Guidance

Important considerations before starting the investigation process

Published 28 March 2017

1. Overview

Before starting the investigation process, open discussions are required between the library service, councillors, council commissioners and community stakeholders. It is recommended that these discussions focus on the issues listed below, plus any other issues that are specific to the local context. Without agreement on these issues, the investigation process may be delayed or undermined.

2. Assessing the appetite for change

You need to assess at an early stage whether stakeholder groups are willing to support the proposal to investigate a range of alternative delivery models (ADMs), through open and honest discussions with councillors, council commissioners, library service management and staff, Friends Groups, community groups and library users.

You will need to stress that starting the investigation process does not necessarily mean that a new delivery model for library services will be established. Should a strong case for change emerge, the case for doing nothing will weaken.

As part of this you may need to undertake a stakeholder engagement exercise. This exercise could articulate the case for change and the risks associated with ‘doing nothing’, particularly in relation to the library service’s ability to successfully and sustainably implement the current library strategy.

It’s essential that councillors get the opportunity to fully understand what the change might mean for the library service and for the council as a whole. Each council will be different in terms of how it wants councillors to be involved.

In Devon, we took papers to the council’s cabinet at 3 points in the overall process to ensure decisions to proceed to the next stage were given. Progress on establishing the mutual was also a standing item on one of the council’s Scrutiny committees. A briefing session a few months prior to transfer allowed councillors to ask questions and helped them to gain an understanding of the process.

The overall lesson is to build sufficient time into the process to be able to follow due political process. The active involvement and support of the portfolio holder is critical to building member confidence in the change.

Libraries Unlimited

3. Understanding that change costs

During discussions with the council, it is important that everyone realises that, as with any type of transformational change, the investigation and (possible) establishment of an ADM will require investment.

The library service needs to allocate dedicated resources to lead the process. Each stage along the investigation and establishment journey requires significant support from the council’s transformation team and relevant support services (such as finance, HR, legal and premises).

If you decide to establish a new delivery model, a transition fund will probably be required to cover the costs of external support (for example business planning, financial modelling, legal, financial and marketing) and the new model’s set up costs. These costs could potentially be recouped by the council through future savings realised once the service has been established.

Nottinghamshire County Council had a track record of investing corporate legal and change resources to deliver for longer term savings and sustainability. A small amount of support was also provided by the then Cabinet Office Mutualisation Support Programme

Inspire Culture, Learning and Libraries

4. Understanding the democratic decision making process

Important decisions, such as authorising an options appraisal and the establishment of the preferred option (following the business planning stage), will probably require cabinet approval, while other decision making groups may also need to be consulted. The decision making process can take time, with decisions potentially required at each stage of the investigation/establishment process.

Our approach related to the internal and political influences within the council and the time in the political cycle. Therefore no fixed approach will be right for each situation. We started with senior councillors of the administration and presented examples of how other councils (Suffolk and York) had approached the process.

Inspire Culture, Learning and Libraries

It is important to understand the processes and timings involved in establishing a mandate for change, including who will need to authorise the investigation stage of the process.

It was difficult for others to understand what we were proposing and what the implications of it were. Officers are very busy and this will just be one more thing for them. The council needs to demonstrate it is a priority and give appropriate resources to help.

There is a lot of complex information to give to people before they can know enough to fully understand - community groups especially. The ability to present enough clear information is crucial to success.

York Explore

5. Expanding the scope of the investigation to include other services

Potential may exist for other services (for example those with some alignment to library services such as archive services, adult education and/or museums) to be included in the scope of the library service ADM. This may be particularly relevant where the council is undertaking a council-wide transformation programme which involves re-design of other services.

The case for including such services in the investigation process may be strengthened if these services share common priorities/objectives, customer groups and resources with the library service.

For further information, please refer to the portfolio analysis stage.

6. One or more alternative delivery models?

Informed by the needs of the local population, the outcome of public consultations and an understanding of how each individual library operates, the library service and council may decide that separating the in-house service into two or more ADMs would best equip the service to deliver the library strategy.

Some councils have decided to establish a 2 tier structure - core library services, and a network of community run libraries who receive support from the council or the core libraries.

7. Potential for a joint approach involving 2 or more councils?

Two or more councils and their respective library services could choose to work together, especially if they are facing similar challenges. This could involve 2 library services being transferred into a single delivery model, or establishing a regional partnership arrangement to oversee the co-ordination of certain library service functions - for example Libraries West - with one council acting as the lead authority.

It is therefore important for the library service and council to decide whether to engage with other councils.

8. On top of the day job - lessons identified

The investigation and establishment process is complex and challenging. The 4 Chief Executive Officers (CEOs) from the established library delivery models stress the importance of understanding the scope and scale of the investigation and establishment task.

Before starting the investigation process, the CEOs recommend that you consider the following lessons learned:

• a clear vision and strategy are essential, this will keep you going through the difficult times and remind you why you are doing this
• senior managers need to want to do this - it is not easy and will require a lot of determination
• staff must be informed, onboard and involved throughout
• don’t underestimate the emotional impact of this work
• it is important to seek allies who can help you steer it through
• be decisive and clear – keep the process moving
• be prepared to drive through obstacles
• good problem solving skills are essential

The next section covers the first stage of the process - defining your library service’s function