to: organisational improvement and development …...deletion capability exists in newly...
TRANSCRIPT
To: Organisational Improvement and Development
Policy Committee
Councillors:
J Kerr-Brown (Chair), S Hall (Deputy), J Davidson, L Dirir, J Flaherty, A Hill, A King, S Krizanac and P Walker Organisational Improvement and Development Policy Committee
Date: Tuesday, 26 September 2017
Time: 18:30
Venue: Council Chamber, Town Hall, Sankey Street, Warrington, WA1 1UH
Contact – Adam Kellock, Democratic Services Officer, Tel: 01925 442144,
Email:[email protected]
AGENDA
Part 1
Items during the consideration of which the meeting is expected to be open to members of the public (including the press) subject to any statutory right of exclusion. 1 Apologies
To record any apologies received.
2 Code of Conduct - Declarations of Interest
Relevant Authorities (Disclosable Pecuniary Interests)
Regulation 2012
Members are reminded of their responsibility to declare any
disclosable pecuniary or non-pecuniary interest which they have
in any item of business on the agenda no later than when the
item is reached.
3 Minutes
To confirm the minutes of the meeting of 21 June 2017 as a correct
record.
3 - 4
Professor Steven Broomhead Chief Executive
Town Hall Sankey Street
Warrington WA1 1UH
1
Part 2
Nil.
4 Corporate Records Management Project Update
Report of the Business Intelligence Manager.
5 - 34
5 Corporate Strategy 2018-2020
Report of the Assistant Director - Customer and Business
Transformation.
35 - 60
6 Procurement Strategy and Social Value
Report of the Head of Finance (To Follow).
7 Work Programme 2017-18
Report of the Organisational Improvement and Development Policy
Committee.
61 - 66
2
ORGANISATIONAL IMPROVEMENT & DEVELOPMENT POLICY COMMITTEE 21 JUNE 2017
Present: Councillors J Kerr-Brown (Chair), J Davidson, J Flaherty, S Hall, A Hill, A King and S Krizanac.
Also Present Gareth Hopkins: Assistant Director - Customer and Business Transformation Adam Kellock: Democratic Services Officer Kim Rutter: Business Intelligence Officer OID 1 Apologies for Absence Apologies were received from Councillor P Walker. OID 2 Declarations of Interest There were no declarations of interest made. OID 3 Minutes The minutes of the meeting held on 19 April 2017 were agreed and signed as a correct record. OID 4 Work Programme – 2017/18 The proposed work programme for the municipal year 2017/18 was presented to the committee by the Assistant Director - Customer and Business Transformation which outlined the areas that had been covered by the committee during the previous year and the proposed items to be looked at during the coming year. The following items were completed by the committee during 2016/17 and it was proposed that they were not carried forward:
Energy Efficiency;
Equality Objectives;
Council Website and WINNIE;
Workforce Wellbeing Charter;
Workforce Development – Talent and Skills Strategy The following items were considered by the committee during 2016/17 and it was proposed that they be carried forward for 2017/18:
Document Retention and Records Management;
Council Strategy and Performance;
Procurement Strategy;
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New Office Accommodation and Agile Working;
Customer Service Delivery Project;
Living Wage In addition to the above items the following new items were proposed to be included within the work programme:
Enterprising Warrington Strategy;
Procurement Strategy and Social Value;
Human Resources Strategy;
Workforce Strategy for Children’s Social Care Members discussed and approved the proposed work programme for 2017/18 as set out above.
Chairman ………………………………………
Date ……………………………………..
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WARRINGTON BOROUGH COUNCIL ORGANISATIONAL IMPROVEMENT AND DEVELOPMENT POLICY COMMITTEE – 26 September 2017 Report of: Gareth Hopkins, Assistant Director, Customer & Business
Transformation
Report Author: Pauline Carr, Corporate Records Project Manager
Contact Details:
Email Address: [email protected]
Telephone: 01925 443927
Ward Members:
All
TITLE OF REPORT: Corporate Records Management Project Update
1. PURPOSE 1.1 To share with, and seek input from, the Organisational Improvement and
Development Policy Committee the objectives, progress-to-date and priorities of the Corporate Records Management Project.
2. CONFIDENTIAL OR EXEMPT 2.1 This report is not confidential or exempt. 3. INTRODUCTION/BACKGROUND 3.1 In November 2016 the council launched a Corporate Records Management
Project to focus on reviewing and improving council practice in records management, relative to the council’s information governance framework and wider corporate objectives.
3.2 In January 2017 an initial report was shared with the Policy Committee, which outlined the importance to the council of good practice both for legal compliance and to support efficient decision-making, service delivery, use of corporate resources, and Organisational Improvement initiatives including the new council office project, agile working, Customer Strategy and Business Transformation. That report sets out
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key improvement priorities for 2017/18, to achieve an improved standard of records management that is more closely aligned to the Records Management Code of Practice issued under Section 46 of the Freedom of Information Act 2000 (S46 Code).
3.3 This report provides an update on progress, review of priorities, and plans for 2017/18.
4. VALIDATION OF INITIAL IMPROVEMENT PRIORITIES
4.1 The initial project priorities and work plan were validated by completion of a
Records Management Organisational Self-Assessment during February-March 2017. This used a detailed questionnaire tool produced by the National Archives aligned to the 9 good practice principles of the S46 Code.
4.2 The Self-Assessment produced a risk profile for the council, which was an
overall
rating of AMBER with 8 out of 9 sections at status amber and one red.
4.3 Compliance shortfalls were mapped against the original work plan to identify risk areas, enabling the project to set revised priorities. Completion of the original work plan plus additional work items identified by the self-assessment will enable the council to move to an overall risk rating of GREEN, with 8 out of 9 sections at status green and one at amber. The target for this is July 2018; however this will be subject to review depending on progress relative to other key projects.
5. REVISED IMPROVEMENT & DEVELOPENT PRIORITIES 2017/18 5.1 The following have been carried forward from the original work plan:
Development of a Corporate Records Management Policy – to provide key principles, responsibilities, and senior management approval of best practice.
Development of supporting practical procedures for paper handling and disposal.
Comprehensive records retention schedule – to ensure documents are only held for as long as necessary in line with Data Protection and other legislation.
Review of the corporate approach and contract for offsite paper storage.
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Eliminate backlog of paper disposal for offsite storage.
Review of onsite paper storage to support digital transformation and move to new council office
Business engagement and training to support culture change.
5.2 The following additional items were identified from the self-assessment:
Complete information audit – knowing what we have. This is aligned to the Information Governance requirement for completion of an Information Asset Register.
Onsite storage review – extend council wide to review environmental suitability of current storage (against threats such as fire, flood etc.)
Deletion of electronic records – identifying records that should be deleted in existing systems, and reviewing commissioning criteria to ensure deletion capability exists in newly commissioned systems. This is a key requirement to ensure data protection compliance ahead of introduction of the new General Data protection regulation (GDPR) in May 2018.
Digital Preservation Strategy - keeping closed records useable as technology changes
Ongoing review of historic Data Sharing Agreements 6. PROGRESS SINCE JANUARY 2017 6.1 Records Management Policy: developed based on National Archives
guidance and research into other councils. Approved by SMT 5 September 2017, and due to be published on WINNIE and cascaded to all directorates via their Directorate Management Teams (DMT’s). This is the key deliverable which will underpin the improvement programme. The Policy is attached to this report for information.
6.2 Records Management Procedures: several have already been published, with others in development:
Published:
Guidelines for how to store paper documents (decision-tree) – will support office moves and agile working
Procedure for offsite document storage – to ensure best practice and improve document retrieval and disposal
Guidance on keeping paper documents safe offsite – to avoid data breaches
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In development:
Disposal & archiving procedure – to ensure documents are disposed of in a timely, secure and auditable manner; and that appropriate historic documents are preserved for the people of Warrington by the Cheshire Record Office.
6.3 Document Retention Schedule: initial information-gathering has been completed; work programme to be planned with all services during quarter 3 to produce corporate schedules. 6.4 Review of offsite storage approach:
Tactical improvements implemented - more robust procedures for document deposits and destructions.
Improved identification of business ownership for offsite storage invoicing
Contract waiver in place, and short term contract being developed for current service – enhanced protection for council.
Strategic review of offsite storage contract, business requirements and full procurement exercise planned by March 2018.
6.5 Offsite paper disposal backlog: substantial progress since January, with 735 boxes destroyed. However, there has been some issues e.g.
Historic poor labelling – approximately 475 boxes overdue for disposal but require further investigation.
Approximately 1400 boxes pre-2010 likely to be overdue for disposal but are not being investigated due to lack of capacity in services.
6.6 Information audit: initial planning started with Information Governance Team. This will need to be tied in to the development of a council-wide document retention schedule. 6.7 Review of historic data sharing agreements: this is an ongoing item in the Information Governance Team’s work plan. 6.8 Deletion of electronic records: no progress yet – requires ICT and business resource. 6.9 Digital preservation strategy: no progress yet. Long term issue linking in with ICT and other council strategies. 6.10 Business engagement & training:
Records Management pages have been developed on WINNIE and will continue to be expanded.
Business engagement will increase substantially in quarter 3 with the launch of the Records Management Policy and work programme to develop the retention schedule.
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Good business relationships have been established and engagement is ongoing both with the Cheshire Record Office, and with the council’s external offsite storage provider.
Training is in the early stages of development and needs to tie in to the new iLearn package.
7. NEXT STEPS 7.1 Continue with planned improvement priorities as outlined above.
• Use the cascade of the Records Management Policy via DMT’s to kick-
start business engagement with all services: • Development of retention schedule • Information audit • Completion of offsite paper storage review • Onsite paper storage review
• Continue / increase engagement with other corporate initiatives e.g.
Customer Strategy / Business Transformation
• Continue to work with Cheshire Records Office
• Work with Human Resources to develop a training approach 8 CONSULTATION
8.1 The Records Management Policy has been produced in consultation with the SMT, Information Governance Team. Information Governance Group, Senior Information Risk Officer (SIRO), and Cheshire Record Office. 8.1 Records Management Procedures and Guidance are being produced in
consultation with the above plus service users and the council’s external offsite storage provider.
8.3 Information Asset Owners and Legal Services will be consulted in the development of a corporate record retention schedule. 8.4 Central Procurement and Information Asset Owners will be consulted in the
development of a corporate approach / contract for offsite storage. 8.5 Regular updates will be provided to Members and the Organisational Improvement and
Development Policy Committee.
9 FINANCIAL IMPLICATIONS
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9.1 There are no immediate financial implications from this report. However, there may be
costs associated with supporting the Council’s Business Transformation and Accommodation strategies, enabling transition from paper to digital storage. Alternatively, the review of onsite storage may lead to an increased requirement for offsite paper storage or onsite protected storage for high risk records (e.g. fireproof cabinets), if digital transition is not appropriate. This requires further investigation in collaboration with those projects.
10 EQUALITY AND DIVERSITY / EQUALITY IMPACT ASSESSMENT 10.1 Not required. 11 RISK ASSESSMENT 11.1 The following have been identified as the main risks if the council does not
ensure good records management practices are in place (unchanged from January
2017):
Possible failure to comply with statutory DPA, FOIA, EIR and other responsibilities, which could lead to investigation and/or financial penalty by the Information Commissioner.
Reputational risk, lack of confidence in the council to handle, store and retain information appropriately.
Inability to protect the council’s interests in the event of claims or external investigations.
Unnecessary expenditure on paper and/or electronic storage.
Inability to support the council’s transformational change agenda.
11.2 The following have been identified as the main current risks to successful delivery of the project:
Lack of capacity in services to support project activities
Lack of appetite in the organisation to take responsibility for information assets and conform with best practice
Insufficient project resource to deliver all aspects of required change
Lack of understanding of Electronic Document Records Management (EDRM) requirements and opportunities
The project team will manage these risks through a combination of active communication and engagement with both managers and corporate initiatives across the council, promotion of best practice, and establishment of business cases for any project activities that would have financial or resource implications. The project will also continue to liaise with the Customer Strategy
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(Enterprise Architecture) consultation, to ensure that any recommendations for Electronic Document Records Management take account of records management requirements.
12. RECOMMENDATION 12.1 The Organisational Improvement and Development Policy Committee is asked
to:
Note the contents of this report and provide feedback to shape the focus and priorities of the project.
Note the attached Corporate Records Management policy.
Receive further updates from the project team on progress with the Corporate Records Management Project
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Reference: RM-20170614-001 Version: 1.0
Protective Marking: Official Status: FINAL – approved by SMT
Prepared By: Pauline Carr Effective From: 10/9/2017
Contact: Team Name: Business Intelligence & Change
e-Mail: [email protected] Telephone: 01925 443927
Corporate Records Management
Records Management Policy
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Document Control Information Users of this document are responsible for familiarising themselves with the latest version on a regular basis. You should be aware that a physical copy might not be the latest available version. The latest version, which supersedes all previous versions, can be found at [Insert location or web address here]
Document Ref: RM-20170614-001 Version: 1.0
Prot. Marking: Official Status: Approved by SMT
Effective from: 10/9/2017 Review Date: 1/9/2019
Prepared by: Pauline Carr Date: 9/8/2017
Approved by: SMT Date: 5/9/2017
Change Forecast:
Ongoing throughout 2017 as corporate records management policy and associated procedures are developed; then regular review every 2 years
Circulation: All employees of Warrington Borough Council (including temporary staff), Elected Members, contractors, volunteers or other agents who create, receive and/or use Council records in the course of Council business.
Change History
Version Date Summary of Changes
0.1 14/6/2017 First draft for review by the Business Intelligence Team & Information Governance Team,
0.2 28/6/2017 Second draft for review by Information Governance Group, SIRO and Cheshire Records Office
0.3 31/7/2017 Final draft for agreement by Corporate DMT
0.4 8/8/2017 Approved by Corporate DMT for submission to SMT
1.0 5/9/2017 FINAL – approved by SMT
The intellectual property contained within this document is the property of Warrington Borough Council and may not be reproduced in any format.
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Contents 1. Introduction .......................................................................................................... 5
2. Purpose of this Policy .......................................................................................... 5
3. Benefits ................................................................................................................ 5
4. Risks .................................................................................................................... 6
5. Who does this policy apply to? ............................................................................ 6
6. What types of information does the policy cover? ............................................... 6
6.1 In scope ........................................................................................................ 6
6.2 Out of scope .................................................................................................. 7
7. Relationship with existing policies........................................................................ 7
8. Records Management Policy ............................................................................... 7
8.1 General Principles ......................................................................................... 7
8.2 Record lifecycle ............................................................................................. 8
8.3 Creation and maintenance ............................................................................ 9
8.4 Storage ....................................................................................................... 10
8.5 Use .............................................................................................................. 11
8.6 Retention and Disposal ............................................................................... 11
9. Third Party Suppliers and Offsite Hosting .......................................................... 12
10. Taking records offsite. ....................................................................................... 13
11. Roles & Responsibilities .................................................................................... 13
12. Putting the policy into practice ........................................................................... 15
12.1 Records Management procedures ........................................................... 15
12.2 Other Council guides on how to handle information................................. 15
12.3 Professional Guidance ............................................................................. 15
12.4 Further reading ........................................................................................ 16
13. Monitoring and reviewing this policy .................................................................. 16
14. Related Legislation and Standards .................................................................... 16
14.1 Legislation ................................................................................................ 16
14.2 Professional Standards ............................................................................ 16
15. Contacts ............................................................................................................ 16
15.1 Corporate Records Management Team ................................................... 16
15.2 Information Governance Team ................................................................ 17
16. Appendix A: Records Retention Schedule ......................................................... 18
17. Appendix B: Definitions ...................................................................................... 18
17.1 Formats/media ......................................................................................... 18
17.2 Locations ................................................................................................. 18
17.3 Records lifecycle ...................................................................................... 19
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17.4 Non-records ............................................................................................. 20
17.5 Record-keeping system ........................................................................... 20
17.6 Data Controller ......................................................................................... 21
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1. Introduction
“Records and information are the lifeblood of any organisation. They are the basis on which decisions are made, services provided and policies developed
and communicated."
(Lord Chancellor's Code of Practice on the management of records, issued under section 46 of the Freedom of Information Act 2000)
Information and records are vital Council assets which must be managed and protected. They provide the Council’s corporate memory and evidence of its policies, decision-making processes and services; and are essential to the delivery of high quality public services. Information assets require proper management throughout their life from creation to disposal. This will be achieved by the establishment and ongoing development of a policy and associated procedures for the management, retention and disposal of records. This policy is based on the Lord Chancellor’s Code of Practice on Records Management issued under Section 46 of the Freedom of Information Act 2000 (FOIA Section 46 Code of Practice), and will be reviewed to reflect this and other appropriate standards as they are issued or revised.
2. Purpose of this Policy
The aim of this policy is to ensure that the Council can manage its records through their life cycle from creation or receipt, through maintenance and use to final disposal (destruction or transfer to archivist for permanent preservation). The policy aims to ensure that all Council employees, Elected Members, partners, suppliers and stakeholders are aware of what they must do to manage records in an effective and efficient way, to ensure that records
are available when they are needed;
can be accessed by those who have a legitimate reason to access them;
are secure from unauthorised access;
can be interpreted;
can be trusted;
can be maintained through time;
are retained and disposed of appropriately.
3. Benefits Managing records in line with the policy and its accompanying procedures & guidance will support the Council to
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fulfil its statutory responsibilities for protection of personal data, including secure handling and retention for no longer than necessary, as required by the Data Protection Act (DPA) and forthcoming General Data Protection Regulation 2018 (GDPR);
respond appropriately to requests for information under the DPA, Freedom of Information Act (FOIA) and the Environmental Information Regulations (EIR);
deliver quality customer services based on timely access to meaningful and appropriate information;
make informed strategic and operational decisions;
demonstrate performance and accountability;
protect our reputation in the event of claims or complaints;.
use Council resources efficiently (physical and computer storage space);.
use staff time efficiently (saving time searching for records);
identify for preservation records with lasting historical or research interest for the people of Warrington;
work effectively with our strategic partners and suppliers.
4. Risks
Failure to comply with this policy could lead to legal challenges to the Council, reputational damage, and potentially a substantial fine from the Information Commissioner for failures to comply with the principles of the Data Protection Act and/or other associated legislation.
5. Who does this policy apply to?
This policy applies to all employees of Warrington Borough Council (including temporary staff), Elected Members, contractors, partner organisations, volunteers or other agents who create, receive and/or use Council records in the course of Council business. Compliance with this policy is mandatory in line with the Warrington Borough Council Employee Code of Conduct (section 2.5).
6. What types of information does the policy cover?
6.1 In scope
Records are defined in the FOIA Section 46 Code of Practice as
Information created, received and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business.
This policy covers all Council records as defined above, including.
all formats: electronic, paper and any other media
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all locations: wherever Council-owned records are used
complete lifecycle: from receipt/creation to disposal
Further detailed descriptions and guidance on records formats, locations and the record lifecycle are available at Appendix B.
6.2 Out of scope
Some information created or received by the Council does not fall within the definition of “records” as listed above:
Non-records refers to types of documents which do not form part of the
Council’s record of business, which staff may routinely destroy in the normal
course of their work. It usually applies to information that is duplicated,
unimportant or only of short-term facilitative value. Further detail of types of
documents covered is contained at Appendix B.
Reference copies of information created by and received from other
organisations, where the Council is not the Data Controller (see Appendix B
– Definitions) i.e. not responsible for managing the records.
This policy does not cover schools, as they are Data Controllers for their own
records and therefore responsible for their own information and records
management.
7. Relationship with existing policies
This policy has been formulated within the context of the following Council policies and associated national policies/guidelines (please ensure you obtain the latest version of these policies as they will continue to be updated over time).
Acceptable Use Policy
Data Protection Policy
CCTV Policy
Code of Conduct for Council Employees
8. Records Management Policy
The Records Management (RM) policy consists of a series of principles, which will be supported by detailed procedures and guidance on how to put them into practice.
8.1 General Principles
Information is a strategic Warrington Borough Council resource. All records received or created during the course of Council business are corporate records, and not the property of individual employees or teams.
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We are all responsible for the Council’s information assets. Specific responsibilities are outlined in section 11; however all users are responsible for the information they receive, create and/or use in the course of Council business.
Corporate records must be managed to support business functions and activities rather than organisational structure, to avoid loss of ownership caused by organisational re-structures.
Records will be managed to reflect the value and sensitivity of the information they contain, including the use of appropriate security measures to guard against unauthorised deliberate or accidental access, alteration, loss or deletion; and storage in environmentally-suitable conditions to guard against physical destruction or degradation.
Every corporate record can have only one “master copy”, with all other copies being designated as “duplicates” or “convenience copies”. If two records identical to each other need to be retained to give evidence of two different corporate processes then they shall be considered as 2 separate records, each associated with its specific retention schedule etc.
Records will be managed to comply with the Council’s statutory and regulatory obligations, including the Data Protection Act (1998) which states that Personal Data: -
o shall not be kept for longer than is necessary for that purpose or those purposes (principle 5);
o will have appropriate technical and organisational measures applied to prevent unauthorised or unlawful processing of personal data and against accidental loss , destruction of or damage to it (principle 7)
Training, advice and guidance on good practice will be developed and made available to staff as appropriate.
8.2 Record lifecycle Records must be managed through their lifecycle from creation, through storage and use, to disposal.
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8.3 Creation and maintenance
All in scope employees (“information users”) will:
create, maintain and manage records of all Council activities that are required for business, legal, regulatory and accountability purposes. The requirements for different types of records will be documented in the corporate Records Retention Schedule (see Appendix A);
create or file records with meaningful titles and indexes/metadata so that they can be identified and retrieved efficiently;
ensure that each newly created record can be associated with the correct business owner, document type in the corporate Records Retention Schedule (see Appendix A), and disposal date;
follow service areas’ policies and procedures for data entry and quality assurance to ensure that our records are complete, accurate, and up to date; the information they contain is reliable and its authenticity can be guaranteed;
ensure that all emails containing records (as defined in section 6.1) are attached to the appropriate record-keeping system (see Appendix B – Definitions) ; for example if the information is about a child or adult’s social care then it should be attached to the individual’s electronic case record;
ensure that records are closed as soon as they cease to be in active use (other than for occasional reference), and records are marked with date of closure. This may involve recording a date in an electronic record, or marking an individual file or folder of paper records;
Create / Maintain
Store
Use
Dispose (destroy
or transfer to
archivist)
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ensure our records remain usable for as long as they are required, whether for operational use, legal compliance or permanent preservation. This includes :
o ensuring electronic records are captured and continue to be stored using currently supported technology and storage media, as directed by the ICT service;
o ensuring paper or other tangible records are stored in environmentally suitable conditions so as to avoid destruction or degradation, as outlined in the Council’s Paper Storage Guidelines (see section 12.1);
o making appropriate arrangements for ensuring the continuity and availability of information when staff leave, or during major organisational or technological change;
ensure appropriate backup arrangements are in place for electronic records (including restoration of backups and disaster recovery if electronic records are damaged).
8.4 Storage
To maximise efficiency, minimise risks and enable appropriate data-sharing, information users will:
store all records in the appropriate corporate record-keeping system (see Appendix B – Definitions), in accordance with service areas’ policies and procedures;
not store corporate records in personal paper files, personal email boxes or personal drives on PC’s;
not store information permanently on removable media (e.g. memory sticks);
not store information in web or cloud-based servers or systems unless they have been approved by ICT as compliant with ICT security requirements. This includes information collected from third parties via e.g. surveys or consultations. Information users need to ensure the storage facility of the above is located within the European Economic Area (EEA). If any doubt contact the Information Governance Team.
avoid storing duplicates , eg. o avoid storing paper copies of electronic records. Short term “convenience
copies” should be routinely destroyed when no longer needed in line with the Council’s Records Disposal Procedure (see section 12.1);
o avoid storing multiple electronic copies of the same document (eg. in different shared folders within Windows Explorer);
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o when distributing electronic documents (eg. WORD files), use email hyperlinks to shared document repositories (eg. shared drives, Sharepoint) rather than individual email attachments where possible;
use the most appropriate and cost-efficient location for storage of records according to their retention requirements and whether the records are active or inactive (as per Appendix B - Definitions). Paper records should be stored in line with the Council’s Paper Storage Guidelines (see 12.1);
ensure that all stored records are subject to security measures appropriate to their format and sensitivity of the information contained in them, as set out in the Council’s Acceptable Use Policy. This applies to all locations, including taking records offsite. For records which contain personal data, this is mandatory for the Council to comply with its data security responsibilities under the Data Protection Act.
8.5 Use
Records shall only be accessed by authorised users for legitimate business purposes, in line with the Council’s Acceptable Use Policy.
Records will be disclosed to third parties in response to Freedom of Information (FOI) or Environmental Information Regulations (EIR) requests unless subject to a valid exemption, in line with the Council’s Freedom of Information Request – Guidance Note (see section 12.2).
Records which contain personal data must only be disclosed to third parties in response to Data Protection Act Subject Access Requests (SAR’s), in line with the Council’s Subject Access Request Procedure (See section 12.2)
Records which contain personal data will only be shared with partners, suppliers and/or other organisations when subject either to a Data Sharing Agreement which has been prepared in consultation with the Information Governance Team, or to appropriate contractual arrangements.
Records will only be taken offsite, and will be subject to appropriate security measures, in line with the Council’s Acceptable Use Policy (see also section 11).
8.6 Retention and Disposal
All corporate records (in whatever format) as defined in section 6.1 will be subject to the Council’s Records Retention Schedule.
The Data Protection Act principle 5 expressly prohibits the retention of personal data beyond the period required for business operations and legal compliance: these periods will be identified in the retention schedule and must form the basis for reviewing records.
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All services will ensure that records for which they are the business owner are reviewed on a regular basis (at least annually) in accordance with the retention schedule, to identify any records which have reached the end of their retention period and thus become candidates for disposal or permanent preservation.
Before disposing of any record, the business owner must verify that there are no specific circumstances that may prevent the disposal, primarily:
Existence of any “legal hold” on a record class which overrides the retention period specified in the Council’s retention schedule. Any generic “legal holds” are published on the Record Retention Schedules page in WINNIE.
Existence of any in-progress Council litigation for which the records may be pertinent.
Existence of any-in progress requests for information held in the records, under the Data Protection Act (Subject Access Request), Freedom of Information Act or Environmental Information Regulations. o Further guidance on Retention and Destruction of Requested
Information (FoIA and EIR) has been produced by the Information Commissioner’s Office (see section 12.3).
o A list of directorate representatives who hold lists of in-progress
DPA, FOI and EIR requests will be published on WINNIE soon – in the meantime contact the Information Governance Team.
If a valid reason exists (as above) to not proceed with destruction, the information owner must retain the record in its current format and location; and will set a suitable review period to ensure that the record can be disposed when the reason to keep it is no longer in place.
Records which have been identified for disposal will be securely destroyed, and appropriate records kept of the destruction authorisation and completion, in line with the Council’s Records Disposal Procedure.
Records which have been identified for permanent preservation will be transferred to the Cheshire Record Office in line with the Council’s Records Disposal Procedure .
Where records are identified for destruction or permanent preservation, the process must ensure that all copies of the record are destroyed, regardless of format or location where they are held.
9. Third Party Suppliers and Offsite Hosting
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Commissioners, Contract Managers, Project Managers and Information Asset Owners must make appropriate contracts with partners or suppliers where records are stored, managed or hosted elsewhere on behalf of the Council to ensure their records management practices are aligned with this policy.
Where data is being shared with partners, you should contact the Information Governance Team for advice on data sharing agreements (subject to exemptions eg. urgent data sharing related to safeguarding issues).
10. Taking records offsite.
Council data is particularly vulnerable to data protection breaches when it is taken outside of council premises. You must only take Council records (whether paper or on electronic media) outside of council premises when it is operationally necessary and in line with your service area’s policies and procedures, and the Council’s Acceptable Use Policy. Further practical guidance is contained in the document Keeping paper safe offsite – user guidance (see section 12.1).
11. Roles & Responsibilities
All staff, elected members, contractors, consultants and agents (“information users”) are responsible for
documenting your actions and decisions accurately in the Council’s records;
managing records in accordance with this policy and related procedures;
identifying records for disposal in accordance with the Council’s Records Retention Schedule;
escalating any identified omissions from the retention schedule to the Corporate Records Project Manager for investigation;
when leaving the Council, ensuring that all Council records for which you are responsible remain accessible.
Line managers are responsible for ensuring that
your staff are aware of their information management responsibilities and arrangements for access to information;
your staff are appropriately trained or experienced. Senior Managers (Directors, AD’s, Heads of Service) are responsible for ensuring that
this policy and its supporting procedures and retention schedule are implemented, promoted and adhered to within your area of responsibility;
local information handling procedures exist within your areas to support this policy, and are adhered to by all staff;
staff are supported to enable them to manage records appropriately;
lead staff are identified in each area, to liaise with the Corporate Records Project Manager for regular review of the policy and retention schedule;
regular reviews of records are undertaken in line with the Records Retention Schedule, so as to allow timely disposal;
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records are authorised for disposal by the appropriate Information Asset Owner, in line with the requirements of this policy and the Records Retention Schedule;
risk assessments are carried out annually using the corporate risk assessment template for all aspects of RM, and that any RM risks are incorporated into the corporate risk register and highlighted to the Corporate RM Team;
RM implications are considered when undertaking organisational changes and restructures.
Commissioning, Procurement and Project Managers are responsible for
considering RM implications when planning business change such as organisational restructures, commissioning of new systems, working with new partners.
The ICT service is responsible for
providing and maintaining the secure infrastructure to give information users access to records they require;
providing advice on ICT information security for existing systems and proposed new technologies;
producing a policy for Digital Preservation, to ensure continued accessibility to electronic records over time.
The Corporate Records Project Manager is responsible for
developing and promoting a records management programme to enable the Council to meet its record keeping obligations;
producing a council-wide Records Management (RM) Policy based on the FOIA Section 46 Code of Practice, and promoting its adoption across all services;
producing a council-wide Records Retention Schedule in consultation with all directorates and Legal Services, which incorporates legislative, regulatory, business and historical preservation requirements for records retention;
producing and promoting procedures and guidance notes to support the RM policy, covering topics such as document storage & records disposal;
co-ordinating a review of the Council’s offsite storage arrangements and contract; and ongoing co-ordination of the operation of the contract;
liaising with the Cheshire Record Office to provide support and guidance to officers about permanent preservation of records;
providing advice and guidance to officers with RM responsibilities across the Council to achieve implementation of RM policies;
providing support and guidance on RM implications for the development of a corporate Electronic Document and Records Management System (EDRMS);
developing staff training for RM best practice;
developing mechanisms to monitor and evaluate the Council’s RM performance.
The Senior Information Risk Owner (SIRO) is responsible for
setting strategic direction and ensuring that policies and processes are in place for the safe management of information;
approving any amendments to this policy.
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The SIRO is supported in this role by the Information Governance Team and Information Governance Group.
The Cheshire Record Office is responsible for
long-term storage, management and preservation of records identified as permanent records of Warrington Borough Council;
providing professional expertise, policies and advice on permanent preservation of both paper and digital records;
ongoing access for Council officers and researchers to the records it holds.
12. Putting the policy into practice
The following procedures and guidance support this policy, and help you to put it into practice. Further guidance will be added as it is developed.
12.1 Records Management procedures
Paper Storage Guidelines - how/where to store your paper records Offsite Paper Storage Procedure – how to submit new storage boxes to our offsite storage provider (Storage Management Data Services)
Records Disposal Procedure – what to do when records have been identified for disposal (under development – due to be published September 2017) Keeping paper safe offsite – user guidance - protocols for taking or creating paper documents outside the secure office environment (under development – due to be published September 2017) 12.2 Other Council guides on how to handle information
An Introduction to the Data Protection Act
Freedom of Information Requests – Guidance Note (Issue 7, April 2017). Information Governance - Subject Access Request Procedure (Data Protection). For further guidance on all aspects of Data Protection, Freedom of Information, information sharing and other information governance topics please visit the Information Governance home page in WINNIE
12.3 Professional Guidance
From the Information Commissioner’s Office:
Retention & destruction of requested information: FOIA and EIR (2013)
Deleting Personal Data – Data Protection Act (2014)
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12.4 Further reading
Lord Chancellor’s Code of Practice on Records Management issued under Section 46 of the Freedom of Information Act 2000 National Archives: FIOA Section 46 Code of Practice Implementation Guides
13. Monitoring and reviewing this policy
This policy and the associated retention schedule will be reviewed at least every two years to ensure they remain in line with statutory requirements, operational developments, service user needs and best practice guidance. The retention schedule will be reviewed sooner if there are any key legislative changes or new risks identified.
14. Related Legislation and Standards
14.1 Legislation
Various legislation has implications for the management and retention of records. The following lists key legislation that governs the Council’s overall approach to RM and wider information governance. Other legislation which provides retention requirements for specific record types is listed separately within the Council’s Records Retention Schedule.
Freedom of Information Act 2000 (including Section 46: the Lord Chancellor’s Code of Practice on the Management of Records)
Data Protection Act 1998
Environmental Information Regulations 2004
Local Government (Records) act 1962
Local Government Act 1972
Local Government (Access to Information) Act 1985
Public Records Act 1958 and 1967
Re-Use of Public Sector Information Regulations 2015
Limitations Act 1980
14.2 Professional Standards
The following standards are applicable within the Council:
BSI 1008:2008 Code of Practice for Legal Admissibility and Evidential Weight of Information Stored Electronically
ISO 27001 International Standard for Information Security Management
15. Contacts
15.1 Corporate Records Management Team
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Please contact [email protected]
15.2 Information Governance Team
Please contact [email protected]
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16. Appendix A: Records Retention Schedule
The Council's corporate retention schedule was published in 2004, and is now out of date. Some directorates and services have since produced their own, which have also become partially outdated due to organisational restructures, and do not cover all parts of the organisation. The Records Management project will develop a new council-wide retention schedule during summer/autumn 2017 in consultation with services, which will supersede individual departmental schedules. It will be based on business functions rather than organisational structure, so it will be robust for organisational change. In the meantime, please continue to refer to your departmental schedule, if available on the Record Retention Schedules page in WINNIE, or consult the Corporate Records Management Team for advice on document retention periods.
17. Appendix B: Definitions
17.1 Formats/media
This policy applies to records stored in all formats and media. Examples include (but are not restricted to)
Paper documents;
electronic records stored in line of business applications;
electronic records created by individuals using software packages, eg. MS WORD documents, EXCEL spreadsheets and Powerpoint presentations;
information stored in web or cloud-based solutions (including information collected from third parties by e.g. surveys, consultations);
email;
scanned documents;
audio and video tapes, cassettes and disks (including CCTV);
microform (i.e. fiche/film);
photographs, slides and other images;
maps, plans and drawings;
website content;
social media records (eg. Facebook, Twitter);
Text messages.
17.2 Locations
This policy applies to Council records received, created, used or stored at any location, including (but not restricted to)
Onsite (in Warrington Borough-Council premises);
Offsite – when taken outside of WBC buildings by officers in the course of Council business ( eg. visits to other organisations’ premises, visits to clients’ homes);
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Offsite – when stored in non-WBC premises (with the exception of the Cheshire Record Office);
Offsite – when managed or processed by others on the Council’s behalf;
In transit – eg. when transported in a car or van (whether a Council, partner, supplier or employee’s private vehicle), or on public transport
Stored electronically – including on PC’s, laptops, tablets, mobile phones and other mobile devices, council servers, web and cloud-based servers.
17.3 Records lifecycle
The following list describes the different stages of record in the lifecycle from creation or receipt to disposal:
Active Records record the activities and decisions of the Council, and are used on a regular basis for the conduct of current business. Examples include current active client files, operational plans, financial files or investigations, active correspondence (paper and email), project files, reports etc.
Inactive Records are records created above which are no longer used regularly, but where retention is required for a specific period (governed by legislation or best practice), as defined in the Council’s Records Retention Schedule. They may be referred to occasionally (eg. for operational or strategic planning, or in the case of queries or complaints), or may be stored away and never referenced. Examples include closed client files for individuals who are no longer in contact with the Council, financial records for previous years, files for closed investigations and projects. Ultimately they will reach the end of their retention period, at which time they will normally become non-current records (see below).
Non- current records are no longer required for the conduct of business or for legal compliance as defined in the Records Retention Schedule , and will normally be destroyed in line with the Council’s Records Disposal Procedure, UNLESS they are identified as permanent records (see below).
Permanent Records are those which need to be kept in perpetuity as they are of lasting historical interest to the people of Warrington. These can be subdivided into 2 main types:
o Key records of the Council’s constitution, democratic processes,
finances, and decision-making processes which we are legally required to retain indefinitely. These are marked in the Council’s Records Retention Schedule with a disposal action of “Transfer to Archivist”
o Records relating to various Council activities that may be of ongoing
historical or research interest after the expiry of their normal retention period. These are marked in the Council’s Records Retention Schedule with a disposal action of “Offer to Archivist”, which means that the archivist will review the records and may elect to preserve a sample for historical reference.
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17.4 Non-records Refers to types of documents which staff may routinely destroy in the normal course of business. It usually applies to information that is duplicated, unimportant or only of short-term facilitative value, including
working papers which lead to a final report
notebooks and/or diaries used for recording business (eg. visits) where the information has been entered into a record-keeping system (eg. Mosaic, Academy, Flare etc.)
duplicated and superseded material such as stationery, manuals, forms, reference copies of reports
“convenience copies” of eg. reports distributed or printed for short term use such as meetings, project reference
‘with compliments’ slips
catalogues and trade journals
telephone message slips
non-acceptance of invitations
trivial electronic mail messages or notes that are not related to council business
requests for stock information such as maps, plans or advertising material
out-of-date distribution lists
These documents can be routinely destroyed as follows:
in the council’s confidential waste bins (for documents containing personal data or sensitive information),
in the office paper recycling bins (only for documents that contain no personal or sensitive data)
There is no need to keep any specific record of documents that have been destroyed in this way. However undocumented destruction should not be applied to any records that could be used as evidence of a Council transaction or decision – they must be handled in line with the Records Retention Schedule and Records Disposal Procedure.
17.5 Record-keeping system
A record-keeping system is a structured way of filing information which captures, manages and provides access to records through time. It can be either electronic or paper-based. Examples include:
Line of business systems (e.g. Mosaic, Civica);
Sharepoint document libraries;
Windows Explorer shared drives (e.g. P: drive);
Filing cabinet/shelf of paperwork containing a structured filing system. All recordkeeping systems should:
routinely capture all records within the scope of the business activity it covers;
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organise the records in a way that reflects the business processes of the records creator;
protect the records from unauthorised alteration, destruction or transfer;
routinely function as the primary source of information about actions that are documented in the records;
provide an audit trail of who has viewed or altered a record and when;
provide ready access to all relevant records and related metadata;
have accurately documented policies, assigned responsibilities and formal methodologies for its management.
17.6 Data Controller
Data Controller is a role defined within the Data Protection Act 1998. This and other data protection roles are explained in the Council’s Introduction to Data Protection (see section 12.2).
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WARRINGTON BOROUGH COUNCIL ORGANISATIONAL IMPROVEMENT AND DEVELOPMENT POLICY COMMITTEE – 26 September 2017 Report of: Gareth Hopkins, Assistant Director, Customer & Business
Transformation
Report Author: Amanda Juggins, Business Intelligence Manager
Contact Details:
Email Address: [email protected]
Telephone: 01925 443207
Ward Members:
All
TITLE OF REPORT: Corporate Strategy 2018-2020
1. PURPOSE 1.1 To update the committee on the development of a new Corporate Strategy
(2018-2020).
2. CONFIDENTIAL OR EXEMPT 2.1 This report is not confidential or exempt. 3. INTRODUCTION/BACKGROUND
3.1 The Corporate Strategy is one of the council’s key strategic documents. It focuses Members and Officers on the key priorities we need to deliver over the medium term. It is an important document for the communication of our priorities to employees, the community and stakeholders. It guides our service, financial and workforce planning and the management of our assets.
3.2 The council’s Corporate Strategy 2015-2018 (see appendix 1) was agreed at
Full Council on 2 March 2015 and was refreshed in April 2017 with a new one year plan (see appendix 2).
3.3 Work will shortly begin to develop a new Corporate Strategy for 2018-2020
which will be developed over this financial year and is planned to be launched in April 2018.
4. THE CURRENT CORPORATE STRATEGY 2017/18
4.1 The current Corporate Strategy (appendix 2) covers a one year period and details consists the vision, pledges and priories for 2017-18. The council’s vision for 2020 is:
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We will work together with our residents, businesses and partners to create a place that works for all
4.2 The vision is underpinned by five pledges:
1. Opportunities for the most vulnerable 2. Grow a strong economy for all 3. Build strong, active and resilient communities 4. Create a place to be proud of 5. Delivering our vision
5. DEVELOPING A NEW CORPORATE STRATEGY 2018-2020 5.1 The new strategy is likely to take account of the financial pressures the council
faces, with the potential for a revised set of key priorities, whilst also ensuring continued focus on the major programmes of work that the council is already delivering. The new strategy will also consider the Medium Term Financial Plan (MTFP) and the agreed Outcome Based Budgeting approach which has been embedded into the organisation.
5.2 The Organisational and Development Policy Committee has the opportunity to
consider the existing priorities and feed into the thinking and development around a new strategy.
6. CONSULTATION 6.1 Consultation and engagement on the new Corporate Strategy will be
undertaken with a range of stakeholders through various channels. 7. FINANCIAL IMPLICATIONS 7.1 There are no immediate financial implications from this report, however the
development of a new Corporate Strategy will consider the councils financial pressures. The priorities of the new strategy will be developed in line with the agreed Medium Term Financial Plan.
8 EQUALITY AND DIVERSITY / EQUALITY IMPACT ASSESSMENT 8.1 During the development of a new Corporate Strategy an equality impact
assessment will be completed. Detailed consideration of equalities and other impact assessments will be addressed when developing and implementing supporting policies, strategies, projects and delivery plans.
9 RISK ASSESSMENT 9.1 The delivery of the Corporate Strategy, its pledges, supporting change
projects and delivery plans will be the focus of the Council’s strategic risk
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management arrangements. The strategic risk register will specifically identify key risks to the delivery of the Corporate Strategy and will incorporate detailed control strategies produced to manage/mitigate those risks. The risks to delivery will be reported to, and monitored by, Strategic Management Team, Executive Board and the Audit and Corporate Governance Committee on a regular basis.
10. RECOMMENDATION 10.1 The Organisational Improvement and Development Policy Committee is asked
to:
Note the contents of this report
Consider the Policy Committee’s role in developing a new Corporate Strategy, including considering a draft version of the Strategy at a future meeting
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WARRINGTONBorough Council
Council Strategy2015 -18
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1
Council Strategy 2015-18
Walton Hall
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IntroductionWarrington is a great place to live and has a strong and proud history. We celebrate together in the good times and rally together through the difficult ones.
Warrington is entering into a new and exciting era. But, at the same time as great opportunities open up for us, we face some really difficult choices.
That is why, we want to share the challenges and choices we face with residents, partners and everyone who wants to see Warrington strive and thrive, so that together we can come up with the best solutions for Warrington and grow a strong Warrington.
Our challengesThe major challenge we face is managing significant reductions in our funding whilst facing increasing demand for our services.
The money available to the council to deliver hundreds of services has and continues to be severely reduced. Since 2010 we have had to cut £77million from your budgeted revenue spend and by 2017 we will need to save a further £31million. We have tried to limit changes so that the impacts on residents are minimised, however, demands for the services we provide are increasing:
• There are a growing number of families and individuals who are struggling and in need of help and advice• The number of frail older people needing support is greater in Warrington than many other similar sized boroughs• We face many increased costs, similar to our residents, for example the costs of fuel, transport and the general cost of living• We must respond to the impact of recent bad winters on highways and other older infrastructure that needs investment• We face pressure on many of our council services as an impact of cuts on other public organisations that the council works with including - police and health services
2Queens Gardens
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Building on our strengths
This is only part of the picture, Warrington has many strengths.
Warrington has a strong local economy, which has been independently shown to be growing faster than most other parts of the country. We have many world class business locations with high-growth business sectors and we have the capacity to attract 120,000 new jobs over the next 20 years. Warrington is a key driver for renewed economic prosperity in the North of England.
The potential for the town, its residents and businesses is huge and our innovative partnership, Warrington & Co and our Warrington Means Business Strategy is turning our plans to reality.
We have an excellent location at the heart of the north-west with a vibrant range of leisure, community, cultural and sports activities across the borough.
Combined with our strong community spirit we also have a thriving and growing voluntary sector, a significant number of faith groups, successful sports and leisure clubs, a high level of involvement in neighbourhood projects and cultural and social events.
Warrington has vibrancy, a high profile and visibility across the county.
This council is ambitious for the town and its people. We have great strengths to build on. We believe that the council, working together with residents, business and our partners, can build on these strengths and rally together in response to the challenges that face the town and make the most of our opportunities. We want to grow a strong Warrington – a place where everyone can thrive.
3Council Strategy 2015-18
Artists impression of The Square from Market Gate
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Our Vision We will work together with our residents, businesses and partners to make Warrington a place where everyone can thrive.
Our approachWe have already managed a £77million reduction in our budget, and we now have to find further savings. Things we have done so far include:
• Reducing waste and duplication• Using new technology to deliver efficiencies• Developing innovative solutions to deliver valued services differently; like establishing Livewire and Culture Warrington, and Catalyst (adult social care)• Identifying new income sources It has not been easy; we have reduced our workforce and we have focussed on reducing “back-office” support services in order to best protect those front-line services our residents rely upon.
This next round of cuts will be much tougher as we have exhausted many of the more easily identified savings. We now need to think and do things differently in order to deliver on our ambitions for Warrington and respond to our challenges.
We are continuously reviewing our services, and exploring how we can do things differently and how we spend our money. We know that to succeed we need to change our relationship with residents, partners and businesses so that we can do much more together.
Proposed new ‘Business Incubator’
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Working together to:
Council Strategy 2015-18
Protect the most vulnerable
Grow a strong economy
Our focus for the future will beItem 5
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Build strong, active and resilient communities
Create a place to be proud of
These pledges provide us with a focus to further innovate, continue to drive efficiency, remove waste, use technology to speed processes, transactions and decisions, enter into partnership and service delivery arrangements that reduce our costs.
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Protect the most Vulnerable
Working together to
7
Council Strategy 2015-18
We will continue to shift funding to prevention and early intervention. We will better identify and provide early support to people who may be struggling to cope and help those with the greatest need to live independently. As well as being the right thing to do, by supporting our most vulnerable residents and helping them to have a good quality of life, we will reduce their need for council services in the long term.
Our priorities are:• Work with partners to better identify and provide early support to those who are struggling to cope, in order to improve their quality of life and independence
• Raise awareness of the impact of dementia and ensure the needs of people with dementia are met
• Continue to strengthen our partnership arrangements to safeguard vulnerable adults, children and young people
• Improve the early identification and support of children with a developmental delay to keep them better prepared to start school
Warrington a place where
everyone has thechance to
thrive
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What we are already doing:• Implementing our plans to deliver better care with our health partners
• Campaigning for and supporting foster carers and adopters
• Creating a new social enterprise, Catalyst, to deliver adult social care in a new and flexible way
• Working with partners to ensure safeguarding principles are embedded in all that we do; and minimising the risk to vulnerable children and young people of child sexual exploitation
What we plan to do:• Focus our efforts on vulnerable children and young people, improving how we assess need and support children and young people with complex needs
• Review and improve how we support vulnerable young people as they make the journey to adulthood
• Review our focus on support to young people who are experiencing disadvantage
• Invest in early support and preventative mental health strategies
• Integrate health and social care services for priority groups such as the frail elderly, and people with multiple and complex needs
• Develop our approach to person centred care and work with partners to ensure we make our customers experience as good as it can be
• Support people to stay at home and invest in assistive technology to enable this
• Extend the support we give to struggling families so that more people benefit
• Reduce the number of people at risk of, and experiencing homelessness and rough sleeping
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Grow a strong economy
9
Council Strategy 2015-18
Working together to
Warrington - the place to invest, where business thrives and
individuals and families prosper
Concept for new Market building
Steady income and employment is a clear factor in ensuring the health, prosperity and wellbeing of individuals and families. We will maximise the excellent local employment opportunities for everyone in Warrington. Partners and businesses are working closely with us to ensure that young people and the long term unemployed are supported to develop the skills required to secure jobs and fuel our economic growth. We will support investment to grow our already flourishing economy and harness the financial and employment opportunities this brings for local people.
Our priorities here are to: • Lever investment into the borough and promote Warrington as the place to do business in the North of England
• Use local investment to increase access to job opportunities in Warrington. • Work to retain jobs and provide employment opportunities to those who have struggled to get into work, for example older workers, young people, those with low skills, and people with disabilities
• Improve existing employment opportunities for Warrington residents through training and skills
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What we are already doing:• Building on the successes of Warrington Means Business – and continue to build Warrington’s reputation nationally and internationally
• Continuing with regeneration plans for Omega, Bridge Street, Stadium Quarter, Southern Gateway, Warrington Waterfront and other key sites
What we plan to do:• Develop an investment strategy to ensure that growth and investment can be prioritised to meet the pace of change and demand and maximise impact
• Use existing growth to connect those out of work with either jobs or opportunities to develop skills to get them into work
• Use capital to encourage additional investment and infrastructure improvement works that enable further economic growth
• Agree on an employment charter with local business and investors that demonstrates our commitment to improving people’s lives
Warrington is the economic
growth centre of the North of
England
Omega site10
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11
Build strong, active and resilient communities
We want to work with and support individuals, communities and businesses so they can do their bit for Warrington, help look after their local environment, help their families, neighbours and employees. Wherever possible the council will develop and promote self-service options for our customers by utilising technology for those that are able. This will all help us to focus our limited resources on tackling inequality and protecting the most vulnerable.
Our priorities here are to:• Support communities (especially our most deprived communities) to become strong, sustainable and more resilient
• Improve the health of the population, reduce obesity, enhance emotional wellbeing and target issues that affect men and women differently
• Prioritise our partnership work to reduce alcohol harm
• Work with schools and partners to ensure our children have the best start in life
• Take action with partners and communities to reduce social isolation and loneliness particularly for older people
• Support residents in participating in cultural, sporting and recreational activities
• Ensure that all council policies and decisions consider and aim to improve the health and wellbeing of our residents
Council Strategy 2015-18
Working together toItem 5
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What we are already doing:• Supporting our local volunteering infrastructure and volunteers
• Continuing to work with partners to close the equality gap in our 10% most deprived areas, and addressing poverty and social exclusion across Warrington
• Working with our family of schools to deliver focused ongoing school improvement
• Continuing to support people to to make healthy lifestyle choices, and in particular improve public health services to children and young people
• Delivering the Wellbeing in Bewsey & Dallam programme
What we plan to do:• Work with parents, nurseries and others to ensure all children are well prepared to start school
• Support communities to take responsibility for their local areas; work with partners to encourage mentoring and social action; and with businesses to develop the social responsibility opportunities in Warrington
• Increase the opportunities for our residents and communities to have a voice in council decisions and improve how we work together to design and deliver services
• Better joining up of all our activity in local neighbourhoods and target support in those areas that need it most
• Work with partners to ensure support for carers is effective
• Further develop our Cultural and Active Warrington strategiesWarrington a
fair and friendly place to live
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Warrington is the place to live in the North of
England.
Everyone in Warrington has a role to play in making the place they live and work one to be proud of. We want to make Warrington a place that we can all be proud to live, work and do business in, a place where people feel safe and want to visit. We will work together to ensure that Warrington is clean and green, with good quality housing and business premises which meet the needs of our strong and growing town. To support this we will ensure our road and transport infrastructure is as effective as it can be.
Our priorities are to:• Improve the quality of the living environment, particularly in deprived areas, so everyone has a clean and green place to live
• Take action to reduce priority crimes, anti-social behaviour, domestic abuse and alcohol related violence
• Ensure housing needs are met and that everyone has access to a decent and affordable home
• Ensure that our roads and transport infrastructure meets the needs of a growing Warrington
Create a place to be proud of
Working together to
13
Council Strategy 2015-18
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What we are already doing:• Delivering a Warrington-wide street lighting renewal programme
• Improving our parks and gardens
• Fully implementing our infrastructure improvements and highways maintenance investment
• Encouraging housing growth through loans to social landlords and bringing partners together to invest in new schemes of affordable housing
• Reviewing our housing and homelessness strategy with partners to ensure that we deliver activity that supports this and meets the changing needs of our population; particularly the elderly
What we plan to do:• Develop a sustainable waste strategy; and reduce the financial and environmental costs of waste disposal
• Encourage recycling so that more people and communities take responsibility for reducing waste
• Work with local people and groups to ensure more people take responsibility for keeping their areas clean and green
• Develop our own, and the communities’, opportunities for accessing green energy
• Focus our environmental improvement work on those areas that need it most, and work to improve air quality where necessary
• Review our approach to enforcement and community safety with partners to target priority issues
• Ensure that council decisions support our long term development strategy for Warrington; and ensure the health and wellbeing of residents
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Delivering our vision: We need to think differently about the way we provide services in the future, and work more closely with residents, partners and businesses to innovate so we can find new solutions together. We will promote the use of technology, encourage self-service to make the customer journey as easy as possible. We will focus resources on those who are most vulnerable.
Council Strategy 2015-18
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Doing more together:• Working collaboratively with partners; integrating services to ensure we are joined up providing a positive customer journey and avoiding duplication and inefficiency
• Supporting the voluntary and community sector
• Supporting social action; enabling those who can, to do a bit more to support family, friends and neighbours and to look after their local environment
• Working with businesses to grow our local economy and provide employment opportunities to our residents
Putting residents and customers at the heart of everything we do• Ensuring that customers are at the heart of all plans to change service delivery; and are engaged and involved in our decision making wherever possible supporting and promoting customer self service
• Focusing on peoples abilities and not assuming they need the council to always arrange services for them;
• Being open, transparent and accountable to our residents
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Using our resources wisely• Being clear about the outcomes we want to achieve and allocate our resource in a way that best support this
• Using available intelligence to better understand need and target our limited resource on prevention, early intervention (support) and protecting the most vulnerable local people
• Recruiting and developing a workforce which effectively meets the service delivery needs of the council
• Ensuring our workforce is motivated and flexible; able to innovate and has the right skills and resources to do their job
• Reviewing the design of services and the way we deliver them to ensure that they meet the needs of our customers whilst being as efficient and cost effective as possible
• Further innovating, and continuing to drive through efficiencies and remove duplication and waste
• Continuing to make investments that saves money in the long term, both within the council and within our communities
• Using technology to speed processes and transactions, improve access to services, support innovation and enable a flexible and efficient workforce
Council Strategy 2015-18
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Council Strategy 2015-18
WARRINGTONBorough Council
Download your copy of the council strategy at www.warrington.gov.uk/councilstrategy
To have your say and make suggestions to Grow a Strong WarringtonEmail: [email protected]: www.warrington.gov.uk/strongwarrington
www.facebook.com/warringtonbc
#strongwarrington
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Corporate Strategy 2017-18Vision for 2020: We will work together with our residents, businesses and partners to create a place that works for all
Priorities What we will do What success looks like
Ensure the safety and wellbeing of our
vulnerable adults and children
Reduce domestic abuse and redesign our approach to supporting victims and perpetrators
Improve the quality and effectiveness of services for missing children, child sexual exploitation and traffickingEnsure that elderly residents with additional care needs receive appropriate support
Ensure we offer the correct support for residents with special educational needs or autism
Offer support for young people with mental health and emotional wellbeing problems
• Reduction in % of domestic abuse incidents involving victims who have previously been a victim during the last 12 months• Successful monitoring and tracking of vulnerable children so support and intervention is timely and effective• We will review commissioning arrangements for residents with dementia and launch a Carer’s Strategy and action plan• We will develop and implement a Learning Disability Strategy and an Autism Strategy with associated action plans• We will implement the THRIVE model
Support people to live as independently as
possible
Support people to remain in their homes through developing services to help with recovery after illnessImplement an integrated health and social care system
• % of older people who were independent 91 days after discharge following re-ablement
• Put arrangements in place for an Accountable Care Organisation
Provide access to quality care, support,
education and learning provision
Support elderly people in our communities who require care and support
Develop Warrington’s Wellbeing Hub
Implement the new education model for LAs
Support children in care and vulnerable learners to achieve better educational outcomes
• Deliver the adult social care transformation programme and implement a new domiciliary care model• Increased number of residents accessing the Warrington Wellbeing Hub• Increased overall attendance and a reduction in the % of persistent absenteeism of children in care• Increased % of children in care achieving age-related expectations• Increased number of foster carers
Priorities What we will do What success looks like
Invest in, maintain and build the town’s economic, cultural and environmental
infrastructure
We will invest in Warrington’s development to ensure long term housing, employment and infrastructure needs are metDeliver the Warrington New City vision and evolve Warrington&Co. as the programme management agency for the New City investment scheme.Develop a sustainable approach to maintaining and promoting Warrington’s parks and green spacesPromote inclusive growth, compliance and health and wellbeing
Spend more locally
• We will complete the Time Square and Waterfront and we will also adopt a Local Plan.
• We will deliver the New City programme
• We will measure % satisfaction rates of Warrington residents
• We will reduce the increasing gap in employment for those with long-term health conditions will measure the % increase in employment rate• We will promote social value in procurement and include clauses for social value and added value offered by contractors
Ensure the borough is well connected and
accessible
Continue to invest in transport infrastructure
Deliver a more sustainable transport model
Deliver a Digital Creative Hub in the town centre
• We will deliver Warrington West and commence the construction of the Centre Park Link Bridge • We will work with Network Warrington to deliver an improved public transport offer and will measure uptake of modern technologies such as the Traveline GB app. We will encourage other sustainable transport modes (walking, cycling) as part of the New City framework.• Deliver a Digital Creative Hub in conjunction with the private sector
Grow a strong economy for all
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Build strong, active and resilient communities Priorities What we will do What success looks like
Ensure there are sufficient numbers of new homes and good quality and affordable housing to meet local
need and support growth
Promote and support healthy, prosperous
and vibrant communities
Review our library provision
Focus resources on addressing inequality in Warrington’s communities
Support communities to get more involvedDevelop a Youth ZoneAgree the provision of a Transit Site for travellers
• We will establish a Libraries modernisation programme and develop a strategic vision for our libraries• We will measure % decrease in alcohol and substance misuse, implement the homelessness strategy and form a Neighbourhood Renewal Board focused on improving the Central Neighbourhood Area• Develop and implement a volunteering strategy• Deliver a Youth Zone which will open in 2018• Ensure smooth transition of travellers to the identified site.
Ensure our residents are well educated, skilled and have
opportunities to learn and work
Support our schools to be even better
Ensure sufficient school places
Ensure residents from deprived communitiesbenefit from new job creation, ensuring theyare skilled enough to contribute to the futureworkforce of Warrington
• We will ensure continuous improvement of our schools; maintaining the 100% Ofsted “good”/”outstanding” rating of our primary schools and supporting our secondary schools to better achieve.• Measure the % of parents receiving their first preference for school places at primary and secondary• We will monitor and maintain our low unemployment rates
Create a place to be proud of Priorities What we will do What success looks like
Work with the community to ensure our streets are clean,
safe and tidy
Work with the police and other agencies to target anti-social behaviour and crime
Review of our waste service
• We will reduce serious acquisitive crime, violent crime with injury and the anti-social behaviour incident rate• We will implement the findings of PSPO consultation• Agreed waste strategy
Create a cultural vision and plan, celebrating the town’s history and
heritage
Develop a clear cultural offerDeliver improvements to our culture/artsinfrastructure Develop a tourism plan for the borough
• Forming a cultural commission• Develop and implement a cultural strategy
• Develop and deliver a tourism plan
Delivering our vision
• Set the example as an employer that values fairness and diversity • Listen to our residents and help shape services based on their feedback • Make it easier for residents to access services digitally • Continue to be a modern, forward-thinking and financially sustainable council • Continue to invest in Warrington’s infrastructure • Make better use of technology, improving customer interaction and more effective working practices
• We will also deliver 1,000 new homes each year and establish a new Housing Company as part of our Housing Strategy
• Improve the number of people successfully prevented from being homeless (Preventions/ reliefs of homelessness by Housing Plus)
• Improve links with our housing providers
Develop and deliver strategies for housing and homelessness, providing homes for the most vulnerable.
Ensure homes are decent and affordable
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Organisational Improvement and Development Policy Committee
26 September 2017
This document explains the purpose of all policy committees and policy themes attached as Appendix A. It includes topics the Policy Committee has looked at in 2016/17 and outstanding items. National policy themes that are relevant to this committee are attached as Appendix B.
The paper also includes the 2017/18 work programme for approval by the Policy Committee. This have been spilt into 3 main themes which are customer, workforce and corporate. Topics which overlap with other Policy Committees and also Scrutiny Committees have been identified and it is suggested that an invitation be extended to other committee members.
What topics has the Committee looked at in the last year?
Energy Efficiency
Equality Objectives
Council Website and WINNIE
Workforce Wellbeing Charter
Workforce Development – Talent and Skills Strategy Items to be carried forward from the 2016-17 programme are:
Document Retention and Records Management
Council Strategy and Performance
Procurement Strategy
New Office Accommodation and Agile Working
Customer Service Delivery Project
Living Wage
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2017/18 Work Programme Work Programme
Topic Purpose of the item
Link to National Policy &
Local Context Lead
Officer Date of Meeting
Theme – Corporate Development
Document Retention and Records Management
Project which aims to shift how the council retains and records information from paper to digital. The project will help to deliver the council’s digital strategy and its vision for new office accommodation and improve public accessibility to council records.
Links to the digital vision for local government and digital innovation in the public sector.
A Juggins 26th September
2017
Corporate Strategy and performance reports
To provide oversight of council performance and an opportunity to challenge delivery
The Corporate Strategy set the future strategic direction for the council, its customers and the town. Performance reports monitor progress on the objectives in the plan
G Hopkins 21st November
2017
New Office Accommodation and agile working
Progress update on the development of the new council building and workforce agile working
Council initiative to build new office accommodation. Agile working is an initiative to enable employees to work unrestrained from a physical office base.
I Dykes 17th April 2018
Enterprising Warrington Strategy
To consider the progress of actions within the Enterprising Warrington Strategy, and in particular how we are creating a Commercial Dashboard to measure progress, along with the work on improving staff skills in this area
C Harris 17th April 2018
Procurement Strategy and Social Value
Participation in the development of a new procurement strategy and how the Council fulfils its obligation under the
The Public Services (Social Value) Act came into force in 2013. It requires people who commission
C Harris 26th September
2017
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2017/18 Work Programme Social Value Act public services to think about how
they can also secure wider social, economic and environmental
benefits..
Theme – Customers
Customer Programme and Business Transformation
To review progress on the development of end to end digital services to enable customers who can self-serve to do so, in order to ensure sufficient capacity to support the most vulnerable. In addition the transformation of the way in which a number of our internal services are carried out.
Links to public service reform which aims to fundamentally change how services are received by customers. Also links to a digital vision for local government and digital innovation in the public sector
G Hopkins K Lindley
6th February 2018
Theme - Workforce
Living Wage Review the implementation of the Living Wage policy throughout the Council and consider future working with businesses in the Borough
Links to the national living wage and rising living costs e.g. affordable housing.
G Hopkins 21st November 2017
Human Resources Strategy
Review the new Human Resources Strategy and consider the objectives and priorities set within it
G Hopkins J Holt
21st November 2017
Workforce Strategy for Children’s Social Care
Review the workforce strategy launched in 2016 to recruit and retain children’s social work practitioners and managers
Nationally and locally there are difficulties recruiting and retaining social work practitioners and managers.
Fiona Waddington
6th February 2018
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Appendix A Policy Committee Role & Themes
Policy Committee Role and Policy Themes
Role of the Policy Committees
Assists Council and Executive Board in developing, monitoring and reviewing the Council’s plans, policies and strategies.
Scrutinises decisions taken by Executive Board, Committees, Sub-Committees and Officers where appropriate.
Makes recommendations to Executive Board relevant to its area of activity The policy themes for each Policy Committee are listed below. Specific responsibilities for each Policy Committee which are contained within the terms of reference are also included
Building Stronger Communities Organisational Improvement & Development
Protecting the Most Vulnerable Supporting the Local Economy
Key Themes 1. All community infrastructure related topics.
2. All community safety related topics to include reduction of crime and victim support.
3. All Education and Skills related topics for adults and young people
1. All customer related topics 2. Workforce and HR 3. Corporate planning and new
ways of working
1. All health and wellbeing related topics including housing
2. Adult and Children’s Services including preventative and safeguarding related topics for vulnerable adults, children and young people.
3. All social inequality related topics
1. All economic and regeneration related topics
2. All leisure & cultural activity
related topics 3. Flood management
Specific Responsibilities
The committee co-opts four people for the scrutiny of education matters
This Committee shall exercise the review and scrutiny functions as the Council’s Statutory Crime and Disorder Committee for the purposes of s.19 of the Police & Justice Act 2006
- - The Committee shall exercise the review and scrutiny functions under the Localism Act 2012, in relation to the exercise of flood risk management functions affecting the area
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Appendix B National Policy Themes
5
National Policy Themes relevant to this Committee
This section contains details of key national policy themes relevant to the committee which could have an impact on the Council’s customers and the town.
Caveat – This document was written prior to the General Election on 8 June 2017. All references to Government policies and consultations relate to the previous Government. These are subject to change with the formation of a new
Government after 8June 2017. Workforce
Delivering sustainability and transformation plans - The Kings Fund has analysed the 44 sustainability and transformation plans (STPs), setting out the main themes and challenges, and what needs to be done for successful implementation. The policy briefing summarises the report, with particular reference to issues that are relevant to local authorities. Key themes relevant to the OID Policy Committee are;
o Workforce - Problems with recruiting and retaining staff ‘feature heavily’ in
STPs which often link staff shortages with the quality and sustainability of services.
o Developing the enablers - STPs were asked to consider IT and estates as two of the main enablers.
o Developing organisational arrangements to support STPs Collaborative commissioning – STPs are developing approaches to reshape commissioning to reduce duplication and produce economies of scale across the footprint; these range from informal collaboration to formal mergers.
o New approaches to contracting and payment – Proposals include introducing alliance and prime provider contracts, capitated budgets and other payment mechanisms, risk sharing arrangements, aligned outcomes, and local alternatives to national incentives.
o Provider collaboration – There are examples of both vertical and horizontal models.
o STP governance – Many STPs are underpinned by shared governance arrangements to support joint decision-making and accountability, but in many areas these are not yet well developed.
National Living Wage – The new ‘National Living Wage’ (NLW) was announced by the Chancellor of the Exchequer at the 2015 Summer Budget. It meant a substantial increase in the National Minimum Wage (NMW) for workers aged 25 and over. The Government intends for the NLW to reach 60% of median earnings by 2020. It has asked the Low Pay Commission (LPC), which currently recommends the level of the NMW, to set out how this may be achieved. The Office for Budget Responsibility (OBR) estimates this would mean the NLW will be around £9 per hour in 2020, based on its forecasts for average earnings.
Gender Pay Gap Reporting - From 6 April 2017 employers with more than 250 staff will be required by law to publish the following four types of figures annually on their own website and on a government website:
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Appendix B National Policy Themes
6
o Gender pay gap (mean and median averages) o Gender bonus gap (mean and median averages) o Proportion of men and women receiving bonuses o Proportion of men and women in each quartile of the organisation’s pay
structure
Employers will have up to 12 months to publish this information and should also initiate an action plan that aims to reduce the gender pay gap in their workplace.
Employing Disabled People – This is a new national scheme launched by the Government which replaces the previous “two ticks” initiative. The objectives of the scheme are to: o challenge attitudes towards disability o increase understanding of disability o remove barriers to disabled people and those with long term health conditions
in employment o ensure that disabled people have the opportunities to fulfil their potential and
realise their aspirations
Corporate
Building Collaborative Changes - The report sets out an argument for investing in inclusive and collaborative systems which involve all the players in a local area (from citizen to third sector, health service, police and local authorities). The report also publishes a framework of nine building blocks which can be used by local areas to benchmark and improve their existing approach to collaborative working.
The action research which underpins this report has been distilled into two key insights that:
o The causes of social problems are complex and interrelated: Therefore,
addressing complex problems requires the contribution of many different actors, and no one service, organisation or person can address root causes on their own.
o Problems, and their potential solutions, often have a geographic, or local, dimension – be it the individual, the family, the community, the neighbourhood, the town or the city. Therefore, many parts of the solution, as well as the problem, exist at a local level – be it the individual, the family, the community, the neighbourhood, the town or the city.
Public Services (Social Value) Act 2012 - The Public Value (Social Value) Act 2012 places a duty on certain public authorities, including local authorities, at the ‘pre-procurement’ phase of procuring services to consider how what is being procured might improve the economic, social and environmental well-being of their areas; and how they might secure that improvement in the procurement process itself as long as such action is relevant to what is being procured, and is considered to be proportionate.
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