of care at home. This has led to situations whereby funding has been available but services could not be provided because of workforce shortages.
2.2 Social Care Redesign Programme
2.2.1 Culture of Transformation: Transformation has been a strong feature of the Midlothian Adult Care Service; between 2007-08 and 2014-15, through a combination of re-commissioning, restructuring and service redesign the service achieved savings of £5.35m per annum.
2.2.2 Integration: In response to the projected threat to the long term sustainability of health and social care, the Scottish Government passed legislation requiring the creation of health and social care partnerships. In Midlothian the new Integration Joint Board assumed responsibility for health and care services from April 2016. This has been a major change in promoting more localised delivery and accountability. The Government’s expectation is that by working together it will be possible to manage growing demand by adopting a greater emphasis on prevention and reshaping services towards strengthening of community-based services.
2.2.3 Realistic Care Realistic Expectations : The level of savings required by the Council is such that a new approach to social care has been necessary. While the IJB retains overall control over policy and the allocation of resources it is incumbent upon the Council Adult care Service to be as efficient as possible with the funding available. A new programme board- Realistic Care Realistic Expectations- has been established to oversee a range of initiatives designed to reduce expenditure. This programme of work includes further service redesign; a review of existing individual care packages; and the improvement of business processes. Service redesign includes a review of learning disability day services; remodelling of care at home services; and the growth of extra care housing to reduce reliance upon care homes. Business processes include financial commitment recording and the management of referrals and waiting lists.
2.3 Fair Allocation of Care
2.3.1 Eligibility Criteria: In 2008 the Council approved formal eligibility criteria based on the national “Fair Access to Care Policy”. Midlothian Council provides a range of community care support services to individuals with varying levels of support needs. Access to this support is determined by these agreed eligibility criteria, with funding being made available where an individual has been assessed as having critical or substantial care needs. Midlothian Council has a responsibility to provide the best possible care within given levels of resource and also to ensure there is equitable allocation of available resource.
Page 282 of 324 3 2.3.2 People with Complex Needs: Where an individual has complex needs there can be significant variation in the costs of supporting an individual depending upon the model of care used to support them. The ‘Fair Allocation of Care’ policy (appendix 1) outlines the models of care that will be considered when an individual requires a significant amount of support in their daily living and aims to ensure there is a fair allocation of resources to individuals who require such support. The overall purpose of the policy is to ensure a fair allocation of council resources at a time when the Local Authority is experiencing significant financial pressures.
2.3.3 Implications of Fair Allocation of Care Policy: A consequence of this policy will be changes in how social care is provided and for some individuals may mean that there will be significant changes in their current package of care so that support is provided in a more cost effective manner. Any changes can create anxiety and it is vital that we communicate the changes effectively and that we reiterate that assessed need will continue to be met.
2.4 Transport
2.4.1 Current Arrangements: Midlothian Council currently organises a range of transport for people with community care needs to enable them to access their services, including welfare buses and taxis. The current arrangements are, in many ways, historical and inefficient. They do not as a matter of course:
• Support and encourage people to be as independent as possible in their travel arrangements. • Expect that people who are eligible for welfare benefits to help with travel should make use of these to access their service. • Expect that people who qualify for concessionary travel use this benefit to travel more independently to their service, supported by travel training if necessary.
2.4.2 Transport Policy for People who use Community Care: In order support decision making and ensure there is an equitable allocation of resource to provide transport within Adult Social Care, a policy has been developed (see appendix 2) which lays out a more consistent approach to the provision of transport for people who use Adult Social Care Services in Midlothian. This includes older people, people with physical or learning disabilities, and people with mental health difficulties.
2.4.3 Charges: The policy provides guidance on the introduction of charging for transport agreed by Council in December 2016.
2.4.4 Communication: A consequence of this policy will be changes in how transport is provided and for some individuals may mean there will be significant changes in their current support arrangements. These changes may create anxiety for some service users and good communication will be vital. An easy read version of the policy has been developed and is attached at appendix 3.
Page 283 of 324 4 2.5 New Technology
2.5.1 Services to People with a Learning Disability: Midlothian Council currently supports a number of people with learning disabilities to live independent lives within the community. It is incumbent upon the Health and Social Care Partnership to explore innovative ways in which to continue to meet the needs of individuals in a more sustainable manner.
2.5.2 Developing Technological Solutions : The overall purpose of the paper attached at appendix 4 is to ensure that we link housing and care models with appropriate technological solutions. By exploring the best use of technology it is anticipated that new models of more cost effective support can be delivered. There is a particular issue relating to the provision of sleep-over cover. We will consider how and in what circumstances technology may provide an alternative, more cost effective solution to supporting who may on occasion require support during the night.
2.5.3 New Technology Strategy: This work builds on a range of initiatives already underway such as the provision of videoconferencing in Midlothian Care Homes to provide easier access to training for care staff. A Technology Enabled Care Strategy Group oversees such developments.
3 Report Implications
3.1 Resource
Implementation of the ‘Fair Allocation of Care’ and ‘Transport’ policies will ensure there is more robust and consistent decision-making in the allocation of social care resources. They will also help ensure that there is an equitable allocation of resources to individuals with similar needs.
The Scottish Government has a stated ambition that all hours of work, including sleepovers, should be paid at Scottish Living Wage rates, and the UK government has committed to ensuring national minimum wage compliance, with enforcement from HMRC. It is hoped that by exploring the best use of technology that new models of more cost effective support can be implemented reducing sleepover costs.
3.2 Risk
There are a number of risks associated with not taking steps to implement the policies on transport and allocation of resources:
• There is a continued inequity in the allocation of resources between individuals who have similar levels of need • Increased budget pressures arising from inconsistent decision making around cost effective provision of support
The key risks associated with implementation of these policies, alongside the further application of technology, are:
Page 284 of 324 5 • Anxiety from individuals who are experiencing a change in their support as a result of the change in policy. This however will be mitigated by ensuring we continue to work in a person-centred manner and enabling people to have access to independent advocacy.
• The implementation of these and other changes being developed in the Realistic Care Realistic programme may be challenging for staff. In practice for social care staff there will be much stronger emphasis on working in teams and on a more flexible and structured career path. This should result in a more rewarding and less isolated working environment.
3.3 Single Midlothian Plan and Business Transformation Themes addressed in this report:
Community safety Adult health, care and housing Getting it right for every Midlothian child Improving opportunities in Midlothian Sustainable growth Business transformation and Best Value None of the above
3.4 Key Priorities within the Single Midlothian Plan
The proposed policies fit with the Health and Social Care priorities in relation to setting and maintaining a balanced budget position.
3.5 Impact on Performance and Outcomes
Midlothian Council takes an outcomes-focussed approach in the provision of social care services. This approach is not altered by these policies, but rather will ensure there is equity and transparency when meeting individuals’ needs.
3.6 Adopting a Preventative Approach
The proposed policies identify the need for and support the application of preventative approaches in the provision of Social Care Support.
3.7 Involving Communities and Other Stakeholders
The proposed policies outlined in this report have been reviewed by the Council’s Legal Services and they have raised no concerns on legal grounds.
As part of the implementation of these policies and the development of technological solutions there will be discussion at the IJB Strategic Planning Group and with all of the joint planning groups including in Mental Health, Learning Disability, Physical Disability and Older People. All of these groups have user and carer representation.
Page 285 of 324 6 3.8 Ensuring Equalities
Equalities Impact Assessments have been completed and no issues of concern have been identified. A greater level of equity of service will be result from their implementation.
3.9 Supporting Sustainable Development
The implementation of the policies on transport and the allocation of resources will ensure a more sustainable delivery of social care support.
3.10 IT Issues
There are no IT issues associated with this report.
4 Summary
This report outlines the programme of work now being undertaken by a Realistic Care Realistic Expectation Board. Specifically the report describes the proposal for two new policies on the Fair Allocation of Care and the Provision of Transport. It also highlights one example of work currently being undertaken to extend the application of new technology in social care.
5 Recommendations
Council are asked to:
1. Note the work being undertaken to develop a more financially sustainable approach to social care.
2. Approve the Fair Allocation of Care Policy
3. Approve the Transport Policy for People who use Community Care Services
4. Note the work being undertaken to extend the application of new technology
Date 09/05/17
Report Contact: Tom Welsh [email protected] 0131 271 3671
Background Papers:
Appendix 1 Proposed Fair Allocation of Care Policy
Appendix 2-Transport for People who Use Community Care Services
Appendix 3- Easy Read version of Transport Policy
Appendix 4 – Housing SupportPage for 286People of 324 with a Learning Disability 7
Page 287 of 324
Page 288 of 324
Item 8.22
Fair Allocation of Care Policy (Adults)
DRAFT DOCUMENT
Page 1 of 14 Page 289 of 324
1 Contents 2 Introduction ...... 3 3 Legislative Context ...... 3 4 Types of Support ...... 4 5 Types of Living Arrangements ...... 5 5.1 Living with Family ...... 5 5.2 Independent Living with Support...... 6 6 Supported Living Care Models ...... 7 6.1 Assessment of Supported Living Care Model ...... 7 6.2 Existing Care Packages ...... 8 6.3 Residential Care ...... 8 6.4 Out of Area Placements ...... 8 6.5 Support with Education & Learning ...... 9 6.5.1 Formal Education ...... 9 6.5.2 Informal Learning & Independent Living Skills ...... 9 6.6 Preventative Support ...... 10 7 Guidance on Assessment and Allocation of Budget ...... 10 7.1 Assessment ...... 10 7.2 Maximum Level of Task Based Support ...... 12 7.3 Support to be Safe ...... 13 7.4 Allocation of Budget...... 13 7.5 Preventative Support ...... 14 7.6 Providing Support beyond Assessed Need ...... 14
Page 2 of 14 Page 290 of 324
2 Introduction
Midlothian Council provides a range of Community Care support services to individuals with varying levels of support needs. Access to this support is determined by agreed Eligibility Criteria, with funding being made available where an individual has been assessed as having critical or substantial care needs. Midlothian Council has a responsibility to provide the best possible care within given levels of resource and also to ensure there is equitable allocation of the available resource.
Where an individual has complex needs1 there can be significant variation in the costs of supporting that individual depending upon the model of care used to provide their support. This policy aims to ensure there is a fair allocation of resources to individuals who require support by outlining the models of care that will be considered when an individual requires a significant amount of support in their daily living.
3 Legislative Context
The main duty to provide community care services derives from Section 12A of the Social Work (Scotland) 1968 Act.
“Where it appears to the local authority that any person for whom they are under a duty, or have a power, to provide community care services may be in need of any such services the local authority must:
Assess the need of that person for support Decide on the basis of the assessment whether services should be provided taking account of: o Whether there is a carer providing substantial amount of care on a regular basis; and o Both the views of the person whose needs are being assessed and the views of the carer”
The Social Care (Self Directed Support) (Scotland) Act 2013 introduced choice and control in the provision of social care support. The Act places a duty on local authority social work departments to offer people who are eligible for social care a range of choices over how they receive their social care and support. It allows people to choose how their support is provided to them, and enables people, if they wish to do so, to organise this support themselves under option 1 or 2. It also requires that the local authority must provide information, including the available budget, to individuals to assist with their decision. If an individual chooses options 1 or 2, the local authority must make payment of a relevant amount to enable them to arrange the provision of support. It
1 As a general rule someone will be assessed as having complex needs when in addition to support with specific tasks to meet their outcomes an individual requires support on a regular or ongoing basis for their safety and wellbeing or the safety and wellbeing of others.
Page 3 of 14 Page 291 of 324
should be noted that payment made by the Local Authority should be an amount that the local authority considers to be a reasonable estimate of the cost of securing the provision of support.
Midlothian Council is accordingly required to perform its statutory duties under the terms of the 1968 and 2013 Acts, while exercising its discretion in performing these duties. Midlothian Council must ensure that an assessed need is being met, and must take into account the views of the individual and their carer but they do not have to fund the care requested by an individual or their carer if the assessed need can be met in a more cost effective manner. The local authority is not required to fund more expensive models of care where support can be provided effectively by alternative models of care.
4 Types of Support
Social Care support can be divided into two main categories:
Task Based Support – This support considers tasks in the broadest sense. Tasks that someone may need support with would include: o Personal care o Housing support o Support to engage in meaningful activity
Support to Stay Safe and Well – This is support that is necessary to mitigate risk to the individual, or others, that would arise if an individual was left on their own (for example risks relating to neglect or physical or mental health). This support may include an element of encouraging and supporting individuals to engage in positive recreational activities, directing them in general daily living tasks, or managing their behaviour or anxiety.
There is a general principle that all support must be purposeful and seek to promote independence. It is recognised that being independent is not solely living without support, but would include developing skills to manage with less support (for example being able to participate in a social group where support is shared between several people rather than having 1-1 support).
There are a number of ways that support that can be provided to individuals:
Natural Support – Support provided by family, friends and neighbours Community supports – support that is available through clubs and activities in the community Universal Support – Support that is available to all citizens. This would include services such as health and education, as well as services that individuals can self refer to such as some day-services Shared Support – Support where an individual will need access to support, but the level of support required means that individual support is not needed all the times (but maybe required intermittently) and / or the support can provided to several individuals together
Page 4 of 14 Page 292 of 324
1-1 Support – Where an individual’s needs are such that they need individual support at all times from a dedicated support worker 2-1 Support – Where an individual’s needs are such that 2 workers are required to provide support in order to manage risk and keep the person and others safe. When assessing the need for 2-1 support the provision of a combination of 1-1 support and shared support should be considered. In exception cases 3-1 support may be required for specific tasks, e.g. moving and handling.2
There is an inherent risk in all aspects of daily living and therefore it is not always possible, or appropriate, to completely reduce or eliminate risk in every situation. Consequently, while assessments will identify and assess the level of risk, Midlothian Council will provide support necessary in order to mitigate the risk and reduce it to an acceptable level.
5 Types of Living Arrangements
Where an individual requires significant levels of support this will usually be in one of four types of living arrangements:
5.1 Living with Family
It is recognised that many individuals with disabilities continue to live in the family home with family members providing informal support. In some cases individuals who meet eligibility criteria will receive support to engage in meaningful activity and to participate in community life. Where an individual is living with family, additional support may be provided at times when support cannot be provided by family members, or to provide family members with respite from their caring role. This may include some night time support.
While in most circumstances Midlothian Council will support individuals to live with family there may be circumstances where supported living may be more appropriate:
The cost of providing support in the family setting exceeds the cost of providing shared support within a supported living setting. This would only be likely to occur if an individual required high amounts of individual support as opposed to the shared support that could be provided in a supported living environment
2 This document will refer to 2-1 support, but this should be read to include 3-1 support in exceptional circumstances, e.g. for bariatric care.
Page 5 of 14 Page 293 of 324
The nature of the support that would be required in the family setting cannot be provided effectively. This would typically be as a result of fluctuating needs or high levels of support being needed at short notice An assessment identifies that it is not in an individual’s best interest to remain at home
Leaving a Family Home
Should an individual, or a Power of Attorney / Guardian acting on their behalf, decide the individual should make plans to leave a family home, they should both contact the local authority housing section and register an application for local authority housing. They should also make a referral to Adult Social Care for an assessment of the most appropriate housing options and support required for daily living. Advice should be given at this stage that making a housing application does not necessarily mean that care and support will be provided in any preferred housing option.
The individual or their guardian may choose to find their own owner / occupier or privately rented property, however, this should be discussed with Adult Social Care to ensure their assessed care and support needs can be met in this property.
Any housing application will be progressed in line with the Local Authority’s housing allocation policy and will take into consideration factors such as the age of the individual, housing need, type of accommodation requested and their support needs. Concurrently a social care assessment will be conducted to determine the level of support an individual requires, whether there is a need for supported living, and the appropriate model of care. As there will be a need to match to suitable housing there will the allocation of housing may take some time particularly for younger adults. All requests for housing with support will be considered by the Adult Social Care Housing Panel before an allocation is made.
Any urgent housing requests, including circumstances where an individual has been advised they must leave the family home, would require the individual to present as homeless in order to access priority housing.
5.2 Independent Living with Support
An individual is considered to be living independently when they do not require significant amounts of support, and can manage on their own for significant periods of time.
Where support is required it would be for specific tasks. General support to keep an individual safe would normally be incorporated into this support, with Telecare being provided in case the individual requires immediate access to support.
With this model of support there will be little or no overall difference between costs of shared support or individual support and therefore an individual living independently with support would be able to choose whether or not to share accommodation.
Page 6 of 14 Page 294 of 324
6 Supported Living Care Models
There are four models of care for the provision of supported living that are detailed below. These models are characterised by the need for more significant levels of support to keep an individual or others safe.
Shared or Clustered Living – This is the default model of support where an individual will share a property with others or live in a property in close proximity to other individuals who require similar support so that support can be shared. This would include extra care housing. 1-1 Tenancies – A single tenancy would only be considered when a individual is assessed as not being able to share a social space with others (for example by consistently becoming distressed or aggressive in the company of others) or an assessed need for continuous individual supervision means a clustered model of support would be cost neutral. Social contact would be provided by day services. Specialist Care – The individual’s needs are such that a specialist staff team is required to provide support to the individual. Residential Care (including nursing care)– Specialist care needs that require 24/7 care in a specialist setting due to medical, behavioural or age related physical or sensory needs that cannot be met in a non residential environment. Deteriorating conditions that require increasing reliance on high levels of support that are usually best provided in a residential care setting. This should also include people whose needs are volatile and fluctuate and are at risk of frequent hospital admissions.
6.1 Assessment of Supported Living Care Model
An individual’s assessment will determine the appropriate supported living care model that would be funded by the local authority. While principles of choice and control should be considered within the assessment, the local authority cannot provide desired support irrespective of cost due to the finite resources available. Assessments should reflect the views and wishes of individuals and, where appropriate, their carers and legal guardians. However Midlothian Council will take the cost of providing any support requested by the family into consideration in its decision making. If that request is more expensive than the individual is assessed as requiring and the Council are able to provide, then the Council may not meet the request. The local authority will determine the funding available based on the most appropriate supported living care model that will meet needs in the a cost effective manner.
This approach does not preclude funding being used develop a support package based on an alternative model providing it is safe, meets individual needs, and can be sustained in the long term. Should an individual wish to fund extra support, or have regular informal support provided as part of their care package, they are able to do so, provided that they are aware that funding for this cannot be made by the local authority.
Page 7 of 14 Page 295 of 324
6.2 Existing Care Packages
Changing circumstances and historical decision making may mean that individuals are provided with a level of support that exceeds their assessed needs. In these circumstances an individual’s assessment and plan should identify the appropriate model of care and need to transition to this model.
6.3 Residential Care
There is a general policy not to commission models of support for life long or long term institutional living. There will however be a small number of individuals where there will be an assessment that their needs cannot be met in a community based environment and there will be a requirement for specialist residential care.
Residential care or nursing care may be appropriate for individuals with declining health who require a model of care that can respond to fluctuating and increasing needs that cannot be effectively, or affordably, be provided in a non residential setting. In meeting the support needs of older people with a learning disability, consideration will need to be given as to whether increasing age related support needs mean they are best met within a care home environment specialised in meeting such care needs.
6.4 Out of Area Placements
Midlothian Council will not normally consider out of area placements. This is both because of the principle that Midlothian citizens should be supported to live in Midlothian wherever possible, and to mitigate specific risks to individuals that arise from out of area placements. The risks are:
Individuals may become disconnected from their local community (this risk increases with the length of time the individual is in an out of area placement) Distance from family, friends and peer support networks leaving individuals socially isolated Additional direct and indirect costs related to the provision of support Supervision of support being provided can be less rigorous due to geographic distance Can lead to inequity of service provision due to cost of service provision
There may however be circumstances where an out of area placement needs to be considered. Out of Area Placement should only be considered when:
There is an assessed need for a specialist service to provide support or care that cannot be provided locally
Page 8 of 14 Page 296 of 324
The service cannot be provided economically locally An emergency placement is required and the need cannot be met locally. (In these cases there should be a plan to provide an alternative placement within Midlothian as soon as is reasonably practical) There is an assessed need for the individual to move from the local area because of specific risks to themselves or others as a result of them continuing to live in Midlothian
Midlothian Council recognises that individuals may wish to move to other areas and the services that may be available in another area may be part of their decision in relation to this. Midlothian Council would consider a decision to relocate as a personal decision and,would provide assistance, but not necessarily funding to facilitate this. This would be considered on a case by case basis.
6.5 Support with Education & Learning
6.5.1 Formal Education
Local authorities have responsibility for education provision up until school leaving age. Provision of education beyond school leaving age is the responsibility of further education bodies not funded by Midlothian Council. Access to courses is determined by colleges themselves. Where, due to a disability, additional support is needed for learning within the classroom setting this should be provided by the education establishment. Midlothian Council may still however have responsibility for funding personal care (e.g. personal care support at lunchtimes).
Support will normally only be provided to attend local colleges. Individuals or families choosing not to attend a local college would be required to meet additional support and travel costs themselves. In the case of higher (university) education it is accepted that there may be a need move away from the local area to access specific courses. Any such requests will be considered on a case by case basis.
6.5.2 Informal Learning & Independent Living Skills
It is recognised that individuals with disabilities will require support with informal learning and developing independent living skills throughout their life. This should be built into individual’s support plan. In some circumstances it may be appropriate to provide additional short term support to reduce the need for longer term support.
Page 9 of 14 Page 297 of 324
6.6 Preventative Support
In some circumstances the provision of preventative support or support to build an individual’s resilience and independence can result in reduced long term expenditure. Where an assessment identifies this situation, additional preventative support can be requested. Preventative support will always be time limited and subject to regular review.
7 Guidance on Assessment and Allocation of Budget
7.1 Assessment
Midlothian Council takes an outcome based approach to assessment which focuses on conversation around ‘What matters to me’ and ‘What would I like to achieve’. It is recognised that an outcomes assessment will identify a range of outcomes for an individual not all of which will meet eligibility criteria for statutory funding. This is illustrated in the diagram below.
The eligibility criteria in Midlothian Council are based on risk around a number of key areas and outcomes that mitigate risk can be allocated budget. The assessment may also identify outcomes that will influence how support is provided if this can be achieved within allocated budgets. Assessments may also identify outcomes that don’t meet eligibility criteria for statutory funding. Where it is possible individuals will be assisted to meet these outcomes, but it should be recognised the local authority has no statutory responsibility to fund assistance for this.
Page 10 of 14 Page 298 of 324
There are 5 main categories of support that the local authority will, where eligibility criteria are met, provide resource to meet outcomes. These categories are:
Personal care Housing support Support to engage in meaningful activity to participate in community life Support to be safe during the day Support to be safe during the night
The following table outlines how the ‘talking points’ headings in the community care assessment relate to the eligibility criteria and support that is eligible for statutory funding.
Overall Outcome (as in Risk meeting Eligibility Criteria Categories of Support to CC Assessment) Mitigate Risk Feeling safe Risks relating to neglect or physical or Support to be safe mental health during the day Major or significant health problems Support to be safe at which cause life threatening harm or night danger to client or others Having things to do Risks relating to participation in community Support to engage in life meaningful activity Severe loss of independence caused by being unable to sustain involvement in vital or many aspects of work/ education/ learning Seeing people Risks relating to participation in community Support to engage with life others in a community Loss of independence caused by being context unable to sustain involvement in vital or many aspects of family/ social roles and responsibilities and social contact Staying as well as I can Risks relating to personal care Support with personal Major or significant harm or danger to care client or others or major risks to independence caused by inability to manage vital or most aspects of personal care Life as I want (including This section does not link specifically to the eligibility criteria but the where I live) outcomes identified in this section would be used to inform how the eligible support, identified in other sections could be met. Life Skills Risks relating to domestic routines / home Housing support environment Major or significant harm or danger to (Would also be used to client or others or major risks to inform meaningful independence caused by inability to activity) manage vital or most aspects of domestic routines Substantial loss of choice and control managing home environment Mobility Risks relating to domestic routines / home Aids and Adaptations
Page 11 of 14 Page 299 of 324
Overall Outcome (as in Risk meeting Eligibility Criteria Categories of Support to CC Assessment) Mitigate Risk environment Transport Major or significant harm or danger to client or others or major risks to independence caused by inability to manage vital or most aspects of domestic routines Substantial loss of choice and control managing home environment Health (including medical This section does not link specifically to the eligibility criteria but the history/medication) outcomes identified in this section would be used to inform how the eligible support, identified in other sections could be met. Dealing with stigma/ Risks relating to neglect or physical or Specific invention and discrimination mental health support as required Abuse or neglect has occurred or is under Adult Support and strongly suspected (includes financial Protection abuse and discrimination) Finances Risks relating to domestic routines / home Housing support environment Major or significant harm or danger to client or others or major risks to independence caused by inability to manage vital or most aspects of domestic routines
7.2 Maximum Level of Task Based Support
The purpose of providing support to an individual is to reduce risk to an acceptable level and as outlined above in Section 4, it may not always be possible to provide support to eliminate risk entirely. It is also recognised that finite resources mean that the local authority may not be able to provide the level of support an individual or their family may wish.
For large packages of care there is a balance between the amount of task based support to mitigate risks associated with personal care and participation in community life and support to stay safe.
Whilst each package is assessed on a case-by-case basis with reference to an individual’s assessed needs, there are generally accepted maximum levels of task based support necessary to reduce risks associated with personal care / domestic routines / home environment or risks relating to participation in community life to an acceptable level.
Where an individual cannot safely be on their own the remaining support should be for supervision with the staffing ratios appropriate for this activity. For most individuals supervision would be shared with others, however for some individuals with complex behavioural problems there may be an assessed need for structured and planned activity during this time to allow them to be supervised safely.
Page 12 of 14 Page 300 of 324
7.3 Support to be Safe
In addition to task based support to mitigate risks associated with personal care / domestic routines / home environment, or risks relating to participation in community life, there may be a need for an individual to be supported to be safe. In many circumstances it is likely that the level of support required by an individual will be less than the level of support required for task based support as less directive or individual support is required. In practical terms this means that it is more likely that shared support can meet an individual’s need to be safe.
The following points should be considered when assessing how much, and what type of support will meet an individual’s need to be safe:
Is the support needed at all times, or can intermittent support at key times meet the assessed need? Can the support be shared with others? Is the level risk and the support required different at night compared with daytime? Are the assessed needs of an individual such that risks associated with their safety or the safety of others requires a dedicated member or members of staff to support them?
Where support is provided to meet an individual’s need to be safe this support should also be purposeful. Support should be approached with the aim of supporting the individual to develop skills to be able to keep themselves safe in the future. While this may take time or may not be achievable in all cases, support should be provided with this ambition in mind where possible.
When assessing the level of risk and the support needed to mitigate the risk consideration needs to be given risk enablement principles that recognise that taking risk can have benefits and risk adverse approaches should not prevent individuals from choosing to take reasonable risks.
7.4 Allocation of Budget
In line with the principles of Self Directed Support (SDS) the allocation of budget for all packages of care should be determined using resource allocation guidelines. Following assessment, and prior to detailed support planning, the indicative budget should be presented to the resource panel for approval. The indicative budget would also be provided to the individual (or guardian / power of attorney) and the SDS options for organising support explained.
Page 13 of 14 Page 301 of 324
7.5 Preventative Support
It is recognised that it some circumstances providing preventative support or support to build and individual’s resilience and independence can result in reduced long term expenditure. Where an assessment identifies this situation, additional preventative support can be requested. Preventative support will always be time limited and subject to regular review.
7.6 Providing Support beyond Assessed Need
Support will only be provided beyond assessed need to mitigate risk in the following situations:
Transitional arrangements –short term arrangements that are necessary while longer term support arrangements are being put in place. (e.g. An individual who needs shared support receiving 1-1 support while an individual to share support is being identified) Exceptional Circumstances – there are exceptional circumstances that make this appropriate ‘Investment’ Support – additional support being provided in order to assist an individual gain new skills that will reduce support in the long term (e.g. travel training, enhanced support with independent living skills) Intermittent Support Needs – the intermittent support needs mean that support above assessed needs has to be provided at certain times to ensure assessed need can be assessed at other times.
When support beyond assessed need is provided regular reviews should be scheduled to determine if this level of resource is still required.
< END OF DOCUMENT >
Page 14 of 14 Page 302 of 324
Item 8.22 TRANSPORT FOR PEOPLE WHO USE COMMUNITY CARE SERVICES IN MIDLOTHIAN DRAFT FOR DISCUSSION
The Policy says how Midlothian Health and Social Care will support people to get to their community care service.
The Policy says who can get help with transport to their Community Care Service.
It says what this help will be.
PRINCIPLES
We will make sure that people who need it the most get help with transport.
We will support people to travel independently if they can.
We will support people to use ordinary public transport if they can.
Page 303 of 324
If you get benefits to help with travel or have a bus pass we will encourage you to use these.
We will make sure that any transport we provide is safe and good value for money.
We will support transport that is efficient and good for the environment.
THIS IS HOW WE DECIDE WHO CAN GET HELP WITH TRANSPORT
There will be an assessment of your transport needs.
The assessment will help to decide if we can support you with transport.
Page 304 of 324
THERE ARE FOUR STAGES TO THIS ASSESSMENT
1/ It will look at what transport you have at the minute. This could be a Mobility Car or a Bus Pass or money from Disability Living Allowance to cover transport costs.
2/It will look at your ability to travel independently and assess
• Your mobility
• Your safety
• Your communication
• The risk to you or other people of you travelling independently
• Psychological factors or conditions including mental health issues, loss of confidence
• The risk of harassment
• The availability of family or carers to support you
• The distance of your journey and the Public Transport available to you
This assessment will decide:
• If you can travel on your own
• If you can travel on your own with some training, support, or help
Page 305 of 324
• If you are not able to travel on your own
Transport will be provided for people who would not be able to get to their Community Care Service any other way.
3/ Deciding on the right transport
You and the person doing the assessment will decide what transport you are eligible for and what is right for you.
The options are:
• Help using public transport
• Training to help you to travel independently
• A taxi on your own or sharing with other people
• Transport in a Council car or bus
There will be a review of your transport at the same time as your Care Plan review.
Page 306 of 324
4/ Working out the cost of transport to you
There will be a financial assessment to work out the cost of your transport.
What you pay will depend on the financial assessment and this is worked out using the Midlothian Charging Policy.
The full cost of transport to your Community Care Service is £xxxx per journey/ per day?
WHAT HAPPENS NEXT?
If you qualify for support with transport we will arrange this for you within -- weeks.
If you do not qualify for support with transport we will tell you the reasons for our decision.
If you do not agree with the decision about transport you can appeal by contacting
0131 270 XXXX [email protected]
Midlothian Health and Social Care
Fairfield House Dalkeith EH22 3ZH
Page 307 of 324
Page 308 of 324 Item 8.22 HOUSING SUPPORT SERVICES FOR PEOPLE WITH A LEARNING DISABILITY INCORPORATING TECHNOLOGY ENABLED CARE
The paper highlights developments towards sustainable and good quality Housing Support services for people with a Learning Disability and outlines where there appear to be options to improve effectiveness and efficiency of Supported Living Services, particularly in relation to use of sleepovers.
Background The Scottish Government has a stated ambition that all hours of work, including sleepovers, should be paid at Scottish Living Wage rates, and the UK government has committed to ensuring national minimum wage compliance, with enforcement from HMRC.
As a consequence, it is important that Midlothian Health and Social Care considers new models of care for people with a Learning Disability and generates ideas around alternatives to overnight support/sleepovers while maintaining safe and quality support for people who need it. The current model of overnight support is sustainable in terms of neither financial nor workforce resources. This paper considers the use of equipment, incorporating Technology Enabled support approaches, to monitor changing needs and risks to people with a Learning Disability in their home, and to provide alerts and information that enables improved and informed responses to those needs and risks.
Technology can be a valuable tool which has the potential to help people to maintain their independence and enhance their freedom. Where new technology can provide assistance without unduly restricting the individual, or increasing the risks that he or she may face, its use is to be welcomed. At its best it will be adapted to individual circumstances and complement direct contact with carers.
Technology Enabled Care (TEC) is an emerging term associated with Telehealthcare service planning and can be defined as “being where the quality of care in home or community setting is either enhanced and/or made more efficient through the application of technology as an integral part of the care process”. Such technology can be operated by the person them self or passively operated. It can also be a combination of the two. Some technological devices are ‘stand alone’ but others are connected to other systems. The functions that technology can have include:
• alerting and summoning assistance • prompting and reminding • monitoring and checking • modifying the environment • connecting and engaging • educating and including • providing reassurance and contact
A recent programme of visits to Telecare pilot projects have confirmed that technology on its own is not the answer to the resource challenges that we are currently facing and that other supporting system changes need to be addressed concurrently. These include
• Housing Options including design, core and cluster, grouping by location, and built in safety features.
Page 309 of 324 • Outcomes and solutions optimised around individuals and their families in the recognition that technological solutions will vary dependent upon individual circumstance. • Consistent Care Management and Review including consideration of time limited interventions to build trust and confidence. • Individualised Risk Assessment taking account of technological solutions.
There are broadly two groups of people in Midlothian for whom technology and reviewed care arrangements have been, or might be, considered.
• Supported Living Services that originated in the hospital discharge programme for people from St Joseph’s and Gogarburn Hospitals. At the time there was concern about the risks of leaving adults, who had previously lived in institutions, alone. As a consequence a large proportion of such services were developed with waking night cover or sleepovers. • People who have moved into supported living services since 1997, often as a transition from having lived with parents. This group have no such experience of institutional care.
Current Local Work Work is underway in Midlothian to analyse existing supported living arrangements for people with a Learning Disability and to:
• review whether the assessment of risk for an individual now necessitates the provision of overnight cover. This may include the use of systems like ‘Just Checking’. • Explore the opportunities with providers of care for sharing of overnight cover across services with the support of appropriate technology.
This work has the benefit of considerable local intelligence around users of Housing Support Services and their support arrangements, amongst local providers, the review team, and care managers. The implications of this knowledge are that many of the ‘quick wins’ have been, or are in the process of being, achieved although there remains considerable scope for further work in this area.
Current National Work Telecare is well established across Scotland although considerable local variation exists and there continues to be patchy adoption of telecare as a routine response to the needs of people with a Learning Disability. Services are not mainstreamed and sustainability is often dependant on external funding with savings and efficiencies not resulting in enhanced core budgets. The Scottish Government Technology Enabled Care Programme is focussing on the development and sharing of new models of care and generation of ideas around alternatives to overnight support/sleepovers while maintaining safe and quality support for people who need it.
The Social Work Scotland Learning Disability sub group have committed to working with the Technology Enabled Care Programme over the course of 2017 to work on the development of new models and to share practice across Health and Social Care Partnerships.
Consideration of Assessed Need and Models of Support Decisions about appropriate Models of Care for an individual will largely be dependent upon their needs and circumstances. A thorough approach to assessment of risks to individuals should be
Page 310 of 324 encouraged and carefully detailed measures to mitigate identified risks developed and subsequently reviewed.
The following table is an attempt to match Housing, Models of Care and potential technological solutions related to complexity of need.
Group Housing Model Response Technology
Complex Learning Cluster of purpose Waking night shift Immediate direct Nurse call Disability related built housing on on site for both assistance. type system. to PMLD, one site with one planned and Complex Autism, support provider unplanned Mental Health, (like Eastfield) responses Forensic Mod erate to Flats/ houses in On Call across Five minutes Telecare with Complex close proximity. individuals in one direct assistance, response Learning neighbourhood or advice, from Disability Environmental monitoring, dedicated controls. Shared Waking prompting or service Night/Sleepover assistance providers. remotely.
Responses to Smartphones. Smart Tech. Broadband core infrastructure. Mild to Moderate Multiple sites On Call across Advice, VC/audio to Learning individuals and information, reassure and Disability multiple locations prompts. advise.
Responses to Electronic Smart Tech. Half Tablets. an hour direct response.
Recommendations The review of sleepover and waking night arrangements for people with a Learning Disability in Midlothian, and the analysis existing supported living arrangements, should continue. A short life Project Group should be established to provide structure to this work and move things on more quickly. The group should:
• Devise a project plan coordinating with the review team to draw up a priority list of 10 people. • Initiate work with two previously identified people using the ‘Just Checking’ system to monitor and analyse how the person naturally behaves in their own home during the night to assist with the assessment of risk and care planning. • Make recommendations in respect of charging for telecare for this group of people.
Page 311 of 324
The group should include: • Service Manager Adults • Review Team Leader • Telecare Planning Officer • Team Supervisor Telecare • Review Officer Adults • Learning Disability Planning Officer
The completion of the Eastfield Housing Complex in Penicuik in April 2017 will offer the opportunity for the testing and development of technological solutions to support the care for people with very Complex Care needs.
The development of further cluster type arrangements for people with less complex needs should be considered with Housing colleagues. This could include allocation of properties in close proximity to each other within communities and an agreed criteria for response times, whilst remaining alert to the dangers of stigmatising people through congregating people on the basis of need.
Further work should be undertaken to link housing and care models with appropriate technological solutions and, alongside agreed risk assessment thresholds, used to inform decisions about the use of technology for individual or grouped packages of care.
Duncan McIntyre 3 rd April 2017.
Page 312 of 324
Item 8.22 POLICY ON PROVISION OFTRANSPORT FOR PEOPLE WHO USE COMMUNITY CARE SERVICES IN MIDLOTHIAN
1. INTRODUCTION
This policy describes the approach to the provision of transport for people who use Adult Social Care Services in Midlothian. This includes older people, people with physical or learning disabilities, and people with mental health difficulties.
The policy is consistent with Midlothian Health and Social Care Partnership aims and strategic outcomes and outlines how we will ensure a consistent and equitable approach to providing transport that makes best use of physical and financial resources.
It sets out the criteria that we will use to assess how people qualify for transport, and how we will assess what option is best for each person.
The policy rests on the assumption and expectation that people will make their own transport arrangements to access community care services, and that funded transport will only be provided if there is there no other reasonable way to safely access the services for which they are eligible.
2. SCOPE
The policy applies to adults who have been assessed as eligible for support from Adult Social Care services in Midlothian.
It applies to transport to and from any service that has been identified or organised to meet this assessed need.
3. PRINCIPLES
Any decision to provide transport will be based on needs, risks, outcomes and the promotion of independence.
We will:
• make sure that people who need it the most get help with transport. • support and encourage people to travel independently and use local services. • expect people to use ordinary public transport if they can. • make sure that any transport we provide is safe and good value for money. • support transport that is efficient and good for the environment.
Page 313 of 324
4. DECISIONS ABOUT WHO CAN GET HELP WITH TRANSPORT
The need to attend a Community Care service will be identified as part of the Midlothian Health and Social Care Partnership Assessment and Care Planning process.
The need for transport to access such a service will be part of this assessment and any subsequent reviews.
Any decision to provide transport will follow a full assessment of needs including mobility and the risks associated with getting to and from community services as part of the care and support planning process.
The need for, and purpose, of the transport will be clearly stated in the person’s Care and Support Plan.
If it is established during the assessment process that the person can travel independently or with assistance from support providers, family, or friends there will be no allocation of budget towards transport. This does not prevent people from using their overall personal budget to pay for transport should they choose to do so, providing that agreed outcomes are met.
The provision of transport will be considered a need If there is no reasonable way that a person can access their community care service safely.
People who qualify for benefits (DLA, PIP) to help with travel will be expected to use these to pay towards their travel costs. People in receipt of the mobility component of Disability Living Allowance will only be eligible for transport if they are assessed as not capable of independent travel, or if the payment does not fully cover their needs because of the nature of their disability or distance from services.
People with Motability cars driven by either themselves or family, friends, or carers will not be eligible for transport unless it is assessed that it would be unreasonable to expect that the person would use the vehicle to access their care service. They will be expected to use their entitlement to contribute to costs.
People who qualify for concessionary travel will be expected to apply for and use these schemes, as and when appropriate, and according to assessed need.
The provision of transport is subject to a financial assessment under the Midlothian Health and Social Care Partnership Charging Policy.
5. THE TRANSPORT ASSESSMENT
The Transport Assessment has four stages.
(i) Access to Transport We will look at what transport people have currently. This could be a Mobility Car or a Concessionary Travel pass, or benefits to cover transport costs.
Page 314 of 324
(ii) Independent Travel We will look people’s ability to travel independently and assess: • Their mobility • Their safety travelling • Their communication • The risk to the person or other people of travelling independently • Psychological factors or conditions including mental health issues and confidence • The risk of harassment • The availability of family or carers to support travel • The distance of the journey and the Public Transport available
This assessment will decide if: • a person can travel independently • they can travel independently with some training, support, or help • they cannot travel independently
Transport will be provided for people who would not be able to get to their Community Care Service any other way.
(iii) Deciding on the right transport We will decide what transport people are eligible for and support them to decide what is best for them. The options are:
• Help using public transport • Training to travel independently • An individual or shared taxi • Transport in a Council car or bus
(iv) Working out the cost of transport There will be a financial assessment to work out if the person should pay for their transport. What people will be expected to pay will depend on the financial assessment and this is worked out using the Midlothian Charging Policy.
The full charge for transport to a Community Care Service is £1 per journey.
Page 315 of 324
5. ARRANGING TRANSPORT
If the person is assessed as eligible for support with transport we will arrange this within a reasonable timescale.
If the person does not qualify for support with transport we will inform them of the reasons for our decision.
Travel arrangements will be regularly reassessed at review or reassessment of the individual’s needs.
Any review and proposed change to, or removal of, transport will be discussed with the individual
If the person disagrees with the assessment they have the right to appeal through the Midlothian Health and Social Care Partnership Appeals process by writing to:
Midlothian Health and Social Care Fairfield House 8 Lothian Road Dalkeith Midlothian EH22 3AA
Or sending an e mail to: [email protected]
Or telephoning: 0131 271 3645
Page 316 of 324 Midlothian Council Tuesday 27 June 2017 Item 8.23
Carers (Scotland) Act (2016)
Report by Eibhlin McHugh Joint Director Health and Social Care
1 Purpose of Report This report is to provide Council with information about the Carers (Scotland) Act (2016) and new duties under the legislation and to note the proposal to put in place a local implementation group.
2 Background 2.1. The Carers (Scotland) Act 2016 is a key piece of new legislation that promises to ‘promote, defend and extend the rights’ (Scot Gov.) of adult and young (unpaid) carers across Scotland. The Act aims to “ensure better and more consistent support for carers and young carers so that they can continue to care, if they so wish, in better health and to have a life alongside caring” (Scot Gov.). This legislation has implications for Adult Services and both Education and Children’s Services.
2.2 The Carers Bill, passed as law on 4th February 2016, and the Act will be implemented on 1st April 2018, though there is potential for key provisions to be implemented earlier; hospital discharge arrangements may be such an area. The Scottish Government recognise that implementation will require a significant programme of preparation in the development of regulations and statutory guidance as well as the development of systems to provide monitoring and evaluation of the Act. A Scottish Government Implementation Steering Group involving key stakeholders has been established to provide strategic advice and guidance. In addition, subject-specific expert sub-groups have formed and have started meeting to work on specific issues.
2.3 The new Act will require local authorities and health boards to prepare for implementation by addressing the new duties and responsibilities placed upon them, including how carer supports/assessments are under-taken and delivered. The Scottish Government has invited Midlothian Health and Social Care Partnership to be one of eight integrated authorities to participate in pilot work based on tests of change in relation to different provisions in the Carers Act. The focus of the pilot work in Midlothian is yet to be finalised; the pilot work will operate between April and October 2017 and will receive £10,000 of financial support (allocated to the relevant NHS Board in the first instance for onward transmission to the Integration Authority).
3 Report Implications 3.1 New Duties The Carers Act places new duties and responsibilities on Local Authorities and/or health boards. The duties outlined in the new Act build on previous carers legislation and national strategy documents (Caring Together: The Carers Strategy for Scotland 2010 – 2015 and Getting It Right For Young Carers). Page 317 of 324 2
1. Duty to prepare and review Adult Carer Support Plans and Young Carer Statements.
2. Establishment of Local Eligibility Criteria for Services for Young and Adult Carers.
3. Duty to Provide Support.
4. Duty to involve carers in carer’s services.
5. Duty to prepare a carers strategy.
6. Each local authority must establish and maintain an information service for carers, and produce a short breaks service statement.
These duties and local actions required are described in more detail in Appendix 1.
3.2 Implementation Group Adult and Children’s Services staff have been invited to participate in implementation meetings taking place in Edinburgh. This will provide the opportunity to consider see what issues require development across Lothian (e.g. hospital discharge) and what implementation actions are likely to benefit from a local response (e.g. arrangements for advice and support services). The recommendation is to establish a local implementation group to take forward developments to meet legislative requirements. Its role will be to review current provision, develop policies and procedures, and ensure services are aligned to support the requirements of the new Act
3.3 Resource Financial memorandums to accompany the implementation of the Act are not yet available; therefore, the future funding situation remains unclear. Current work continues under existing budgets until April 2017. There has been confirmation of the availability of Carer Information Strategy (CIS) funding from the Scottish Government for 2017/18, thought the amounts for distribution have still to be confirmed. CIS monies (approximately £66,008 in Midlothian) help fund 3 areas of work locally, relating to carer support, information and advice, and income maximisation/welfare benefits.
3.4 Risk Financial impact of implementation and financial support accompanying the legislation are both unknown at this time. Changes to local policy and procedures will be inevitable in response to guidance and regulations from the Scottish Government. See Appendix 2 for more detail.
Page 318 of 324 3 3.5 Single Midlothian Plan and Business Transformation Themes addressed in this report:
Community safety x Adult health, care and housing x Getting it right for every Midlothian child Improving opportunities in Midlothian Sustainable growth Business transformation and Best Value None of the above
3.6 Impact on Performance and Outcomes Performance monitoring frameworks are still in development at a national level. The Scottish Government is currently engaged in a consultation with local authorities regarding the development of a new data collection Carers Census that was initiated by The Carers Bill Finance Advisory Group. This data will be used to monitor the impact of the Carers Act and requires the establishment of a baseline position in respect of current spend and related activity on adult and young carers. The Government are therefore looking to gather baseline data, - e.g. number of carers who have received an assessment of their needs; length of time support has been provided by unpaid carer; number of hours spent caring each week - for the year ahead of implementation of the Act (from January 2017), and will continue to collect data annually thereafter. The impact of the Carers Act will additionally be more widely monitored through research and evaluation.
3.7 Adopting a Preventative Approach Providing support to carers can save resources in the longer term. Appropriate support can reduce the impact of caring on the lives of carers and may enable them to undertake their caring role for longer and in better circumstances (physically, emotionally and financially). A lack of support to carers can affect the service needs of the person they care for. Our services cannot provide or replicate the type and amount of support that is delivered by unpaid carers in Midlothian, therefore it is imperative that we support carers to keep doing what they do, for as long as they want and are able to do so. A local Carers Strategy Group takes responsibility for developing and implementing new approaches to identifying and supporting carers in Midlothian
3.8 Involving Communities and Other Stakeholders Consideration should be given to developing a local Joint Implementation Group involving health and social care professionals (Adult and Children & Families), education, voluntary sector colleagues, and users and carers (representation from Carers Action Midlothian (CAM)).
3.9 Ensuring Equalities Action plans and the development of policies and procedures will be subject to Equalities Impact Assessment.
4. Supporting Sustainable Development There are no sustainability issues arising from this report. Page 319 of 324 4 5. IT Issues There are no IT issues arising from this report.
6. Progress to Date The legislative changes and new duties have been raised at the Changing Lives Overview Group, which provides an oversight of social care issues across Adult and Children’s Services in Midlothian. There have been discussions with colleagues in Children’s Services. The next stage is to establish a local Joint Implementation Group.
7. Summary The Carers (Scotland) Act (2016) is planned for implementation in April 2018. In preparation, the Scottish Government are undertaking consultation, developing policy, guidance, and monitoring structures to support the new legislation. Local Authorities are now aware of the duties that are upon them as the Act is published, and must undertake the process of local preparation, both internally within their own departments, but also in engagement with local voluntary sector and service user partners, and other stakeholders.
8. Recommendations Council is asked to agree the following recommendation:
A local implementation group should be established to involve officers from Adult Care, Education and Children’s Services, in addition to colleagues from relevant voluntary organisations.
Date: 23/05/17
Report Contact: Name: Shelagh Swithenbank:Tel No: 0131 271 3645 [email protected]
Background Papers:
Appendix 1 Duties on Local Authorities and Health Boards
Appendix 2 Risk/Implementation Issues
Page 320 of 324 5
Page 321 of 324 6
Appendix 1 – Duties on Local Authorities and Health Boards
1. Duty to prepare and review Adult Carer Support Plans and Young Carer Statements. Act includes direction regarding the means of identification of outcomes and needs for support.
Actions being progressed: Midlothian Council offer Carers Conversations to Adult Carers; currently the support needs of parent carers are addressed through support provided to a family through an assessment of a child (with additional support needs or disability). Further exploration required in the development of Young Carer Statements and agreement with which service these assessments best lie, e.g. universal services, C&F, voluntary sector partners, etc. Emergency planning is to be included in the Support Plans and Statements.
2. Provision of Support to Carers. Establishment, publication and review of Local Eligibility Criteria for services for Young Carers and Adult Carers. The Scottish Government may later choose to produce national eligibility criteria.
Actions being progressed: There is working Eligibility Criteria already in place for Adult Carers that has been developed in light of SDS legislation. These criteria may need further development and will have to be published within the 6-month period prior to implementation in April 2018.. Eligibility Criteria for Young Carers requires to be developed, and a range of support options explored.
3. Duty to Provide Support. To provide support where identified needs indicate that support cannot be provided through general services, including the consideration of “Breaks from Caring” on a temporary, planned and/or regular basis.
Actions being progressed: Carer support services are available for Adult and Young Carers within Midlothian. The Short Breaks Scheme operated by VOCAL offers advice and support for Adult Carers to have a break from caring; a similar service/scheme could be investigated to consider the suitability of a similar scheme for Young Carers.
4. Duty to involve carers in carers services; involve carers in the discharge of cared for persons; and, in the care assessments of the cared-for person, take account of care and views of carers.
Actions being progressed: Discharge planning and carer involvement is an area for practice improvement for health and social care services. The impact or involvement of young carers is an area that requires further clarification from government. Emergency planning is an area that requires development for both Adult and Young Carers.
Page 322 of 324 7 5. Duty to prepare, publish and review a local carer’s strategy including the needs/issues pertaining to both Adults and Children (as Young Carers).
Actions being progressed: Planning for the next carer’s strategy is nearing completion and will be drawn up for consultation in the coming months. The content of the strategy will be directed by the legislation. The strategy is representative of Adult and Young Carers, but will require further development to represent specific issues relating to Parent Carers.
6. Each local authority and health board must establish and maintain an information service for carers, and produce a short breaks service statement.
Actions being progressed: There is potential to expand on the information service provided by the Short Breaks Bureau operated by VOCAL, though there would be resource implications in relation to this.
Page 323 of 324 8
Appendix 2 – Risk/Implementation Issues
Risk Actions being taken to mitigate risk A financial memorandum to Requirement to monitor accompany the legislation has not yet been produced; therefore, there is no clarity on the funding available and how it will meet the demands on the LA. Ensuring that we are prepared in our Watching brief over national development of policy and practice to guidance. deliver on the LA duties. Implementing work ourselves. Communication and dissemination of Monitoring communication from information and guidance from the Scottish Government and agreeing Scottish Government comes through the staging of actions with wider at a pace that hampers progress. service colleagues to ensure that possible actions are progressed, and others are taken when adequate information/guidance is given. Successful delivery will require a Delivery will require input from wider coordination of strategy and work universal services – attendance at plans from multiple departments meetings to ensure coordinated within the local authority. action/response. Delayed guidance or dependence on Discussions re progression of actions statistical/financial guidance may on a local basis. Agreement on what influence response and delivery, actions need to be started and those making development more difficult. that can wait for clarification. Wider organisational pressures Work to be appropriately prioritised. potentially affect capacity to manage change.
Page 324 of 324