Company Number 05564649 A Company Limited by Guarantee Registered in England ST LEGER HOMES OF DONCASTER LIMITED BOARD MEETING

The meeting at 10:00am on Wednesday 28 September 2016, Followed by lunch at 1:00pm The Boardroom, St Leger Court, White Rose Way, DONCASTER, DN4 5ND

AGENDA 1 Apologies and Quorum Verbal

2 Declarations of Interest by Board Members Verbal

3 Minutes of the meeting held on 27 July 2016 and matters arising Enclosed

4 Chair’s Update A Tolhurst Verbal

5 Chief Executives Update S Jordan Verbal

Policy and Strategy Items

6 Housing & Allocation Policy A Jarratt Presentation

7 Introduction of 2017 Tenancy Agreement D Abbott Enclosed a) Customers’ Own Improvements Policy C Litherland

8 30 Year Investment Forecast C Litherland Enclosed/ Presentation

9 Draft Modern Slavery Statement J Crook Enclosed

10 Probationary Policy (Staff Appointments) L Keeling Enclosed

11 Sheffield City Region – Social and Affordable Housing Compact S Jordan Enclosed

Financial and Performance

12 Financial Regulations and Contract Standing Orders J Crook Enclosed

13 Performance S Thorlby-Coy Enclosed J Crook M Werritt

14 Q1 Complaints Reporting J Davies Enclosed

Items for Information

15 Gas & Solid Fuel Policies M Werritt Enclosed

16 Social Housing Equality Framework Update J Davies Enclosed

17 Quality Committee Minutes R Haldenby Enclosed

18 Audit Committee Minutes L Christon Enclosed

Information – Policies Under Review

Date of next meeting • 30 November 2016 at 2:00pm

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STRATEGIC PRIORITIES

• Enhancing our housing offer

− Greater access to housing

− Creating multi tenure options

• Improving community engagement.

− Making a real contribution to social and economic regeneration.

− Exploring the use of sustainable methods of energy efficiency.

− Defining and developing relevant partnerships and being clear about our role within them.

− Improving our systems and processes to ensure we collect and use appropriate data intelligently to improve services and better support tenants and customers.

STRATEGIC OBJECTIVES

1. Ensuring we are a customer focused organisation by putting our tenants and customers at the heart of what we do

2. Ensuring we deliver Value for Money by making best use of our resources

3. Addressing the impact of welfare benefit reforms on our tenants

4. Supporting communities and individuals by tackling crime and Anti-social behaviour, and providing support to sustain tenancies

5. Improving our performance to build on our excellent service delivery

6. Maintaining and improving homes and properties by investing wisely and managing effectively

7. Improving our communications both internally and externally with others

8. Developing opportunities for new business growth and diversification

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Company Number 05564649 A Company Limited by Guarantee Registered in England

St. Leger Homes of Doncaster Limited BOARD MEETING

27 July 2016

Present: Alan Tolhurst, Rodger Haldenby, Linda Christon, Maureen Tennison, Michelle Greenwood, Allan Jones, Joe Blackham, Susan Jordan.

Also In Attendance: Judith Jones (Director of Housing Services), Julie Crook (Director of Corporate Services), Linda Keeling (Head of HR and Health & Safety), Laura Evans (Executive Support Officer), Jennie Daly (Universal Credit Implementation Manager), Mick Bailey (Business Transformation Service Manager), Karen Kellett (Interim Acquisitions Service Manager), Mark Haughey (ICT Service Manager), Maria Langham (Communications and Engagement Service Manager).

Members of the public: Steve Waddington.

Action 1 Apologies and Quorum

1.1 Apologies were received from Robert Mayo, Paul Wray and Mick Werritt.

1.2 Quorum was noted and the meeting commenced.

2 Declarations of Interest by Board Members

2.1 No declarations of interest were received from Board Members.

3. Minutes of the meeting held on 25 May 2016 and matters arising

3.1 From agenda item 7 – Young Persons Engagement A member referred to item 7 and queried the creation of a Youth Committee. It was explained that the Committee will be brought together to help SLHD bring in a young person’s view of life.

4. Chair’s Update

4.1 Cofac The Chair advised that he had been in discussions with John Langford and Liz Staniforth from Cofac, who have been leading on the Leadership Development Programme with managers across the organisation.

4.2 Social Audit

Page 1 of 13 The Chair attended the Social Audit evaluation day on 16 June 2016, the outcomes of which will be presented at item 7. Members were advised that next year’s accounts will aim to translate the social value into an economic measure also.

4.3 Board Training The Chair informed members that the Board Training scheduled for 9 August 2016 has been cancelled and will be picked up following Board recruitment later this year.

4.4 24 Housing Awards The Chair advised members that the Chief Executive has been nominated for the ‘Chief Executive of the Year’ award with 24 Housing Awards; results will be announced on 6 October 2016.

5. Chief Executive’s Update

5.1 Business in the Community Awards (BITC) The Chief Executive announced that SLHD had been successful in gaining the ‘Championing an Ageing Workforce’ national award with BITC and as a result, SLHD were included within articles in both the Financial Times and the Yorkshire Post.

5.2 Awards SLHD were also successful in gaining the following awards: • Housing Heroes Inspirational Tenant of the Year – Marie Caygill • The PA Hub - Yorkshire’s Best Team of PA’s – Executive Support Team

SLHD have also been nominated for the following awards: • 24 Housing’s Welfare Wise Award for Universal Credit • 24 Housing’s Tenant Champion Award – Chaz Prouten

5.3 Doncaster Council Cabinet Members were advised that the 15/16 outturn performance was presented to the Cabinet recently and was well received.

5.4 Union Learning Agreement A ‘Learning Agreement’ has been signed by SLHD and the Trade Unions with the aim of taking forward training in conjunction with union colleagues.

5.5 Government Updates The Chief Executive advised that the Government have appointed two new Ministers; the Communities Minister is Sajid Javid and the new Housing Minister is Gavin Barwell.

5.6 Quality Social Housing (QSH) – Martindale Scheme Members were advised that work on the Martindale Scheme in Edlington has stalled. Wates and SLHD are working together to try to find a proactive way to keep the process moving.

Page 2 of 13 5.7 Executive Management Team Recruitment A member queried the process for the recent recruitment to the role of Director of Housing Services. The Chair confirmed that a rigorous process was followed and that a representative from Doncaster Council was present on the interview panel, alongside the Chair, Chief Executive, two Independent Board Members and the Managing Director of the National Federation of ALMO’s.

6. Housing & Planning Act Update

6.1 Jennie Daly, Universal Credit (UC) Implementation Manager informed members that the Pay to Stay Regulations were expected in July, however these have not yet been published.

6.2 Pay to Stay The Pay to Stay Policy will come into force from April 2017 with the income threshold now at £31,000; this will be updated each year in line with Consumer Price Index (CPI) and is based on taxable income. There is a taper, which is set at 15%, meaning that tenants will pay £150 for every £1,000 over the threshold, which equates to £2.88 per week in rent.

6.3 It has been clarified that only the income of tenants, joint tenants and their spouses, partners or civil partners will be taken into account. It has also been clarified that key benefits including tax credits, Disability Living Allowance and Child Benefit will not count as income for the purposes of this policy. Members were advised that at present, pensioners are included within the policy.

6.4 Members were advised that there are around 7,000 tenants who do not claim Housing Benefit and UC who may be affected by this policy, meaning that all of these tenants may be required to provide detailed income information in order to be initially assessed.

6.5 A member referred to item 4.1 and queried the additional resources. The UC Implementation Manager confirmed that it has been estimated that around 200 weeks’ worth of work will be required to administer this process and as such a detailed plan will need to be put in place to manage this.

6.6 New Fixed Term Secure Tenancies Members were advised that it will be mandatory for Local Authorities to implement this part of the Act from April 2017; however this is discretionary for Housing Associations. The Act states that the new fixed-term secure tenancies can only be granted for a term of between 2 and 10 years and regulations will determine how to decide the length of the term. If a child aged under 9 is within the tenancy, the tenancy may be granted for an extended set term, ending on the day the youngest child reaches the age of 19. In terms of the right to succeed, the housing & planning act will now restrict this right to a secure tenancy only to spouses and civil partners and those who live together

Page 3 of 13 irrespective of when the tenancy was entered into.

6.7 Forced Sales of Higher Value vacant Local Authority Housing This aspect of the policy has been changed from ‘high’ value to ‘higher’ value in order to have a wider definition and ensures that it is relative to the stock in each area. The Government has committed to ensuring a one for one replacement home for each property sold outside of London. Members were advised that SLHD are awaiting the regulations for this in order to define which properties will be ‘higher value’, especially if heavily adapted properties are to be taken into account.

6.8 Members were advised that a working group has been created to ensure that the introduction of the Housing and Planning Act is being monitored.

6.9 A member queried whether the introduction of the new Tenancy Agreement could be affected by the delay in the regulations. The Director of Housing Services explained that this is a possibility, however cannot be confirmed at this time.

7. 2015/16 Social Accounts Outcome

7.1 Mick Bailey, Business Transformation Service Manager, attended the meeting and advised members that the recommendations from last year’s ‘Social Audit’ were used as a foundation for the 2015/16 Audit. A number of ‘Social Audit Champions’ from across the business attended workshops and pulled together a list of 60 focus areas for the audit; this list was narrowed down to 20.

7.2 The Audit focussed on the following four ‘Social Objectives’:

7.3 Social Objective 1 – Involving Our Tenants • During the year, SLHD have had over 16,000 interactions/engagements with tenants and feedback shows that tenants do feel that they are involved and listened to.

7.4 Social Objective 2 – Engaging People in Our Communities • In 2015/16, 65% of our WOW participants went on to full time employment, compared to 47% in 2014/15. • SLHD have donated 1.6 tonnes of food to local food banks, which roughly equates to 3,000 meals • To date we have supported 1,200 children and young people who have been fed when attending diversionary activities

7.5 Social Objective 3 – To involve local organisations and business in providing quality services • 22 Apprentices have been trained; other qualifications achieved range from NVQ’s and degrees in Quantity Surveying and Construction Management • £24.2million of SLHD’s contracted/tendered spend has

Page 4 of 13 been with Doncaster based companies • The Executive Management Team is involved within 26 strategic forums within the borough

7.6 Strategic Objective 4 – To Involve and Invest in our Staff Team • Complaints are being used as learning tools for staff which has seen a 58% reduction in complaints over the last 10 years • £178k has been spent on training and development for staff, excluding WOW trainees/apprentices • 1,084 training courses have been delivered for staff over the year

7.7 Following the Social Audit panel, where the accounts are reviewed, the following 13 recommendations have been given: • Encourage and support our Social Accounting Champions • Explore ways for sharing our accounts (i.e. blogs, short videos, short report) • Expand our ‘journey travelled’ surveys • Develop our reporting and monitoring systems consistently across projects • Streamline and automate all monitoring where possible • Develop Customer Insight programme • Continue to support TRIP encouraging progression and development • Implement our Young Persons Engagement Strategy • Build on the success of our WOW Academy • Map existing and potential partnerships • Develop and implement a partnership strategy • Launch the new Business Excellence Service • Align Social Audit with the Annual Review

7.8 Members were advised that a condensed version of the Social Accounts will be created and shared with the Social Audit Champions on 16th August. Following this meeting, work will commence on the next Audit, which will be in line with our Annual Review.

7.9 The Chief Executive thanked Mick Bailey and Louise Robson, Customer Focus Service Manager, for leading on the Audit and also thanked all staff involved.

8. Communications Strategy

8.1 The Director of Housing Services presented the newly written Communications Strategy and advised members that the figure of 90% on page 16 is in relation to 19-24 years olds.

8.2 A member referred to page 11 and queried what is meant by JJ ‘WOM’. It was agreed that this be clarified.

8.3 A member referred to page 8 and suggested that Sheffield City

Page 5 of 13 Region is included within the ‘key audiences’. Similarly, another member commented that there was no reference to health and safety. It was confirmed that reference is made on page 7.

8.4 A member queried what risks are associated with having a Communications Strategy. The Director of Housing Services explained that the strategy is needed in order to give context to the Communications service.

8.5 The Board approved the Communications Strategy and the objectives and deliverables within it.

9. People Strategy

9.1 Vikkii Chamberlain, People Development Service Manager, attended the meeting and explained to members that 2016/17 is a year of transition with the Business Excellence Service, which means that a revised People Strategy will be created and presented to the Board in late 2017 and will be aligned with the Business Plan.

9.2 A member queried what is meant by ‘Business Excellence’. The Director of Housing Services explained that the service was created to bring people and processes together in delivering an excellent service.

9.3 A member queried why the revised People Strategy will be brought forward from 2018 to 2017. It was explained that this is so the Strategy can be in line with the Business Plan.

9.4 A member referred to item 13 in the report and queried whether the Board could be involved with the staff volunteering programme. The People Development Service Manager confirmed that this will be taken on board.

9.5 The Board noted the progress in delivering the People Strategy and noted the future action plan.

10. Private Sector Empty Properties

10.1 The Head of HR & Health and Safety advised members that the report proposes a number of additional initiatives which may be explored to help reduce the number of long term private sector empty properties.

10.2 Members were referred to Appendix A and were advised that option 1, Empty Property Grants, is currently being reviewed. At present, the scheme offers a grant of up to £12,000 for improvement works to properties, however most properties are deemed to require around £16,000 on average. Members were advised that there are 3 options to consider: • increasing the grant amount to £16,000 for all applications • grant amount is set as a % of the potential property value

Page 6 of 13 on a case by case basis • No grant amount limit on a case by case basis, however this would be solely limited to long-term empty properties (2 years or more)

10.3 A member queried why properties over 2 years would receive no limit. It was explained that properties that have been empty for this length of time are generally in a worse state of repair.

10.4 The Chief Executive explained that there would be a need to demonstrate that the grant provides value for money and there are potential options to explore with regards to tying this service in with St Leger Lettings, for example.

10.5 A member queried whether there is an option for shared equity on the properties that receive landlord grants. The Interim Acquisitions Service Manager explained that this option was explored; however shared equity has very complex legalities.

10.6 Option 2 – Establish a Property Matching Service Members were advised that the initiative of creating a service whereby St Leger Homes would match empty property home owners with potential buyers would be relatively quick to establish.

10.7 Option 3 – Explore Empty Property classification v business rate classification Members agreed to explore the feasibility of this option.

10.8 Option 4 - Purchase & Repair Scheme Members were advised that this scheme is currently ongoing and SLHD are looking to purchase between 4 and 6 properties.

10.9 Option 5 – Removal of Debt Members agreed to explore the feasibility of this option.

10.10 Option 6 – St Leger Lettings Members were advised that SLHD are currently looking to promote ‘St Leger Lettings’.

10.11 Option 7 – Enforcement Options – DMBC Function Members agreed that this option could be pursued, however is less favourable.

10.12 Option 8 – Empty Property Loans It was explained that this option could be pursued as a fall-back position if there was a case where a grant was not approved. Members agreed to explore the feasibility of this.

10.13 Option 9 – Exemplar Empty Property Refurbishment Members agreed that this is a viable option for exploration.

10.14 Members attention was drawn to the 2 options detailed on page

Page 7 of 13 12 of the Appendix and were advised that these options were considered and dismissed by the Executive Management Team, as the loans require the properties to be occupied.

10.15 The Chair asked that the options are considered in more detail and asked for a report to come back to Board, which fully details the recommendations for the Board to approve.

11. Information, Communication and Technology (ICT) Strategy 2016-20

11.1 Mark Haughey, ICT Service Manager, advised members that the new ICT Strategy will cover 2016-2020 and now falls in line with the Business Plan.

11.2 Members were advised that the Strategy is split across five themes: governance, operational, strategic, tactical and skills. An extensive action plan has been created which at present only covers one year, and includes a number of long term priorities. The ICT Service Manager explained that the action plan will develop and evolve as and when new systems and processes come to light. The action plan will be driven forward by a team of Project Managers.

11.3 A member explained that there are a number of outstanding Internal Audit Actions which relate to ICT in some way and queried how these are prioritised. It was explained that actions are discussed and progressed through the IT Steering Group (ITSG) meetings and other Project Boards.

11.4 A member queried why there are no financial implications or costs detailed within the report. It was explained that some of the ICT projects will be undertaken within existing budgets.

11.5 A member referred to item 4.4 in the strategy and queried the constitution of the ITSG. It was confirmed that the Director of Corporate Services chairs the meeting, with representation from a Head of Service in each directorate; the group discusses and considers ideas and priorities and makes recommendations to the Executive Management Team.

11.6 A member queried whether SLHD have fully explored all of the available functions within DMBC’s new financial system, ERP. The Director of Corporate Services responded that SLHD follow best practice from DMBC and will implement systems based on this.

11.7 A member suggested that, given the contingency within next LE/JCr year’s internal audit plan, a piece of work is undertaken towards the end of the year to review how effective the governance structure has been in terms of the strategy. Members agreed to this suggestion.

Page 8 of 13 11.8 A member questioned the procedure for when ICT systems fail within the business. The ICT Service Manager confirmed that there are Business Continuity Plans in place for such events.

11.9 The Board approved the ICT Strategy and Action Plan and LE requested that a regular update report is presented to the Audit Committee.

12. Financial Reporting Action Plan

12.1 The Director of Corporate Services reminded members that following a review of financial reporting by Campbell Tickell in January 2015, the action plan has been reported to the Audit Committee, which is now recommended for completion.

12.2 The Chair of the Audit Committee advised that the Committee is confident that the action plan has been implemented, however has requested that some recommendations are reported back to ensure that they have been successfully embedded.

12.3 The Chair expressed thanks to the Director of Corporate Services and to the Finance Team for their work on this action plan.

12.4 The Board approved the sign off of the completed Financial Reporting Action Plan.

13. Annual Financial Statements 2015/16

13.1 The Director of Corporate Services advised that the Annual Financial Statements have been reviewed by our External Auditors, Beever and Struthers, who confirm that they are a true and accurate reflection.

13.2 The Board approved the financial statements and the Letter of Representation for the year ended 31 March 2016.

14. Q1 Revenue Monitoring

14.1 The Director of Corporate Services advised that we are projecting an outturn surplus of £124k, which includes £54k surplus in the Housing Options service which would be repaid to the General Fund.

14.2 Members attention was drawn to item 4.6 in the report, where it states that an overspend of £67k on materials is expected which is solely due to additional capital income work in fitting fans to the high rise flats; this will generate additional income of £110k. The Chief Executive advised members that at the end of Q1, the Interim Head of Finance met with Senior Managers in Property Services to explore the materials costs and presented a report to the Executive Management Team, which is now a monthly occurrence.

Page 9 of 13 14.3 A member referred to item 3.11 in the report and commended the efforts involved in reducing the lettable voids figures.

14.4 A member referred to item 4.2 in the report and queried the 3% vacancy factor. It was explained that generally, only 97% of posts will be filled within the company and at present, staffing projections show we are in a higher vacancy position, meaning that savings will be higher than 3%.

14.5 A member referred to item 4.4 in the report and queried the volume of vacancies in the first quarter. The Director of Corporate Services advised that a number of new posts were created with effect from 1 April 2016 and some vacancies are also due to succession within the company.

14.6 The Board acknowledged the Revenue Monitoring Report and the projected outturn for the financial year 2016/17.

15. Q1 Capital Monitoring

15.1 Members were advised that current projections show that the 2016/17 housing capital programme would outturn at £39.9m, against resources of £39m.

15.2 The Board acknowledged the Capital Monitoring Report and the projected outturn for the financial year 2016/17.

16. Q1 Annual Development Plan

16.1 The Director of Housing Services presented the Q1 Annual Development Plan.

16.2 A member commented that it was pleasing to see the work being undertaken around mapping existing and potential partnerships, as part of the Value for Money strategic priority.

17. Q1 Risk Register

17.1 The Board noted the Q1 Risk Register.

18. Q1 Performance

18.1 HS1 - % of current rent arrears against annual debit Performance is currently at 2.49%, which represented the lowest total arrears balance since August 2013. This is a significant achievement given the current financial climate and changes to welfare benefits.

18.2 HS2 – Void rent loss % (£) of rent loss through vacant dwellings Members were advised that the new Empty Properties Service Manager is now in place and will be focussing specifically on voids. Performance against this indicator continues to improve.

Page 10 of 13 18.3 HS3 – Number of households in temporary accommodation At the end of June there were 10 households living in temporary self-contained flats or houses. SLHD are currently working with the National Landlords Association to look at the supply of suitable homes for households who present through Housing Options.

18.4 HS4 – Number and & of households maintain or established independent living SLHD were supporting 40 households at the end of June, which is the contracted service level.

18.5 HS5 – Analysis of complaints – service failure against service dissatisfaction 71 complaints were received in May, 18 of which were as a result of service failure.

18.6 PS1 – Right First Time Right First Time remains on target for June at 98.21%. Out of 3,831 jobs complete, 70 were not completed right first time. Members were advised that continuous analysis is undertaken to identify any patterns in an effort to improve delivery and value for money.

18.7 PS2 – Scheduled Repairs - % of promises kept Of the 793 orders raised during June, 6 were not complete within the month, which gives an outturn of 99.24%.

18.8 PS3 – Gas Servicing - % of properties attended This KPI is on target at 100%.

18.9 CI1 – Average days lost through sickness per FTE Sickness absence is not on track for June due to an increase in both short term and long term sickness absence. Q1 performance projections indicate we are just outside of annual target of 7.9 days.

18.10 CI2 - % of invoices paid within 30 days Performance has been above 97% all of this year against a target of 85%.

19. British Safety Council Audit Improvement Plan

19.1 The Head of HR and Health and Safety advised members that the majority of the actions are monitored through the Service Plans and that 50% of the improvement plan is already complete.

20. 30 Year investment Forecast

20.1 The Director of Corporate Services presented the 30 Year Investment Forecast, for information, and advised members that further work is still required to refine and fine tune the forecast further and an updated version will be presented in September.

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21. Customer Involvement Annual Round Up

21.1 The Director of Housing Services informed members that this document will be provided to tenant representatives to showcase and will also be available to review on the SLHD website.

22. Framework for Fairness Annual Report 2015/16

22.1 The Board noted the annual Framework for Fairness report.

23. Universal Credit Case Studies

23.1 The Chair advised members that he had attended the Quality Committee meeting, where a video was shown which detailed how the digital service for UC will work. It was agreed that this LE video be circulated to members.

23.2 The Board thanked the Head of Customer Focus and UC Implementation Manager for the detailed case studies.

24. Audit Committee Minutes

24.1 The Chair of the Audit Committee advised that the focus of the meeting was to review the Annual Financial Statements, as well as the following items: • DMBC Internal Audit Programme / Outstanding Actions • Procure to Pay and Creditors Internal Audit Report • Payroll Internal Audit Report • Housing Rents Internal Audit Report • Mutual Exchanges Internal Audit Report • Financial Action Plan • Aged Debtors Position • Supplied & Logistics Report • Q3-Q4 Procurement Report • Review of Fraud Register

25. Quality Committee Minutes

25.1 The Chair of the Quality Committee informed members that the Committee reviewed the following items: • Q1 Complaints Reporting • Universal Credit • Update on the Implementation of the ASB, Crime & Policing Act 2014 • TPAS Re-accreditation 2016 • Voids Update

Date and Time of Next Meeting

28 September 2016 at 10:00am.

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The meeting ended at 17:00.

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ST LEGER HOMES OF DONCASTER LTD Company limited by guarantee registered in England Company Number 05564649

Board Meeting

REPORT

Date : 28 September 2016

Item : 07

Subject : Introduction of 2017 Tenancy Agreement

Presented by : Dave Abbott, Head of Tenancy and Estate Management

Prepared by : Sharon Hoskins, Area Housing Manager & Dave Abbott, Head of Tenancy & Estate Management

Recommendation: To note the progress made towards the introduction of a new Tenancy Agreement in 2017 and approve the recommended changes to the tenancy conditions.

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Company Number 05564649 A Company Limited by Guarantee Registered in England

To the Chair and Members of the Agenda Item No. 07 ST LEGER HOMES OF DONCASTER BOARD Date: 28 September 2016

1. Report Title

1.1 Introduction of 2017 Tenancy Agreement

2. Executive Summary

2.1 The existing Tenancy Agreement was reviewed in 2010 and a number of changes are needed to bring it up to date. The introduction of a new Tenancy Agreement has to follow a legal process prescribed in the Housing Act 1985, which gives all tenants the right to be consulted on the recommended changes and every tenant is given 4 weeks` notice of the date when the agreement comes into effect. This report outlines the changes recommended for the final agreement. The table of changes and consultation timetable is contained in the appendices at the back of the report.

3. Purpose

3.1 The purpose of this review and the introduction of a new Tenancy Agreement are to add new clauses or amend existing clauses now relevant due to changes in legislation, housing practice and the way we operate as a business. The Tenancy Agreement identifies the landlord and tenant obligations and should therefore contain clauses that are easy to understand, reasonable and legally enforceable.

4. Recommendation

4.1 That Board consider and endorse the proposed changes identified in Appendix A, to be presented to the Council. That Board note the consultation timetable for the final draft in Appendix B.

5. Background

5.1 The existing Tenancy Agreement was introduced in 2010 and the purpose of this review is to identify and introduce changes required to bring it up to date.

5.2 The introduction of a Tenancy Agreement has to follow a 2 stage legal process. The first stage involves writing to all tenants with the proposed changes and requesting comments within a specified period of time, this is called the Preliminary Notice. The second stage involves writing to all tenants, giving a minimum of 4 weeks` notice of the introduction of the

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changes; this is called the Notice of Variation.

6. VFM Considerations

6.1 The Tenancy Agreement contributes to the efficiency of the housing service by making the landlord and tenant obligations clear. This reduces the risk of expensive legal proceedings being brought against the business when the obligations are unclear.

7. Financial Implications

7.1 There will be costs associated with the postage of the Preliminary Notice and Notice of Variation to tenants.

8. Legal Implications

8.1 The Tenancy Agreement is a legal document; therefore the conditions need to be reasonable and easy to understand to avoid legal challenges. Legal Services are assisting throughout the process to eliminate any errors.

9. Risks

9.1 The introduction of a new Tenancy Agreement has to follow a specific legal process, otherwise the agreement is invalid. The new Tenancy Agreement needs to ensure that the landlord and tenant obligations are clear, reasonable and easy to understand to avoid expensive legal proceedings being brought against the business. This includes ensuring that individual`s human rights or the Equality Act 2010 are not contravened. This risk is greatly reduced by Legal Services assisting throughout the process and the completion of the Equality Impact Assessment.

10. IT Implications

10.1 Amendments will be required to various IT systems and procedures, the cost will be minimal.

11. Consultation

11.1 Consultation is an essential element to the introduction of a new Tenancy Agreement. The proposed amendments and additions to the existing agreement identified in Appendix A are based on consultation with all departments within SLHD, DMBC Legal Services, DMBC Community Safety and tenants and residents residing in Doncaster. Legal services will be involved throughout the whole process and an Equality Impact Assessment will be completed and updated at throughout the process.

Once the final draft of the Tenancy Agreement has been agreed and approved by DMBC, the Preliminary Notice will go out to every tenant, identifying the changes and ask for comments within a set period of time. EMT will be asked to consider the comments to see if any changes are

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required to the proposed agreement. The final stage is the service of the Notice of Variation informing tenants of the date the new agreement comes into effect; this has to be a minimum of 4 weeks.

12. Diversity

12.1 An Equality Impact Assessment and consultation with DMBC Legal Services will ensure that any issues around diversity will be captured and addressed.

13. Communication Requirements

13.1 Good communication is essential and the process ensures that every tenant receives information on the proposed changes and implementation date. In addition to this, information has been added to the intranet, through social media and pop up consultation sessions have been held in various locations of Doncaster. All TARA`s have received Appendix A, the table of changes and their comments captured.

14. Equality Analysis (new/revised Policies)

14.1 An Equality Impact Assessment has been completed in June 2016 and kept up to date throughout the process.

15. Environmental Impact

15.1 No Environmental Impact identified.

16. Report Author, Position, Contact Details

16.1 Sharon Hoskins, Area Housing Manager, 01302 734138 or [email protected]

17. Background Papers

17.1 Appendix A – Table of Changes 17.2 Appendix B – Consultation Plan

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Appendix A

Amendments to Tenancy Agreement 2010 (includes Introductory & Secure and Introductory & Flexible)

The initial proposed changes are highlighted in yellow and additional changes after consultation are in red text.

Current Clause 2010 Proposed new clause or amendment 2017 Title Page – Quality Homes in Quality Title Page – Building confident Neighbourhoods. communities, in Partnership. Section One – On the signing page we Section One – On the signing page we tell you whether your tenancy is an tell you whether your tenancy is an introductory or a secure tenancy. If it is introductory or a secure tenancy. If it is an introductory tenancy, we will tell you an introductory tenancy, we will tell you the date when it will become a secure the date when it will become a secure tenancy once the `trial` period has tenancy once the introductory period has ended. ended. 1.2 Your introductory tenancy will last for 1.2 Your introductory tenancy will last for one year, which is called `the trial one year, which is called the introductory period`. At the end of the trial period, period. At the end of the introductory your tenancy will automatically become a period, your tenancy will automatically secure tenancy. If you break any of the become a secure tenancy. If you break conditions in your tenancy agreement any of the conditions in your tenancy whilst in the `trial period` we may apply to agreement whilst in the introductory the County Court for an order for the period we may apply to the County Court possession of your property. The County for an order for the possession of your Court will then set a date for when you property. The County Court will have to leave. (There are some special determine a date for when you have to circumstances set out in section 125(5) leave. (There are some special of the Housing Act 1996 in which your circumstances set out in section 125(5) introductory tenancy could come to an of the Housing Act 1996 in which your end before one year but you will still be a introductory tenancy could come to an tenant of the property.) end before one year but you will still be a tenant of the property.) 1.4 If you break the conditions of your 1.4 If you break any of the conditions of introductory tenancy we may serve you your introductory tenancy we may serve with a notice to extend your `trial period` you with a notice to extend your for an additional six months. introductory tenancy for an additional six months, or apply to the County Court for an order for the possession of your property. In the event that your introductory tenancy period is extended, your introductory tenancy will last for 18 months. 1.5 (b) In certain circumstances, we may 1.5 (b) You have no right to: let you:  take in a lodger  take in a lodger  improve your property

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Appendix B Consultation Plan – Tenancy Agreement 2017

Consultation Completed

Andy Rowe, Rob Chapple, Nicki Simpkins, Sharon Mannion & Dave Norman (Property Services - Repairs) Chris Litherland (Property Services – Assets, Permissions, RTB) Andrea Jarratt (Homechoice) Inger Marriott (Home Options) Janet Walters (Customer Complaints & Data Protection) Karl Chapman, Alison Rayner & Dave Wilkinson (Estate, Tenancy & Income Management) DMBC Legal Services & Community Safety

Consultation Plan Stage Estimated Actual Progress / Completion Completion Outcome Date Date Stage 1 – Early Consultation Focus Group with Estates 15 October 2015 Legal Services 9 March 2016 DMBC Community Safety 3 November 2015 Estates Team Leaders 4 November 2015 Area Housing Managers 16 November 2015 Report to EMT and Quality Committee 11 May 2016

Stage 2 – Detailed Consultation Estates Team Leaders 24 February Suggestions 2016 built in Equality Impact Assessment 27 May 2016 No additional actions required Focus Group with Estates 27 May 2016 Suggestions built in All other departments of SLHD 23 May 2016 Suggestions 6 June 2016 built in 4 July 2016 19 July 2016 Senior Management Team 2 June 2016 Suggestions built in Pop up consultation with Tenants & East 1 & 3 June Suggestions Residents 2016 built in North – 16/06/16 West – 17/06/16 South – 16/06/16 Central – 17/06/06 Consultation through Social Media June 2016 Limited response DMBC Strategic Housing July 16 July 16 Met with Mandy Presky & Andy Brown Legal Services Sept 16 TRIP Sept 16 Jane Nightingale, Housing Portfolio Holder Sept 16 Houseproud – this will be reporting on what December 16 came out of the consultation, a summary of the changes and key dates around when variation notices will be going out Stage 3 – EMT, Board & Quality Committee consultation prior to final approval by DMBC EMT, & Quality Committee 13 July 2016 Quality Committee 14 Sept 2016 Board 28 Sept 2016

Stage 4 – DMBC Cabinet Approval DMBC Executive Board 15 November On forward 16 plan DMBC Cabinet approval 29 November On forward 16 plan Stage 5 – Preliminary Notice Final review of Equality Impact Assessment December 16 Service of Preliminary Notice with document January 17 detailing proposed changes and feedback sheet Communications Team to produce article in January 17 newsletter with feedback sheet Place Electronic Form on website for January 17 feedback on proposed changes Report comments from Preliminary Notice January 17 back to EMT

Stage 6 – Notice of Variation Service of Notice of Variation on all tenants. February 17 (This must be served clear of 4 weeks prior to the new agreement commencing).

Stage 7 – Go live Ensure both Introductory and the new 1 April 2017 Secure Agreement are live from a specific date

Equality Analysis Commissioning / Decommissioning Services, Decision making, Projects, Policies, Services, Service, Strategies or Functions (CDDPPSSF)

Under Equality Act 2010 Protected characteristics are age, disability, gender, gender identity, race, religion or belief, sexuality, civil partnerships and marriage, pregnancy and maternity. Name of policy, service or function. If a policy, list any Tenancy Agreement 2010 associated policies:

Name of service and Directorate Housing Services

Lead manager Dave Abbott

Date of Equality Analysis (EA) 27/05/2016

Names of those involved in the EA (Should include at Sharon Hoskin, Derrian Beer, Linda Breame, Yam least three other people) Khadka

Aim/Scope (who the Policy /Service affects and intended outcomes if known) See guidance step 1

The current Tenancy Agreement was last reviewed in 2010 and this review is taking place to ensure that the current Tenancy Agreement is brought up to date to capture new issues and changes to law and legislation. This will impact on all SLHD tenants but also the Doncaster borough as a whole by ensuring SLHD contribute to building stronger communities in confidence. As a legal requirement all SLHD tenants are consulted on the changes and all changes have to be approved by DMBC as the landlord. As good practice, additional consultation has taken place with residents of Doncaster who are not SLHD tenants and various departments of DMBC and SLHD. Throughout this process the actual, potential or likely impact has been taken in to account for different groups and covers all aims of the general equality duty in relation to age, disability, sex(gender), race and ethnicity, sexual orientation, religion or belief, gender reassignment, marriage and civil partnerships and pregnancy and maternity.

What equality information is available? Include any engagement undertaken and identify any information gaps you are aware of. What monitoring arrangements have you made to monitor the impact of the policy or service on communities/groups according to their protected characteristics? See guidance step 2

SLHD keeps customer profile information on all tenants and household members, this captures the information on different groups. As part of the Tenancy Agreement review all tenants are notified of the changes in writing, by law, giving each tenant a minimum period of a month to provide feedback on all proposed changes and all feedback is captured and

Equality Analysis Form Template v1 (2013)

Equality Analysis Commissioning / Decommissioning Services, Decision making, Projects, Policies, Services, Service, Strategies or Functions (CDDPPSSF) actions recorded as a result of this. The customer profile questionnaire captures information on preferred methods of contact so alternative methods of communication are carried out if a tenant is unable to read or require information to be sent in other formats, such as by audio tape. The proposed changes to the Tenancy Agreement go through a lengthy consultation process in addition to the tenant`s consultation which includes all changes being reviewed by SLHD Quality Committee, TRIP and the SJC. Throughout the review process DMBC legal services verify all changes, ensuring that the changes are within the law, including the considerations in connection with equality practice and in line with SLHD Framework for Fairness Scheme and Fairness Statement. Tenants information is also kept up to date through the completion of Tenancy Verifications and during other follow up visits in connection with the tenancy.

Engagement undertaken with Below is a copy of the Consultation Plan listing the customers. (date and various forms of consultation that has and is taking group(s) consulted and key place during the review of the Tenancy Agreement findings) 2010. By law all SLHD tenants have to be given notice See guidance step 3 of any changes and a period of time to respond.

In addition to the consultation plan below all proposed changes have been captured on a Table of Changes template with a comments section. This has been uploaded on to the SLHD website and advertised on twitter and facebook, welcoming feedback from all.

Consultation Plan Stage Estimated Actual Completion Completion Date Date Stage 1 – Early Consultation Focus Group with End of June 15 October Estates 2015 Legal Services End of June 9 March 2016 DMBC Community 3 November Safety 2015 Estates Team Leaders End of June 4 November 2015 24 February 2016 Area Housing End of June 16 Managers November 2015 Report to EMT and 11 May 2016 Quality Committee

Stage 2 – Further Consultation Focus Group with End June 16 Tenants & Residents

Equality Analysis Form Template v1 (2013)

Equality Analysis Commissioning / Decommissioning Services, Decision making, Projects, Policies, Services, Service, Strategies or Functions (CDDPPSSF) Equality Impact 27 May 2016 Assessment Focus Group with 27 May 2016 Estates, Housing Managers & Team Leaders All other departments End June 16 Assets 23 of SLHD May 2016 Jane Nightingale, End June 16 Housing Portfolio Holder Senior Management 2 June 2016 Team Pop up consultation End of June Central 3 with Tenants & 16 June 2016 Residents East 1 & 3 June 2016 North – TBC West – TBC South - TBC Consultation through End of June Social Media 16 Stage 3 – EMT, Board & Quality Committee Approval Approval by EMT, & 13th July 16 Quality Committee Approval by Board 28th Sept 16

Stage 4 – DMBC Consultation & Approval Awaiting timetable Unknown from DMBC but this could impact on the deadlines in stage 5,6 & 7

Stage 5 – Preliminary Notice Service of Preliminary End October Notice with document 16 detailing proposed changes and feedback sheet Communications End October Team to produce 16 article in newsletter with feedback sheet

Equality Analysis Form Template v1 (2013)

Equality Analysis Commissioning / Decommissioning Services, Decision making, Projects, Policies, Services, Service, Strategies or Functions (CDDPPSSF) Place Electronic Form End October on website for 16 feedback on proposed changes Final review of End Equality Impact November Assessment 16 Report comments End from Preliminary November Notice back to EMT 16

Stage 6 – Notice of Variation Service of Notice of Mid Variation on all December tenants. 16 (This must be served clear of 4 weeks prior to the new agreement commencing).

Stage 7 – Go live Ensure both 1st February Introductory and the 2017 new Secure Agreement are live from a specific date Engagement undertaken with staff about the implications As above. on service users (date and group(s)consulted and key findings) See guidance step 3

The Analysis How do you think the Policy/Service meets the needs of different communities and groups?

The changes to the current Tenancy Agreement 2010 are sent out in writing to all tenants or by alternative methods of communication as captured in the customer profile questionnaire. In addition to this pop up consultation sessions have been held throughout the borough, enabling anyone to attend and provide comments and feedback on the changes or in connection with the review. Consultation has been carried out through TRIP and the SJC and all TARA`s have been written to regarding the changes. The table of changes is available on the SLHD website and advertised through Facebook and Twitter with a comments section being added or the option to discuss the changes

Equality Analysis Form Template v1 (2013)

Equality Analysis Commissioning / Decommissioning Services, Decision making, Projects, Policies, Services, Service, Strategies or Functions (CDDPPSSF) through a call back function. Due to the consultation process, as listed previously, this captures all groups that would be affected by the changes and gives them a clear process to provide feedback in various forms. The review is being conducted to capture any changes that may have arisen since 2010, including changes to law and legislation to benefit all.

Analysis of the actual or likely effect of the Policy or Service: See guidance step 4/5

Does your Policy/Service present any problems or barriers to communities or Group? Identify by protected characteristics Does the Service/Policy provide any improvements/remove barriers? Identify by protected characteristics

The review of the current Tenancy Agreement 2010 provides improvements as it captures any changes to law and legislation since 2010. Each change has been considered against the protected characteristics to ensure that the changes promote equality and promote Fairness, Excellence, Empowerment and Local. All SLHD tenants are fully consulted on the changes to identify any issues, provide improvements and remove barriers by capturing all comments and responding to them, capturing all actions to use for analysis. What affect will the Policy/Service have on community relations? Identify by protected characteristics

The review of the Tenancy Agreement 2010 is designed to make important and essential changes linked to the changes in law and legislation since 2010. In addition to that, capture any new clauses required as a result of a changing world and environment. All protected characteristics have been taken into account and the review can only improve community relations as all tenants will feel that they are part of the review due to the consultation required to make changes to a Tenancy Agreement.

Any Specific Human Rights Implications? See guidance step 6

No

Please list any actions and targets by Protected Characteristic that need to be taken as a consequence of this assessment and ensure that they are added into the Performance Management System Covalent under Equalities Actions.

Equality Analysis Form Template v1 (2013)

Equality Analysis Commissioning / Decommissioning Services, Decision making, Projects, Policies, Services, Service, Strategies or Functions (CDDPPSSF) Website Key Findings Summary: To meet legislative requirements a summary of the Equality Analysis needs to be completed and published.

Equality Analysis Form Template v1 (2013)

Equality Analysis Commissioning / Decommissioning Services, Decision making, Projects, Policies, Services, Service, Strategies or Functions (CDDPPSSF) Equality Analysis Action Plan (See guidance step 7)

Area Housing Manager: Sharon Hoskin…………..… Service Area: Estate & Tenancy Management… … Tel: 01302 734138………….

Title of Equality Analysis: Tenancy Agreement Review 2017

If the analysis is done at the right time, i.e. early before decisions are made, changes should be built in before the policy or change is signed off. This will remove the need for remedial actions. Where this is achieved, the only action required will be to monitor the impact of the policy/service/change on communities or groups according to their protected characteristic. List all the Actions and Equality Targets identified State Protected Action/Target Characteristics Target date (MM/YY) (A,D,RE,RoB,G GI ,O,SO, PM, CPM, C or All)* It has been ensured that equality and diversity has been addressed throughout All the review

Name of Head of Service / Service Date Manager who approved Plan *A = Age, C= Carers D= Disability, G = Gender, GI Gender Identity, O= Other groups, RE= Race/ Ethnicity, RoB= Religion or Belief, SO= Sexual Orientation, PM= Pregnancy/Maternity, CPM = Civil Partnership or Marriage

Equality Analysis Form Template v1 (2013)

Equality Analysis Commissioning / Decommissioning Services, Decision making, Projects, Policies, Services, Service, Strategies or Functions (CDDPPSSF)

Website Summary – Please complete for publishing on our website and append to any reports to, EMT or Board.

Completed Key findings Future actions equality analysis

Service: Housing Services ......

Function, policy or proposal name: ......

Tenancy Agreement Review 2010 ......

Function or policy status: Existing ...... (new, changing or existing)

Name of lead officer completing the equality analysis:

Sharon Hoskin ......

Date of assessment: 27 April 2016 ......

Equality Analysis Form Template v1 (2013)

ST LEGER HOMES OF DONCASTER LTD Company limited by guarantee registered in England Company Number 05564649

Board Meeting

REPORT

Date : 28 September 2016

Item : 07a

Subject : Customers’ Own Improvement Policy

Presented by : Chris Litherland Asset Management Service Manager

Prepared by : Chris Litherland Asset Management Service Manager

Purpose : The purpose of this report is for Board to consider the new policy and recommend any changes required prior to approval.

Recommendation:

To approve the policy.

1

Company Number 05564649 A Company Limited by Guarantee Registered in England

To the Chair and Members of the Agenda Item No. 07a ST LEGER HOMES OF DONCASTER BOARD Date: 28 September 2016

1. Report Title

1.1 Customers’ Own Improvement Policy

2. Executive Summary

2.1 The policy details how SLHD operates within the legislation that provides secure tenants with the right to make improvements and the right to compensation for making improvements.

2.2 There is an emphasis on customer focus and for SLHD to have a clear and fair approach to customers’ improvement requests and to not unreasonably refuse them.

2.3 In order to provide better value for money the policy adopts a risk based approach to customer improvement requests so that resources are concentrated on major improvements and more minor works are not held up with disproportionate checks.

2.4 Key features of the new policy are highlighted in section 5 of the report.

3. Purpose

3.1 The purpose of this report is for Board to consider the new policy and recommend any changes required prior to approval.

4. Recommendation

4.1 To approve the policy.

5. Report

5.1 Policy Approach

In order to deliver a service that is efficient, customer focused and value for money the approach taken will vary according to the type of request made. Broadly speaking, these will fall into one of the 4 categories below:

 A request that is, in fact, not an improvement, but the customer may require some advice, or, reassurance  A request for a minor, or, straightforward improvement, which can be responded to relatively simply and quickly, backed up with general advice  A request that is major, or, not straightforward, that needs 2

management intervention and/or a technical inspection before a decision is made  A request that will not be consented to, on one, or more, of the grounds in the legislation

5.2 Service Improvements

A number of service improvements are introduced within the new policy. These build on the work undertaken in the systems thinking review in 2011 to provide greater efficiencies and more customer focus.

 There is a clearer application form to help customers and to make it easier for them to apply for consent to make an improvement.  With better information at the front end, more applications can be granted without an inspection, resulting in less administration and more time freed up for asset surveying.  We are introducing clearer guidance to customers including the conditions that apply to consent.  We will set service standards to judge performance and monitor customer satisfaction

5.3 New tenancies

There is an emphasis of getting things right first time. Analysis of improvement requests over recent years has shown that 40% of applications are made within 3 months of a new tenancy commencing. Therefore, the policy has provisions to provide better quality information at sign up so that new customers are clear on what they can change within their new home and how to go about getting the permission to do so.

The aim of this is to help customers settle in to their new homes without having to wait unnecessarily for permission to be given to do relatively minor things, such as put up curtain tracks or lay floor coverings.

5.4 Open plan

The policy recommends a fresh approach to dealing with requests concerning open plan and communal areas. The aim of which is to make it clearer for customers to understand and to provide consistency in our response to applications relating to these areas.

6. VFM Considerations

6.1 Last year we received nearly a thousand more requests for improvements compared to the year before.

6.2 With increasing amount of applications for improvements being received it is clear that a different way of dealing with them is required. The approach of this policy is to place the onus of getting more detail at the front end from customers, in order to reduce administration time in chasing for information. In addition, as stated above, more detailed information from customers will allow more applications to be agreed without the need for an inspection. 3

7. Financial Implications

7.1 All changes proposed can be managed within existing budgets.

8. Legal Implications

8.1 Secure tenants have the right to make improvements, for these requests not to be unreasonably denied and the right to compensation at the end of the tenancy.

8.2 At present it is unclear how the introduction of flexible tenancies from April 2017 will impact on the policy legally. Practically, it is possible that customers with a fixed term tenancy will be less likely to want to make major improvements. The policy will require reviewing when the details of flexible tenancies are known.

9. Risks

9.1 The policy proposes a risk based approach to inspecting customers’ improvements. Sample pre and post inspections will take place in the following categories.

 Minor improvements 10% post inspection  Major improvements 100% pre inspection, 50% post inspection  Cancelled applications 10% inspection

Results of pre and post inspection will be reviewed quarterly and the sample increased if required.

10. IT Implications

10.1 None arising from this report.

11. Consultation

11.1 A project group was set up to formulate the policy. It consisted of staff from Business Improvement, Estates, Communications, Home Choice, Empty Homes and Assets.

Staff focus groups were held with the Inspector Team and Assets Admin Team.

Customers were consulted through a focus group.

Comments from all the above were incorporated into the draft policy.

12. Equality & Diversity

12.1 An equality and diversity assessment has been undertaken. The conclusion is that the policy will be beneficial to all groups and detrimental to none. 4

13. Communication Requirements

13.1 The project group has identified that customer information needs to be updated. An action plan is being developed to incorporate the changes, including sign up information, Houseproud and the web site. The plan is to produce, among other information, a series of fact sheets to guide customers who wish to make improvements.

In the focus group customers reported that they would appreciate SLHD providing a chargeable improvement service for tenants and leaseholders. This is an interesting idea and one that would potentially provide a good service to customers and bring income into the business. Further consultation is planned, together with feasibility work, to see what the service could look like and how popular it would be.

14. Environmental Impact

14.1 Over time we will be encouraging more customers to access the service on line either via the MySLHD app or through the web site. As more communication takes place through email and mobile phone there will be less paper used.

Fewer inspections will reduce travelling to multiple locations in the Borough, although some of the reduction will be taken up driving to stock condition survey sites.

15. Report Author

15.1 Chris Litherland Asset Management Service Manager Tel:01302 737002 E-mail: [email protected]

16. Background Papers

16.1 None

5

Appendix A

POLICY DOCUMENT Customers’ Own Improvements

POLICY TITLE: Customers’ Own Improvements LEAD OFFICER: Chris Litherland DATE APPROVED: APPROVED BY: IMPLEMENTATION DATE: DATE FOR NEXT September 2019 REVIEW: ADDITIONAL GUIDANCE: ASSOCIATED Customers’ Own Improvement Leaflet CUSTOMER PUBLICATIONS: TEAMS AFFECTED:  Asset Management  Estates Services  Empty Homes  Home Choice  Repairs & Maintenance THIS POLICY New Policy REPLACES WITH IMMEDIATE EFFECT:

DOCUMENT CONTROL

For guidance on completing this section please refer to the document version control guidance notes

Revision History

Date of this revision: Date of next review: Responsible Officer:

Version Version Author/Group Summary of Changes Number Date commenting 0.1 July 2016 Chris Litherland Initial Draft for Consultation 0.2 August Chris Litherland Feedback from Customer and Staff 2016 Focus Groups included 0.3 September Chris Litherland Feedback from EMT included 2016

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Policy Creation and Review Checklist

Action Responsible Officer Date Completed Best practice researched Chris Litherland June 2016 (Housemark, HQN, Audit Commission, general websites) Review current practices from Chris Litherland June 2016 similar organisations Review customer satisfaction data Chris Litherland June 2016 from the area the policy relates to Review Customer complaints from Chris Litherland June 2016 the area the policy relates to Undertake customer consultation Chris Litherland August 2016 if applicable Staff consultation if applicable Chris Litherland August 2016 Trade Union consultation if Not applicable applicable Stakeholder consultation if Not applicable applicable Equality analysis carried out – A Chris Litherland September 2016 copy must be forward to Gaile Peacock or Linda Aldridge to be saved centrally.

NB. The above table must be completed on all occasions. The policy will not be accepted or approved by EMT without this information completed.

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POLICY DOCUMENT Customers’ Own Improvements

1. Introduction

1.1 SLHD has ongoing investment programmes for planned maintenance and component replacement to ensure that the Council housing under its management is maintained to a decent standard and continues to be in high demand from its customers.

Nevertheless, it is understood that customers, also want to make improvements, so, that they may better enjoy their home environment and personalise their surroundings.

1.2 The primary responsibility for responding to customers’ requests for improvements lies with the Asset Management Team. In doing so the team’s objectives are to, as far as possible, encourage customers’ wanting to make improvements, while at the same time protecting the value of the assets under management, ensuring homes are safe and can be effectively maintained.

2. Purpose

2.1 The purpose of this policy is, firstly, to ensure that SLHD operates within the legislation that provides tenants with the right to make improvements and the right to compensation for making improvements, the details of which are covered in section 5 below.

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2.2 However, equally as important, is the need for customer focus and for SLHD to have a clear and fair policy to customers’ improvement requests and to not unreasonably refuse them.

2.3 Finally, the policy represents value for money, by adopting a risk based approach to customer improvement requests so that resources are concentrated on major improvements and more minor works are not held up with disproportionate checks.

3. Scope

3.1 The policy applies, in the main, to secure tenants, who have the right to make improvements under the relevant legislation. The same right does not extend to introductory tenants, although the approach taken by the policy should make it clearer to them what minor changes they can make to their homes, while they wait to become secure tenants.

3.2 The policy does not extend to leaseholder improvements, the procedures of which are covered in the Leaseholder’s Handbook

3.3 This policy covers customers’ requests to make improvements to their homes and does not extend to other requests, such as, permission to run a business from home, or to take in a lodger. These requests are managed by the Estates Team.

4. Responsibilities

4.1 The Asset Management Team is responsible for:

 Writing the policy and keeping it up to date and fit for purpose  Managing the requests for improvements in a timely manner and in line with Service Standards and performance indicators  Providing advice and guidance for customers on all matters in relation to the policy  Publicising the service and ensuring that there is good information for customers to easily access  Providing a range of ways that customers can access the services, such as by phone, post, email, internet and My SHLD app  Ensuring that the policy is adhered to and breaches are efficiently dealt with to protect the value of the asset and the safety of the residents  Liaising with the Estates Team, where action is required, for an unauthorised improvement, under the terms of the tenancy agreement  Managing the compensation process from application through to decision

4.2 The Estates Services Team is responsible for: Page Version Date Author 4 0.3 14th September CL 2016 File Path

 Providing advice and guidance, in respect of the policy, to customers signing up for their new home, liaising with the Asset Management Team as may be required  To include the Request for Improvement Form and advice in the sign up pack for new customers  To consider and take enforcement action under the tenancy agreement for unauthorised improvements  Where appropriate refer customers to the Asset Management Team to request retrospective permission for an improvement

4.3 The Empty Homes Team is responsible for:

 Assessing customers’ improvements at the end of the tenancy to ascertain whether they are retained or removed prior to re-let and if they are to be retained whether this is on a maintained or gifted basis  Recording details of customers’ improvements, including images, for the purposes of managing claims for compensation for improvements  Identifying customer improvements at mutual exchange inspections to ensure that incoming tenants are aware of their ongoing maintenance responsibility for them

4.4 The Home Choice Team is responsible for:

 Providing clear information for prospective customers of any restrictions on improvements that they may reasonably want to make, such as communal areas in flats and open plan gardens  Providing advice and guidance, in respect of the policy, to customers signing up for their new home, liaising with the Asset Management Team as may be required  To include the Request for Improvement Form and advice in the sign up pack for new customers 

4.5 The Repairs and Maintenance Team is responsible for:

 Providing advice and guidance to the Asset Management Team with regard to the current regulations for gas and electrical installations  Liaising with the Asset Management Team, where any customers’ improvement is noticed that may give cause for concern as having a negative impact on the asset or putting residents’ safety at risk

5. Policy Principles

5.1 Legislation

Part IV of the Housing Act 1985 (Secure Tenancies and Rights of Secure Tenants) contains a provision for tenants not to make improvements without

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consent. Such consent may not be unreasonably withheld. Landlords are able to reasonably withhold consent if an improvement will:

 Make the property less safe  Cause expenditure for the landlord  Reduce the value of the asset.

Under the Act, landlords are permitted to attach reasonable conditions to consent for improvements.

Part IV of the Act also refers to secure tenant’s rights to compensation for improvements under s122 of the Leasehold Reform and Urban Development Act 1993. Under this section secure tenants are eligible for compensation for certain qualifying improvements at the end of the tenancy. The amount of compensation is determined by a formula based on the cost, age and notional life of the improvement. The minimum amount payable is £50 and the maximum is £3,000.

Customers with Introductory Tenancies under the Housing Act 1996 do not have the same rights as secure tenants to make major improvements to their homes.

5.2 Policy Approach

In order to deliver a service that is efficient, customer focused and value for money the approach taken will vary according to the type of request made. Broadly speaking, these will fall into one of the 4 categories below:

 A request that is, in fact, not an improvement, but the customer may require some advice, or, reassurance  A request for a minor, or, straightforward improvement, which can be responded to relatively simply and quickly, backed up with general advice  A request that is major, or, not straightforward, that needs management intervention and/or a technical inspection before a decision is made  A request that will not be consented to, on one, or more, of the grounds in the legislation

Appendix A contains a list of examples of works in each of the 4 categories.

5.3 Non-Improvements

Requests in this category are for minor changes in the property that do not constitute an improvement, such as internal decoration, putting up of curtain tracks, laying floor coverings, water meters and installing a cooker.

However, in some circumstances, the customer may want advice or, reassurance and in others SLHD will want to specify conditions and provide general advice, to either discharge its own duty of care or to help facilitate Page Version Date Author 6 0.3 14th September CL 2016 File Path

these minor changes.

SLHD will provide general conditions, information and guidelines on the web site and on request, such as: ‘to allow for floor coverings not to be fixed in case access is required for maintenance purposes’, asbestos information and the importance of using suitably qualified contractors for gas and electric installations.

In addition, staff in the Asset Management Team will be on hand to offer pre – application advice to customers contacting them, by phone, email, post etc. For example, a customer may enquire how to go about hiring a competent contractor. These requests will not be treated as improvement requests, but, the number and type of enquiry will be monitored for management purposes and used for the ongoing review of this policy.

5.4 Minor Improvements

This part of the policy relates to minor and straightforward improvements that can be turned around quickly and easily, such as requests to put up or replace fencing, erecting a garden shed, create decking in the garden, or replace electrical socket outlets. Note, that where communal areas and open plan are featured in the request, it will be filtered through the next, more complex, category and not dealt with as a minor improvement.

SLHD will ask the customer to fill in an application form, a copy of which is attached as appendix B to this policy. The form, which can be completed by hand, on line, or via the My SLHD app, asks the customer to provide more details of what is proposed and to back this up with plans, sketches and images, wherever possible.

The process under this part of the policy will be, following receipt of the application form, to issue a general consent letter, with specific conditions and advice pertaining to the improvement that the customer wants to make. The customer will be requested to notify us when works are complete, within a defined (3 month) timescale. At the end of the 3 months, or, on receipt of the notification that the works are complete, a sample will be post inspected, concentrating effort where there is most potential risk. A sample of non- returns will also be inspected to check if works have been undertaken without permission.

5.5 Major Improvements

Examples of improvements in this category include, as stated above, anything in relation to open plan, communal areas and external areas in flat blocks, but also, other improvements, such as, structural, conservatories, external doors and windows, CCTV and satellite dishes.

SLHD will ask for customer to complete the same form, attached as appendix B, but these applications will involve either technical or management input before a decision can be made. Following the Page Version Date Author 7 0.3 14th September CL 2016 File Path

inspection, more specific advice and conditions of consent will be given to the customer, with the timescale for completion of the works agreed with the customer. Based on the complexity and the risk, a higher proportion of completed works will be post inspected, including non-returns as per 5.4.

5.6 Improvements that will not be consented to

SLHD wants to act in a fair and clear way with customers. To that end it may be helpful for customers to know about any types of improvements that will not be consent to, such as log burners and swimming pools.

In these and other one off examples that arise through the other categories of improvement, SLHD will be adopt a reasonable approach and only refuse consent for the reasons given in the legislation. See 5.1

SLHD will publicise the reasons it will not grant permission to certain types of improvement on the web site and in other publications.

5.7 Open Plan – Requests to enclose

SLHD recognises that customers often want to make improvements in open plan areas, to enclose gardens. As stated above SLHD will act in a reasonable manner in considering these requests, using the criteria in 5.1 and the following guiding principles in reaching decisions:

 Have neighbours been consulted and what are their views on the improvement?  Does the improvement take into account the need for access for neighbouring properties and SLHD, DMBC workers and other contractors?  Does the improvement take into account the need for an escape route for neighbours in case of a fire  Does the improvement create a landlocked area that cannot be maintained?  Would the improvement prevent access to, or break up, a potential development site?  Are there any Town and Country Planning regulations that apply and if so, will they be adhered to?

If the answers to the above questions are favourable then consent will be granted subject to conditions that will include, the need to use materials specified and to enter into a licence agreement wherever deemed necessary by the Asset Management Team.

5.8 Flats and Communal Areas

Examples of requests to be covered in this section include; aerials and satellite dishes, sheds, car parking in communal areas, or requiring vehicular access over open plan areas. In keeping with this policy, applications for improvements that impact on communal areas will be granted wherever Page Version Date Author 8 0.3 14th September CL 2016 File Path

possible, using the criteria in 5.1, but in reaching a decision consideration will also be given to:

 Have neighbours been consulted and what are their views on the improvement?  Does the improvement have any detrimental effect on neighbouring properties?  Are there any Town and Country Planning regulations that apply and if so, will they be adhered to?

If the answers to the above questions are favourable then consent will be granted subject to conditions that will include, the need to use materials specified. Again, there may be a need to enter into a licence agreement for permission to use or cross over communal land.

5.9 New Tenancies

It is recognised that when customers first move into a property is the time that they will want to make improvements so that they can settle into their new home. Whilst, SLHD may not be able to allow major changes, for introductory tenants, we want to be able to enable customers to make the changes they need to make to set up home successfully.

To that end, the Assets Team will work closely with the Home Choice and Estates teams to provide good quality advice at the sign up stage. Information will be provided in the sign up pack so that new customers will be able to see what works that they can do that does not require permission or may be a classed as a minor improvement. In addition, there will be specific property based information, such as the asbestos survey and advice on health and safety.

Furthermore, the improvement application form will be included, in the sign up pack, for more complex applications and if necessary an appointment for an inspection will be made there and then.

5.10 Prevention of Fraud

For the prevention of fraud, any application for an improvement will be cross checked for rent arrears outstanding and Housing Benefit being paid. Information on the application form may be shared with DMBC.

5.11 Responsibility for Repair

Where a customer makes an improvement they will be responsible for the ongoing insurance, repair and maintenance of the installation, unless for health and safety reasons SLHD takes that responsibility.

Where SLHD assumes responsibility for a customer’s improvement, for health and safety reasons, such as, the installation of a boiler, we will specify the make and model to be installed. This is to ensure that we have Page Version Date Author 9 0.3 14th September CL 2016 File Path

the parts available to react to a breakdown speedily.

Where a customer takes a property through a mutual exchange the responsibility for the previous tenant’s improvement passes to the incoming tenant.

5.12 Closing Applications

Applications will be closed if information is not provided by customers within the timescales requested. Customers making contact after this has happened will be asked to make a new application.

5.13 Improvements Carried out without Authorisation

If it comes to light that a customer has made an improvement without consent they should be reminded that they are in breach of the terms in the tenancy agreement. Each case will be treated individually using the following hierarchy of measures:

 The customer applies for retrospective permission, within 28 days, if it is likely that this will be consented to  If permission will not be granted the customer is required to remove the improvement within 28 days and return the property to its original condition  If the customer is unwilling to remove the alteration at their own expense, or does not do so within 28 days, SLHD will undertake the re-instatement work and make a recharge for the work and will seek to obtain an injunction to this, if necessary.

Customers repeatedly making improvements without consent will be reminded of their obligations under the tenancy agreement and of the likelihood of enforcement action if they continue to act in that manner.

Compensation for qualifying improvements will not be made unless there is written consent.

5.15 Compensation for Improvements

Secure tenants have a right to compensation for improvements under s122 of the Leasehold Reform and Urban Development Act 1993. Under this section secure tenants are eligible for compensation for certain qualifying improvements at the end of the tenancy, provided they had been granted permission for the improvement. Compensation has to be claimed, in writing, within 14 days of the end of the tenancy. The amount of compensation is determined by a formula based on the cost, age and notional life of the improvement.

Compensation is calculated using the formula C x (1-Y/N) Page Version Date Author 10 0.3 14th September CL 2016 File Path

C = the cost of the improvements N = the notional life of the improvement Y = the age of the improvement in whole years, rounded up

The minimum amount payable is £50 and the maximum is £3,000. A list of qualifying components and their notional life is given in appendix C.

5.16 Appeal

Customers can ask for any decision made to be reviewed by a team leader or manager.

Any customer that feels that they have been treated unfairly in respect of this policy can make a complaint using the Company’s Comments and Complaints Policy.

6. Consultation

6.1 A customer focus group was held on 2nd August 2016 and the views expressed have been used to revise the draft of the policy.

Focus groups were held with the staff teams dealing with improvement requests and a Project Group, including colleagues from other Departments, helped in the formulation of the Policy.

7. Monitoring and Review

7.1 The volume of applications and granted permissions will be monitored on a monthly basis and reported to the Head of Service.

7.2 The Assets Team will monitor the numbers and types of Customer’s improvement requests and use this data to review ongoing planned programmes and technical specifications. Furthermore, the information could be used to gauge demand for future new services, such as a handyperson scheme.

7.3 The Policy will be reviewed on a three-yearly basis or on the implementation /update of legislation relevant to the policy. The policy will be amended in 2016 when the regulations surrounding flexible tenancies are known.

8. Performance Standards

8.1 The following performance standards are to be introduced as part of this new policy and targets set to show continuous improvement, when the impact of the new way of working is known.

Page Version Date Author 11 0.3 14th September CL 2016 File Path

 No of working days between an application being made and an acknowledgement being sent. Suggested target x working days  No of working days between receipt of completed application and decision communicated to the customer, for minor improvements. Suggested target x working days  No of working days between receipt of completed application and decision communicated to the customer, for major improvements. Suggested target x working days  Percentage of customers either satisfied or very satisfied with how their application for an improvement was dealt with. Suggested target xx%

9. Partnership issues

9.1 None

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Appendix A ‐ Customers’ Own Improvement Policy – examples of work in each category

Non Minor Improvements e.g. Major Won’t be improvements Improvements e.g. allowed e.g. that don’t require permission e.g.

 Decoration  Fencing & Gates (not open plan)  All  Log  Floor  Sheds, greenhouses, animal run, applications burners covering summer house, , up to (WLH) 2m x that involve  Swimming  Water 2.5m x 2.4m open plan pools meter  Patio/decking/paving/steps/landscapin  All applications  Installing g that involve fixtures  Alarm external or and fittings  Outside/inside tap communal such as  Electrical sockets areas in flats curtain  Telephone/computer points  Garage, car rails,  Tiling port mirrors, etc  Ramp  Larger Sheds,  Drilling  Fish pond/water feature greenhouses,  Standard  External painting animal run, summer house, Cooker  Satellite dishes pigeon loft  Internal  TV/broadband cabling/installation  Hardstanding doors  Install/replace fires and dropped  Cat flap  Internal joinery kerb

 CCTV  Kitchen  Large Cooker/range  Bathroom (inc fittings)  Structural, inc loft conversion  Porch, canopy, lean‐to, conservatory  External Doors, windows  Solar panels  Boiler/heating system

Advice, fact Form, advice, fact sheets and conditions Form, inspection, Advice only sheets and advice, fact sheets conditions and conditions only

Appendix A ‐ Customers’ Own Improvement Policy – examples of work in each category

Appendix B – Customers’ Own Improvement Policy - Application Form

St. Leger Homes of Doncaster Ref: TENANT IMPROVEMENT APPLICATION FORM Office Use For Alterations & Improvements to a Council Property This form must be completed before you start any improvements to your home. You must not start any work until you have received written permission. Work carried out without permission is a breach of the terms of your tenancy. Name(s) on Tenancy Agreement Address

Postcode Date Home Telephone Mobile Email Are you a St. Leger Homes employee? Yes No Are you an introductory tenant? Yes No Are you a secure tenant? Yes No What Improvement do you want to make?

Please give details of proposed work (please read the guidance notes below)

When will the works be complete?

Which contractor do you want to use? Name of proposed Contractor FENSA Registration number (for windows and door installations)

Gas Safe registration number (for gas Electrical certification number (for electrical installations) installations) Tenant/s signature/s

Date

What’s the best time for us to visit? How is it best to contact you? Mon Tue Wed Thu Fri Home Phone am Mobile pm Email

Guidance Notes

Please use the space to give details of the improvement you want to make. If you need more space continue on blank pieces of paper. The more detail you can provide, the easier it will be to process your application. Sketches, plans and photographs are very helpful to us as well and will also speed up your application. Please include measurements, wherever possible, such as, the distances from boundaries plus the heights of fences and walls.

You should also include details of how you propose to carry out the work, for example, what materials you will use. Note all materials must be new.

Please attach copies of any drawings, Buildings Regulations and Planning Approvals etc. Note - If the building has a listed status or situated in a conservation area you may also need Listed Building Consent or Conservation Planning Approval.

If you are not sure whether or not the proposed alterations to your home require permission, you should complete the form anyway. If our permission is not needed we will let you know within 5 working days.

If you are not sure of anything, please contact us on 01302 862270 or 862269, you can also email us at [email protected]

You can post the form to us at:

St Leger Homes of Doncaster Ltd St Leger Court White Rose Way Doncaster DN4 5ND

You can also email your application to [email protected] or hand in to one of our local offices, or, save time by sending the details by the My SLHD app

On receipt of this form we will consider whether or not to grant permission within 10 working days of your application, unless we have to carry out a visit, in which case we will respond in 20 working days. When we grant permission, it will be subject to certain terms and conditions.

Appendix C – Customers’ Own Improvement Policy ‐ Compensation for Improvements

QUALIFYING IMPROVEMENTS AND NOTIONAL LIFE OF IMPROVEMENT

Qualifying Improvement Notional Life

1. Bath or shower. 12

2. Wash-hand basin. 12

3. Toilet. 12

4. Kitchen sink 10

5. Storage cupboards in bathroom or kitchen. 10

6. Work surfaces for food preparation. 10

7. Space or water heating. 12

8. Thermostatic radiator valves. 7

9. Insulation of pipes, water tank or cylinder. 10

10. Loft insulation. 20

11. Cavity wall insulation. 20

12. Draught proofing of external doors or windows. 8

13. Double glazing or other external window replacement or secondary glazing. 20

14. Rewiring or the provision of power and lighting or other electrical fittings (including smoke detectors). 15

15. Any object which improves the security of the dwelling-house, but excluding burglar alarms. 10

ST LEGER HOMES OF DONCASTER LTD Company limited by guarantee registered in England Company Number 05564649

Board Meeting

REPORT

Date : 28 September 2016

Item : 07a

Subject : Customers’ Own Improvement Policy

Presented by : Chris Litherland Asset Management Service Manager

Prepared by : Chris Litherland Asset Management Service Manager

Purpose : The purpose of this report is for Board to consider the new policy and recommend any changes required prior to approval.

Recommendation:

To approve the policy.

1

Company Number 05564649 A Company Limited by Guarantee Registered in England

To the Chair and Members of the Agenda Item No. 07a ST LEGER HOMES OF DONCASTER BOARD Date: 28 September 2016

1. Report Title

1.1 Customers’ Own Improvement Policy

2. Executive Summary

2.1 The policy details how SLHD operates within the legislation that provides secure tenants with the right to make improvements and the right to compensation for making improvements.

2.2 There is an emphasis on customer focus and for SLHD to have a clear and fair approach to customers’ improvement requests and to not unreasonably refuse them.

2.3 In order to provide better value for money the policy adopts a risk based approach to customer improvement requests so that resources are concentrated on major improvements and more minor works are not held up with disproportionate checks.

2.4 Key features of the new policy are highlighted in section 5 of the report.

3. Purpose

3.1 The purpose of this report is for Board to consider the new policy and recommend any changes required prior to approval.

4. Recommendation

4.1 To approve the policy.

5. Report

5.1 Policy Approach

In order to deliver a service that is efficient, customer focused and value for money the approach taken will vary according to the type of request made. Broadly speaking, these will fall into one of the 4 categories below:

• A request that is, in fact, not an improvement, but the customer may require some advice, or, reassurance • A request for a minor, or, straightforward improvement, which can be responded to relatively simply and quickly, backed up with general advice • A request that is major, or, not straightforward, that needs 2

management intervention and/or a technical inspection before a decision is made • A request that will not be consented to, on one, or more, of the grounds in the legislation

5.2 Service Improvements

A number of service improvements are introduced within the new policy. These build on the work undertaken in the systems thinking review in 2011 to provide greater efficiencies and more customer focus.

• There is a clearer application form to help customers and to make it easier for them to apply for consent to make an improvement. • With better information at the front end, more applications can be granted without an inspection, resulting in less administration and more time freed up for asset surveying. • We are introducing clearer guidance to customers including the conditions that apply to consent. • We will set service standards to judge performance and monitor customer satisfaction

5.3 New tenancies

There is an emphasis of getting things right first time. Analysis of improvement requests over recent years has shown that 40% of applications are made within 3 months of a new tenancy commencing. Therefore, the policy has provisions to provide better quality information at sign up so that new customers are clear on what they can change within their new home and how to go about getting the permission to do so.

The aim of this is to help customers settle in to their new homes without having to wait unnecessarily for permission to be given to do relatively minor things, such as put up curtain tracks or lay floor coverings.

5.4 Open plan

The policy recommends a fresh approach to dealing with requests concerning open plan and communal areas. The aim of which is to make it clearer for customers to understand and to provide consistency in our response to applications relating to these areas.

6. VFM Considerations

6.1 Last year we received nearly a thousand more requests for improvements compared to the year before.

6.2 With increasing amount of applications for improvements being received it is clear that a different way of dealing with them is required. The approach of this policy is to place the onus of getting more detail at the front end from customers, in order to reduce administration time in chasing for information. In addition, as stated above, more detailed information from customers will allow more applications to be agreed without the need for an inspection. 3

7. Financial Implications

7.1 All changes proposed can be managed within existing budgets.

8. Legal Implications

8.1 Secure tenants have the right to make improvements, for these requests not to be unreasonably denied and the right to compensation at the end of the tenancy.

8.2 At present it is unclear how the introduction of flexible tenancies from April 2017 will impact on the policy legally. Practically, it is possible that customers with a fixed term tenancy will be less likely to want to make major improvements. The policy will require reviewing when the details of flexible tenancies are known.

9. Risks

9.1 The policy proposes a risk based approach to inspecting customers’ improvements. Sample pre and post inspections will take place in the following categories.

• Minor improvements 10% post inspection • Major improvements 100% pre inspection, 50% post inspection • Cancelled applications 10% inspection

Results of pre and post inspection will be reviewed quarterly and the sample increased if required.

10. IT Implications

10.1 None arising from this report.

11. Consultation

11.1 A project group was set up to formulate the policy. It consisted of staff from Business Improvement, Estates, Communications, Home Choice, Empty Homes and Assets.

Staff focus groups were held with the Inspector Team and Assets Admin Team.

Customers were consulted through a focus group.

Comments from all the above were incorporated into the draft policy.

12. Equality & Diversity

12.1 An equality and diversity assessment has been undertaken. The conclusion is that the policy will be beneficial to all groups and detrimental to none. 4

13. Communication Requirements

13.1 The project group has identified that customer information needs to be updated. An action plan is being developed to incorporate the changes, including sign up information, Houseproud and the web site. The plan is to produce, among other information, a series of fact sheets to guide customers who wish to make improvements.

In the focus group customers reported that they would appreciate SLHD providing a chargeable improvement service for tenants and leaseholders. This is an interesting idea and one that would potentially provide a good service to customers and bring income into the business. Further consultation is planned, together with feasibility work, to see what the service could look like and how popular it would be.

14. Environmental Impact

14.1 Over time we will be encouraging more customers to access the service on line either via the MySLHD app or through the web site. As more communication takes place through email and mobile phone there will be less paper used.

Fewer inspections will reduce travelling to multiple locations in the Borough, although some of the reduction will be taken up driving to stock condition survey sites.

15. Report Author

15.1 Chris Litherland Asset Management Service Manager Tel:01302 737002 E-mail: [email protected]

16. Background Papers

16.1 None

5

Appendix A - Customers’ Own Improvement Policy – examples of work in each category

Non Minor Improvements e.g. Major Won’t be improvements Improvements e.g. allowed e.g. that don’t require permission e.g.

• Decoration • Fencing & Gates (not open plan) • All • Log • Floor • Sheds, greenhouses, animal run, applications burners covering summer house, , up to (WLH) 2m x that involve • Swimming • Water 2.5m x 2.4m open plan pools meter • Patio/decking/paving/steps/landscapin • All applications • Installing g that involve fixtures • Alarm external or and fittings • Outside/inside tap communal such as • Electrical sockets areas in flats curtain • Telephone/computer points • Garage, car rails, • Tiling port mirrors, etc • Ramp • Larger Sheds, • Drilling • Fish pond/water feature greenhouses, • Standard • External painting animal run, Cooker • Satellite dishes summer house, pigeon loft • Internal • TV/broadband cabling/installation • doors • Install/replace fires Hardstanding and dropped • Cat flap • Internal joinery kerb

• CCTV • Kitchen • Large Cooker/range • Bathroom (inc fittings) • Structural, inc loft conversion • Porch, canopy, lean-to, conservatory • External Doors, windows • Solar panels • Boiler/heating system

Advice, fact Form, advice, fact sheets and conditions Form, inspection, Advice only sheets and advice, fact sheets conditions and conditions only

Appendix A - Customers’ Own Improvement Policy – examples of work in each category

Appendix B – Customers’ Own Improvement Policy - Application Form

St. Leger Homes of Doncaster Ref: TENANT IMPROVEMENT APPLICATION FORM Office Use For Alterations & Improvements to a Council Property This form must be completed before you start any improvements to your home. You must not start any work until you have received written permission. Work carried out without permission is a breach of the terms of your tenancy. Name(s) on Tenancy Agreement Address

Postcode Date Home Telephone Mobile Email Are you a St. Leger Homes employee? Yes No Are you an introductory tenant? Yes No Are you a secure tenant? Yes No What Improvement do you want to make?

Please give details of proposed work (please read the guidance notes below)

When will the works be complete?

Which contractor do you want to use? Name of proposed Contractor FENSA Registration number (for windows and door installations)

Gas Safe registration number (for gas Electrical certification number (for electrical installations) installations) Tenant/s signature/s

Date

What’s the best time for us to visit? How is it best to contact you? Mon Tue Wed Thu Fri Home Phone am Mobile pm Email

Guidance Notes

Please use the space to give details of the improvement you want to make. If you need more space continue on blank pieces of paper. The more detail you can provide, the easier it will be to process your application. Sketches, plans and photographs are very helpful to us as well and will also speed up your application. Please include measurements, wherever possible, such as, the distances from boundaries plus the heights of fences and walls.

You should also include details of how you propose to carry out the work, for example, what materials you will use. Note all materials must be new.

Please attach copies of any drawings, Buildings Regulations and Planning Approvals etc. Note - If the building has a listed status or situated in a conservation area you may also need Listed Building Consent or Conservation Planning Approval.

If you are not sure whether or not the proposed alterations to your home require permission, you should complete the form anyway. If our permission is not needed we will let you know within 5 working days.

If you are not sure of anything, please contact us on 01302 862270 or 862269, you can also email us at [email protected]

You can post the form to us at:

St Leger Homes of Doncaster Ltd St Leger Court White Rose Way Doncaster DN4 5ND

You can also email your application to [email protected] or hand in to one of our local offices, or, save time by sending the details by the My SLHD app

On receipt of this form we will consider whether or not to grant permission within 10 working days of your application, unless we have to carry out a visit, in which case we will respond in 20 working days. When we grant permission, it will be subject to certain terms and conditions.

Appendix C – Customers’ Own Improvement Policy - Compensation for Improvements

QUALIFYING IMPROVEMENTS AND NOTIONAL LIFE OF IMPROVEMENT

Qualifying Improvement Notional Life

1. Bath or shower. 12

2. Wash-hand basin. 12

3. Toilet. 12

4. Kitchen sink 10

5. Storage cupboards in bathroom or kitchen. 10

6. Work surfaces for food preparation. 10

7. Space or water heating. 12

8. Thermostatic radiator valves. 7

9. Insulation of pipes, water tank or cylinder. 10

10. Loft insulation. 20

11. Cavity wall insulation. 20

12. Draught proofing of external doors or windows. 8

13. Double glazing or other external window replacement or secondary glazing. 20

14. Rewiring or the provision of power and lighting or other electrical fittings (including smoke detectors). 15

15. Any object which improves the security of the dwelling-house, but excluding burglar alarms. 10

Appendix A

POLICY DOCUMENT Customers’ Own Improvements

POLICY TITLE: Customers’ Own Improvements LEAD OFFICER: Chris Litherland DATE APPROVED: APPROVED BY: IMPLEMENTATION DATE: DATE FOR NEXT September 2019 REVIEW: ADDITIONAL GUIDANCE: ASSOCIATED Customers’ Own Improvement Leaflet CUSTOMER PUBLICATIONS: TEAMS AFFECTED: • Asset Management • Estates Services • Empty Homes • Home Choice • Repairs & Maintenance THIS POLICY New Policy REPLACES WITH IMMEDIATE EFFECT:

DOCUMENT CONTROL

For guidance on completing this section please refer to the document version control guidance notes

Revision History

Date of this revision: Date of next review: Responsible Officer:

Version Version Author/Group Summary of Changes Number Date commenting 0.1 July 2016 Chris Litherland Initial Draft for Consultation 0.2 August Chris Litherland Feedback from Customer and Staff 2016 Focus Groups included 0.3 September Chris Litherland Feedback from EMT included 2016

Page Version Date Author 1 0.3 14th September CL 2016 File Path

Policy Creation and Review Checklist

Action Responsible Officer Date Completed Best practice researched Chris Litherland June 2016 (Housemark, HQN, Audit Commission, general websites) Review current practices from Chris Litherland June 2016 similar organisations Review customer satisfaction data Chris Litherland June 2016 from the area the policy relates to Review Customer complaints from Chris Litherland June 2016 the area the policy relates to Undertake customer consultation Chris Litherland August 2016 if applicable Staff consultation if applicable Chris Litherland August 2016 Trade Union consultation if Not applicable applicable Stakeholder consultation if Not applicable applicable Equality analysis carried out – A Chris Litherland September 2016 copy must be forward to Gaile Peacock or Linda Aldridge to be saved centrally.

NB. The above table must be completed on all occasions. The policy will not be accepted or approved by EMT without this information completed.

Page Version Date Author 2 0.3 14th September CL 2016 File Path

POLICY DOCUMENT Customers’ Own Improvements

1. Introduction

1.1 SLHD has ongoing investment programmes for planned maintenance and component replacement to ensure that the Council housing under its management is maintained to a decent standard and continues to be in high demand from its customers.

Nevertheless, it is understood that customers, also want to make improvements, so, that they may better enjoy their home environment and personalise their surroundings.

1.2 The primary responsibility for responding to customers’ requests for improvements lies with the Asset Management Team. In doing so the team’s objectives are to, as far as possible, encourage customers’ wanting to make improvements, while at the same time protecting the value of the assets under management, ensuring homes are safe and can be effectively maintained.

2. Purpose

2.1 The purpose of this policy is, firstly, to ensure that SLHD operates within the legislation that provides tenants with the right to make improvements and the right to compensation for making improvements, the details of which are covered in section 5 below.

Page Version Date Author 3 0.3 14th September CL 2016 File Path

2.2 However, equally as important, is the need for customer focus and for SLHD to have a clear and fair policy to customers’ improvement requests and to not unreasonably refuse them.

2.3 Finally, the policy represents value for money, by adopting a risk based approach to customer improvement requests so that resources are concentrated on major improvements and more minor works are not held up with disproportionate checks.

3. Scope

3.1 The policy applies, in the main, to secure tenants, who have the right to make improvements under the relevant legislation. The same right does not extend to introductory tenants, although the approach taken by the policy should make it clearer to them what minor changes they can make to their homes, while they wait to become secure tenants.

3.2 The policy does not extend to leaseholder improvements, the procedures of which are covered in the Leaseholder’s Handbook

3.3 This policy covers customers’ requests to make improvements to their homes and does not extend to other requests, such as, permission to run a business from home, or to take in a lodger. These requests are managed by the Estates Team.

4. Responsibilities

4.1 The Asset Management Team is responsible for:

• Writing the policy and keeping it up to date and fit for purpose • Managing the requests for improvements in a timely manner and in line with Service Standards and performance indicators • Providing advice and guidance for customers on all matters in relation to the policy • Publicising the service and ensuring that there is good information for customers to easily access • Providing a range of ways that customers can access the services, such as by phone, post, email, internet and My SHLD app • Ensuring that the policy is adhered to and breaches are efficiently dealt with to protect the value of the asset and the safety of the residents • Liaising with the Estates Team, where action is required, for an unauthorised improvement, under the terms of the tenancy agreement • Managing the compensation process from application through to decision

4.2 The Estates Services Team is responsible for: Page Version Date Author 4 0.3 14th September CL 2016 File Path

• Providing advice and guidance, in respect of the policy, to customers signing up for their new home, liaising with the Asset Management Team as may be required • To include the Request for Improvement Form and advice in the sign up pack for new customers • To consider and take enforcement action under the tenancy agreement for unauthorised improvements • Where appropriate refer customers to the Asset Management Team to request retrospective permission for an improvement

4.3 The Empty Homes Team is responsible for:

• Assessing customers’ improvements at the end of the tenancy to ascertain whether they are retained or removed prior to re-let and if they are to be retained whether this is on a maintained or gifted basis • Recording details of customers’ improvements, including images, for the purposes of managing claims for compensation for improvements • Identifying customer improvements at mutual exchange inspections to ensure that incoming tenants are aware of their ongoing maintenance responsibility for them

4.4 The Home Choice Team is responsible for:

• Providing clear information for prospective customers of any restrictions on improvements that they may reasonably want to make, such as communal areas in flats and open plan gardens • Providing advice and guidance, in respect of the policy, to customers signing up for their new home, liaising with the Asset Management Team as may be required • To include the Request for Improvement Form and advice in the sign up pack for new customers •

4.5 The Repairs and Maintenance Team is responsible for:

• Providing advice and guidance to the Asset Management Team with regard to the current regulations for gas and electrical installations • Liaising with the Asset Management Team, where any customers’ improvement is noticed that may give cause for concern as having a negative impact on the asset or putting residents’ safety at risk

5. Policy Principles

5.1 Legislation

Part IV of the Housing Act 1985 (Secure Tenancies and Rights of Secure Tenants) contains a provision for tenants not to make improvements without

Page Version Date Author 5 0.3 14th September CL 2016 File Path

consent. Such consent may not be unreasonably withheld. Landlords are able to reasonably withhold consent if an improvement will:

• Make the property less safe • Cause expenditure for the landlord • Reduce the value of the asset.

Under the Act, landlords are permitted to attach reasonable conditions to consent for improvements.

Part IV of the Act also refers to secure tenant’s rights to compensation for improvements under s122 of the Leasehold Reform and Urban Development Act 1993. Under this section secure tenants are eligible for compensation for certain qualifying improvements at the end of the tenancy. The amount of compensation is determined by a formula based on the cost, age and notional life of the improvement. The minimum amount payable is £50 and the maximum is £3,000.

Customers with Introductory Tenancies under the Housing Act 1996 do not have the same rights as secure tenants to make major improvements to their homes.

5.2 Policy Approach

In order to deliver a service that is efficient, customer focused and value for money the approach taken will vary according to the type of request made. Broadly speaking, these will fall into one of the 4 categories below:

• A request that is, in fact, not an improvement, but the customer may require some advice, or, reassurance • A request for a minor, or, straightforward improvement, which can be responded to relatively simply and quickly, backed up with general advice • A request that is major, or, not straightforward, that needs management intervention and/or a technical inspection before a decision is made • A request that will not be consented to, on one, or more, of the grounds in the legislation

Appendix A contains a list of examples of works in each of the 4 categories.

5.3 Non-Improvements

Requests in this category are for minor changes in the property that do not constitute an improvement, such as internal decoration, putting up of curtain tracks, laying floor coverings, water meters and installing a cooker.

However, in some circumstances, the customer may want advice or, reassurance and in others SLHD will want to specify conditions and provide general advice, to either discharge its own duty of care or to help facilitate Page Version Date Author 6 0.3 14th September CL 2016 File Path

these minor changes.

SLHD will provide general conditions, information and guidelines on the web site and on request, such as: ‘to allow for floor coverings not to be fixed in case access is required for maintenance purposes’, asbestos information and the importance of using suitably qualified contractors for gas and electric installations.

In addition, staff in the Asset Management Team will be on hand to offer pre – application advice to customers contacting them, by phone, email, post etc. For example, a customer may enquire how to go about hiring a competent contractor. These requests will not be treated as improvement requests, but, the number and type of enquiry will be monitored for management purposes and used for the ongoing review of this policy.

5.4 Minor Improvements

This part of the policy relates to minor and straightforward improvements that can be turned around quickly and easily, such as requests to put up or replace fencing, erecting a garden shed, create decking in the garden, or replace electrical socket outlets. Note, that where communal areas and open plan are featured in the request, it will be filtered through the next, more complex, category and not dealt with as a minor improvement.

SLHD will ask the customer to fill in an application form, a copy of which is attached as appendix B to this policy. The form, which can be completed by hand, on line, or via the My SLHD app, asks the customer to provide more details of what is proposed and to back this up with plans, sketches and images, wherever possible.

The process under this part of the policy will be, following receipt of the application form, to issue a general consent letter, with specific conditions and advice pertaining to the improvement that the customer wants to make. The customer will be requested to notify us when works are complete, within a defined (3 month) timescale. At the end of the 3 months, or, on receipt of the notification that the works are complete, a sample will be post inspected, concentrating effort where there is most potential risk. A sample of non- returns will also be inspected to check if works have been undertaken without permission.

5.5 Major Improvements

Examples of improvements in this category include, as stated above, anything in relation to open plan, communal areas and external areas in flat blocks, but also, other improvements, such as, structural, conservatories, external doors and windows, CCTV and satellite dishes.

SLHD will ask for customer to complete the same form, attached as appendix B, but these applications will involve either technical or management input before a decision can be made. Following the Page Version Date Author 7 0.3 14th September CL 2016 File Path

inspection, more specific advice and conditions of consent will be given to the customer, with the timescale for completion of the works agreed with the customer. Based on the complexity and the risk, a higher proportion of completed works will be post inspected, including non-returns as per 5.4.

5.6 Improvements that will not be consented to

SLHD wants to act in a fair and clear way with customers. To that end it may be helpful for customers to know about any types of improvements that will not be consent to, such as log burners and swimming pools.

In these and other one off examples that arise through the other categories of improvement, SLHD will be adopt a reasonable approach and only refuse consent for the reasons given in the legislation. See 5.1

SLHD will publicise the reasons it will not grant permission to certain types of improvement on the web site and in other publications.

5.7 Open Plan – Requests to enclose

SLHD recognises that customers often want to make improvements in open plan areas, to enclose gardens. As stated above SLHD will act in a reasonable manner in considering these requests, using the criteria in 5.1 and the following guiding principles in reaching decisions:

• Have neighbours been consulted and what are their views on the improvement? • Does the improvement take into account the need for access for neighbouring properties and SLHD, DMBC workers and other contractors? • Does the improvement take into account the need for an escape route for neighbours in case of a fire • Does the improvement create a landlocked area that cannot be maintained? • Would the improvement prevent access to, or break up, a potential development site? • Are there any Town and Country Planning regulations that apply and if so, will they be adhered to?

If the answers to the above questions are favourable then consent will be granted subject to conditions that will include, the need to use materials specified and to enter into a licence agreement wherever deemed necessary by the Asset Management Team.

5.8 Flats and Communal Areas

Examples of requests to be covered in this section include; aerials and satellite dishes, sheds, car parking in communal areas, or requiring vehicular access over open plan areas. In keeping with this policy, applications for improvements that impact on communal areas will be granted wherever Page Version Date Author 8 0.3 14th September CL 2016 File Path

possible, using the criteria in 5.1, but in reaching a decision consideration will also be given to:

• Have neighbours been consulted and what are their views on the improvement? • Does the improvement have any detrimental effect on neighbouring properties? • Are there any Town and Country Planning regulations that apply and if so, will they be adhered to?

If the answers to the above questions are favourable then consent will be granted subject to conditions that will include, the need to use materials specified. Again, there may be a need to enter into a licence agreement for permission to use or cross over communal land.

5.9 New Tenancies

It is recognised that when customers first move into a property is the time that they will want to make improvements so that they can settle into their new home. Whilst, SLHD may not be able to allow major changes, for introductory tenants, we want to be able to enable customers to make the changes they need to make to set up home successfully.

To that end, the Assets Team will work closely with the Home Choice and Estates teams to provide good quality advice at the sign up stage. Information will be provided in the sign up pack so that new customers will be able to see what works that they can do that does not require permission or may be a classed as a minor improvement. In addition, there will be specific property based information, such as the asbestos survey and advice on health and safety.

Furthermore, the improvement application form will be included, in the sign up pack, for more complex applications and if necessary an appointment for an inspection will be made there and then.

5.10 Prevention of Fraud

For the prevention of fraud, any application for an improvement will be cross checked for rent arrears outstanding and Housing Benefit being paid. Information on the application form may be shared with DMBC.

5.11 Responsibility for Repair

Where a customer makes an improvement they will be responsible for the ongoing insurance, repair and maintenance of the installation, unless for health and safety reasons SLHD takes that responsibility.

Where SLHD assumes responsibility for a customer’s improvement, for health and safety reasons, such as, the installation of a boiler, we will specify the make and model to be installed. This is to ensure that we have Page Version Date Author 9 0.3 14th September CL 2016 File Path

the parts available to react to a breakdown speedily.

Where a customer takes a property through a mutual exchange the responsibility for the previous tenant’s improvement passes to the incoming tenant.

5.12 Closing Applications

Applications will be closed if information is not provided by customers within the timescales requested. Customers making contact after this has happened will be asked to make a new application.

5.13 Improvements Carried out without Authorisation

If it comes to light that a customer has made an improvement without consent they should be reminded that they are in breach of the terms in the tenancy agreement. Each case will be treated individually using the following hierarchy of measures:

• The customer applies for retrospective permission, within 28 days, if it is likely that this will be consented to • If permission will not be granted the customer is required to remove the improvement within 28 days and return the property to its original condition • If the customer is unwilling to remove the alteration at their own expense, or does not do so within 28 days, SLHD will undertake the re-instatement work and make a recharge for the work and will seek to obtain an injunction to this, if necessary.

Customers repeatedly making improvements without consent will be reminded of their obligations under the tenancy agreement and of the likelihood of enforcement action if they continue to act in that manner.

Compensation for qualifying improvements will not be made unless there is written consent.

5.15 Compensation for Improvements

Secure tenants have a right to compensation for improvements under s122 of the Leasehold Reform and Urban Development Act 1993. Under this section secure tenants are eligible for compensation for certain qualifying improvements at the end of the tenancy, provided they had been granted permission for the improvement. Compensation has to be claimed, in writing, within 14 days of the end of the tenancy. The amount of compensation is determined by a formula based on the cost, age and notional life of the improvement.

Compensation is calculated using the formula C x (1-Y/N) Page Version Date Author 10 0.3 14th September CL 2016 File Path

C = the cost of the improvements N = the notional life of the improvement Y = the age of the improvement in whole years, rounded up

The minimum amount payable is £50 and the maximum is £3,000. A list of qualifying components and their notional life is given in appendix C.

5.16 Appeal

Customers can ask for any decision made to be reviewed by a team leader or manager.

Any customer that feels that they have been treated unfairly in respect of this policy can make a complaint using the Company’s Comments and Complaints Policy.

6. Consultation

6.1 A customer focus group was held on 2nd August 2016 and the views expressed have been used to revise the draft of the policy.

Focus groups were held with the staff teams dealing with improvement requests and a Project Group, including colleagues from other Departments, helped in the formulation of the Policy.

7. Monitoring and Review

7.1 The volume of applications and granted permissions will be monitored on a monthly basis and reported to the Head of Service.

7.2 The Assets Team will monitor the numbers and types of Customer’s improvement requests and use this data to review ongoing planned programmes and technical specifications. Furthermore, the information could be used to gauge demand for future new services, such as a handyperson scheme.

7.3 The Policy will be reviewed on a three-yearly basis or on the implementation /update of legislation relevant to the policy. The policy will be amended in 2016 when the regulations surrounding flexible tenancies are known.

8. Performance Standards

8.1 The following performance standards are to be introduced as part of this new policy and targets set to show continuous improvement, when the impact of the new way of working is known.

Page Version Date Author 11 0.3 14th September CL 2016 File Path

• No of working days between an application being made and an acknowledgement being sent. Suggested target x working days • No of working days between receipt of completed application and decision communicated to the customer, for minor improvements. Suggested target x working days • No of working days between receipt of completed application and decision communicated to the customer, for major improvements. Suggested target x working days • Percentage of customers either satisfied or very satisfied with how their application for an improvement was dealt with. Suggested target xx%

9. Partnership issues

9.1 None

Page Version Date Author 12 0.3 14th September CL 2016 File Path

Page Version Date Author 13 0.3 14th September CL 2016 File Path

ST LEGER HOMES OF DONCASTER LTD Company limited by guarantee registered in England Company Number 05564649

Board Meeting

REPORT

Date : 28 September 2016

Item : 08

Subject : 30 Year Investment Forecast

Presented by : Chris Litherland Asset Management Service Manager

Prepared by : Chris Litherland Asset Management Service Manager

Purpose : To share with Board the initial 30 year investment forecast.

Recommendation :

Board are asked to note the contents of the report.

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Company Number 05564649 A Company Limited by Guarantee Registered in England

To the Chair and Members of the Agenda Item No. 08 ST LEGER HOMES OF DONCASTER BOARD Date: 28 September 2016

1. Report Title

1.1 30 Year Investment Forecast

2. Executive Summary

2.1 A revised 30 year investment forecast has been produced (and is attached to this report), that summarises the anticipated investment need across the Housing Revenue Account housing stock, based on a number of assumptions. This information will be used to inform the longer-term financial business planning.

2.2 The calculated need to spend of £685m is slightly higher over a 30 year period than the potential available resources available, which are £680m. The shortfall does not cause concern as the figure represents a very small percentage over a long period of time.

2.3 Further work is still required to refine the forecast further, to fine tune some of the assumptions made, smooth the investment to a more linear programme and model different investment scenarios. This work is already underway and should be concluded in the near future.

3. Purpose

3.1 The purpose of this report is to share with Board the latest 30 year investment plan forecast.

4. Recommendation

4.1 Board members are asked to note the content of this report.

5. Background

5.1 It is a requirement that SLHD has a 30 year investment forecast in order to inform our longer-term financial business planning.

5.2 The last 30 year investment forecast was carried out a number of years ago. Now that the decent homes programme has been completed, and with impending changes to anticipated income (through the 1% rent reduction and outcomes from the Housing and Planning Act), it is critical that the investment forecast in reviewed and fed into our future financial planning.

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6. Updated 30 year investment forecast

6.1 A new 30 year investment forecast has now been produced, a summary of which can be found at Appendix A. This sets out the anticipated investment need to the housing stock for the next 30 years.

6.2 Any forecast, including this one, can only represent a ‘snap-shot’ in time, i.e. based on the data, information and intelligence we have available now. It cannot, therefore, be regarded as a definite statement of need, but instead be regarded as an educated best estimate based on what we know now.

6.3 The forecast has been put together utilising a combination of data from our Asset Management system (Keystone) and intelligence and information from key staff/departments across the business. Moving into the future, further work is needed to ensure more (if not all) such data is transferred into Keystone to enable the production of forecasts in the future to be more automated and less time consuming in their production. This work has recently commenced in the form of a review of Keystone.

6.4 The forecast (see Appendix A) is split into 2 parts. The top part of the table contains the components that the government has made provision for in the MRA settlement. The bottom part contains provision for programmes that we would ideally like to continue with, but are not included in the MRA settlement.

7. Assumptions Made

7.1 In order to produce the 30 year forecast, a number of assumptions have been made, the key ones being that:

• Stock levels will remain consistent, based on current levels. • There is no backlog of works that need to be factored in. • There is no contingency included for any changes to legislation or needs in the future, or to address any unforeseen works, for example as the result of floods. • The expected lifespans specified (as taken from government – Major Repairs Allowance or MRA) are adequate and suitable. • No smoothing out of the forecast has yet been undertaken • The stock condition information we hold (which is over 8 years old in many cases) is accurate and represents today’s condition of assets. See 8.1 below for the plan to refresh stock condition information. • Costs for each component are based on average costs incurred at today’s rates. No allowances have been made for inflation or any other increases in costs for labour or materials.

8. Next Steps

8.1 This forecast is a sound starting point, but more work is required to refine the forecast further. This includes:

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• Stock condition surveys will commence this November to ensure we have up to date data. The intention to do this from 2016-2020 was set out in our Asset Management Strategy. • Smoothing the plan to ensure investment can be on a more consistent or linear basis rather than in ‘peaks and troughs’. • Modelling the forecast to test the potential impact of reducing or increasing the expected lifespans of some components where we think the current government set standard is not right for Doncaster, for example on boilers and windows. • Challenging the assumptions made and reaching clear agreement on what investment should or shouldn’t be included (thinking in particular about the items that currently don’t form part of the MRA).

8.2 The overall financial position then needs to be assessed as outlined in the financial implications section of this report.

9. Procurement

9.1 There are no procurement issues arising from this report.

10. VFM Considerations

10.1 There are no value for money considerations arising directly from this report.

11. Financial Implications

11.1 The potential available resources available over the 30 year period 2017/18 to 2047/48 are £680m, this is calculated using the current amount for depreciation. This compares to the calculated need to spend of £685m, although the need to spend figure is slightly higher over a 30 year period this shortfall does not cause concern as the figure represents a very small percentage shortfall over a long period of time.

The calculated need to spend figures for the next three years are broadly in line with the currently approved budgets. As we begin the budget cycle detailed and funded programmes will be developed.

12. Legal Implications

12.1 There are no legal implications arising from this report.

13. Risks

13.1 As this is a forecast, the risk is that the assumptions made are incorrect, or that the data is flawed and therefore the end result is also inaccurate. To mitigate against this, all assumptions have been recorded and will be regularly reviewed going forward, along with continuous scrutiny of the data. This will enable any potential issues or concerns in the future to be flagged early.

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13.2 The other key risk is around finances. This comes in two parts, firstly whether there will be sufficient funding to support all the investment need and secondly, whether the ‘cash flow’ available is suitable for the flow of when investment is needed. The latter can be resolved more easily through ‘smoothing’ the plan.

14. IT Implications

14.1 Work is currently on-going to strengthen and improve the Asset Management system through the ‘Keystone Review’. A project plan is currently under development that will see the delivery of a range of improvements ranging from quick wins, to longer-term improvements.

15. Consultation

15.1 At this moment in time, consultation has been limited to those individuals/departments who hold data or information that have helped formulate the forecast. Once more firmed up, further information sharing with all key stakeholders would be beneficial.

16. Diversity

16.1 There are no diversity issues arising from this report.

17. Communication Requirements

17.1 There are no communications issues arising from this report at this moment in time. However, once the forecast is further refined, the implications regarding long-term investment will need to be communicated to all key stakeholders.

18. Equality Analysis (new/revised Policies)

18.1 An equality analysis is not applicable as the investment need forecast is based on stock data, completion information and government specified expected lifespans for individual components.

19. Environmental Impact

19.1 There are no direct environmental impacts arising from this report.

20. Report Author, Position, Contact Details

20.1 Chris Litherland, Asset Management Service Manager Tel: 01302 737002

21. Background Papers

21.1 Appendix A – 30a Forecast

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30 Year Investment Forecast - Appendix A

Government Doncaster Decency Decency MRA Review Source 2017 2018 2019 2020 2021 2022 - 2026 2027 - 2031 2031 - 2036 2037 - 2041 2042 - 2046 30a Total Element Description Component Cost (years) (years) (years) Cost Quantity Cost Quantity Cost Quantity Cost Quantity Cost Quantity Cost Quantity Cost Quantity Cost Quantity Cost Quantity Cost Quantity Cost Quantity Management Fee JC 1,500,000 1,500,000 1,500,000 1,500,000 1,500,000 7,500,000 7,500,000 7,500,000 7,500,000 7,500,000 0 45,000,000 Replace main bathroom Bathroom all components, including £1,100 40 30 30 CL shower. 59,365 54 59,365 54 59,365 54 59,365 54 59,365 54 296,826 270 296,826 270 4,074,616 3,704 9,741,300 8,856 7,852,405 7,139 22,558,800 20,508 Replace CH boiler on CH Boiler £1,200 15 15 Keystone 15a cycle 163,200 136 782,400 652 780,000 650 543,600 453 643,200 536 8,932,800 7,444 10,956,000 9,130 3,064,800 2,554 9,098,400 7,582 10,956,000 9,130 45,920,400 38,267 Replace CH distribution system over 30a as per CH distribution £3,000 40 30 CL MRA, inc secondary heating 1,559,842 520 1,559,842 520 1,559,842 520 1,559,842 520 1,559,842 520 7,799,211 2,600 7,799,211 2,600 10,477,163 3,492 14,494,091 4,831 13,155,115 4,385 61,524,000 20,508 Rewires to all stock over Electrics period of plan, including £2,201 30 30 DN/CL RCBs 1,503,303 683 1,503,303 683 1,503,303 683 1,503,303 683 1,503,303 683 7,516,515 3,415 7,516,515 3,415 7,516,515 3,415 7,516,515 3,415 7,516,515 3,415 45,099,090 20,490 Replace external doors External Doors £949 40 30 CL over 30a as per MRA 51,194 54 51,194 54 51,194 54 51,194 54 51,194 54 255,972 270 255,972 270 3,513,800 3,703 8,400,543 8,852 6,771,629 7,136 19,453,889 20,500 Kitchen Replacement kitchen £1,660 30 20 20 CL 89,553 54 89,553 54 89,553 54 89,553 54 89,553 54 6,146,567 3,703 14,694,773 8,852 11,845,371 7,136 447,763 270 6,146,567 3,703 39,728,804 23,933 Replace roof - all types, including chimney, Roof £5,115 50 60 CL structure and loft insulation 2,521,925 493 2,521,925 493 2,521,925 493 2,521,925 493 2,521,925 493 12,609,625 2,465 12,609,625 2,465 12,609,625 2,465 12,609,625 2,465 12,609,625 2,465 75,657,750 14,790 Structural repairs including backlog, CT/Keyston Wall structure £6,500 80 60 including caity wall e insulation 149,500 23 338,000 52 338,000 52 354,240 81 331,500 51 1,098,200 370 1,293,640 719 1,435,880 973 1,470,040 1,034 986,760 171 7,795,760 3,526 Including pointing, including replacement Keystone/C Wall finish £1,014 60 60 cladding non trad L properties 70,980 70 332,592 328 119,652 118 614,484 606 126,750 125 1,280,682 1,263 1,483,482 1,463 1,005,888 992 24,783,072 12,648 518,154 575 30,335,736 18,188 Replacement over 35a Windows £1,500 40 35 Keystone as per MRA. 6,000 4 24,000 16 42,000 28 40,500 27 127,500 85 742,500 495 2,100,000 1,400 5,571,804 3,714 2,647,014 1,765 2,251,500 1,501 13,552,818 9,035 Replace cladding, 30a Wall structure - High rise £3,511 80 60 CL guarantee 1,249,838 356 537,149 153 1,786,987 509 Convert 180 solid fuel Gas supply. properties to gas over £4,000 40 10a 72,000 18 72,000 18 72,000 18 72,000 18 72,000 18 360,000 90 0 0 720,000 180 Replace rainwater goods, Keystone/C Gutters including fascias and £626 25 L soffits 534,376 853 534,376 853 534,376 853 534,376 853 534,376 853 2,671,880 4,265 2,671,880 4,265 2,671,880 4,265 2,671,880 4,265 2,671,880 4,265 16,031,280 25,592 High Rise replacement in Balconies £1,200 50 KM 25a 387,600 323 183,600 153 0 0 571,200 476 Bay roofs Replace bay roof £450 25 Keystone 15,300 34 184,950 411 9,450 21 75,150 167 10,350 23 278,100 618 91,800 204 314,550 699 51,750 115 107,100 238 1,138,500 2,530 Replacement of door Door entry systems entry systems on £12,000 10 SA communal flat blocks 540,000 45 2,856,000 238 540,000 45 2,856,000 238 540,000 45 2,856,000 238 10,188,000 849 Upgrade/replacements in communal areas Communal areas including fire alarms, N/A CL lighting, CCTV, TV aerials, play areas 195,000 195,000 195,000 195,000 195,000 975,000 975,000 975,000 975,000 975,000 0 5,850,000 Lift - replace high rise £80,000 30 DN 160,000 2 160,000 2 80,000 2 1,040,000 8 0 0 1,800,000 14 Lift – replace low rise £80,000 15 660,000 11 0 0 660,000 11 Aids and Adaptations N/A JC 1,800,000 1,800,000 1,800,000 1,800,000 1,800,000 9,000,000 9,000,000 9,000,000 9,000,000 9,000,000 0 54,000,000 60 structure, Garages structure, doors Garage site £44,444 25 doors CT and windows improvements and windows 400,000 9 515,400 15 515,400 15 515,400 15 515,400 15 2,577,000 75 2,577,000 75 962,080 28 345,000 30 862,500 75 9,785,180 352 Upgrading then repair of Unadopted Roads N/A 60 CL estate roads and paths 260,000 260,000 260,000 260,000 260,000 1,300,000 650,000 650,000 325,000 325,000 0 4,550,000 0 Environmental WoW Environmental N/A 30 Budget schemes 1,000,000 1,000,000 1,000,000 1,000,000 1,000,000 5,000,000 5,000,000 5,000,000 5,000,000 5,000,000 0 30,000,000 0 Total MRA 12,651,538 3,052 13,483,900 4,205 12,951,060 3,613 13,289,932 4,078 12,981,258 3,566 79,196,878 27,581 88,011,724 35,173 93,132,572 37,720 119,050,431 56,682 98,598,899 44,589 543,708,194 220,259 District Heating N/A DN 510,000 170 2,000,000 0 0 2,510,000 170 Voids N/A RC 2,400,000 2,400,000 2,400,000 2,400,000 2,400,000 12,000,000 12,000,000 12,000,000 12,000,000 12,000,000 0 72,000,000 0 Cost of solar PV inverter Renewables N/A replacements 341,500 683 2,861,770 683 0 0 3,203,270 1,366 assumes less cost over Asbestos survey & time as removals N/A removal increase CL 855,000 750,000 700,000 650,000 600,000 2,250,000 1,150,000 800,000 750,000 750,000 0 9,255,000 0 Improvement and then Communal Halls ongoing replacement of £21,400 components as required CT 107,000 5 107,000 5 107,000 5 107,000 5 107,000 5 259,000 10 105,000 125,000 95,000 75,000 0 1,194,000 35 Shops and flats £40,000 CT 200,000 5 200,000 2 230,000 2 180,000 1 190,000 2 565,000 8 0 0 1,565,000 20 Replacement of hard Fire detection £135 wired smoke detectors Keystone 134,451 996 386,766 2,865 367,326 2,721 273,636 2,027 151,326 1,121 1,029,735 7,628 1,313,505 9,730 1,029,735 7,628 1,313,505 9,730 1,029,735 7,628 7,029,720 52,072 Wheatley Howards Decant, purchase and £52,078 disconnection costs DL 937,400 18 0 0 937,400 18 dec allowances £400 15/16 spend 20,000 50 20,000 50 20,000 50 20,000 50 20,000 50 100,000 250 100,000 250 100,000 250 100,000 250 100,000 250 600,000 1,500 Balby Tarrans Phase II Porches, ramps, roofline £14,000 KM/CL 700,000 50 0 0 700,000 50 eco phase II 2000 properties over 10a programme, assumes no £10,530 grant funding income CL 2,106,000 200 2,106,000 200 2,106,000 200 2,106,000 200 10,530,000 1,000 2,106,000 200 0 0 21,060,000 2,000 acquisitions of empty £100,000 homes/buy backs JC/CL 600,000 6 600,000 6 600,000 6 0 0 1,800,000 18 Council House New Build Wheatley and Askern, Programme including demolition £218,750 costs at Wheatley DH 3,500,000 16 13,600,000 64 2,300,000 26 0 0 19,400,000 106 Total Non MRA 9,453,851 1,146 20,169,766 3,192 8,830,326 3,010 5,736,636 2,283 5,574,326 1,378 26,733,735 8,896 17,116,005 10,863 17,426,505 8,731 16,258,505 9,980 13,954,735 7,878 141,254,390 57,355 Total MRA 12,651,538 3,052 13,483,900 4,205 12,951,060 3,613 13,289,932 4,078 12,981,258 3,566 79,196,878 27,581 88,011,724 35,173 93,132,572 37,720 119,050,431 56,682 98,598,899 44,589 543,708,194 220,259 Grand Total 22,105,389 4,198 33,653,666 7,397 21,781,386 6,623 19,026,568 6,361 18,555,584 4,944 105,930,613 36,476 105,127,729 46,036 110,559,077 46,451 135,308,936 66,662 112,553,634 52,466 684,962,584 277,614

Key = MRA replacemement cycle = Budget currently approved period Quality Homes in Quality Neighbourhoods

30 Year Investment Forecast

Presented by: Chris Litherland 1 Introduction

• Overview of the Plan • Assumptions Made • Details of the Plan • Conclusions • What Next? • Questions

2 Overview

• 30 year plan from 2016 to 2046 • Next 5 years separated, then 5 x blocks of 5 years • Plans split into 2 parts, components included in the Major Repairs Allowance (MRA) and those not • MRA component replacement cycle used where there is one • Replacement cost based on historical data and contractor completions

3 Assumptions

• Stock levels remain the same • No catch up repairs required • No account of inflation • No contingency • No smoothing has been undertaken • Based on existing and in some cases, old data

4 Some details

• Voids factored in at £2.4m pa at current expenditure level • Boilers over 15 years in plan, they currently last about 12 years • Rewiring all properties over the life of the plan • Environmental Programme included at current level • No further ECO funding in plan

5 Conclusions

• Plan is within tolerable margin of income over 30 years • Next 3 years are within allocated capital budget • More up to date stock condition information with inform future investment decisions • Shift from Decent Homes Standard to long term component replacement plan

6 What Next?

• External reality check • Stock condition surveys to update data • Smoothing the plan to meet annual income levels • Modelling different scenarios for replacement cycles • Challenging assumptions about non MRA programmes of work

7 Questions?

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ST LEGER HOMES OF DONCASTER LTD Company limited by guarantee registered in England Company Number 05564649

Board Meeting

REPORT

Date : 28 September 2016

Item : 09

Subject : Draft Modern Slavery Statement

Presented by : Julie Crook Director of Corporate Services

Prepared by : Nigel Feirn Interim Head of Finance

Purpose : To present Board with a Draft Modern Slavery Statement

Recommendation:

For Board to approve a draft Modern Slavery statement for publication.

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Company number 05564649 A Company Limited by Guarantee Registered in England

To the Chair and Members of the Agenda Item No. 09 ST LEGER HOMES OF DONCASTER BOARD Date: 28 September 2016

1.1. Report Title

1.2. Draft Modern Slavery Statement

2. Purpose

2.1. To present Board with a draft Modern Slavery statement as required by the 2015 Modern Slavery Act.

3. Executive Summary

3.1. Under Section 54 of the 2015 Modern Slavery Act, ‘commercial’ organisations must produce a Modern Slavery statement on an annual basis.

3.2. The Act specifically states that the statement must include ‘the steps the organisation has taken during the financial year to ensure that slavery and human trafficking is not taking place in any of its supply chains, and in any part of its own business’.

3.3. When the Act refers to ‘ensuring’, this does not mean that the organisation in question must guarantee that the entire supply chain is slavery free. Instead, it means an organisation must set out the steps it has taken in relation to any part of the supply chain (that is, it should capture all the actions it has taken).

3.4. A draft Modern Slavery statement which is attached at Appendix A. Attached at Appendix B is a draft Fact Sheet that will also be published shortly.

3.5. The law came into force on 29 October 2015. The requirement to publish an anti-slavery statement only applies for financial years ending on or after 31 March 2016. The government encourages publication within six months of year- end.

3.6. Guidance on the act says that organisations are expected to build on their statements year on year and for the statements to evolve and improve over time

3.7. In summary, SLHD undertake a number of activities to mitigate the risk of modern slavery, as summarised in Appendix A. However, although we have a comprehensive framework of policies, training and regulations, these are around the more generic equality, diversity and safeguarding. As yet they do not specifically refer to the Modern Slavery Act. These assurance documents and activities will be updated to include references as and when appropriate.

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3.8. A ‘commercial’ organisation is required to comply with the reporting requirements if :

3.8.1. it is incorporated or a partnership; 3.8.2. it "carries on a business, or part of a business" in the UK; 3.8.3. its turnover or the turnover of a parent company and its subsidiaries is equal to or greater than £36 million per annum (this threshold is still to be formally confirmed by way of secondary legislation); 3.8.4. it supplies goods or services.

3.9. The term "carries on a business" is not defined in the Act, although this is the same wording as is used in the UK's 2010 Bribery Act.

3.10. If a business falls within the above criteria, the obligation to publish an anti- slavery statement is mandatory. However, the content of this statement is not mandatory, and it would be acceptable for a business simply to state that it does not take any specific steps or that it follows the procedures of its parent company.

3.11. It must be approved by the board or equivalent management body, signed by a director or equivalent (eg. partner) and have a link to it on the organisation's homepage.

3.12. While the Act requires the publication of an annual statement, it does not prescribe the content and states that the following ‘may’ be included, as follows:

3.12.1. the organisation's structure, its business and its supply chains; 3.12.2. its policies in relation to slavery and human trafficking; 3.12.3. its due diligence processes in relation to slavery and human trafficking in its business and supply chains; 3.12.4. the parts of its business and supply chains where there is a risk of slavery and human trafficking taking place, and the steps it has taken to assess and manage that risk; 3.12.5. its effectiveness in ensuring that slavery and human trafficking is not taking place in its business and supply chains, measured against such performance indicators as it considers appropriate; 3.12.6. the training about slavery and human trafficking available to its staff.

3.13. For reference, modern slavery is a term used to encompass slavery, forced and compulsory labour and human trafficking. It includes both adults and children being forced to work against their free will.

3.14. There are a number of risks arising from the increasing pressure on organisations to take action. These include:

3.14.1. reputational - including the push from regulators for greater corporate transparency on human rights; 3.14.2. legal - including the risk of litigation, complaints to the OECD and breaching ethical procurement terms;

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3.14.3. financial - reflecting investor and customer sensitivities and increasing demands for CSR performance data as part of tendering processes; 3.14.4. operational - arising from labour disputes and disruption to supply chains.

3.15. There are limited penalties for non-compliance (the disclosure duty is subject to enforcement by the Secretary of State by injunction). The government may ‘name and shame’ organisations which drag their heels.

3.16. Although penalties are limited and the £36m turnover threshold is still to be confirmed, SLHD is a prominent employer in the Doncaster area and there is reputational risk here which is easily mitigated with a robust statement and appropriate policies and procedures.

3.17. There will be only so much we can do in the supply chain but as a minimum, statements from all suppliers will be sought.

3.18. Preparation of the statement has identified a number of areas where our procedures could be strengthened further, mainly by making reference to the Act, and these will be built in during 16/17, notably:

3.18.1. specific references to modern slavery in relevant contracts and policies; 3.18.2. In addition to existing requirements around Equality and Diversity, the PQQ criteria in the tendering process for suppliers will now include a specific requirement to have measures in place to minimise the possibility of modern slavery. Eg. “Please provide evidence of your commitment to tackling modern slavery throughout your own organisation and your supply chains. This must include details of your systems and controls to ensure modern slavery is not taking place anywhere within your organisation and in supply chains and a copy of your latest, published modern Slavery statement”; 3.18.3. ongoing checks as part of contract monitoring (in addition to initial contract tendering); 3.18.4. specific training and communications around modern slavery.

4. Recommendation

4.1. Board resolves to approve the draft Modern Slavery statement at Appendix A.

5. Procurement

5.1. The Act requires appropriate procurement procedures to be in place to prevent modern slavery occurring within SLHD and its suppliers. These procedures are in place and are explicitly referred to in the statement.

6. Value For Money

6.1. Although not directly applicable here, Value For Money is achieved through appropriate procurement activities.

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7. Financial Implications

7.1. There are two financial implication strands - procurement and potential penalties for non-compliance. SLHD has direct expenditure of around £40m per annum and robust financial regulations and contract standing orders are in place. Penalties for non-compliance are limited but carry with them reputational risk.

8. Legal Implications

8.1. Legal implications are referred to above through non-compliance with the disclosure duty of the Act.

9. Risks

9.1. Financial, operational and reputational risks are referred to above and in the statement at Appendix A.

10. IT implications

10.1. IT implications are referenced as appropriate.

11. Consultation

11.1. No specific implications arising and references are implicit within the report where appropriate. Customer involvement is built in to the procurement process.

12. Diversity

12.1. There are no diversity issues arising from this report.

13. Communication requirements

13.1. There are no communication requirements arising from this report.

14. Equality Impact Assessments (New/Revised Policies)

14.1. Not applicable.

15. Environmental impact

15.1. Environmental impact is referenced as appropriate.

16. Report Author, position and contact details

Nigel Feirn Interim Head of Finance

Appendices Appendix A - Draft Modern Slavery statement Appendix B - Draft Modern Slavery Fact sheet

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Appendix A

St Leger Homes of Doncaster Limited : DRAFT Modern Slavery statement 2016

Introduction

This statement sets out St Leger Homes of Doncaster Limited’s (SLHD) actions to understand all potential modern slavery risks and actions aimed at ensuring that there is no slavery or human trafficking in SLHD or our supply chains. This statement relates to actions and activities during the financial year 1 April 2015 to 31st March 2016.

Company statement

SLHD has a zero-tolerance approach to modern slavery.

Our commitment to all aspects of equality and diversity is both explicitly and implicitly referred to in our mission, vision, values and strategic objectives.

We are committed to acting ethically and with integrity in all our business dealings and relationships and to implementing and enforcing effective systems and controls to ensure modern slavery is not taking place anywhere within SLHD or in any of our supply chains.

We are also committed to ensuring there is transparency in SLHD and in our approach to tackling modern slavery throughout our supply chains, and we expect the same high standards from all of our contractors, suppliers and other business partners.

Company structure, activities and supply chains

St Leger Homes of Doncaster Limited (SLHD) is an Arm’s Length Management Organisation (ALMO) established in 2005 to manage Doncaster Metropolitan Borough Council’s (DMBC) 21,000 council homes and provide affordable, rented accommodation efficiently, and to provide our customers with the highest standards of service.

SLHD employs over 750 people in a wide range of service areas including housing management and support, property repairs, improvements and technical services, HR, Finance, IT and administration.

Direct expenditure totals nearly £60m to deliver SLHD’s day to day housing management and property repairs services, and, on behalf of DMBC in delivering their capital programme, home improvements such as kitchens and bathrooms and estate improvements such as fencing and car parking.

Company policies and procedures

We have a framework of policies and procedures that are reviewed and updated periodically and monitored by the Business Assurance Team to ensure this is completed and that best practice is adopted.

Notable policies and procedures, among others, that consider our approach to the identification of related risks and steps to be taken to prevent slavery and human trafficking in our operations include:

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Appendix A

 Employee Concerns (Whistleblowing);  Employee Code of Conduct;  Equality & Diversity;  Customer care;  Vulnerable persons;  Financial Regulations and Contract Standing Orders;  Recruitment;  Anti-Bribery/Fraud;  Dignity at work;  Framework for Fairness.

* Web page links to be inserted to each policy

More specifically, the Safeguarding policy includes specific guidance for staff on how to recognise signs of abuse, including modern slavery, as a type or pattern of behaviour which constitutes abuse of a person at risk, among our customers and employees, and also how to respond to and escalate any concerns.

Tenants

For our tenants, we undertake a number of operational activities where possible signs could be viewed. These include:

 programmed tenancy audits of our properties;  financial inclusion / welfare reform support;  neighbourhood management, local offices, patch workers etc. result in our officers knowing a large number of tenants,  strong working relationships with the TARA’s is very good through the engagement officers;  a SLHD fraud hotline;  Community Caretaker Services notice any illegal or unusual practices on the estate and report them;  tenancy sign up procedures covers the clauses in the Tenancy Agreement. The existing agreement does not cover modern slavery but the new one will;  quarterly estate inspections where we might notice anything indicating modern slavery, and residents can attend and often report issues;  tenancy verification visits on some estates;  direct links between the gas service team and estates teams to report any concerns.

Supply chain

At any one time, SLHD has over 80 contracts in place.

Our Financial Regulations and Contract Standing Orders and Procurement Strategy ensure we operate in a legal, ethical and inclusive manner whilst achieving best value for money.

Our dedicated Procurement team utilise OJEU compliant frameworks operated by procurement consortia and SLHD has representatives on the boards or working groups of a number of consortia, which enables robust benchmarking and sharing of best practice.

In addition, we have developed an Equality and Diversity (E&D) scheme for all our main and subcontractors, in which we award them a gold, silver or bronze standard, dependant on their approach to E&D. We will work with those being awarded silver and bronze to help them achieve gold standard. 2

Appendix A

Specifically within our E&D policy we state that we will only employ contractors once we are satisfied that they have appropriate E&D policies that align with ours. We will work with our contractors to ensure they sign up to our voluntary E&D Contracts standard. This has been formulated to provide existing contractors with a baseline position based on their current strategies, policies and practices. Further, the framework sets out the minimum standards which future contractors are encouraged to commit to, and achieve, as part of their involvement with SLHD, or, indeed, other activities associated with SLHD.

To ensure compliance with our values and ethics, we have in place rigorous selection, due diligence and tender processes which includes checks on financial standing, convictions, and health and safety, among others, to help ensure our suppliers and their supply chains are slavery free.

All contracts have a specific E&D Terms and Conditions section and, going forward, specific references to modern slavery will be included in all new contracts as they are awarded or renewed.

SLHD recognises our social responsibility and where possible target contracts that will utilise local labour. Contracts also include ‘back to back’ clauses whereby contractors use the same terms and conditions if any work is subcontracted down the supply chain.

In addition, we will now, on an ongoing basis, check explicit slavery issues when we review other areas such as price increases, performance and E&D commitments, as part of our established contract management arrangements.

If any of this work identifies risks of modern slavery, this could result in termination of the supplier’s contract. Concerns will be reported to the Modern Slavery Helpline as appropriate. Employees, subcontractors, suppliers, customers and clients are all encouraged to report in good faith any issue or concerns (unethical business practices, fraud, bribery or slavery) through our confidential whistle-blowing arrangements.

Due diligence

SLHD undertakes extensive due diligence on employees, tenants and suppliers as part of everyday operations.

Employees

Our Recruitment Policy contains relevant requirements in terms of checking of eligibility (Right to Work checks that meet Home Office guidance) to work in the UK and carrying out of necessary checks such as DBS on relevant employees (eg. Community engagement, care/care advice for tenants, safeguarding officers)

References are requested on all employees and includes asking referees for any concerns about the applicant working with vulnerable people or children.

Tenants

Robust tenancy verification checks are in place for sign ups, plus further verification visits on some estates. Out Tenancy Agreement is being updated in 2016/17 and includes reference to the Modern Slavery Act.

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Appendix A

Suppliers

As referred to above, all suppliers, as part of our tender procedures, must complete a self- assessment Pre-Qualification Questionnaire, which includes questions around Equality and Diversity. Suppliers must provide evidence to support their responses. Going forward, tenderers will be asked to answer more specific questions about slavery and human trafficking.

Risk areas

SLHD operate a wide number of activities in delivering housing management and property maintenance services. These services require a large number of employees and contractors to social housing tenants. Therefore, there are a number of risk areas to consider, but the main areas identified as the greatest risks exist are in procurement and vulnerable tenants.

SLHD operate a risk management framework to mitigate all strategic and operational risks and the policies and procedures and the due diligence listed above, and the training referred to below, mitigates these risks.

Training

SLHD has structured induction and training programmes which are updated periodically.

Modern slavery is not specifically referenced in the training but is implicit in the wider social awareness training delivered to all employees. Related training delivered in 2015/16 was as follows :

 All new employees undergo a corporate induction and as part of this receive an Employee Code of Conduct which they must sign to confirm receipt, and receive a safeguarding briefing session;  All new staff are also required to attend a separate training session on safeguarding adults and children;  Recruitment and selection training is provided to employees and includes right to work checks and the importance of pre-employment checks;  Dignity at work for line managers (bullying, harassment);  Fraud and money laundering.

For apprentices, the employee code of conduct is emphasised and the roles of trade unions and first contact officers should they ever see or feel anything that makes them uncomfortable or that something is not right.

Reference will be made to modern slavery in future, where more specific training will be incorporated into our 2016/17 onwards programmes. SLHD will require all staff, including managers within the organisation to receive awareness training on modern slavery as a module within the organisation's induction, management development and refresher programmes.

SLHD has an e-learning module for safeguarding and its use will be developed further in 2016/17 as a refresher tool.

In addition to the above, a briefing providing background information and advice for staff on what to do if they suspect that slavery, human trafficking, etc. is taking place, and also providing guidance on the selection of suppliers, will be published in Staff Focus, our employee newsletter, and posted on our intranet.

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Appendix A

Signing

This statement is made pursuant to section 54(1) of the Modern Slavery Act 2015 and is SLHD's slavery and human trafficking statement for the financial year ending 31st March 2016.

Signed by:

Susan Jordan Chief Executive St Leger Homes of Doncaster Limited September 2016

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Appendix B

Fact Sheet – Modern Slavery

BACKGROUND Modern slavery is a global problem and a growing issue, affecting men, women and children. In the UK the numbers of reported cases increases year on year but these are just the victims we know about. Slavery’s hidden nature means actual numbers are likely to be far, far higher.

WHAT IS MODERN SLAVERY? Modern slavery is an international crime, affecting an estimated 29.8 million slaves around the world. It is a global problem that transcends age, gender and ethnicities, including here in the UK and it’s important that we bring this hidden crime into the open.

Modern slavery can include victims that have been brought form overseas and vulnerable people in the UK, being forced to illegally work against their will in many different sectors, including brothels, cannabis farms, nail bars and agriculture.

Victims found in the UK come from many different countries, including Romania, Albania, Nigeria, Vietnam and the UK itself. Poverty, limited opportunities at home, lack of education, unstable social and political conditions and war are some of the key drivers that contribute to trafficking of victims. Victims can often face more than one type of abuse and slavery, for example they are sold to another trafficker and then forced into another form of exploitation.

SLAVERY TYPES Child Trafficking – young people are moved either internationally or domestically so they can be exploited. Forced Labour/Debt Bondage – victims are forced to work to pay off their debts that realistically they never will be able to due to low wages and increase of debt. In some cases the debt is passed down to the victims children. Sexual Exploitation – victims forced to perform non - consensual or abusive sexual acts against their will, such as prostitution, escort work and pornography. Criminal Exploitation – the victim is often controlled and maltreated; victims are forced into crimes such as cannabis cultivation or pick pocketing against their will. Domestic Servitude – victims are forced to carry out housework and domestic chores in private households with little or no pay, restricted movement, very little free time and minimal privacy often sleeping where they work.

HOW TO SPOT THE SIGNS OF MODERN SLAVERY There is no typical victim of slavery – victims can be men, women and children of all ages and cut across the population. Signs of slavery are often hidden but the following is a list of some common signs which you can be aware of:

Physical Appearance – victims may show signs of physical or psychological abuse, look malnourished or unkempt, or appear withdrawn. Isolation – victims may rarely be allowed to travel on their own and seem under control. Appendix B

Poor Living Conditions – victims may be living in dirty, cramped or overcrowded accommodation. Few or No Personal effects – victims may have no identification documents, have few personal possessions and always wear the same clothes day in day out. Restricted Freedom of Movement – victims have little opportunity to move freely and may have had their travel documents retained, e.g. passports. Reluctant to Seek Help – victims may avoid eye contact; appear frightened or hesitant to talk to strangers for many reasons such as not knowing who to trust or where to get help, fear of deportation, violence to them or their family.

HOW TO REPORT SUSPECTED SLAVERY If you suspect slavery is happening do not attempt to let the victim know that you are going to report it or confront the traffickers. You need to ensure their safety and yours. You can report your concern it in a number of ways:

 SLHD Safeguarding Single Point of Contact – 01302 736532  SYP – If it’s an emergency always call 999. For non-emergencies, call 101.  Modern Slavery Helpline – 0800 0121 700

For more information on Modern Slavery please contact the Safeguarding Team on: 01302 736381.

ST LEGER HOMES OF DONCASTER LTD Company limited by guarantee registered in England Company Number 05564649

Board Meeting

REPORT

Date : 28 September 2016

Item : 10

Subject : Probationary Policy (Staff Appointments)

Presented by : Linda Keeling Head of Human Resources and Health & Safety

Prepared by : Linda Keeling Head of Human Resources and Health & Safety

Purpose : To seek approval for the Probationary Policy

Recommendation : Board Members are asked to:

Approve the Probationary Policy attached to this report.

Company Number 05564649 A Company Limited by Guarantee Registered in England

To the Chair and Members of the Agenda Item No. 10 ST LEGER HOMES OF DONCASTER BOARD Date: 28 September 2016

1. Report Title

1.1 Probationary Policy (Staff Appointments).

2. Executive Summary

2.1 The attached Probationary Policy is a new policy. Following consultation with the trade unions in July there were no proposed amendments.

3. Purpose

3.1 To seek approval of the Probationary Policy.

4. Recommendation

4.1 Board members are asked to approve the Probationary Policy attached to this report.

5. Background

5.1 St Leger Homes currently has reference to a probationary period of six months within contracts of employment for all employees with no previous continuous service. Probationary periods are applied to all Chief Officers regardless of previous continuous service.

5.2 However, there is no current policy or procedure for the management of probationary periods. A policy has been drafted which sets out the key principles St Leger Homes proposes to apply to ensure that probationary periods are managed for all new employees to the company. This is attached at Appendix A.

5.3 Once launched the management of an employee’s first six months of employment will be carefully monitored and support provided through the this policy and the induction process, which is currently being reviewed by the People Development team.

6. Procurement

6.1 Not applicable

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7. VFM Considerations

7.1 Successful management of probationary periods for new employees provides value for money by ensuring the best use of our employees.

8. Financial Implications

8.1 None

9. Legal Implications

9.1 None. The framework for dismissing unsuitable probationary employees complies with the ACAS Code of Practice.

10. Risks

10.1 Any risks relating to dismissal of probationary employees for unsatisfactory performance or conduct are minimised through the framework set out in this policy. A detailed procedure will be produced prior to implementation of this policy and training provided to line managers.

11. IT Implications

11.1 None.

12. Consultation

12.1 Following input from senior management team, consultation took place with trade unions on 21 July 2016. No concerns or proposed amendments were raised.

13. Diversity

13.1 Provisions are made within the policy to consider reasonable adjustments based on protected characteristics, e.g. disability.

14. Communication Requirements

14.1 Once approved, communication will take place with all employees via Staff Focus. Training sessions will be delivered between October-December 2016 for line managers, with priority being given to line managers who have new starters.

15. Equality Analysis (new/revised Policies)

15.1 All new employees to St Leger Homes are covered by this policy to ensure equity of treatment. A full equality analysis has been completed. A summary of the outcome is attached at Appendix B.

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16. Environmental Impact

16.1 Not applicable

17. Report Author, Position, Contact Details

17.1 Linda Keeling Head of Human Resources and Health & Safety [email protected] Tel: 01302 862732

18. Background Papers

18.1 Probationary Policy – Appendix A 18.2 Board Summary Equality Analysis – Appendix B

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Appendix A

POLICY DOCUMENT Probationary Policy

POLICY TITLE: Probationary Policy LEAD OFFICER: Head of Human Resources and Health & Safety DATE APPROVED: APPROVED BY: Board IMPLEMENTATION 1 October 2016 DATE: DATE FOR NEXT October 2019 REVIEW: ADDITIONAL Probationary Procedure GUIDANCE: ASSOCIATED N/A CUSTOMER PUBLICATIONS: TEAMS AFFECTED: All St Leger Homes Staff THIS POLICY New Policy REPLACES

DOCUMENT CONTROL

For guidance on completing this section please refer to the document version control guidance notes

Revision History

Date of this revision: Not applicable – New Policy Date of next review: September 2019 Responsible Officer: Head of Human Resources and Health & Safety

Version Version Author/Group Summary of Changes Number Date commenting 0.1 May 2016 Head of Human None – new policy Resources and Health & Safety/ HR Advisors/ People Development Service Manager 0.2 June 2016 Director of Page 5 – clarification of paragraph 2.3 Property Services Page 6 – paragraph 3.1 – add reference to living up to claims made on application form 0.3 5 July 2016 EMT Internal transfers not covered by probationary period Frequency of probationary review meetings to be at least at one, three and six months as additional meetings may be required if concerns raised 0.4 7 July 2016 Heads of Service Inclusion of reference to the need to set realistic targets and goals to measure performance Alignment of probationary reviews with one to one meetings with probationary review meetings when procedure developed 0.4 21 July Trade Unions No changes proposed 2016 1.0 Board 28 September 2016

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Policy Creation and Review Checklist

Action Responsible Officer Date Completed Best practice researched Head of Human April 2016 (Housemark, HQN, Audit Resources and Health & Commission, general websites) Safety Review current practices from Head of Human April 2016 similar organisations Resources and Health & Safety Review customer satisfaction data N/A from the area the policy relates to Review Customer complaints from N/A the area the policy relates to Undertake customer consultation N/A if applicable Staff consultation if applicable N/A

Trade Union consultation if Head of Human 21 July 2016 applicable Resources and Health & Safety Stakeholder consultation if Head of Human EMT 5 July 2016 applicable Resources and Health & Heads of Service 7 Safety July 2016 SMT 22 July-29 July 2016 Equality Analysis carried out – A Head of Human May 2016 copy including action plan must be Resources and Health & forward to Stefanie Myerscough or Safety Gaile Peacock to be saved centrally.

NB. The above table must be completed on all occasions. The policy will not be accepted or approved by EMT without this information completed.

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POLICY DOCUMENT Probationary Policy

1. Policy Statement

1.1 St Leger Homes is committed to ensuring that every effort is made to give its newly recruited employees the opportunity to maintain and develop their careers within the company. As an organisation we always aim to ensure that all employees are effectively inducted and every effort is made to ensure that all employees feel valued and play an important part in the success of our company.

1.2 This policy and accompanying procedure provides a framework for supporting employees during their initial employment within the company in accordance with the St Leger Homes values by:

Fairness – having a supportive and consistent approach to managing performance, attendance and conduct issues during the initial stages of employment in their new role.

Excellence – encouraging all newly recruited employees to carry out their roles and perform to the best of their ability, working with their manager to achieve excellent standards of performance.

Empowerment – ensuring all newly recruited employees are accountable for their own performance at work. The policy and procedure will encourage everyone to seek support and come forward when there are performance issues.

Local – working with training providers (in house and external), managers , the Human Resources Team, People Development Team and Directors to promote, maintain and increase performance standards.

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1.4 Probationary periods should be conducted in tandem with the induction process, thereby enabling the identification of any short term and long term development needs in relation to service objectives. It will allow the probationary employee to raise any concerns that they may have relating to their understanding of the requirements of the post, the values and the culture of the organisation.

2. Scope

2.1 Every new employee will be appointed to a permanent or fixed term role must serve a period of probation of six months.

2.2 There are two categories of employee who are exempt from the probationary period. These are:

(a) An internal transfer within St Leger Homes, including redeployments under the Organisational Change, Redeployment and Redundancy Policy. (b) Employees subject to a TUPE transfer into St Leger Homes.

2.3 Where an employee is on a temporary contract of less than six months the probationary period will span the whole of the employment, e.g. three months. If the temporary contract were to be extended, the probationary period would continue until six month’s service was complete.

2.4 During the probationary period all issues relating to performance, attendance and conduct will be dealt with under the Probationary Procedure.

2.5 The probationary period may be extended for a further period specified of not more than 6 months, where the probationary employee has not met the necessary standards of performance, attendance or conduct, but it is believed by the line manager that the required improvement could be achieved during the extended period.

3. Principles of Probation

3.1 This process should help in developing an employee who is motivated, fully understands the requirements of the post and is therefore more able to contribute to the overall vision and aims of the company. This assessment and evaluation is in itself a development process that should:

 Allow the employee to identify and raise concerns that they may have relating to their understanding of the requirements of the post, values and culture of the organisation.  Inform the employee of the standards that are expected of them in terms of performance, attendance and behaviour.  Allow for monitoring and assessment of suitability against pre- determined criteria such as job description and person specification, any multi-skilling requirements, and knowledge, experience and skills as stated on their application form. Page Version Date Author Page 5 of 8 1.0 September 2016 Linda Keeling File Path

 Provide for support and assistance in helping the employee to meet the required standards by identifying any difficulties that may become apparent in relation to the duties and responsibilities of the post.  Identify and provide for any short-term development needs in tandem with the employee induction process.  Lead into identification of longer term development needs through the personal review process.

3.2 It is expected that minor instances of unsatisfactory performance during the probationary period are dealt with during the normal day-to-day supervision and management process. However, these concerns must also be recorded and acknowledged during the probationary review meetings.

3.3 Dismissal is to be regarded as the last resort and only where the required level of improvement in the current job is not possible. Where appropriate consideration of alternative employment commensurate with the employee’s identified abilities may be given.

3.4 Apparent misconduct which results in serious misgivings as to the suitability of the probationary employee should be dealt with immediately under the Probationary Procedure.

3.5 Consideration will be given to the probationer’s attendance record and health. Where a probationary employee has five working days short term intermittent sickness or more than 10 working days medically certified during the probationary period, the reasons and circumstances will be dealt with under the Probationary Procedure.

3.6 Where it becomes apparent during the probationary period that poor performance is due to a disability but the employee is not absent from work, the company will endeavour to identify any reasonable adjustments which may be made to support the employee’s performance. Advice and guidance should be sought from the Human Resources Team in these circumstances.

4. Responsibilities

4.1 EMPLOYEES

Employees take responsibility for their own performance and work with

managers to address any issues during the probationary period by:

 Accepting their contractual obligation to carry out the duties of their job.

 Ensuring that they follow the agreed practices and procedures within their probationary period and that they make every effort to attend all of their probationary review meetings.  Making every effort to communicate any areas of concern or difficulty that they are encountering in order for these to be addressed as soon as possible.  Co-operating with their manager, to identify, agree and implement any actions to enable an acceptable standard of performance to be achieved during the probationary period.  Engaging with their manager to identify and attend any appropriate development initiatives to support their performance. Page Version Date Author Page 6 of 8 1.0 September 2016 Linda Keeling File Path

4.2 MANAGERS

Managers comply with their responsibility for maximising employee performance by:  Consistent implementation of the probationary policy and procedure. This will involve ensuring that the agreed time scales, procedures and supporting documentation are adhered to and that the employee is made to feel as if their probationary period has been a fair and well organised experience.  Ensuring an appropriate induction programme is delivered, including the development of local induction checklists to supplement the corporate induction checklists.  Setting realistic targets and goals to measure performance  Ensuring regular one to one meetings are held with probationary employees to make performance a regular and normal part of discussions.  Undertaking probationary review meetings at least at one, three and six months with the probationary employees to resolve any alleged deficiencies in capability, attendance or conduct before taking any formal action under this policy and accompanying procedure. The timing of these reviews can coincide with the one to one meetings.  Encouraging probationary employees to have open discussions where any underlying issues which may be impacting upon their suitability for the role are identified and ensuring appropriate support is put in place for the employee.  Identifying in conjunction with the probationary employee any skills or knowledge gaps that are affecting performance levels and proactively seeking support for any development initiatives that may be required.  Ensure that all the agreed timescales are adhered to and that all the required paperwork is completed in a timely manner.

4.3 SENIOR MANAGERS (SERVICE MANAGERS AND HEADS OF SERVICE)

Senior managers comply with their responsibility for maximising employee performance by:  Ensuring managers are consistently applying the Probationary Policy and Procedure in the service area/department.  Ensuring managers are consistently applying the employee induction process, including any local induction activities.  Reviewing with managers’ areas of concern during the probationary period that are triggered by unacceptable levels of capability, attendance or conduct and agreeing action to be taken to address these areas of concern.  Reviewing reports produced by managers where the employee has failed to improve their performance, attendance or conduct and identify any further action which may lead to satisfactory performance. Where no further improvement actions are identified, to refer the matter to a Director for consideration of dismissal, or action short of dismissal.

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4.4 HUMAN RESOURCES TEAM

Are responsible for:  Ensuring this policy and accompanying procedure are up-to-date and available on the intranet.  Ensuring communication of the policy following approval by Board.  Advising managers on the application of the probationary policy and procedure.  Working alongside and supporting management to ensure that every effort is made to deliver a positive outcome.  Providing advice and support to managers when addressing areas of reasonable adjustment or where there is a need for flexibility within the probationary process, e.g. maternity leave taken during the probationary period.  Monitoring compliance with this policy and accompanying procedure and ensuring confirmation of the outcome of the probationary review to the employee.

4.5 PEOPLE DEVELOPMENT TEAM

Are responsible for:  Development of an employee induction programme for managers to utilise as part of this policy and accompanying procedure.  Management/delivery of development interventions for managers to support the management of the probationary period.

4.6 DIRECTORS

Directors comply with their responsibility for maximising employee performance by:  Ensuring managers are consistently applying the Probationary Policy and Procedure in their Directorate.  Taking decisions regarding termination of employment where unsatisfactory levels of performance, attendance or conduct have been achieved.

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Appendix B Website Summary – Please complete for publishing on our website and append to any reports to, EMT or Board.

Completed Key findings Future actions equality analysis

Directorate: Property Services This policy applies to all employees Undertake further equality analysis when appointed to roles within St Leger Homes, the policy is reviewed, unless any adverse Function, policy or proposal name: Probation excluding those internally transferring to impact is identified earlier. Policy the same role and any employees who have TUPE transferred into the company. Function or policy status: New No negative impact was found. Name of lead officer completing the equality analysis:

Linda Keeling, Head of Human Resources and Health & Safety

Date of assessment: 20 May 2016

Equality Analysis Form Template v1 (2013)

ST LEGER HOMES OF DONCASTER Board Briefing Note

Title: Sheffield City Region (SCR) Social & Affordable Housing Compact

Action Required: To endorse & support the adoption of the Compact within SCR.

Item: 11

Prepared by: Susan Jordan, Chief Executive of St Leger Homes of Doncaster

Date: 28 September 2016

1. Background

1.1 A range of housing providers, including local authorities, ALMO’s and registered providers/housing associations, working across the Sheffield City Region (SCR) have come together to produce a Social and Affordable Housing Compact for the SCR.

1.2 The compact (attached at Appendix One) provides a commitment to work together, despite different roles and goals, to ensure the delivery of excellent services to customers/ tenants and to focus on meeting the housing needs and aspirations of people living and working in the region.

1.3 The Compact demonstrates a collective commitment to the core values of fairness, openness and transparency and aims to produce a cohesive and influential voice for social and affordable housing at regional and national level.

2. Governance Arrangements

2.1 It is intended that all signatories to the Compact (including St Leger Homes of Doncaster) gain the endorsement of its own governing body and provide support for the proposals contained within the compact prior to final sign off by the SCR.

2.2 The Compact is currently on its journey through various meetings, groups and boards with the intention of launching the compact late November/ early December 2016.

2.3 It is intended that all providers will be requested to formally pledge / sign up to the Compact just before or at the launch.

3. Implementation

3.1 The Compact sets out a series of value statements and aspirations for joint working and collaboration to achieve its objectives.

3.2 It is anticipated that the action plan will be delivered through a series of workstreams / working groups resourced from within the providers engaged in the Compact. In addition, there is potential for a SCR working team to be established and funded from SCR 1 resources.

3.3 The delivery of the action plan will need to be prioritized and supported on the basis of what matters most – both to the SCR and to individual partners, and their capacity to contribute.

4. Recommendations

4.1 Board is recommended to endorse and support the adoption of the SCR Social and Affordable Housing Compact and to delegate to the Chief Executive and / or Chair the signing of the formal pledge when the Compact is launched.

5. Report Author, Position, Contact Details

5.1 Susan Jordan, Chief Executive

6. Background Papers

6.1 SCR Social and Affordable Housing Compact

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Sheffield City Region Social and Affordable Housing Compact, 2016-18

Our Commitment

Local authorities, arms length management organisations (ALMOs) and housing

associations can have different roles and different goals in respect of social and affordable housing, and there are subtle variations between how these organisations experience and respond to the challenges and opportunities faced by the housing sector at present.

However, we all want to deliver excellent services to our customers, and we are all focused on meeting the housing needs and aspirations of people living and

working in the region.

Local authorities, ALMOs and housing associations across the Sheffield City Region are committed to working collaboratively to ensure we can continue to deliver high quality homes that are affordable to all, including the most vulnerable in society, and that these homes are located in balanced, sustainable communities.

This Compact demonstrates our collective commitment to the core values of fairness, openness and transparency; we will strive to develop a cohesive and influential voice at both a regional and national level on all matters associated with social and affordable housing. Also, we aim to take forward a strong

agenda for low cost home ownership and help the City Region meet its targets for new housing supply.

Collectively, local authorities, ALMOs and housing associations own and manage more than one fifth of all homes in the Sheffield City Region. The impact we can have on people’s lives and the economic wellbeing of the area is huge, and the Compact represents a major step forward towards co-ordinating

our approach.

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1. Introduction

1.1 Objectives of the Sheffield City Region Social and Affordable Housing Compact

 To create a common purpose for local authorities, ALMOs and housing associations providing and managing social and affordable housing in the Sheffield City Region (SCR).  To provide an effective mechanism for engagement with the Local Enterprise Partnership / SCR Combined Authority / Sheffield Place / Homes and Communities Agency / Central Government - and ensure the strategies of local organisations support the Strategic Economic Plan, and promote the devolution agenda for housing.  To complement the work of other key organisations involved in social and affordable housing policy issues (including the Association of Retained Council Housing, National Federation of ALMOs, National Housing Federation and Northern Housing Consortium), and avoid duplication by focusing on issues specific to the Sheffield City Region.  To focus on expanding the supply of new housing, supporting and investing in existing stock, understanding the products and services we need to deliver, ensuring vulnerable people can continue to access good quality affordable housing, and ensuring a range of low cost home ownership solutions are available across the region.  To enhance and increase opportunities for joint working / shared services, joint procurement and bidding for external resources.  To enable us to work collaboratively with other devolved regions.  To maximise opportunities provided by national policies and funding streams, and ensure they are coherent at a local level.  To facilitate better engagement of the housing sector in wider public sector reform discussions, particularly in the context of place-based solutions. This includes employment and skills, crime and policing, health and social care and poverty.

1.2 Success criteria: How we will know the Compact has made a real difference

 Local authorities, ALMOs and housing associations working together towards the commitment set out above and a clear shared understanding of each provider’s contribution to delivery  A clear understanding of where both new supply and disinvestment will occur, mapped against housing need and growth targets  Growth in the overall numbers of social and affordable housing units across the Sheffield City Region  Innovative new products and partnerships, including with the private sector, emerging as a result of collaboration

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 Improved information about and communication / promotion of all low cost home ownership products  People who need social housing continue to be able to access affordable decent accommodation  A more strategic approach to housing investment reflecting the use of RTB receipts and a common agreement on RTB exemptions  Housing delivery expedited through collaborative working, sharing skills and joint procurement, between organisations and geographical boundaries  Agreed, shared core principles between social housing providers regarding sustainable communities  Other City Regions viewing the Compact as an example of good practice

Measures and targets for each of the criteria are set out in the table in chapter 13.

Statutory responsibilities remain with respective organisations and the Compact is not about ceding funding and powers, but about collaborative working and maximising outcomes / adding value.

1.3 How the SCR Social and Affordable Housing Compact was developed

The SCR Housing Forum met in January 2016 to discuss the key issues of meeting the challenge to deliver housing growth, Right to Buy extension to housing associations and a collective framework for allocations, and it was agreed that a working group should be established to develop a common set of principles that all major landlords across the SCR could sign up to. The working group was launched in March 2016 and identified roles and responsibilities to ensure appropriate linkages to the SCR Housing Executive Board and Housing Directors Group. This Compact was developed between April and August 2016 and launched on (date). A full list of signatories can be found on pages 18 to X.

1.4 Governance arrangements

This document was formally approved by….

It will be reviewed annually by…..

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1.5 List of social and affordable housing providers in the Sheffield City Region

Local authorities

Barnsley Metropolitan Borough Council Doncaster Metropolitan Borough Council Bassetlaw District Council North East Derbyshire District Council Bolsover District Council Rotherham Metropolitan Borough Council Chesterfield Borough Council Sheffield City Council Derbyshire Dales District Council

ALMOs

A1 Housing (Bassetlaw) Rykneld Homes (Chesterfield) Berneslai Homes (Barnsley) St Leger Homes (Doncaster)

Housing associations

ACIS Group Jephson HA Ltd / Stonewater Action Johnnie Johnson Affinity Sutton Longhurst and Havelok Homes Alpha Homes Metropolitan Anchor Trust Nottingham Community Arches Housing Ltd Peak District Rural ASRA Housing Group Places for People Axiom Riverside Group Dales Housing Sadeh Lok Derwent Living South Yorkshire East Midlands Sanctuary Equity Housing Group Salvation Army Framework Housing Target Housing Ltd Great Places Together Housing Group The Guinness Partnership Trident Housing Habinteg Yorkshire Housing Hanover Waterloo Housing Group Home Group

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1.6 Summary of key statistics by local authority area

Household tenure

with with

Households Owned outright Owned mortgage Shared Ownership CouncilRent* Housing Association PrivateRent Living free rent Barnsley 100,734 30,778 34,029 445 17,831 3,201 12,856 1,594 Bassetlaw 47,667 16,295 16,820 172 6,152 1,427 5,975 826 Bolsover 32,801 10,691 11,272 92 4,922 1,043 4,276 505 Chesterfield 46,796 15,065 14,482 156 9,385 1,447 5,813 448 D Dales 30,744 13,513 8,756 229 1,330 2,406 3,860 650 Doncaster 126,487 39,253 43,507 418 19,173 3,230 18,774 2,132 NE.Derbysh 43,070 16,471 14,060 168 7,817 964 3,183 407 Rotherham 108293 33,031 37,579 309 19,436 3,853 12,262 1,823 Sheffield 229,928 62,329 71,798 881 40,725 16,192 35,760 2,243 Total 766,520 237,426 252,303 2,870 126,771 33,763 102,759 10,628 Source: Census 2011. Table QS405EW.

*Tenure is self-defined and therefore may not accurately reflect stock levels

Housing Register figures

Households Expressed as % of registered total no. households Barnsley 6,951 6.9 Bassetlaw 2,738 5.7 Bolsover 1,436 4.3 Chesterfield 1,359 2.9 Derbyshire Dales 1,300 4.2 North East Derbyshire 1,425 3.3 Doncaster 8,683 6.8 Rotherham 5,371 4.9 Sheffield 26,728 11.6 Total 55,454 7.2

Source: Gov.uk Live Tables. Table 600 – waiting list data 2015 (or updates from local authorities where provided); Census 2011

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1.7 Strategic context: The next three years

The major national policy changes affecting social and affordable housing in the Sheffield City Region are set out in the table below. As noted in the mission statement, opportunities and challenges can be different for local authorities, ALMOs and housing associations – and through this Compact we will develop a stronger position on meeting the needs of residents in our region.

Policy / issue Opportunities Challenges As set out in the SCR -Devolution of some -Continuing and increasing Strategic Economic Plan: housing powers to the pressure on public sector ‘In order to support 70,000 SCR to help deliver resources new jobs over the next ten Government’s housing -Collaboration and years we need to provide growth ambitions, and the innovation more important on average between 7,000 ‘Northern Powerhouse’ than ever to enable us to and 10,000 new dwellings -Funding available to help deliver on economic and per year’’ deliver growth housing growth ambitions -Strong partnerships already in place -Opportunities to collaborate / co-ordinate on delivery

Social rent reduction Rents are more affordable Major implications for (introduced in July 2015 for tenants who are not on housing business plans budget) of 1% per annum benefits due to shortfall from over four years projections

Extension of the Right to -More social housing -Reducing social housing Buy (RTB) to housing tenants able to take up stock associations (introduced in discounted home -Obligation on local the Housing and Planning ownership authorities to pay for the Act) -Where demonstrable discounts, by either need, local authorities enforced sale of higher allowed to retain some value stock or equivalent enforced sale proceeds to levy replace social housing

Fixed term tenancies Helping to ensure social -Potential for a confusing (introduced by the housing stock is available and inconsistent Housing and Planning Act) for those who need it landscape – different rules for local authorities / housing associations -Impact on sustainable communities

‘Pay to Stay’ policy May result in higher -Potentially damaging to (Housing and Planning earners moving out, sustainable communities Act) whereby households freeing up homes for those -May increase RTB

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Policy / issue Opportunities Challenges earning over £30K will be in greater need -Potential inconsistencies / required to pay higher confusion between areas rents)

The Government’s -Commitment to home -Fewer new social rented Affordable Housing ownership – aligned with homes being built to Programme is now residents’ priorities and replace the stock lost focused on home aspirations through Right to Buy, and ownership and Starter -Building new homes can enforced sale of higher Homes, rather than social support employment and value local authority rented housing growth needs properties -Key challenge to ensure best use of limited stock

Further Welfare Reform -Opportunity to work -Impact on under 35s, policies: collaboratively on money shortage of bedsit -Reduction of the benefits advice / support services accommodation cap to £20K -Partnership work to -Supported housing rents / -Reducing housing benefit provide affordable shared service charges likely to to Local Housing rented housing for under exceed LHA rate Allowance (LHA) rate 35 years olds -Caution in the sector for -People aged 35 and new developments due to under only able to claim uncertainty over future LHA ‘shared -Serious risk to key accommodation’ rate services -Supported housing tenants potentially, after one year, only being able to access the LHA rate -Automatic entitlement to the housing element of Universal Credit to 18-21 year olds removed, with some exceptions, from April 2017

Demographic changes: -We need more effective -More specialist housing -Ageing population across integration of housing, for older people is required the SCR health and social care – -LHA rate for supported -Migration strong partnerships housing a challenge developing and improving -Opportunity to pool intelligence and data and find ways of working together more effectively and innovatively

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2. Overarching principles

In signing up to this Compact, all local authorities, ALMOs and housing associations have agreed to the following principles:

 Commitment to ensuring all our people, including the most vulnerable, can access good quality, affordable housing  Sharing information in an open and transparent way  Communicating and working together to achieve a collective, influential voice, to enable effective discussion to take place on social and affordable housing matters with other key organisations  Sharing best practice and assisting each other to deliver the best possible services to current and future social housing tenants across the Sheffield City Region  Working in partnership to access external funding and develop new supply  In particular, working in partnership with each other and with health, social care and voluntary / community sector services, to improve residents’ health and wellbeing  Supporting system change through the integration of health, social care and housing

3. Understanding the demand for social and affordable housing and the types of products needed now and in the future

 We will share our strategic housing market assessments and other data held regarding housing needs, and work cooperatively towards developing an overarching Sheffield City Region picture of need  We will share data and good practice, via appropriate channels, on the impact of welfare reform policies to help us take a collective approach to supporting residents through these changes  We will work proactively, in smaller working groups where appropriate, to pool our resources and expertise, and to develop initiatives to meet this challenge  We will develop products and services that enable and support working age households to access affordable home ownership  We will work collaboratively with health and voluntary / community sector services to better understand health and care markets, and develop high quality housing to meet the needs of groups with specialist needs  In particular we will work together to ensure older people across the Sheffield City Region have a range of excellent housing options to enable them to maintain their independence, health and wellbeing for as long as possible

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4. Increasing and improving the supply of new social and affordable housing

 We will work collaboratively to ensure a range of affordable home ownership products are available, including Starter Homes, Help to Buy and Shared Ownership  We will ensure our affordable housing policies adequately reflect housing need and are flexible to take account of the changing products available  We will also make the economic case for new social rented housing and ensure sufficient social housing continues to be available to meet need  We will seek, through our collective voice, to have a positive dialogue with the Sheffield City Region Joint Assets Board in respect of releasing public land for new affordable housing delivery  As part of our commitment to information sharing we will identify and map our existing supply of social and affordable housing, establishing a clear schedule of all planning applications approved and demonstrating the mix of tenure across communities  We will identify opportunities for joint venture partnerships between housing associations and local authorities and the private sector  We are committed to ensuring our social and affordable housing stock is of a decent quality and energy efficiency rating, and is well-managed  We will work together on bringing empty homes back into use

5. Right to Buy

RTB stock replacement:

 We will work across local authority boundaries and between organisations to understand the expected demand for RTB, and the types, tenures and locations of new housing required to replace the stock lost through RTB and enforced sale of higher value local authority stock.  We will work together to endeavour jointly to replace housing sold through the RTB on a one for one basis, including the prioritisation of Section 106 acquisitions as RTB replacement homes, and local authorities seeking to make land available for replacement homes  We will work together to develop a proposal for the SCR to match fund RTB receipts to increase the numbers of replacement units we can deliver  We have a shared commitment to replacing homes in locations which support the SCR Growth Plan, and with more social rented homes

Efficiency and shared services:

 We will identify opportunities to work more efficiently, for example through shared administration functions and by jointly commissioning key services such as property valuations and fraud prevention

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 Partners will explore opportunities for sharing services and technology. We will work together to minimise the risk of fraudulent applications and “gaming” of the system.

Introduction of the voluntary RTB:

 We will work together on detailed policy development around RTB, and where possible synchronise approaches between housing associations  We will co-ordinate our policies on exemptions, including S106, supported housing, adapted homes and properties in rural areas. We will agree common definitions and, where applicable, locations for exempted properties  We will work together to map locations for exempted properties and seek to provide new low cost home ownership opportunities in these areas.  We will assist each other by identifying properties tenants can buy, using their ‘portable’ discounts (for example if their current home is rural and exempt)

6. Sustainable communities

 We are committed to ensuring communities are balanced and sustainable and have a mix of different tenures to meet varying needs  We will communicate effectively between organisations to develop local lettings policies that reflect the needs of individual neighbourhoods  We will share data and intelligence to enable a clear map to be produced to show areas of high demand and high turnover across the SCR, so we can work together to create sustainable neighbourhoods  We will co-ordinate our policies on the provision of and renewal criteria for fixed term tenancies, to ensure the differences are clearly understood., and will aim to create a level playing field between organisations  The enforced sale of higher value local authority stock (to pay for housing association RTB discounts) will potentially lead to imbalances of affordable housing in certain areas, and we will work together to mitigate against the impact this could have on sustainable communities  We will work across local authority boundaries and between different housing organisations, to help tenants to move into homes that meet their needs. This will reduce under-occupation of social and affordable housing, make the best use of stock and help to ensure people are adequately housed in homes that meet their needs

7. Allocations

 We believe that social landlords should continue to house people in the greatest need, whilst balancing this against the need for sustainable communities

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 Nominations agreements should continue at 50% to the local authority, with flexibility regarding local lettings policies and the potential for local authorities to ask for a higher figure in particular circumstances  We will work together openly and transparently on the development of lettings policies and consult each other on any proposed changes, to ensure we fully understand the impact of these changes on other social landlords  We will take a co-ordinated approach to how we attract younger people into social and affordable housing

8. Contribution of social and affordable housing to delivery of the Sheffield City Region’s ambitions for growth

 Social and affordable housing provision can make a key contribution to economic growth across the region, in terms of both job creation, and provision of homes for many of the people who will be occupying the 70,000 new jobs to be created  We will work together to make the most of the opportunities afforded by Devolution to the SCR, and as the devolution agenda evolves we will ensure the housing sector evolves accordingly  We will work together to identify and maximise training, apprenticeships and wider regeneration opportunities  Section 106 properties will be targeted for social rented housing wherever appropriate

9. Housing, health and social care

 We will work together and with health and social care commissioners and service providers, and the voluntary / community sector, to identify shared outcomes and develop new specialist housing and services  We will establish multi agency working groups to understand customer journeys and pathways, and ensure appropriate referral routes are in place between services and agencies  We will work with the NHS to ensure appropriate multi-agency hospital discharge policies are in place and to develop innovative step up / step down accommodation  We will work in partnership on affordable warmth initiatives, to reduce fuel poverty and winter deaths

10. Homelessness and rough sleeping

 We will work together to eradicate rough sleeping, respond to the needs of the homeless and hidden homeless, and share data to ensure we develop policies to respond to changing patterns of homelessness

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11. Rural housing

 Rural housing can be innovative and responsive to localised needs  Seven of the nine SCR authorities have significant rural populations, and we will work together to ensure we articulate the importance of considering rural housing needs in the development of housing policies and allocating resources for new homes, alongside the more obvious urban issues  We will ensure that SCR housing policies are ‘rural proofed’ to ensure rural issues are taken in to account

12. Sharing best practice

 We will develop a virtual network to facilitate contact and collaboration on policy issues, and sharing best practice  We will work together to develop smarter ways of combining resources and collaborating to reduce our overheads and improve overall efficiency.

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13. Success criteria, measures and targets (DRAFT)

Targets Success criteria Measures 6 months 1 year 2 years

Local authorities, ALMOs and housing  All local authorities, ALMOs and 100% sign associations working together towards the active housing associations up and commitment set out above and a clear shared signed up successful understanding of each provider’s contribution  SCR endorsement of the Compact launch to delivery  Clear definition of each provider’s role / objectives Implement a Yammer group (SYHA) to enable colleagues to share information

A clear understanding of where both new  Clear portrait of each All data on SCR wide supply and disinvestment will occur, mapped organisation’s development / need / map of against housing need and growth targets divestment plans, pulled together supply / investment at SCR level divestment priority sites  Housing needs data shared, shared and integrated plan in place collated  Increased awareness across housing association / developer sector of priority investment areas

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Targets Success criteria Measures 6 months 1 year 2 years

Growth in the overall numbers of social and Numbers of the following products Establish a Adopted rural New building affordable housing units across the Sheffield started (interval tbc) in each local suite of action plan starts – 10% City Region authority area: performance with increase  Social rent – general information recognition  Social rent – specialist to be across the  Shared ownership – general collected SCR  Shared ownership – specialist based on  Rent to Buy agreed  Starter Homes definitions Mapped against knowledge of need for each type of product Measured by individual organisation and at the combined SCR level

Innovative new products and partnerships  Case studies Annual report Agree including with the private sector, emerging as  Register of new partnership on outcomes timescale a result of collaboration initiatives under each and action workstream plan for encouraging and supporting PRS development supported by PRS standards and

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Targets Success criteria Measures 6 months 1 year 2 years

enforcement on health and housing standards

Improved information about and  Website in place with clear Housing communication / promotion of all low cost information and signposting about options and home ownership products products in the SCR (not advice set up duplicating other agencies) and receiving  Measure number of hits on hits website

People who need social housing can continue  Social rented stock levels for each Housing Social to access affordable decent accommodation organisation (charted over time) association housing  Numbers of people on housing nominations stock – no registers to have overall loss  Homeless acceptances stayed at  Numbers of Council and housing 50% or more Maintained association new tenancies and or increased relets the number of social / affordable rent units across the SCR

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Targets Success criteria Measures 6 months 1 year 2 years

A more strategic approach to housing  Monitoring of SCR allocations of Establish No RTB investment reflecting the use of RTB receipts receipts RTB receipts and a common agreement on RTB  Common agreement in place (yes working returned to exemptions / no) group central  Programme bid / allocation (yes / Government no) Housing delivery expedited through  Planning policy for cross boundary Compile list Assess collaborative working, sharing skills and joint developments of all feasibility of a procurement, between organisations and  Numbers of developments procurement SCR wide geographical boundaries delivered that would otherwise frameworks procurement have been prevented or against a each SCR consortium baseline trend organisation currently subscribes to

Agreed, shared core principles between  Commonly adopted definitions of Annual report social housing providers regarding need and sustainable on outcomes sustainable communities communities under each  STAR survey results – satisfaction workstream with the area as a place to live

Other City Regions viewing the Compact as  Number of people enquiring about Raise the Compact an example of good practice the Compact profile and endorsed and  Hits on the website importance supported by  Compact referenced in press of the the elected releases and showcased e.g. Compact – Mayor

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Targets Success criteria Measures 6 months 1 year 2 years

through awards schemes launch, Inside Gather and Housing, present case ongoing studies of annual successful session etc work Compact partners are currently doing to contribute to wider agendas e.g. health and wellbeing

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14. Signatories

Type of Signatory Organisation organisation Name Position Signature Date

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15. Glossary

Affordable housing

Formerly a general term, used more or less interchangeably with social housing. Housing produced by a registered provider (usually with subsidy from the Homes and Communities Agency) which is intended to be for households who cannot pay the market price in their area.

Affordable must include the provision for the home to remain affordable in the future, or is these restrictions are lifted for the subsidy to be recycled for alternative affordable housing1.

Arms length management organisation (ALMO)

A not- for- profit company set up and owned by a local authority to carry out day to day management of its housing stock. The ownership of the housing stock stays with the council and it remains the legal landlord. The ALMO is controlled by a board of management, usually made up of an equal number of councillors, tenants and independents1.

Association of Retained Council Housing (ARCH)

The association of councils in England who have retained ownership and management of their council homes. Performs a variety of functions including: representing collective interests of retained stock councils; lobbying government for a strong retained stock sector; helping members meet the challenges and seize the opportunities of government initiatives; demonstrating the benefits of retained stock; promoting best practice; listening to the views of tenants.2

Choice based lettings

Replaces the traditional way of matching people on the waiting list to properties according to points and priorities. Instead prospective tenants apply for available vacancies that are widely advertised. Aims to give people more choice about where they live 1.

Combined Authority

A legal structure that may be set up by two or more local authorities in England, following a governance review. They may take on transport and economic development functions, and any other functions that their constituent authorities agree to share1.

Help to Buy

A government-backed equity loan scheme available to first time buyers of up to £600,000 purchase price. The purchaser has to provide a 5% deposit; the government provides a 20% equity loan which must be repaid when the property is sold; the purchaser obtains a mortgage of 75% of the purchase price1.

Homes and Communities Agency

Agency created by the Homes and Regeneration Act 2008 to join up the delivery of housing and regeneration. Brought together the regeneration functions of English Partnerships, the investment functions of the Housing Corporation, the Academy for Sustainable Investment, and some housing and regeneration programmes delivered by the Department for Communities and Local Government1.

1 National Housing Federation, Housing Jargon Book, 8th Edition, February 2016 2 http://www.arch-housing.org.uk/about.aspx 19

Housing and Planning Act 2016

An Act to make provisions about housing, estate agents, rent charges, planning and compulsory purchase3.

Local Enterprise Partnership (LEP)

Locally owned partnership between local authorities and businesses, playing a central role in determining local economic priorities, and undertaking activities to drive economic growth and the creation of local jobs1.

Local Housing Allowance

The way of working out Housing Benefit for private tenants, introduced nationally in April 20081. The amount tenants are eligible for depends on where they live, household size, income and circumstances4.

National Federation of ALMOs

The trade body which represents all arms-length management organisations (ALMOs) across the UK. The NFA represents the interests of ALMOs at the national level, lobbying and negotiating with central government on their behalf. In addition to this the NFA runs a website, organises events and regional meetings for its members and provides advice and briefings5.

National Housing Federation

The central representative, negotiating and advisory body for housing associations and other non- profit housing bodies in England. The Federation: represents its members to government and the Homes and Communities Agency on a wide range of financial and other matters; gives advice and guidance to members; publishes a wide range of publications and literature; campaigns for housing association provision of social housing; organises conferences, seminars and training for housing association staff and boards; facilitates mutual support for associations through a range of specialist and regional meetings1.

Northern Housing Consortium

The Northern Housing Consortium represents the views of housing organisations in the North of England. We are a membership organisation made up of local authorities, ALMOs and associations that provide social housing for tenants.6

Northern Powerhouse

A concept first introduced in June 2014 by the Chancellor of the Exchequer, Rt Hon George Osborne MP, in a speech in Manchester, referring to harnessing the economic potential of the north to drive growth, attract investment into northern cities and towns and redress the North-South economic imbalance7.

3 http://www.legislation.gov.uk/ukpga/2016/22/introduction/enacted 4 https://www.gov.uk/housing-benefit/what-youll-get 5 http://www.almos.org.uk/nfa_core_values 6 http://www.northern-consortium.org.uk/about-northern-housing-consortium/ 7 http://www.bbc.co.uk/news/magazine-32720462 20

Right to Buy

Under the Housing Act 1980, most secure tenants of non-charitable housing associations or local authorities have the right to buy their home at a discount, after a minimum period of residence1. The Housing and Planning Act 2016 makes provision for this to be extended to tenants of housing associations8.

Shared Ownership

A government funded scheme for the sharing of equity in a property between an occupier and a housing association. The occupier purchases a property at a proportion of its value and pays a rent to cover the share in the equity retained by the association.

Sheffield City Region

The Sheffield City Region encompasses more than 1.8 million people and approximately 700,000 jobs. It is comprised of the nine local authority areas of Barnsley, Bassetlaw, Bolsover, Chesterfield, Derbyshire Dales, Doncaster, North East Derbyshire, Rotherham and Sheffield. The Sheffield City Region Combined Authority was established on 1st April 20149.

Sheffield City Region Joint Assets Board

A board formed by the local authorities within Sheffield City Region and the Homes and Communities Agency to influence asset disposals in a way that supports the local economy10.

Social housing

1. Formerly a general term including most rented housing owned by local authorities, housing associations, new towns, and housing action trusts. Generally lower rents than housing available in the local market. 2. Low cost rental accommodation and low cost home ownership as defined by ss68-70 and 77 of the Housing and Regeneration Act 2008 . Aimed at people whose needs are not met by the commercial market.

Starter Homes Initiative

A Government initiative in England that aims to help young first-time buyers (below 40 years) to purchase a home with a minimum 20% discount off the market price11.

Strategic housing market assessment

The National Planning Policy Framework requires local authorities to assess their full housing needs, working with neighbouring authorities where housing market areas cross administrative boundaries. The Strategic Housing Market Assessment should identify the scale and mix of housing and the range of tenures that the local population is likely to need over the plan period12.

8 http://www.legislation.gov.uk/ukpga/2016/22/introduction/enacted 9 http://sheffieldcityregion.org.uk/about/overview/ 10 https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/466616/Sheffield_devolution_deal_October_201 5_with_signatures.pdf 11 http://www.new-homes.co.uk/starter-homes/ 12 http://planningguidance.communities.gov.uk/blog/guidance/housing-and-economic-development-needs-assessments/the- approach-to-assessing-need/ 21

Strategic Economic Plan

Produced by LEPs, setting out the area’s strategy for local economic growth and its use of all resources and levers for growth, which formed the basis of LEP bids for Growth Deal funding from Government13.

Welfare reform

Changes to the benefits system.

Welfare Reform and Work Act 2016

Introduced extensive changes to welfare benefits, tax credits and social housing rent levels, with the aim of making significant welfare spending savings. The welfare/ housing measures include:  Lowering the benefit cap threshold and varying it between London and the rest of the UK  A four-year benefits freeze;  Limiting support through Child Tax Credits/ Universal Credit  The abolition of Employment and Support Allowance work related activity component.  Reducing social housing rent levels by 1% for four years from 2016-17. 1

13 https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/224776/13-1056-growth-deals-initial- guidance-for-local-enterprise-partnerships.pdf 22

ST LEGER HOMES OF DONCASTER LTD Company limited by guarantee registered in England Company Number 05564649

Board Meeting

REPORT

Date : 28 September 2016

Item : 12

Subject : Financial Regulations and Contract Standing Orders

Presented by : Julie Crook Director of Corporate Services

Prepared by : Nigel Feirn Interim Head of Finance

Purpose : To present Board with updated Financial Regulations and Contract Standing Orders for review.

Recommendation :

For Board to approve the updated Financial Regulations and Contract Standing Orders.

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Company Number 05564649 A Company Limited by Guarantee Registered in England

To the Chair and Members of the Agenda Item No: 12 ST LEGER HOMES OF DONCASTER BOARD Date: 28 September 2016

1. Report Title

1.1 Financial Regulations and Contract Standing Orders

2. Executive Summary

2.1 The Financial Regulations and Contract Standing Orders form part of the overall Corporate Governance Framework and were last updated and approved by Board in 2012.

2.2 In the period since the last update, there have been:  Legislative changes introduced in the form of the Public Contract Regulations 2015, which sets out new procurement rules for public companies;  New or updated policies within St Leger, notably a new Debtors Policy; and  Operational changes such as new banking arrangements, procurement systems (P2P and TOTAL), and income collection arrangements.

2.3 It is therefore timely to review the Financial Regulations and the related Contract Procedure Rules and these have been updated to reflect any changes and recognised good practice. The changes to the Financial Regulations have been highlighted for ease of reference. The Contract Procedure Rules have been re-written and renamed as Contract Standing Orders.

2.4 In addition, both documents have been combined to form a stand-alone ‘Financial Regulations and Contract Standing Orders’ document which provides clear rules which all St Leger employees must adhere to. The Financial Regulations and Contract Standing Orders reference related strategies, policies and procedures as appropriate.

3. Purpose

3.1 To present the Board with updated Financial Regulations and Contract Standing Orders for review.

4. Recommendation

4.1 For the Board to approve the updated Financial Regulations and Contract Standing Orders.

5. Procurement

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5.1 Procurement matters are explicitly referred to within the updated Financial Regulations and Contract Standing Orders, which give detailed procedures to be followed for all areas where expenditure will be incurred.

6. Value for Money

6.1 Value For Money is achieving the optimum balance of cost, performance and quality of the goods and services being procured and Financial Regulations and Contract Standing Orders are a fundamental part of this.

7. Financial Implications

7.1 All the financial implications are considered within the body of the report.

8. Legal Implications

8.1 Legal implications are referred to where appropriate in the Financial Regulations and Contract Standing Orders.

9. Risks

9.1 The Financial Regulations and Contract Standing Orders are a key control document within St Leger Homes’ Governance Framework and therefore risk is implicit throughout the document and explicitly referred to where appropriate.

9.2 Adherence to the Financial Regulations and Contract Standing Orders is essential to mitigate Financial, Operational and Reputational risks.

10. IT Implications

10.1 IT implications are referenced as appropriate.

11. Consultation

11.1 No specific implications arising and references are implicit within the report where appropriate. Customer involvement and consultation were built in to the budget setting process and budget holders have been directly involved in the revenue monitoring process.

12. Diversity

12.1 There are no diversity issues arising from this report.

13. Communication Requirements

13.1 There are no communication requirements arising from this report.

14. Equality Analysis

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14.1 Not applicable.

15. Environmental Impact

15.1 Environmental impacts are referenced as appropriate.

16. Report Author, Position, Contact Details

16.1 Nigel Feirn Interim Head of Finance 01302 737485

17. Background Papers

17.1 Appendix A – Updated Financial Regulations and Contract Standing Orders 17.2 Appendix B – Authorised Signatory Matrix

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Appendix A

Financial Regulations and Contract Standing Orders

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Appendix A Contents

1 INTRODUCTION 5 1.1 Background 5 1.2 Definitions and Interpretations 5 1.3 General Guidelines 6 2 PRINCIPLES OF GOOD GOVERNANCE 6

3 RESPONSIBILITIES 7 3.1 Board and Committees 7 3.2 Executive Directors 7 3.3 Scheme of Delegation 8 4 NON COMPLIANCE OF THE FINANCIAL REGULATIONS 8

5 FINANCIAL AND BUSINESS PLANNING AND CONTROL 8 5.1 Financial Year 8 5.2 Annual Budget 8 5.3 Budgetary Monitoring and Control 8 5.4 The Accounting Procedures 9 5.5 Annual Statement of Accounts 9 5.6 Virements 10 6 RISK MANAGEMENT 10 6.1 Introduction 10 6.2 Internal Control 11 6.3 Internal Audit 11 6.4 External Audit 11 6.5 Business Continuity 12 6.6 Gifts, Hospitality & Conduct 12 6.7 Document Retention Periods 12 6.8 Insolvency Procedures 12 6.9 Fraud, Corruption and the Bribery Act 2010 13 6.10 Insurances 13 7 INCOME 14 7.1 Monies Due 14 7.2 Rent Income and Cash (DMBC Property) 14 7.3 Grants & Certification 15 8 EXPENDITURE 15 8.1 General 15 8.2 Key Controls 15 8.3 Payment of Invoices 17 8.4 Petty Cash 19 8.5 Purchasing Cards 20 8.6 Decorating Vouchers 20 8.7 Service Level Agreements 20 8.8 Goodwill, Ex-Gratia and Compensation 21 9 SALARIES, WAGES AND PENSIONS 21

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Appendix A 9.1 General 21 9.2 Employee and Board Members Expenses 22 9.3 Redundancy and Other Employee Payments 22 10 ASSETS 22 10.1 General 22 10.2 Disposal of Assets 23 10.3 Stocks and Stores 23 11 TREASURY MANAGEMENT 24 11.1 General 24 12 INFORMATION TECHNOLOGY 24 12.1 Computer Technology 24 13 PROCUREMENT AND CONTRACTS 24 13.1 Procurement Strategy 24 13.2 Contracts 24

CONTRACT STANDING ORDERS 1.0 Introduction and definition of Procurement 28 2.0 Basic Principles of Procurement 28 3.0 Service Level Agreements (SLA) 29 4.0 Compliance 29 5.0 Forward Plan and Contracts Register 30 6.0 Budget Availability 30 7.0 Estimating Contract Value 30 8.0 Procurement Business Case 31 9.0 ICT and ICT Related Contracts 31 10.0 Awarding of Contract 31 11.0 Relevant Contracts 32 12.0 Exemptions to Contract Standing orders 32 13.0 Waivers to Contract Standing orders 33 14.0 Using In House Suppliers (IHS) 33 15.0 Using Company Wide Contracts 33 16.0 Using Framework Contracts 33 17.0 Approved Lists 34 18.0 Joint Procurement 34 19.0 Contracts valued up to £5,000 34 20.0 Contracts valued £5,000 to £25,000 34 21.0 Contracts valued £25,000 to £164,176 for Supplies and 35 Services, £589,148 for Contracts under the Light Touch Regime and£25,000 to £4,104,394 for Works (current EU threshold) 22.0 Contracts valued over £164,176 for Supplies and Services, 36 £589,148 for Contracts under the Light Touch Regime and £4,104,394 for Works 23.0 Qualification 37 24.0 The Invitation to Tender/Quote 37

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Appendix A 25.0 Submission, Receipt, Opening & Registration of 38 Tenders/Quotes 26.0 General 39 27.0 Evaluation of Tenders and Quotations 39 28.0 Errors in Tenders/Quotations 40 29.0 Post Tender Negotiation 40 30.0 Awarding Contracts 40 31.0 Debriefing 41 32.0 Contract Award Notice 41 33.0 Contract Terms & Conditions 42 34.0 Contract Extensions and Variations 42 35.0 Termination of Contract 43 36.0 Procurement by External Agents 43 37.0 Board Member/s Involvement 44 38.0 Record & Document Retention Control 44 39.0 Purchase Cards 44 40.0 Cost Control 44 41.0 Contract Claims 45 42.0 Review & Amendment of Contract Standing orders 45 Appendices

Glossary of Terms A Financial Authorisation Matrix B

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Appendix A

1. Introduction

1.1. Background

1.1.1. St Leger Homes of Doncaster Limited (“the Company”) is an Arm’s Length Management Organisation (ALMO), a Company limited by guarantee, wholly owned by Doncaster Metropolitan Borough Council. It provides services for the Council under the auspices of a formal Management Agreement with the Council.

1.1.2. The Financial Regulations and Contract Standing Orders of the Company form part of its overall Corporate Governance Framework. The Articles of the Company, the Terms of Reference of the Board and its Committees, and the Standing Orders outline how the Company will be controlled and run.

1.1.3. The Financial Regulations are the basis of the delegation of financial management and control, and borrowing and treasury management functions by the Board to the employees. They are the principles and rules which must be applied to all specific procedures involving finance. They apply to SLHD and all its related undertakings (“SLHD”), and give employees clear, delegated authority within limits to make decisions and to commit SLHD to expenditure.

1.1.4. Compliance with the Financial Regulations is compulsory for all staff.

1.1.5. This document sets out the Company’s Financial Regulations and Contract Standing Orders which form part of the Governance Assurance Framework. It translates the Company’s broad policies relating to financial control into practical rules.

1.1.6. The Financial Regulations and Contract Standing Orders should be read in conjunction with the detailed policy and procedural documents which underpin the Financial Regulations in specific areas of the business.

1.1.7. The Financial Regulations and Contract Standing Orders apply to every Board Member, Committee of the Board and staff member of the Company and Executive Directors, Officers and staff of any related party, Company or anyone acting on its behalf.

1.1.8. All Board Members and staff have a duty to take reasonable action to provide for the security of the assets under their control, and to ensure that the use of resources within the Company is legal, properly authorised, in the best interests of the Company and delivers Value for Money (VfM) for the Company and its customers.

1.1.9. These Mandatory Regulations set the framework within which SLHD will operate to ensure Compliance with Local and Central Government requirements. SLHD will use Best Practice to achieve VfM, whilst incorporating the values of sustainability, equalities and diversity.

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Appendix A 1.1.10. These Regulations encourage innovation and continuous improvement and ensure that SLHD operates within an environment of economy, efficiency and effectiveness. They replace the Financial Regulations and Procurement Standing Orders agreed by the Board in 2012.

1.2. Definitions and Interpretations

For the purposes of the Financial Regulations and Contract Standing Orders, unless stated to the contrary, the terms below shall have the following meanings:

1.2.1. “The Company” refers to St Leger Homes Limited, registered Company number 05564649;

1.2.2. “Member” means a duly appointed member of the Board of St Leger Homes of Doncaster Limited.

1.2.3. “Executive Director” means an employee of St Leger Homes of Doncaster Limited holding a post designated as a Executive Director.

1.2.4. “Company Secretary” means an Executive Director designated by the Board in accordance with the Companies Act 1985 (and as subsequently amended), or a senior member of the management team to whom duties are delegated in accordance with the Company’s Scheme of Delegation.

1.2.5. “The Council” refers to Doncaster Metropolitan Borough Council.

1.2.6. “The Chief Financial Officer” of the Company is the Director of Corporate Services who is primarily responsible for managing the financial risks of the business. This officer is also responsible for financial planning and record keeping, as well as financial reporting to the Chief Executive and Company Board.

1.3. General Guidelines

1.3.1. The Company will operate to best practice. All Board Members and Staff will demonstrate exemplary standards of conduct and probity.

1.3.2. The Board are responsible for controlling the finances of the Company.

1.3.3. All procedures and actions support SLHD’s Corporate and Departmental aims and must be for the benefit of and ensure VfM for SLHD and its Stakeholders.

1.3.4. These documents apply when incurring expenditure on behalf of SLHD. If the expenditure is DMBC then their procedures will apply.

2. Principles of Good Governance

2.1. The Company endeavours to incorporate best practice wherever possible. Recognised Governance Codes within and outwith the sector, such as the National Housing Federation and Financial Reporting Council, will be regularly reviewed to inform the Company’s governance framework

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Appendix A 2.2. The following principles have been developed by the Company and underpin these Regulations.

 Focusing on the organisation and purpose and the outcomes for its service users.

 Performing effectively in clearly defined functions and roles.

 Promoting values for the whole organisation and demonstrating the values of good governance through behaviour.

 Taking informed, transparent decisions and managing risk.

 Developing the capacity and capability of the Board to be effective.

 Engaging stakeholders and being accountable.

3. Responsibilities

3.1. Board and Committees

3.1.1. The Board determine and control the strategic direction of the Company and ensure the day to day management is effectively carried out by the Chief Executive Officer and the Company’s staff.

3.1.2. The Board is responsible for regulating and controlling the finances of the Company, ensuring that a financial framework exists within which all Executive Directors, managers and staff may properly act and are fully accountable for their actions and for ensuring that the Company’s legal and financial responsibilities are fulfilled.

3.1.3. The Board and the Audit Committee shall keep under regular review the need for new regulations and amendments to existing ones for the supervision and control of the finances, accounts, income, expenditure and assets of the Company.

3.2. Executive Directors

3.2.1. The Chief Executive is responsible for the corporate and overall strategic management of the Company.

3.2.2. The Chief Executive is also responsible for establishing a framework for management direction, style and standards and for monitoring the performance of the Company.

3.2.3. Executive Directors are responsible for ensuring that:

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Appendix A  All staff under their management are aware of the existence and content of the Financial Regulations, and other regulatory documents, and that they are adequately trained, skilled and experienced to be able to comply with them;

 The Board is advised of the financial implications of all proposals and that all such financial implications are communicated to, and agreed by, EMT in advance of presentation to Board; and

 The financial activities of their Directorate are managed within the framework and budgets approved by Board and procedures determined by the Director of Corporate Services.

 It is also the responsibility of each Executive Director to consult with the Director of Corporate Services and seek approval from EMT on any matter liable to materially affect the finances of the Company, before any commitments are incurred.

 Directors have a duty to ensure systems of control;

 risk assessment and risk management are established and maintained

3.3. Employees

3.3.1. It is the responsibility of all employees to report instances of non-compliance with Financial Regulations to their Line Manager or to any member of the Executive Management Team. The Chief Executive, Director of Corporate Services, or SLHD’s Internal Auditors shall report serious non-compliance to the Audit Committee

3.4. Scheme of Delegation

3.4.1. The Company will maintain a Scheme of Delegation with respect to management decisions, contractual commitments entered into, and the financial affairs and payments on behalf of the Company. The Scheme of Delegation is contained within the Company’s Governance Assurance Framework.

3.4.2. Responsibility for expenditure shall be delegated to budget holders approved by the appropriate Directors, Heads of Service and Service Managers. Budget holders will not commit expenditure in excess of the approved budget provision.

3.4.3. The Finance Service Manager will maintain the Register of Authorised Signatories which is administered by the Council.

4. Non-Compliance with Financial Regulations

4.1. Failure to comply with any part of the Financial Regulations may constitute misconduct and lead to formal disciplinary action.

Financial Regulations

5. Financial and Business Planning and Control Page 8 of 51

Appendix A

5.1. Financial Year

5.1.1. The Financial Year will run from 1 April to 31 March each year.

5.2. Annual Budget

5.2.1. The Company will produce 3 year budgets on an annual basis for approval by the Board by 31 March each year.

5.2.2. The Company will operate a devolved budgetary system. It is the responsibility of budget holders in consultation with the Finance Team to produce budgetary estimates for consideration by the Executive Management Team (EMT).

5.2.3. It is the responsibility of the Executive Directors to ensure that the budget estimates submitted to the Board reflect all the requirements of agreed business and service improvement plans.

5.3. Budgetary Monitoring and Control

5.3.1. The Annual Budget forms the main framework for financial monitoring and control, reporting on actual performance against budget and forecasts for the year end outturn, reported monthly to EMT and the Board.

5.3.2. The Director of Corporate Services is responsible for budgetary control, financial instructions and financial systems across the Company

5.3.3. The Director of Corporate Services is responsible to the Chief Executive for monitoring the budgetary performance of the Company. The Director of Corporate Services has the authority to examine all areas of financial operation and will report variations to the EMT and if required, the Board. The Finance Team will provide budget holders with details of their budgetary performance on a monthly basis.

5.3.4. It is the responsibility of each Executive Director to plan, control, monitor and report on income, expenditure and financial performance within their Directorate with due regard to information provided by their own staff and the Director of Corporate Services. Executive Directors are responsible for reporting material variances against budget, both actual and forecast, for their Directorate. EMT must always be informed of any financial problems and proposals for mitigation as and when they arise.

5.3.5. It is the responsibility of each Executive Director to ensure that their staff take appropriate and adequate action to avoid overspending against budget.

5.3.6. The control of income and expenditure, within the approved annual operating budget, is the responsibility of the designated budget holder who must ensure that day-to-day monitoring is undertaken effectively.

5.3.7. Budget holders are responsible to their Director for the income and expenditure appropriate to their budget. The budget holder shall be assisted in this duty by management information provided by the Finance Team. The types of

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Appendix A management information available to different levels of management are described in SLHD’s reporting arrangements together with the timing at which they can be expected.

5.3.8. The Chief Executive or Director of Corporate Services may incur expenditure which is essential to meet an emergency. Any such emergency expenditure and the financial implications must be reported to the next Board Meeting.

5.4. Financial Planning

5.4.1. The Director of Corporate Services is responsible for preparing medium -term financial forecasts for approval by the Board for at least the period required by any regulatory body and funders. Financial plans shall be consistent with the strategic plans and the development strategy approved by the Board.

5.5. The Accounting Procedures

5.5.1. The Director of Corporate Services is responsible for the accurate administration of the Company’s financial affairs

5.5.2. The Director of Corporate Services is also responsible for selecting accounting policies and ensuring that they are reviewed annually for appropriateness.

5.5.3. All management and supervisory staff have a general financial duty to safeguard and effectively use assets, to maximise financial performance within specified service and performance standards, to ensure the accountability of staff and manage the security, custody and control of all resources appertaining to their area of responsibility.

5.5.4. All control, suspense and other major accounts will be reconciled and cleared on a monthly basis.

5.5.5. All financial records will be kept in a way that complies with the requirements of HM Revenue & Customs, the Council, and in a manner consistent with statutory accounting regulations, including the Companies Acts, and good practice.

5.5.6. Executive Directors must ensure that staff are aware of their responsibilities under data protection and freedom of information legislation, again in liaison with EMT.

5.6. Annual Statement of Accounts

5.6.1. The Director of Corporate Services is responsible for ensuring that the preparation and submission of the annual Statement of Accounts is in accordance with relevant statutes, regulations, and guidance including the latest financial reporting standards.

5.6.2. The Director of Corporate Services will ensure that the draft accounts are considered by the Audit Committee in advance of the Board.

5.6.3. The Board is responsible for approving the annual Statement of Accounts before the Annual General Meeting (AGM) and ensuring that the financial statements are available for adoption at the AGM.

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Appendix A

5.7. Virements

5.7.1. A ‘Virement’ is the term given to the transfer of funds between different revenue budgets. It enables adjustments to be made during the year to deal with different rates of expenditure or income, e.g. unexpected savings within one budget can be used to finance unforeseen expenditure within another budget. No additional funds can be created but more flexible use of existing budgets is possible.

5.7.2. Virements shall be kept to a minimum and can only be made where the totality of resources approved by the Board is not exceeded

5.7.3. All virement requests will be completed on the standard form and authorised by the appropriate budget holders.

5.7.4. Completed virement forms will be processed by Finance to ensure a robust audit trail.

6. Risk Management and Control of Resources

6.1. Introduction

6.1.1. The Board is responsible for adopting a Risk Management Framework and Corporate Risk Register for the Company and for monitoring their effectiveness.

6.1.2. It is the responsibility of Executive Directors to ensure that risk management and the routine operation of the Risk Management Framework is embedded within their Directorates.

6.1.3. Executive Directors are also responsible for the management of risks set out in the Corporate Risk Register and for ensuring that all risks specific to their Directorates, in the form of Operational Risk Registers, are recorded, reviewed and managed by their Heads of Service and Service Managers

6.1.4. The Director of Corporate Services is responsible for preparing the Risk Management Framework and for promoting best practice in risk management throughout the Company.

6.1.5. Business cases, project proposals, Directorate plans, and any area of business development shall include a risk assessment in the prescribed format as required by the Framework. All reports to Board or Committees and all new policies adopted by the Company shall include a risk assessment within them.

6.1.6. It is essential that the Company develops and maintains a robust system for identifying and evaluating risks to the business activities of the Company. Identification of these risks must be responded to with meaningful plans and actions to eliminate the risk or to mitigate its likelihood and impact. This process should be informed by the proactive participation of all those associated with planning and delivering services.

6.2. Internal Control

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Appendix A 6.2.1. Internal Control refers to the systems devised by management with the intention of achieving the objectives of the Company in a manner that promotes, facilitates and demonstrates the economic, efficient and effective use of resources whilst ensuring that the assets and interests of the Company are safeguarded.

6.2.2. The Director of Corporate Services is responsible for advising the Board, Executive Directors and staff on effective systems of internal control and making arrangements to implement internal controls appropriate to the activities of the Company. These arrangements must be compliant with relevant law, recognised best practice and the policy, control and accountability framework of the Company.

6.2.3. In respect of services received by the Company from service providers (including the Council) and management services supplied by the Company, EMT may take into account the internal controls systems operated by the service provider determining the internal control systems required by the Company.

6.2.4. It is the responsibility of the Executive Directors to ensure that their staff have knowledge of and comply with all systems of internal control.

6.3. Audit

6.3.1. The Director of Corporate Services is responsible for preparing an annual audit plan comprising

6.3.1.1. a timetable for the preparation and audit of the annual financial statements and shall advise staff and the external auditors accordingly; and

6.3.1.2. an internal audit programme to assess the adequacy of the internal control system

6.3.2. External auditors and internal auditors shall have authority to:

 Access SLHD’s premises at reasonable times.

 Access all records, documents and correspondence relating to any financial and other transactions of SLHD.

 Require and receive such explanations as are necessary concerning any matter under examination.

 Require any employee of SLHD to account for cash, assets, stores or any other SLHD property under their control.

 Seek access to any records concerning SLHD belonging to third parties, if required

6.4. Internal Audit

6.4.1. The internal audit services are provided by the Council through an SLA.

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Appendix A 6.4.2. The main responsibility of internal audit is to provide the Board, Chief Executive and Departmental Directors with assurances on the adequacy of the internal control system and to provide examples of Industry Best Practices where appropriate.

6.4.3. The programmes of internal audit work shall be independently assessed and agreed by the Audit Committee on behalf of the Board. The internal audit service shall remain independent in its planning and operation and has direct access to the Board, Audit Committee and Chief Executive

6.4.4. The Audit Committee will establish the scope of the annual internal audit work in consultation with the Director of Corporate Services. The Committee will approve and review the annual internal audit work programme and will report annually to the Board on internal audit and internal control

6.4.5. Each year the Audit Committee shall review the performance of the internal auditors and, provided their work is of a sufficiently high standard and reasonably priced, shall reappoint them.

6.5. External Audit

6.5.1. The appointment of the Company’s external auditors shall be approved at the Company’s Annual General Meeting

6.5.2. The primary role of external audit is to report on SLHD’s financial statements and to carry out such examination of the statements and underlying records and control systems as are necessary to reach their opinion on the statements and to report on the appropriate use of funds. Their duties shall be in accordance with advice set out in the Code of Audit Practice and the Auditing Practices Board’s auditing standards.

6.5.3. The Director of Corporate Services will be responsible for liaising with the external auditors, including commissioning and supervising a continuous, rolling audit of the accounting, financial and other operations of the Company, and for ensuring the completion of the external audit within the statutory timescales.

6.5.4. Each year the Audit Committee shall review the performance of the external auditors and, provided their work is of a sufficiently high standard and reasonably priced, shall recommend that the Board reappoint them.

6.6. Business Continuity

6.6.1. A Business Continuity Plan will be produced under the guidance of the Executive Directors. Copies will be given to Heads of Service and Service Managers and it will be available on the SLHD Intranet.

6.7. Gifts, Hospitality & Conduct

6.7.1. Staff and Board Members must follow the Code of Conduct.

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Appendix A 6.7.2. All gifts and hospitality must be recorded in the Gift & Hospitality Register held by the Company Secretary and reported quarterly to EMT

6.8. Document Retention Periods

6.8.1. Documents will be retained within the guidelines of the document retention policy.

6.8.2. The key areas:

 Documents relating to the Incorporation of the Company will be retained indefinitely

 Minutes of Board and Committee meetings will be retained indefinitely

 Audit reports, Budget Papers and Final Accounts will be retained for their statutory period

 All documents relating to Contracts under seal and / or executed as a deed will be retained for a minimum of twelve years after completion

 Documents relating to loan agreements will be retained for a minimum of twelve years after the last payment

 All documents relating to Contracts for the supply of Goods & Services will be retained for a minimum of six years after completion

Documents relating to low value purchases (below £10,000) where there is no continuing maintenance or service requirement will be retained for three years

6.9. Insolvency Procedures

6.9.1. The Board is responsible for ensuring that the Company ceases to trade if there are reasonable grounds for believing the Company is insolvent. The Chief Executive and EMT, shall provide appropriate information to the Board and the appropriate officers within DMBC should it be suspected that the Company may be insolvent.

6.10. Data Protection

6.10.1. The Director of Corporate Services is the designated Senior Information Risk Owner (SIRO). The Customer Relations Manager has been designated as the Data Protection officer and is responsible for maintaining proper security and privacy of information. Access to areas where data is stored shall be restricted to authorised persons. Information relating to individuals held on computer shall be subject to the provisions of the Data Protection Act. The Data Protection officer shall ensure compliance with the Act.

6.11. Fraud, Corruption and the Bribery Act 2010

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Appendix A 6.11.1. The Director of Corporate Services is responsible for the development and maintenance of an anti fraud and anti corruption policy which incorporates the requirements of the Bribery Act 2010.

6.11.2. All staff shall conduct themselves in line with the requirements of the Employee Code of Conduct, adopting the highest standards of propriety and accountability. The involvement of staff in any form of bribery, corruption fraud or deception will not be tolerated.

6.11.3. It is the responsibility of Executive Directors to ensure that their staff have knowledge of, and comply with, the Anti-Fraud and Corruption Framework as well as the Confidential Reporting Code (Company’s whistle-blowing procedure).

6.11.4. The Company Secretary shall maintain a register of all instances of fraud and irregularities occurring within the Company or impacting on it. The Fraud Register shall be a standing agenda item of the Audit Committee and the Company Secretary is responsible for bringing new entries to the attention of Members at subsequent Committee meetings. The Fraud Register shall be available for review by the Audit Committee

6.11.5. All cases of actual or attempted fraud or irregularities shall be reported, to the Audit Committee. The Audit Committee shall review each case and report to the Board, as required.

6.12. Insurances

6.12.1. All insurances, arrangements and levels of cover will be reviewed annually in consultation with the appropriate Executive Directors and the Council’s Insurance Department, through the appropriate Service Level Agreement. Arrangements will be made by the Director of Corporate Services to ensure the Company's assets and activities are properly insured in accordance with Company policy and good practice.

6.12.2. The appropriate Executive Director or Service Manager shall give prompt notification to the Director of Corporate Services of all new risks, or properties which need to be insured and of any alterations affecting existing risks and insurance cover.

6.12.3. The Director of Corporate Services shall be notified in writing of a potential claim through loss, liability or damage or other cause which may lead to a claim and take such action as may be necessary to satisfy any insurance condition.

6.12.4. Executive Directors and all relevant staff shall consult the Director of Corporate Services and, if felt necessary, the Company's solicitors regarding the terms of any indemnity which the Company is requested to give.

6.12.5. The appropriate Executive Director or Service Manager, in consultation with the Contract and Compliance Service Manager, shall ensure that all Contractors have adequate employers and third party liability insurance before contracts are carried out on behalf of the Company. Details will be checked annually.

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Appendix A

7. Income

7.1. Monies Due

7.1.1. The receipt of monies from the Company’s debtors is administered by the Council through a SLA in accordance with the Council’s Sundry Debtors Income Collection Best Practice Guide.

7.1.2. The responsibility for identifying amounts due and the responsibility for collection must be separated as far as is practical.

7.1.3. Receipts, tickets and other records of income must be held securely for the appropriate period.

7.1.4. All income shall be securely locked away to safeguard against loss or theft, and to ensure the security of cash handling.

7.1.5. Appropriate details shall be recorded on to paying in slips to provide an adequate audit trail and money collected and deposited is to be reconciled to the relevant bank account on a regular basis.

7.1.6. All income must be banked gross and may not be used as petty cash, to cash personal cheques or to make other payments

7.1.7. Debtors accounts must be raised promptly following the completion of work and/or supply of goods and services.

7.1.8. Debtor accounts can only be amended or cancelled with the authorisation of a member of staff approved to conduct this as recorded on the authorised signatory’s database administered by the Council Financial Services Support department.

7.1.9. The monitoring and management of Debtors is set out in St. Leger’s Debtors policy.

7.1.10. EMT must ensure that levels of cash held on Company premises, in relation to their Directorates and related service area activities, do not exceed the approved limits and liaise with the Director of Corporate Services to ensure that adequate insurance is in place at all times.

7.1.11. Adequate arrangements shall be put in place to ensure the safe despatch of Company monies to the Company’s premises or bankers.

7.2. Rent Income and Cash (DMBC property)

7.2.1. Rent income is collected from tenants by the Company on behalf of the Council as part of the Management Agreement and the cost associated with providing this service is recovered through the management fee. Therefore, all such income is the property of the Council and not the Company. All rent income due shall be the responsibility of the Director of Housing Services who will ensure that the

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Appendix A necessary detail is recorded on the Housing IT system. The Director of Housing Services shall ensure strict adherence to the Company’s rent policies and procedures and that all cases of rent arrears are investigated promptly with appropriate action taken.

7.2.2. Rent income must be posted promptly to the appropriate tenant account.

7.2.3. The Director of Housing Services is responsible for ensuring that adequate cash collection arrangements, designed to ensure that cash held at area housing offices shall not exceed the approved limits, are in place and operating effectively. The Director of Housing Services shall liaise with the Director of Corporate Services to ensure that adequate insurance is in place at cash collection sites.

7.2.4. Income shall be paid fully and promptly into the appropriate Council bank account in the form in which it is received. Appropriate details shall be recorded on to paying in slips to provide an adequate audit trail and cash (or cash equivalents) collected and deposited are to be reconciled to the relevant bank account on a regular basis.

7.2.5. The Finance Service Manager is responsible for ensuring that there is an appropriate segregation of duties between the officers responsible for processing and approving rent refunds

7.3. Grants & Certification

7.3.1. The Director of Corporate Services shall be responsible for ensuring that adequate accounting systems are in place to enable the Company to comply with statutory procedural conditions in connection with receipt of grants and allowances. The appropriate Executive Director will ensure that arrangements are in place to claim the full and appropriate grants.

7.3.2. The Chief Executive and EMT are authorised to make certifications to the grant giving bodies for the claiming of grants.

8. Expenditure

8.1. General

8.1.1. The ordering of goods and services shall be in accordance with the Company’s detailed finance procedures

8.1.2. The Company’s money should be spent with demonstrable probity and in accordance with the Company’s policies. The Company’s procedures shall ensure that services obtain VfM from their purchasing arrangements.

8.2. Key Controls

8.2.1. The electronic Purchase to Pay (P2P) system, or the TOTAL Housing Management System, must be used for the purchase of all goods or services, except those made using petty cash, credit card or for public utility services.

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Appendix A 8.2.2. Works, goods and services ordered either by electronic, telephone, fax or e-mail must give the actual purchase order number and be subsequently confirmed by an official order..

8.2.3. All orders placed must clearly state:

 Supplier / contractor name.

 Goods / services being procured.

 Price and quantity of items being ordered including rate of VAT applicable.

 Full account code.

8.2.4. The key controls for ordering and paying for work, goods and services are:

a) All goods and services shall be ordered only by appropriate persons and must be correctly recorded;

b) All goods and services shall be ordered in accordance with the Company’s Contract Standing Orders.

c) All orders shall be approved only by those staff authorised to do so as per the Financial Authorisation Matrix, Appendix A.

d) All orders shall be raised and approved in advance of the related goods and services being received by the Company.

e) Goods and services received shall be checked to ensure they are in accordance with the order. Goods shall not be received by the person who placed the order;

f) Variations to prices and quantities shall be adjusted on the purchase order and referred back to the authorising officer(s) for re-approval.

g) Invoices shall not be processed for payment unless they have either been matched to an authorised order or approved in writing by the appropriate authorising officer as per the Financial Authorisation Matrix Appendix A.

h) Payments will not be made by the Company unless goods and/or services have been received by the Company to the correct price, quantity and quality standards.

i) All payments will be made to the correct supplier, for the correct amount and are properly recorded, regardless of the payment method.

j) All appropriate evidence of the transaction and payment documents are retained and stored for the defined period, in accordance with the Company’s Document Retention Policy and statutory requirements. The Director of Corporate Services is responsible for the retention of financial

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Appendix A documents. These shall be kept in a form acceptable to the relevant authorities and compliant with the requirements of the Data Protection Act.

k) All expenditure is accurately recorded against the correct budget and any exceptions are corrected.

l) Supplier records are only set up when the required independent collaborative checks have been satisfactorily completed.

m) Where contractors are employed to undertake building works etc, the requirements of HM Revenue and Customs’ Construction Industry Scheme are complied with.

n) Processes are in place to maintain the security and integrity of data for transacting business electronically.

8.2.5. Official orders must be in a form approved by the Director of Corporate Services and must be issued for all works and goods or services that are to be supplied to the Company, except for supplies and/or other exceptions specified or agreed by the Director of Corporate Services.

8.2.6. Executive Directors must monitor compliance within their own Directorates to ensure the following:

a) No orders are issued for goods or services where the cost is not covered by an approved budget.

b) Orders are only raised for goods and services provided to and for the use of the service area.

c) Orders are raised and approved in advance of both the related goods and services being received / consumed and the respective invoice being receipted.

d) Orders are approved only by those staff authorised to do so as per the Financial Authorisation Matrix.

e) Goods and services ordered are appropriate and needed, there is adequate budgetary provision and that, where applicable, quotations or tenders have been obtained in accordance with the Company’s approved authorisation levels and Standing Orders.

f) Adequate records are retained and made readily available for inspection and that these contain full details of goods and services to be supplied, prices and discounts where appropriate.

g) Goods and services are checked on receipt to verify that they are in accordance with the order and, where relevant appropriate entries are then made to inventories or stores’ records. This check shall be carried out by a different officer from the person who authorised the order.

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Appendix A h) At least two authorised members of staff are involved in the ordering, receiving and payment process. Ideally, a different officer from the person who signed the order, and in every case, a different officer from the person checking a written invoice, shall authorise the invoice.

i) Appropriate steps are taken to obtain competitive prices for goods and services of the appropriate quality, in accordance with the Company’s Procurement Strategy and Contract Standing Orders, and provide assurance that VfM is secured.

j) The Finance Service Manager is notified of all outstanding expenditure relating to the previous financial year as soon as possible after 31st March in line with the timetable determined annually by the Finance Service Manager; and

k) The Director of Corporate Services is notified immediately of any expenditure to be incurred as a result of statute/court order where there is no budgetary provision

8.3. Payment of Invoices

8.3.1. The Director of Corporate Services shall ensure that:

a) Payment is not made by the Company unless:

 A proper VAT invoice has been received, checked, coded and certified for.

 Supplier invoices are formally addressed to the Company.

 The invoice has been checked to ensure it has not previously been paid.

 Expenditure has been properly incurred, is within budget provision and discounts have been taken where available.

 The prices and arithmetic are correct and accord with quotations, tenders, contracts or catalogue prices; and

 The correct accounting treatment of tax has been applied.

b) Suppliers of goods and services are encouraged to receive payment by the most economical means for the Company.

c) Financial records and documents are retained and stored in accordance with the Company’s Document Retention Policy and statutory requirements

d) Where payments are to be made to consultants other than through the Company’s payroll system, that there is a clear justification for this and that there are no tax implications that may arise.

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Appendix A 8.3.2. Segregation of duties shall be maintained to ensure that payments are checked and released by officers independent of those responsible for processing the final payment.

8.3.3. New supplier details shall be independently checked by Finance prior to any payments being made by the Company. Supplier payment profiles should be checked on a periodic basis.

8.3.4. In some instances cheques or payments will need to be raised for expenditure where no order or invoice has been provided. Such instances include:

 Compensation payments to tenants and leaseholders

 Replenishment of franking machines

 Petty cash purchases; and

 Some periodic payments such as rents, rates and utilities

8.3.5. Manual cheques drawn on the Company’s bank account shall bear the signature of two authorised signatories, as per the Company’s authority levels.

8.3.6. The authority to sign cheques also applies to similar payment instruments such as telegraphic transfers, standing order mandates and direct debt instructions.

8.3.7. All blank cheques and cheque books shall be ordered only on the authority of the Director of Corporate Services who shall ensure proper arrangements are made for their safe custody.

8.4. Petty Cash

8.4.1. Petty cash transactions must adhere to the Petty Cash Policy.

8.4.2. All the petty cash accounts will be held only for the purpose of making urgent purchases where officers are unable to obtain goods or services in a timely manner to allow the continued delivery of the service or minor items of expenditure when it would not be cost effective to purchase the item through the creditor payments system.

8.4.3. The requirement and level of each petty cash account will be determined by the Finance Services Manager and will be set after considering expenses flows, security and insurance consideration

8.4.4. The key controls are:

a) All transactions are properly accounted for;

b) Proper authorisation procedures are in place;

c) All the petty cash floats will be held only for the purpose of making small disbursements and paying properly authorised expenses;

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Appendix A d) No person may authorise a petty cash voucher payable to themselves;

e) Proper arrangements shall be in place at all times to ensure the physical security of staff and amounts of cash collected or drawn on behalf of the Company;

f) There is appropriate supporting documentation for all purchases;

g) Purchases are appropriate and could not be made through the Company’s normal creditor payments system;

h) Accounts are kept in balance and reconciled on a regular basis;

i) Cash, cheque books and accounting records are held securely; and

j) Realistic and practical financial limits are set on individual transactions from petty cash accounts and the respective petty cash float themselves

8.4.5. Each petty cash account will have a nominated officer who is responsible for the account and ensuring that all withdrawals are authorised in accordance with the requirements of the Financial Regulations and relevant procedures issued by the Director of Corporate Services.

8.5. Purchasing Cards

8.5.1. Purchasing cards are allocated on an individual basis for use by the designated named card holder when procuring goods and services on behalf of the Company

8.5.2. All purchase card requests shall be approved by the Finance Service Manager in advance of being ordered and allocated to employees.

8.5.3. All Cardholders must read the User Guide and Guidance Notes and sign the Lloyds Bank Business Acceptance Form.

8.5.4. Company Purchasing Cards must only be used for Business use, for purchases within the cardholders’ service area and within approved spending limits.

8.5.5. Due to the nature and operation of purchase cards approval of expenditure as per required by the Financial Authorisation Matrix is done retrospectively.

8.5.6. Cardholders can use the card via the telephone, fax or over the internet.

8.5.7. Individual PIN numbers will be provided to each cardholder to support secure purchases. The PIN number must never be shared with other individuals or kept with the purchase card

8.6. Decorating Vouchers

8.6.1. Decoration Vouchers are issued to tenants to assist them in repairing any damage caused by work being carried out in their home. Details of the procedures to be followed are detailed in the Company’s Decoration Voucher Policy.

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Appendix A

8.7. Service Level Agreements

8.7.1. The Company maintains a number of Service Level Agreements (SLAs) with the Council. It is the Company’s policy to ensure that it obtains VfM for all services received, and so these SLA’s remain subject to review.

8.7.2. EMT is responsible for ensuring that all SLAs are reviewed on a timely basis and that regular monitoring and performance reporting against each SLA by an appropriate responsible officer takes place

8.7.3. EMT will seek to agree a programme of SLA reviews with the Council and represent the Company as lead client in general SLA discussions and negotiations with the Council.

8.7.4. VfM reviews of each SLA will take place in a form prescribed by the Director of Corporate Services and will include benchmarking and market testing exercises.

8.7.5. Progress with the monitoring, performance review and agreement of SLA’s as well as the results of VFM reviews will be reported to the Executive Management Team.

8.7.6. SLAs require the sign off of the Chief Executive

8.7.7. The decision to withdraw, in part or in full, from any of the Council SLA’s will be subject to a ‘notice period’ of 6 months from the date when the Council is informed of the Company’s decision in writing

8.8. Goodwill, Ex-Gratia and Compensation

8.8.1. No cash payments are made in respect of Goodwill. Ex-gratia and compensation payments should adhere to the Goodwill, Ex-gratia and Compensation Policy.

9. Salaries, Wages and Pensions

9.1. General

9.1.1. The Head of Service of Organisational Capacity and Support shall ensure that systems are in place for recording in a format agreed with the Director of Corporate Services all matters affecting the calculation and payment of salaries, wages and benefits, and in particular:

a) Appointments, resignations, dismissals, suspensions, secondments and transfers;

b) Absences from duty for sickness or other reason (excluding approved leave);

c) Changes in remuneration and honorariums;

d) Cost allocations; and

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Appendix A e) Information necessary to maintain records of service for pension, income tax, national insurance and the like.

9.1.2. All amendments to payroll as well as information regarding appointments, terminations, resignations and other circumstances affecting the remuneration of employees shall be properly authorised.

9.1.3. All salaries and wages are to be paid through the payroll system and not through petty cash, regardless of how small the amount or how short the period of employment

9.1.4. The Director of Corporate Services is responsible for the payment of salaries and wages to all staff, including overtime and bonus payments, and for the payment of allowances and remuneration to Board Members.

9.1.5. HR records should be reconciled to the finance system recording payroll payments and budgets on a regular basis and periodic checks should be made on large adjustments.

9.2. Employee and Board Members Expenses

9.2.1. Claims by employees for expenses incurred whilst undertaking duties on behalf of the Company must be paid through the payroll system

9.2.2. The remuneration and expenses claimable by Board Members is governed by the Board Members Expenses Policy. Rates for expenses claims are included in the policy.

9.3. Redundancy and Other Employee Payments

9.3.1. All payments made to ex-employees in respect of the following areas shall be processed and paid through the Company’s payroll systems:

 Payments in lieu of notice  Statutory and non statutory redundancy payments

10. Assets

10.1. General

10.1.1. The Director of Corporate Services is responsible for ensuring that the Company’s assets are used efficiently, effectively and economically in order to demonstrate that VfM is being obtained. The Director of Corporate Services must ensure that records and assets are properly maintained and securely held

10.1.2. A Fixed Asset Register and inventory shall be maintained, recording a description and location of equipment, plant and machinery and other capital equipment owned or leased by the Company as well as an appropriately assigned responsible officer. The form in which the fixed asset register shall be kept is to be set by the Director of Corporate Services.

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Appendix A 10.1.3. Each officer assigned responsibility for assets in the fixed asset register shall be responsible for maintaining an annual check of all their respective assets. Nominated officers responsible for individual assets shall ensure that all property and equipment is maintained in good working order

10.2. Disposal of Assets

10.2.1. The disposal of any asset must provide for the greatest economic benefit to the Company and approved by the relevant Executive Director.

10.2.2. Disposal of stock is covered in the Disposal of Obsolete Stock Policy.

10.3. Stocks and Stores

10.3.1. All relevant staff shall be responsible for the care and custody of the stocks and stores under their control.

10.3.2. Arrangements shall be made for periodical test examinations of the Company’s stock. Stock counts should be performed on all categories of stock on a rolling basis at least once every year. Appropriate levels of stocks shall be maintained at all times.

10.3.3. Adequate procedures shall be in place to ensure that all Company stock is counted and reconciled to the stock management system on, or at a date not significantly different to, the 31st March each year.

10.3.4. Stock held by the Company at the year-end shall be valued at the lesser of cost and net realisable value in the Company’s accounting systems, records and annual accounts

10.3.5. All adjustments to stock values, arising due to variances identified during either perpetual or year-end stock takes, are to be reviewed and authorised by the Contract and Compliance Service Manager

10.3.6. All discrepancies shall be reported on a regular basis to the Director of Property (Technical) Services, and if appropriate, to investigate possible theft which would be dealt with in accordance with the Company’s disciplinary policy.

10.3.7. Each relevant member of staff must provide to the Finance Service Manager all information as deemed required in relation to stores for the accounting, costing and financial records at the earliest opportunity upon request.

10.3.8. Significant stock losses must be reported to the Director of Property (Technical) Services who must then ensure appropriate action is taken in accordance with internal procedures.

10.3.9. Obsolete stock will be dealt with as outlined in the Obsolete Stock Policy.

10.3.10. Damaged or out of date stock will be disposed of in accordance with Health & Safety requirements.

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Appendix A

11. Treasury Management

11.1. General

11.1.1. The Company’s treasury management functions are currently managed by the Council on the Company’s behalf through the Financial Services SLA. The Company’s bank account is held with the suite of Council bank accounts.

11.1.2. The responsibility for cash flow planning, monitoring and reporting shall rest with the Director of Corporate Services. The cash flow forecast shall be reviewed monthly and shall include projections on a rolling 12 month basis. Longer-term cash flow forecasts shall be produced in accordance with business planning requirements and the treasury management policy.

12. Information Technology

12.1. Computer Security

12.1.1. The Director of Corporate Services is responsible to the Board, via the Chief Executive for the implementation of proper and effective Information Technology Systems.

12.1.2. The Director of Corporate Services will ensure all necessary measures are taken to meet reasonable security needs and to ensure compliance with the Company’s Data Protection obligations

13. Procurement and contracts

13.1. Procurement Strategy

13.1.1. The St Leger Homes Procurement Strategy sets out the strategic procurement objective of the company, which is to deliver modern, efficient and effective procurement that complies with current regulations and legislative requirements and also has a positive impact on the communities the company operates in.

13.2. Contracts

13.2.1. All procurement activity must be conducted in accordance with the Company’s Contract Standing Orders, which are set out in detail in the section below

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Appendix A

CONTRACT STANDING ORDERS

INDEX 1.0 Introduction and definition of Procurement 2.0 Basic Principles of Procurement 3.0 Service Level Agreements (SLA) 4.0 Compliance 5.0 Forward Plan and Contracts Register 6.0 Budget Availability 7.0 Estimating Contract Value 8.0 Procurement Business Case 9.0 ICT and ICT Related Contracts 10.0 Awarding of Contract 11.0 Relevant Contracts 12.0 Exemptions to Contract Standing orders 13.0 Waivers to Contract Standing orders 14.0 Using In House Suppliers (IHS) 15.0 Using Company Wide Contracts 16.0 Using Framework Contracts 17.0 Approved Lists 18.0 Joint Procurement 19.0 Contracts valued up to £5,000 20.0 Contracts valued £5,000 to £25,000 21.0 Contracts valued £25,000 to £164,176 for Supplies and Services, £589,148 for Contracts under the Light Touch Regime and £25,000 to £4,104,394 for Works (current EU threshold) 22.0 Contracts valued over £164,176 for Supplies and Services, £589,148 for Contracts under the Light Touch Regime and £4,104,394 for Works 23.0 Qualification 24.0 The Invitation to Tender/Quote 25.0 Submission, Receipt, Opening & Registration of Tenders/Quotes 26.0 General 27.0 Evaluation of Tenders and Quotations 28.0 Errors in Tenders/Quotations 29.0 Post Tender Negotiation 30.0 Awarding Contracts 31.0 Debriefing 32.0 Contract Award Notice 33.0 Contract Terms & Conditions 34.0 Contract Extensions and Variations 35.0 Termination of Contract 36.0 Procurement by External Agents 37.0 Tenants or Tenant Board Members Involvement 38.0 Record & Document Retention Control 39.0 Purchase Cards 40.0 Cost Control 41.0 Contract Claims 42.0 Review & Amendment of Contract Standing orders

Appendix A – Glossary of Terms

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Appendix A

1.0 Introduction and definition of procurement

1.1 Strategic Procurement is ‘the process of acquiring goods, works and services, covering both acquisition from third parties and from in-house providers. The process spans the whole life cycle from identification of needs, through to the end of a services contract or the end of the useful life of an asset. It involves options appraisal and the critical 'make or buy' decision.' 1.2 These Contract Standing orders outline the policy and procedures for the procurement activities across the company which includes ordering for the purchase, commissioning, hire, rental of goods, supplies, works and services on behalf of the company. 1.3 Compliance with the Contract Standing orders ensures that:  All contractors, suppliers and providers are treated fairly and equally and that all procurement takes place in an open and transparent way, encouraging competition.  The rules and procedures governing the procurement process are set out clearly for officers and third parties buying or commissioning on behalf of the company, and suppliers and other interested stakeholders.  All elements of procurement, from identifying the need through to disposal of goods or ending of contracts, are governed to ensure sound, robust procurement practice.  The company complies with Procurement Law and other legal requirements such as the Social Value Act  The company minimises risk of a successful challenge in the Courts.  The company can prevent and defend against allegations of corruption and incorrect or fraudulent procurement practice, should the need arise.  Individual members of staff are able to prevent and defend against allegations of corruption and incorrect or fraudulent procurement practice, should the need arise 1.4 The company has a duty to make the best use of its assets and finances on behalf of the residents and business of the borough. It is important that works, goods and services are procured in a way that offers value for money and is carefully regulated, lawful, and ensures transparency and accountability. 1.5 The following pages offer further details in relation to the compliance and general requirements around procuring goods and services on behalf of the company and should be read and complied with for any procurement exercise. 1.6 It also should be noted that these Contract Standing orders should be read in conjunction with the company’s Finance Standing orders and the Procurement Strategy in order for budget holders to discharge their responsibilities accordingly.

2.0 Basic Principles of Procurement 2.1 All procurement and commissioning procedures must:  Be in line with the company’s objectives as set out in the Business Plan.

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Appendix A  Meet the procurement need and achieve value for money.  Ensure fairness and transparency in the allocation of public contracts.  Comply with all appropriate legal requirements.  Ensure that all risks in the process are appropriately assessed and managed.  Ensure that all required pre-tender consultation has taken place.  Ensure the Contract and Compliance Team is engaged at an early stage of the commissioning process to ensure that the best commercial option is undertaken in any resulting tendering exercise

2.2 Procurement procedures - once the need for goods, services or works has been identified, officers are required to :- a. investigate whether the company has an in house supplier which can meet the requirements; or if this is not possible b. investigate whether there is a companywide framework contract or other arrangement already in place; or if this is not possible c. investigate whether there is a suitable regional or national framework which could be used to source the requirement; or if this is not possible d. consider carrying out a procurement process (for the avoidance of doubt this process should only be carried out if steps a-c have not proved possible).

3.0 Service Level Agreements (SLA) 3.1 Any arrangements with Doncaster Council via an SLA will sit outside of these Corporate Procurement Rules and will be managed by the Business Performance and Assurance Team.

4.0 Compliance 4.1 The Contract Standing orders must be adhered to by:  All permanent or temporary staff  External consultants  Board members or tenant representatives  Any other party that may be responsible for awarding, managing and monitoring contracts on behalf of the company. 4.2 The highest standards of probity are required of all those involved in the procurement, award and management of the company’s contracts.

4.3 Any failure to comply with any of the provisions of these Contract’ Standing orders, the Financial Standing orders or UK and European Union legal requirements may result in disciplinary action.

5.0 Forward Plan and Contracts Register

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Appendix A 5.1 Heads of Service or Service Managers should consult with the Contract and Compliance Team as soon as the need for a procurement exercise becomes apparent so this information can be entered onto the Procurement Plan. 5.2 The Contract and Compliance Team shall publish Prior Information Notices in the Official Journal of the European Union listing the contracts for works, services and supplies which it expects to procure in the coming financial year. 5.3 The Contract and Compliance Team will maintain and update the company’s Contracts Register and publish this in accordance to the requirements specified in the Local Government Transparency Code.

6.0 Budget Availability 6.1 No procurement activity can take place without written confirmation that a budget or other financial resources are available which have been previously approved by the Board or Executive Management Team.

7.0 Estimating Contract Value 7.1 Competitive tendering exercises must be undertaken with due consideration to Contract Standing orders, Procurement Law and EC Treaty principles which include fairness, transparency, non-discrimination and mutual recognition. 7.2 When contracting for goods, services or works, a genuine assessment of the whole life value of the costs must be undertaken. 7.3 The estimated value must be calculated in accordance with procurement Law and in particular  Where appropriate present the total potential cost, exclusive of VAT, over the whole life of the project, including any extension terms  Where the contract to be procured is for regular supplies and services, this need to be based on the aggregate value of all contracts of the same type awarded or anticipated during the preceding or subsequent 12 months. 7.4 The company shall make the best use of its purchasing power wherever possible. In particular contracts for supplies, services or works shall not be split in an attempt to avoid the application of these Contract Standing orders or Procurement Law.

8.0 Procurement Business Case 8.1 A procurement business case should be developed for every procurement process over £25,000. The business case should clearly explain the background to the Contract, details of the research undertaken and options available, and details of the arrangements that will be established for the management of the Contract and any required exit strategies that may be deployed. 8.2 [Where procurement is for services [and the estimated value is above the relevant threshold]] the procurement business case should consider, to the extent to which it is proportionate and relevant to what is proposed to be procured:  how what is proposed to be procured might improve the economic, social and environmental well-being of the area;

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Appendix A  how, in conducting the process of procurement, the company might act with a view to securing that improvement; and  whether it would be beneficial to undertake any consultation on these issues. 8.3 The procurement business case should address whether to award the Contract in the form of separate lots and if so consider the size and subject-matter of such lots and any limit on the number of lots a bidder can bid for or be awarded and any rules for determining which lots will be awarded. Where it is recommended that the Contract is not divided into lots the reason for the decisions should be recorded. 8.4 The procurement business case must be signed off by the relevant Authorising Officer with responsibility for the service area concerned and the Contract and Compliance Service Manager.

9.0 ICT and ICT Related Contracts 9.1 The ICT Service Manager must be consulted regarding the procurement of ICT consumables, hardware, software or website development or any other ICT service prior to the commencement of any tendering activity.

10.0 Awarding of Contract 10.1 These Contract Procurement Rules should be read in conjunction with the decision making provisions and authorisation limits set out in the company’s Financial Standing orders.

11.0 Relevant Contracts 11.1 The letting of all relevant Contracts must comply with the Contract Standing orders. 11.2 A relevant Contract is any arrangement made by, or on behalf of, the company for the carrying out of works, or for the supply or provision of goods, materials or services.

This includes arrangements for:

 Undertaking of works  The supply or disposal of goods  The hire, rental or leasing of goods and equipment  The delivery of services  Consultancy services 11.3 Relevant contracts do not include:  Contracts for the employment of individual members staff (permanent, interim or casual). For the avoidance of doubt the appointment of recruitment agencies are subject to these Corporate Procurement Rules.

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Appendix A  The employment of Barristers (for court related work) - Barristers engaged to represent the company must be appointed by a member of the Executive Management Team.  Contracts relating to disposal or acquisition of an interest in land. 11.4 A Contract is a legally binding agreement required for all goods, works or services entered into by the company. A Contract can be formed through verbal, written means or via the exchange of monies. 11.5 All Contracts over £164,176 for Supplies and Services, £589,148 for Contracts under the Light Touch Regime or £4,104,394 for Works are required to be approved by a member of the Executive Management Team. 11.6 Letters of Intent may only be issued in very exceptional circumstances following consultation and approval of the Director of Corporate Services. 11.7 The company may enter into nil (cash) value Contracts and the company’s Contract Standing orders will still apply in this case due to a third party making an economic gain. 11.8 Contractors fulfilling duties on behalf of the company must comply with the company’s Contract Standing orders. 11.9 Any lease, hire, rental or credit arrangement (such as vehicle or equipment leasing) which has a capital cost must be approved for inclusion in the Capital Programme in accordance Finance Standing orders relating to Capital expenditure, prior to commencing any procurement exercise.

12.0 Exemptions to the Contract Standing orders 12.1 No exemptions can be made to the requirements of competition in terms of the Contract Standing orders, unless authorised in writing by a member of the Executive Management Team, after considering a written report in the form of a Contract Standing orders waiver, which is completed by the appropriate Head of Service. 12.2 A register of all exemptions will be maintained by the Contract and Compliance Service Manager and will be reported to the Audit Committee on a six monthly basis.

13.0 Waivers to Contract Standing orders 13.1 Waivers to Contract standing orders may be allowed under certain circumstances. Waivers which may be permitted include: a) Where a Head of Service is able to demonstrate that only one specialist firm is able to meet the requirement. b) A Contract to be placed as an emergency solution only where the Head of Service is able to demonstrate immediate risk to persons or property or serious disruption to the company’s services. The Head of Service must notify a member of the Executive Management Team immediately of the action taken in dealing with the emergency. The specific circumstances in which the exception was justified must be recorded in writing and forwarded to the Contract and Compliance Service Manager for record.

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Appendix A

13.2 Only members of the Executive Management Team have authority to waive the Contract Standing orders. 13.3 Any other request for a waiver of Contract Standing orders outside those listed requires the approval of a member of the Executive Management Team. 13.4 Waivers must be obtained in advance of the procurement action as a waiver cannot be issued retrospectively. 13.5 Waivers must not be used to avoid the requirements of the Contract Standing orders to go out to competition, due to lack of time available within the procurement timelines. 13.6 Requirements of EU Procurement Directives, UK Procurement legislation or any other relevant law or external regulatory framework cannot be waived. 13.7 Waivers can only be allowed up to the value of the relevant EU threshold, currently  £164,176, for goods & services  £589,148 for Contracts under the Light Touch Regime and  £4,104,394 for works Contracts and for concessions. 13.8 Waivers must demonstrate that value for money has been obtained and there is a clear benefit or advantage to the company. 13.9 Waivers must be documented in a form approved by a member of the Executive Management Team, this is available on the company’s intranet and should be submitted to the Contract and Compliance Team before approval is sought.

14.0 Using In House Suppliers (IHS) 14.1 Where an In House Supplier is available, then this provider must be used. 14.2 Where there is no IHS or where the IHS cannot provide the service required due to capacity, other options can be considered in accordance with paragraph Error! Reference source not found. 14.3 The company will benchmark IHS to ensure they are achieving value for money, and where it is decided that the company is not receiving value for money then alternative arrangements will be considered, this may include looking to external suppliers to provide the service.

15.0 Using Company Wide Contracts 15.1 Where the company already holds a contract, officers are required to use these contracts. 15.2 Details of the current company wide contracts are available on the company’s intranet page. 15.3 There is no exemption from the use of company wide contracts unless agreed by the Contract and Compliance Service Manager.

16.0 Using Framework Agreements

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Appendix A 16.1 Officers may use a Framework Agreement let by another public sector body, such as public sector consortia or another Council, where these are available for the service or goods that are required and the company is clearly identified as eligible to call off under the framework. 16.2 The advice of Contract and Compliance team should be sought before using frameworks. The Contract and Compliance Team maintain a list of all appropriate frameworks that can be accessed for the service or goods required. 16.3 The Framework may also include within its terms the requirement for a mini- competition exercise, if this is required, the Contract and Compliance team will undertake this process in line with the guidance set out in these Contract Standing orders.

17.0 Approved Lists 17.1 The company do not use approved lists of suppliers or contractors.

18.0 Joint Procurement 18.1 When undertaking a joint procurement arrangement on behalf of the company the Contract and Compliance Team will ensure the other public bodies that are to be included in that arrangement are listed in the advertisement and Contract documents. They can either be individually listed or referred to as a class of organisation within a particular region e.g. “all Local Authorities in the Yorkshire and Humber Region”. The estimate given must include the potential usage of that joint arrangement by those public bodies listed.

19.0 Contracts valued up to £4,999 19.1 Where the estimated value or amount of a proposed Contract does not exceed £5,000 then the authorised Officer should obtain at least 2 written quotations from suitable suppliers. Wherever possible the quotations should be sought from at least one Doncaster based business.

19.2 Whilst there is only a requirement for two quotations the authorised officer must consider whether additional quotations are in the company’s best interest.

19.3 The record of the quotes received and decision on award with be recorded on the appropriate pro-forma which is available on the company’s intranet and should be submitted to the Contract and Compliance Team within 10 working days of award.

19.4 Any potential suppliers or contractors approached must be made aware the purchase will be on the company’s Standard Terms and Conditions of Contract for a Purchase Order which should be sent to the company at the same time as requesting a written quote.

20.0 Low Value Procurement - Contracts valued £5,000 to £24,999

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Appendix A 20.1 Where the estimated value or amount of a proposed contract does not exceed £25,000 then the authorised officer should obtain at least 3 written quotations from suitable suppliers. Wherever possible the quotations should be sought from at least one Doncaster based business.

20.2 Whilst there is only a requirement for three quotations the authorised officer must consider whether additional quotations are in the company’s best interest.

20.3 The record of the quotes received and decision on award will be recorded on the appropriate pro-forma which is available on the company’s intranet and should be submitted to the Contract and Compliance Team within 10 working days of award.

20.4 Any potential suppliers or contractors approached must be made aware the purchase will be on the company’s Standard Terms and Conditions of Contract for a Purchase Order which should be sent to the company at the same time as requesting a written quote.

21.0 Intermediate Value Procurement Contracts valued at :- £25,000 to £164,176 for Supplies and Services £589,148 for Contracts under the Light Touch Regime £25,000 to £4,104,394 for Works (current EU threshold)

21.1 Where the estimated value or amount of a proposed Contract is between £25,000 to £164,176 for Supplies and Services or £25,000 to £4,104,394 these are required to be let on a competitive basis, which is to be advertised to the open market via YORtender (or other approved tendering portal) and must be contained on Contracts Finder. 21.2 There is no minimum time limit for which procurement processes within this threshold need to be advertised. However, it is expected that a sufficient (but not disproportionate) time limit is applied to allow potential bidders to respond. This therefore needs to be considered on a case by case basis, dependent upon any prior market engagement undertaken, the complexities of the specification and the level/amount of detail required within the tender response. 21.3 Tenders undertaken for procurements between these thresholds must not include a pre-qualification stage, or a stage in the procurement process where the authority can assess the suitability of a candidate for the purpose of reducing the number of candidates to a smaller number who will proceed to a later stage of the process. 21.4 Where there is a need to determine whether a company meets any prescribed minimum requirements in terms of its financial standing or other relevant matter as part of the evaluation process, this should be done through due diligence with the top scoring bidder only. 21.5 In exceptional circumstances a member of the Executive Management Team can waive the need to go to the open market at this contract value and just approach a number of bidders to quote. This must be confirmed to a member of the Contract and Compliance Team via e-mail prior to the procurement exercise giving a rationale as to why this route has been chosen.

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Appendix A 21.6 Where this direct route is chosen a minimum of 3 bidders will be invited to quote and wherever possible a quotation should be sought from at least one Doncaster based business. 21.7 This process will be administered via the Contract and Compliance Team and will be undertaken via the YORTender (or other approved tendering portal).

22.0 High Value Procurements for Contracts valued over :- £164,176 for Supplies and Services £589,148 for Contracts under the Light Touch Regime £4,104,394 for Works

22.1 Where the estimated value of the proposed contract exceeds the European Union threshold (£164,176, £589,148 or £4,104,394), it must be tendered in accordance with the Regulations.

22.2 The Regulations allow a range of different procedures:  Open procedure  Restricted procedure  Competitive procedure with negotiation  Competitive dialogue  Innovation partnership

22.3 The open and restricted procedures are the most commonly used procedures. Where consideration is given to any of the other procedures, early advice must be sought from the Contract and Compliance Team. 22.4 Where a restricted tender procedure is proposed a minimum of 5 contractors should be shortlisted to invite to tender (where at least 5 suitable contractors have expressed an interest). 22.5 The choice of procurement procedure selected must be detailed in the procurement business case referred to in section 8, setting out the justification for using the selected procedure. 22.6 All tenders above the EU threshold(s) must be advertised in the Official Journal of the European Union (OJEU) using the YORtender portal or equivalent. Authorised Officers must ensure that entries into the OJEU fully comply with toolkit no.3 ‘Guidance on producing notices for the European Journal’. 22.7 Publication of the tender documents at a national level (on YORtender or equivalent and Contracts Finder) must not occur until 48 hours after the despatch of the OJEU notice. 22.8 For Contracts valued above the EU threshold there are minimum timescales to be adhered to, for which bidders are given the opportunity to express interest, complete and return the tender documentation. The timescales stipulated are dependent upon the type of notice issued to act as a call for competition and should be treated as minimum timescales and not be relied upon as the standard.

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Appendix A 22.9 When determining the time limits for the receipt of Pre-Qualification Questionnaires (PQQ’s) and Tenders, the authorised officer must be proportionate and fair to the market and take into consideration, the complexity of the specification and tender submission requirements, along with any previous market consultation undertaken. The justifications for the time limits set, should be detailed within the procurement business case referred to in section 8.

23.0 Qualification 23.1 For all procurements with a value of over £164,176 for Supplies and Services, £589,148 for Contracts under the Light Touch Regime or £4,104,394 for Works the company shall only enter into a contract with a Contractor if it is satisfied as to the Contractor’s:-  Economic and financial standing  Technical ability and capacity  Insurance arrangements  Quality systems  Health and Safety Records  Environmental performance and compliance with environmental legislation  Compliance with all relevant legislation

23.2 For every such procurement the procurement business plan will set out the minimum standards of  suitability to pursue a professional activity;  economic and financial standing;  technical and professional ability

If any which are considered suitable and appropriate to the contract having regard to the requirements of the Regulations and these will be included in the procurement documents. 23.3 Where a procedure other than the Open Procedure is being used the procurement business plan must set out the proposed criteria for selecting those to be invited to Tender or Participate in the Dialogue and these must be included in the relevant procurement documents 23.4 Whilst candidates may initially self-certify as to compliance with requirements whether using the European Single Procurement Document (ESPD) or otherwise, officers should consider when it would be appropriate to ask candidates to provide evidence of meeting the relevant standards and criteria and in any event before being awarded the Contract the successful bidder must have provided satisfactory evidence 23.5 Where any candidate seeks to rely on the capacities of other entities in terms of economic and financial standing and professional and technical ability it shall be required:  to prove how those capacities will be available to it;  to demonstrate that such entity is not liable to exclusion under the Regulations;

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Appendix A in the case of economic and financial standing that any relevant entity will be required to provide a parent company or other suitable guarantee to the company and these requirements will be made clear in the relevant procurement documents

24.0 The Invitation to Tender/Quote 24.1 The Invitation to Tender or Quote shall include details of the company’s requirements for the particular contract including: (a) A description of the services, supplies or works being procured; (b) The procurement timetable including the tender/quotation return date and timescales. A reasonable period should be allowed for the applicants to prepare their tender/quotation and where applicable meet the minimum Regulation timescales; (c) A specification and instructions on whether any variant bids are permissible; (d) Subject to the company’s terms and conditions of contract or a request for the bidders to submit their terms and conditions (the company should look to use its own terms & conditions wherever possible). (e) The evaluation criteria including any weightings and or sub-criteria as considered appropriate; (f) Pricing mechanism and instructions for completion; (g) Whether the company is of the view that TUPE may apply; (h) if appropriate the form and content of method statements to be provided by the bidders; (i) rules for submitting of tenders/quotations (all tenders/quotations should state that the company’s preferred option is to have tenders/quotations submitted electronically where appropriate); (j) any further information, such as a project brief, which will inform or assist contractors in preparing tenders/quotations; (k) Consideration should also be given whether or not a performance bond should be required. This should be considered for all contracts over £500,000, and should only be specified following advice from the Director of Corporate Services.

25.0 Submission, Receipt, Opening and Registration of Tenders 25.1 Electronic Tendering Requests for quotations and invitations to tender over £25,000 must be transmitted and Quotations and Tenders over £25,000 received by electronic means using the company’s YORtender system or equivalent. This will: (a) Evidence and record successful transmissions (b) Securely store tenders to ensure that they are not opened until the deadline for receipt of quotations/tenders has passed. The company’s preferred method of tendering is by electronic means. However, in very exceptional circumstances (e.g. PFI schemes, large construction contracts where there are a large amount of drawings required or

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Appendix A where a contractor doesn’t have the capacity to tender electronically), paper submission may be allowed. 25.2 Hard Copy Tendering Tenders received shall be addressed to the Contract and Compliance Service Manager in a sealed envelope endorsed with the word “Tender” followed by the subject matter to which it relates. No marks shall be included upon the envelope that identifies the bidder prior to the opening of the envelope. Tenders shall be kept in a secure place and remain unopened until the time and date specified for their opening. Tenders shall be opened by a Head of Service and if required at least one other officer nominated by the Executive Management Team. An immediate record shall be made of the tenders received including names, addresses, value and the date and time of opening.

26.0 General 26.1 The design of the tender/quotation documents must be such that price documentation cannot be changed or substituted following submission of the tender or quotation. 26.2 No tenders, quotations or Pre-Qualification Questionnaires received after the specified date and time for their receipt can be considered by the company unless approved by the Contract and Compliance Service Manager. 26.3 All tender/quotation documents must be retained in line with the provisions set out at by the company’s document retention policy and set out on the company’s website.

27.0 Evaluation of Tenders & Quotations 27.1 The evaluation criteria shall be predetermined and listed in the Invitation to Tender/quote documentation in order of importance giving the relative weighting wherever possible. Save where it is obvious, marking methodologies should also be provided to bidders so they understand how their submission will be evaluated. Sub-criteria should also be listed. In addition, the criteria shall be strictly observed (and remain unchanged) at all times throughout the contract award procedure. 27.2 Tenders subject to the Regulations shall be evaluated in accordance with the relevant Regulations and the evaluation criteria set out in the Invitation to Tender. – further advice is available from the Contract and Compliance Team. All other Quotations/Tenders shall be evaluated in accordance with the evaluation criteria set out in the Invitation to Tender. 27.3 Where a bid is non-compliant for example because it does not meet the company's specification or other key requirement it will not be eligible for acceptance and should not be marked. 27.4 All contracts, except contracts where lowest price was predetermined to be the only criteria, must be awarded on the basis of the offer which represents most economically advantageous tender/quote for the company as determined by the Award Criteria.

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Appendix A 27.5 Procurements should only be abandoned and re-tendered for proper justifiable reasons e.g. funding is no longer available etc. [It would be a breach of the Regulations if a tender was abandoned on the grounds that a particular contractor was not the successful bidder and such action would leave the company open to legal challenge.]

28.0 Errors in Tenders/Quotations 28.1 Errors in tenders/quotations must be dealt with either by asking the contractor to confirm that they will accept the contract documentation as issued or if not withdraw the tender/quotation from the procurement process. Where a contractor has made a genuine error they may be given an opportunity to correct that error. Other than where a procurement exercise is being carried out under the competitive dialogue or negotiated procedure, where fine tuning and clarification are permitted, no other adjustment, revision or qualification is permitted. 28.2 Tender/quotation documents must state how errors in tenders/quotations will be dealt with. 28.3 Contractors regularly making errors should be warned appropriately. 28.4 Where a tender is received which appears to contain an abnormally low price or costs, if the tender would otherwise be the winning bid, the tenderer should prior to acceptance be asked to explain the reasons for the abnormally low sum and the explanation should be considered carefully to establish whether there are grounds to require or justify the discretionary rejection of the Tender. Advice should be taken from the Contract and Compliance Team

29.0 Post Tender Negotiation 29.1 Where a procurement exercise is conducted pursuant to the Regulations through either the open, restricted or competitive dialogue procedures, post tender negotiations are not permitted. Under the open and restricted procedures negotiations on price are never permitted. Where the competitive dialogue procedure is used all aspects of the procurement can be discussed pre-tender. However, post tender the officer may only seek to clarify, specify or fine tune tenders in accordance with (i) the Regulations and (ii) the tender instructions (this should only be done in accordance with advice from the company’s legal providers). 29.2 Where procurements are conducted outside the Regulations, such as below threshold contracts, the Executive Management Team may authorise negotiations if they consider that it is in the company’s interest to do so. 29.3 Negotiations shall be conducted on behalf of the company by at least two appropriately trained officers (in correct procurement procedures). A full written record shall be kept of the results of the negotiations, signed by a Director and the contractor, and retained on file by the Contract and Compliance Team. 29.4 An amended Tender following negotiations under this rule may not be accepted unless it provides Value for Money to the company. 29.5 At all times during the procurement process the company shall ensure that all tenderers are treated equally and in a non-discriminatory and transparent manner.

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Appendix A

30.0 Awarding Contracts 30.1 A contract shall only be awarded on the basis of the tender evaluation criteria. 30.2 Where a tender is to be evaluated on price only the contract must be awarded to the contractor submitting the lowest price. It is not recommended to award contracts on price only. 30.3 Where the quotation/tender proposed for acceptance exceeds the estimated budget by more than 10% it shall not be accepted unless a member of the Executive Management Team has received written advice from:  an authorised officer, explaining why the contract exceeds the budget; and  the Head of Financial Services has confirmed that adequate budgetary provision exists to cover the funding of the additional cost. 30.4 Where the scope of the original contract is to be reduced in order to fit within budgetary provision the company will at least be required to re-enter negotiations with all contractors who have submitted a bid. Advice should be sought from the Contract and Compliance Team as to whether the exercise should be recommenced.

31.0 Standstill 31.1 For contracts valued over EU Threshold a 10 day standstill period must be implemented. (i.e. a contract must not be entered into with the successful tenderer and neither goods, works nor services may be performed or delivered to the company during this period). 31.2 The Contract and Compliance Team will undertake the preparation of this standstill letter. This is a specific letter that must be sent out to:  The successful tenderer;  any unsuccessful tenderer

31.3 The letter advises all tenderers of the result of the evaluation and as a minimum must:  contain the award criteria used to select the winning bid,  the score obtained by the recipient of the letter/notice  the score obtained by the winning bidder and the name of the winning bidder.  the reasons for the decision, including the characteristics and relative advantages of the successful tender.  the precise date when the standstill is expected to end 31.4 Where an unsuccessful tenderer requires further information or requests a meeting on why they were unsuccessful in the competition this is to be referred to the Contract and Compliance Service manager.

32.0 Contract Award Notice

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Appendix A 32.1 All Contract awards above £5,000 will be recorded on the supplier contract management System which is currently YORtender) 32.2 Contracts above £164,176 for Supplies and Services, £589,148 for Contracts under the Light Touch Regime or £4,104,394 for Works shall be executed under hand, unless the member of the Executive Management Team approves other arrangements. 32.3 Contracts will be based on the company’s relevant standard terms and conditions. Where a variation is required from the standard terms and conditions this will be agreed by the company’s legal provider. 32.4 The decision to award a contract shall be made in accordance with the company’s delegated authority policy on receipt of a written recommendation from the Contract and Compliance Team. This recommendation should give details of the reasons why tenders, if any, were disqualified and the reasons for the selection of Contractor(s). 32.5 Where the terms and conditions of contract are not fully agreed to, no Contractor shall be allowed to commence delivery of goods, works or services until a full risk assessment has been carried out by the Contract and Compliance Team as to the possible implications to the company by the Contractor being allowed to commence work before the Contract terms and conditions have been finalised. 32.6 Following the notification of award of contract the details of the awarded Contract is to be published on the company’s Contracts Register and Contracts Finder to meet the requirements of the Regulations and Transparency Agenda.

32.7 Where a contract has been tendered pursuant to the Regulations, the company shall publish a contract award notice in the Official Journal of the European Union and on the YORtender system as soon as possible and in any event no later than 30 days after the date of award of the contract. 32.8 The Contract and Compliance Team are also required to prepare a report in accordance with Regulation 84 of the Public Contract Regulations.

33.0 Contract Terms and Conditions

33.1 The company will make its best endeavours to ensure that contracts are entered into on its terms and conditions, which shall also be included with each purchase order or invitation to tender. Where this is not possible, because the company’s terms and conditions are not suitable, and a contractor has been asked to submit their terms and conditions, where there are material changes to the company’s terms and conditions they must be formally approved by the Contract and Compliance Team prior to contract award.

34.0 Contract Extensions and Variations

34.1 Proposed Variations to a contract should be notified in advance to the Contract and Compliance Service Manager Contract to ensure that they will not contravene the Requirements of the Regulations.

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Appendix A 34.2 All Contract variations must be carried out within the scope of the original Contract. Contract variations that materially affect or change the scope of the original Contract are not allowed and could require a fresh procurement under the Regulations 34.3 All contract variations must be in writing and signed by both the company and the contractor except where different provisions are made within the contract documentation. The value of each variation must be assessed by the authorised officer and all necessary approvals sought prior to the variation taking place. 34.4 The term of any contract may only be extended where all the following criteria have been met:  Provision for an extension of the term is evidenced by the original contract (and the original tender/quotation); and  Where the budget provision and the extension is in line with the Financial Standing orders; and  Where the contract still delivers Value For Money 34.5 Only the Contract and Compliance Service Manager may approve an extension to the term of a contract outside the rules, after consulting with the Executive Management Team. 34.6 Contract extensions will not be permitted if the value of the extension takes the contract above the EU procurement threshold/s. 34.7 All variations and extensions to any company contracts must be in writing and the Contract and Compliance Team will ensure that the Contracts Register is updated accordingly.

35.0 Termination of Contract 35.1 Provision for the termination of a contract must be included within the terms and conditions of the contract. Only the Executive Management Team, with the guidance of the company’s legal provider has the authority to agree early termination of a contract. 35.2 The Contract and Compliance Service Manager must be consulted where there are serious concerns over the performance of a contract. 35.3 The Contract and Compliance Service Manager must be consulted if the performance of a contract is giving rise to concern and consideration is given to termination.

36.0 Procurement by External Agents 36.1 Any consultants used by the company shall be appointed in accordance with these Contract Standing orders. Where the company uses consultants to act on its behalf in relation to any procurement, then the Executive Management Team shall ensure that the consultants carry out any procurement in accordance with these Contract Standing orders. No consultant shall make any decision on whether to award a contract or who a contract should be awarded to. The Executive Management Team shall ensure that the consultant’s performance in relation to procurement is in accordance with these Contract Standing orders.

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Appendix A 36.2 Where the company uses consultants to act on its behalf in relation to any procurement the consultant must declare any conflict of interest that may arise to the Executive Management Team prior to commencing work on any tender. 36.3 Where the Executive Management Team considers that such a conflict of interest is significant they should consider whether it is appropriate for the consultant to work on a particular tender and the consultant should not be allowed to evaluate tenders on behalf of the company. 37.0 Tenants or Tenant Board Members Involvement 37.1 Where appropriate, St Leger will consider tenants or tenant board members in the tender evaluation process. The relevant Head of Service is responsible for ensuring consultation has taken place with tenants or tenant board members and decide whether their involvement is required or not. 38.0 Record and Document Retention and Control 38.1 A Contracts Register of all contracts awarded shall be maintained by the Contract and Compliance Team.

38.2 For every individual Contract above £25,000 a contracts file shall be maintained with appropriate documentation which must include, as a minimum, the following: -

(a) The method for obtaining bids; (b) Any exemption under section 12 together with reasons for it; (c) The evaluation criteria in descending order of importance and associated evaluation method; (d) Tender documents sent and received from contractors; (e) Any pre-tender market research; (f) All notes made by the evaluation panel during the evaluation of tenders; (g) Clarification and post-tender negotiation (to include minutes of meetings); (h) A copy of the contract documents; (i) Post-contract evaluation and monitoring; (j) Communications with all contractors during the tender process and with the successful contractor throughout the period of the Contract; (k) Award of contract documentation; (l) Any decision to abandon a procurement exercise or terminate a contract. (m) All delegated decisions, authorisations, waivers and reports relating to the tender process and subsequent contract.

39.0 Purchase Cards 39.1 The company uses purchasing cards in order to reduce transaction costs for low value purchases by reducing time spent on processing of orders and invoices. 39.2 Purchase cards must not be used as a way of bypassing CPRs. However, in some circumstances, where a contract exists and the supplier allows, a purchase card may still be used as a method of payment, where this offers better value for money or is specified in the contract. For further guidance refer to the Purchase Card policy.

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Appendix A 40.0 Cost Control 40.1 The Director of Corporate Services shall ensure that suitable procedures are laid down and followed for the effective cost control of all contracts. Such procedures shall involve a continuous monitoring of the cost being incurred on each contract with the objective of ensuring that the project is completed within the authorised cost and that any unavoidable extra costs are identified quickly so that appropriate action can be taken. 40.2 As soon as it becomes apparent the costs will exceed the amount authorised, the authorising officer must immediately report the situation to the Director of Corporate Services.

41.0 Contract Claims 41.1 To safeguard the company’s right to deduct liquidated damages, if the contract is over-running the authorised officer must certify in writing that the contractor ought to reasonably to have completed the works within the Contract period. Such a certification must be in accordance with the contract conditions and be issued prior to the issue of the final certificate for payment. 41.2 Any events that may lead to claims for extension of time must immediately be brought to the attention of the Contract and Compliance Service Manager. 41.3 Claims for extension of time must be assessed promptly and any extension award made in accordance with the conditions of contract. 41.4 If the works are not complete the authorised officer must issue a certificate of non- completion in accordance with any relevant contract conditions immediately after the expiry of the (extended) date for completion. It is the ultimate responsibility of the Contract and Compliance Team to arrange for the deduction of liquidated damages. 41.5 If the contractor subsequently brings forward fresh evidence of delay, the authorised officer may award a further extension but must then also issue a revised certificate stating the revised date in accordance with any relevant contract conditions. 41.6 Before the final certificate is issued the authorised officer shall check that any necessary certificate has been issued in accordance with the relevant contractual conditions. 41.7 The Executive Management Team must be kept informed at all times of all contractual claims whether by or against the company. 41.8 It is critical that documentary evidence is kept relating to all aspects and stages of a claim and these should be kept by the Contract and Compliance Team.

42.0 Review and Amendment of Contract Standing orders

42.1 The Head of Asset Management and the Contract and Compliance Service Manager are authorised to make technical amendments from time to time to ensure these procedures are consistent with legal requirements, changes in company structures and personnel and best practice.

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Appendix A

GLOSSARY OF TERMS (including general procurement terms)

Added Value - Any benefits or services which can be provided over and above that of the contract requirements

Aggregation of Demand – Where similar or same purchases made separately over a period of time (and often from multiple suppliers) are combined into one contract requirement

Approved List – List of suppliers who have met a minimal level of quality assessments, usually through a pre-qualification questionnaire, or pre-approved list e.g. Constructionline database and approved to provide specific work, goods or services

Approved Suppliers – Suppliers included on approved lists

Assignment – The transfer of rights from one contractor to another on the basis of the same contract

Audit Trail – System or paper generated evidence showing how decisions and procedures were carried out

Authorised Officer – a person appointed by the Executive Management Team who is responsible for the a service area

Award – The allocation of a contract to a successful bidder/contractor/supplier

Award Stage – Final stage of the tendering process, with notification of the successful supplier and the signing of the contract

Bid – A submitted tender

Procurement Business Case (Procurement) – The reasons for carrying out a procurement or project, usually indicating initial value, and justifying the need such an identified service need or meeting company’s objectives

Challenge Point – a review of the evaluation process to ensure that the procedures and outcome of the evaluation process are fair, transparent and reflect the views of the evaluation panel

Collaboration – Process by which two or more ‘organisations’ (local authorities, other public sector bodies) work together to obtain a joint solution for a shared requirement. Used to capitalise on the advantages of aggregating demand, such as economies of scale or stronger positioning in the marketplace

Collusion – illegal process of agreeing to unfair activities in a procurement process, such as price fixing

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Commissioning – the strategic activity of assessing need and using resources (both budgets and services) to meet those needs, with procurement forming part of commissioning for the sourcing and setting up contracts to provide services

Competitive Dialogue – Competitive dialogue is a procedure in which any economic operator may request to participate and whereby the company conducts a dialogue with the candidates admitted to that procedure, with the aim of developing one or more suitable alternatives capable of meeting its requirements, and on the basis of which the candidates chosen are invited to tender

Concession – an agreement between the company and a contractor for where payment comprises in whole or in part the right to exploit the works or services by receiving income from third parties rather than direct payment from the company

Contingencies – future events or circumstances which may occur

Contract – Legally binding document that sets out the terms and conditions of the delivery of the works, services or goods, including performance measures

Contract Management – Contract management activities can be broadly grouped into three areas.

Contract administration – handles the formal governance of the contract and changes to the contract documentation.

Contracts Finder - Government portal for advertising contract valued above £25,000 as required by the Public Procurement Regulations 2015

Contracts Register – A register of companywide contracts centrally held by the Contract and Compliance Team

Contract Award Notice – Notice of the award of a contract published in the Official Journal of the European Union (OJEU) as required by EU legislation

Contract Standing orders – A policy which sets out the rules which must be followed when undertaking any procurement process

Companywide Contracts – contracts let on behalf of the company to meet the requirements of good, services or works which are common or shared across the company.

Criteria – Set of specific requirements that a quote or tender will be marked against

Delegated Authority – Officers who have been authorised to carry out such tasks as set out in the company’s scheme of delegation.

Director – The person responsible for the proper compliance with these procedures. Except as indicated otherwise, a Director may delegate authority to other persons to deliver their responsibilities.

Disaggregation – Splitting a requirement for similar works, goods or services into a number of smaller contracts to avoid having to undertake a full competitive tender exercise for contracts exceeding the EU thresholds. This practice is a breach of EU legislation

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Dispute - Disagreement between the company and supplier or contractor which may result in Court action

Doncaster Business – A company or other organisation which has an office or premises within the Doncaster Metropolitan Borough Council area.

EU Procurement Directives (EU Legislation) – European procurement law enacted into UK law as the Public Procurement Regulations 2006, detailing rules and Regulations that must be complied with for all public sector procurement processes that exceed specified thresholds

Evaluation – Detailed assessment and comparisons of bid submissions verifying how suppliers will meet the requirements of the contract, measured against quality and price criteria

Evaluation Panel – Group brought together with the specific aim of assessing submitted tenders against pre-set criteria, to make final recommendations on the award of contract.

Exceptions – Permits the undertaking of a procurement action within a specific area without the need for a competitive tender exercise.

Execute – the completion of contract documentation, including the signing, and sealing where required, of the formal contract

Exemption – excluding a procurement activity from one or more of the Contract Standing orders

Framework Agreement – Used where specific works, services or goods will be needed on a number of occasions over a known duration, but the exact requirement isn’t known. Can be with a single supplier (sometimes referred to as a ‘call-off’ contract) or with a multiple number of suppliers. Once set up, there is no need to go to the open market as competition is held between those suppliers on the framework

IHS– In-House Service Provider is an identified internal service offered by the company

Invitation to Tender – Sent to tenderers asking them to submit bids based on a specification, indicating the requirements of the company.

Joint Procurement – Where other public bodies are included within a procurement exercise

Letter of Intent – A written statement indicating the company willingness to enter into a formal contract

Light Touch Regime – The new light-touch regime (LTR) is a specific set of rules for certain service contracts that tend to be of lower interest to cross-border competition. Those service contracts include certain social, health and education services, defined by Common Procurement Vocabulary (CPV) codes. The list of services to which the Light-Touch Regime applies is set out in Schedule 3 of the Public Contracts Regulations 2015

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Liquidated Damages – Compensation awarded by a court judgement or a contract stipulation regarding breach of contract

Marketplace – Wording used to describe a commercial activity or a group of potential suppliers possibly able to meet requirements

Negotiation – Process by which a contract proposal is reached through discussion and agreement between the prospective contractor and the company

Negotiated Procedure – Procurement process undertaken directly with one bidder. Used under specific circumstances

Non-Commercial Consideration – Non-financial concerns such as social and environmental factors

Novation – Substitution of a contractor with a new contractor, or of a contract with a new contract

OJEU (Official Journal of the European Union) – on-line publication advertising tender opportunities and publicising contract awards for the public sector in all EU Member states, the European Economic Area and the World Trade Organisation

OJEU Notice – published notice of tender opportunity or contract award in OJEU

Open Procedure – Tender process which is open to any supplier who wishes to bid. All tenders must be considered

PFI – A Private Finance Initiative is a way of creating public – private partnerships by funding public infrastructure projects with private capital.

Pre-Procurement Procedure – A requirement for stakeholder to ensure they have correctly identified the needs of the service and outcomes have been assessed.

Pre-Qualification Questionnaire – Set of questions used to establish the suitability of a supplier to be included in a bidding process, based on experience, financial stability and quality assessments. Is also be used to eliminate bidders in a restricted (two stage) tender so that only the most suitable suppliers are invited to tender

Procurement Law – applicable UK and EU law including the Public Contracts Regulations 2015 and the Concession Contract Regulations 2016, as the same may be amended from time to time.

Procurement Code of Practice – The document is an aid to understanding approaches and best practice approach to procurement activity.

Qualified Tender – Where a bidder submits a bid which has been amended to the bidders requirements, such as inserting their own terms and conditions

Quotation – Written or verbal price given by a supplier on request

Remedies Directive – EU legislation which sets out the rules by which the procurement actions and decisions may be challenged.

Regulations – Public Contract Regulations 2015

- 4 -

Relationship management – keeps the relationship between the two parties open and constructive, aiming to resolve or ease tensions and identify problems early.

Restricted Procedure – Tender process where potential suitable tenderers are identified by the evaluation of a pre-qualification questionnaire. Only those passing the evaluation criteria of the pre-qualification questionnaires will be invited to tender

YORtender – Supplier, contract, management, system (YORtender) is an electronic e-tendering system used by Yorkshire Council’s.

Service delivery management – ensures that the service is being delivered as agreed, to the required level of performance and quality.

Specification – Detailed description of what is required, including monitoring procedures

Stakeholder – Individual or organisation with an active interest in the impact or effect of the company’s procurement activities

Standstill Period – Contracts over the EU threshold must include a minimum standstill period between the decision to award a contract and the actual award. Unsuccessful suppliers are notified of the proposed award and given the opportunity to appeal if they believe that the award is not justified. It’s named after the case law establishing a ruling of an unfairly awarded contract

State Aid – Any Government aid must not distort competition by favouring certain businesses or goods

Sub-Letting – Engagement of another contractor by the main contractor

Submission – The bid or tender submitted by a supplier in response to an invitation to quote or tender

Sustainable Procurement – the economic, environmental and social issues to be considered in procurement

Tender – Written response to an invitation to tender that contains a full costed proposal. Submitted in a sealed process, and evaluated against set criteria

Tenderer – Prospective supplier who submitted a bid in response to an invitation to tender or quote

Tender Documents – Set of documents provided to prospective tenderers which forms the basis on which tenders will be submitted. Includes, as a minimum, instructions to tenderers, contract terms and conditions, specification, evaluation criteria, pricing schedule, form of tender and anti-collusion statement

Testing the Market – Formal procurement process to establish whether there are suppliers able and interested in providing quotes or bidding

Termination – Cancellation of all or most of a contract.

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Thresholds – Financial boundaries (based on the whole life value of a proposed contract) which determine the procurement action, for example whether a competitive tender is required, or whether an EU competitive action is required

TUPE (Transfer of Undertakings (Protection of Employment) Regulations 2006) - Preserves the continuity of employment and safeguards employment rights of all employees transferring to a new employer i.e. where there is a change of contract provider or where current company staff are being transferred to another service provider

Value for Money – ensuring the needs of the company are met whilst achieving the required balance of quality and price

Variation - A variation is usually a change to the specification. It may either be a one off item of work or service, or a change for the remainder of the contract. Deeds of Variation and Variation Orders are contractually binding on both parties.

Waiver – Approval obtained prior to procurement activity, by a member of the Executive Management Team, permitting an exception to the Contract Standing orders.

Whole Life Value – All costs incurred in the lifespan of the contract, including disposal.

- 6 - Appendix B

Authorisation Matrix

Chief Executive or Director of Corporate Services Above £250,000

Director Above £50,000 and below £250,000

Head of Service Above £10,000 and below £50,000

Service Manager Above £250 and below £10,000

Stores Manager Above £250 and below £10,000 August 16-17 Backward Look Real Time Forward Look Direction of travel Year to date Directors Comment Year End

Directorate KPI May June July August (compared to Mitigating actions / Assurance

Status (Strategic Context) Forecast

previous

month) At 2.52% (£1,894,448.68) performance is the same as for July. However, trend information (Against would have predicted an increase within the With Mitigation Previous month. We have continued to see a reducing month) % of current rent arrears trend in the number of tenants owing over HS 1 against annual debit  £500. (Against Without Profiled Mitigation Target)

Performance for the month continues to An overall target of 1.19% has been set for 2016/17. improve and at 0.86% is within the target of Close monitoring, on-going action and investment in 1.19%. Previous month’s performance was the voids process is being rolled out to achieve the Void rent loss % (£) of rent loss 0.92%. All areas apart from South West, have target. The final area to roll out will be in October. All through vacant dwellings hit VRL targets in August. Cumulative teams across all areas of the business are working HS 2 (Excluding Sheltered properties and properties earmarked for  performance has also shown an improvement together with a view to improving VRL in the South demolition) reducing from 0.97% to 0.95%. West.

At the end of August we were temporarily accommodating a total of 7 households, which is the same figure as at the end of July. During the month we saw 8 new households access Number of Households in temporary accommodation. HS 3 Temporary Accommodation (including Bed and Breakfast)  Stability in the month end snapshot shows that households are being moved through temporary housing in a timely manner.

The number of households remains above the Weekly operational meetings continue to be in place contractual requirement of 40 at 44. that are working through and reviewing all processes including referrals, needs and risk assessments and support planning to ensure that support given is both Number and % of Households consistent and of a good quality. HS 4 Maintaining or Established Independent Living 

Of the 89 complaints received in July, 9 were We are continuing to roll out the lessons learnt deemed as service failure. This gave a service meetings with Directors in order to embed learning failure performance of 10%, the lowest it has from complaints. Reasons for dissatisfaction with Analysis of complaints - Service ever been and well within the target of 20%. service need to be analysed further to identify areas Failure against Service Year to date performance currently stands at for improvement. HS 5 Dissatisfaction (1 month in  17%. arrears) August 16-17 Backward Look Real Time Forward Look Direction of travel Year to date Directors Comment Year End Directorate KPI May June July August (compared to Mitigating actions / Assurance Status (Strategic Context) Forecast previous month)

Right first time is showing an improving trend Close monitoring and management of this KPI will for August at 98.93% in month and 98.17% continue, with analysis being undertaken to identify cumulative (target 98%). 43 jobs from 4,018 for areas of improvement. August were not RFT.

PS 1 Right First Time 

864 orders were raised for delivery in August. 1 Close monitoring and management of this KPI will of these was not completed within tolerance continue. Detailed analysis is undertaken to ascertain giving an in month out turn of 99.88% against a the reason why repair promises have not been made. target of 100%. This is showing an These are discussed with the Service Manager and Scheduled Repairs - % of improvement on the previous month. Team Leaders to aid learning and improvement. PS 2 promises kept  Cumulative performance year to date is at However, because of the way this KPI is calculated it 99.69%. is not possible to achieve year end target of 100%.

This KPI is on target at 100%. All no access Continuous management and monitoring of the KPI properties are being pursued within our will continue managed procedures. 3 properties are over 60 days no access, none are over 90 days. 18 are Gas Servicing - % of properties over 30 days. Proactive action continues to be PS 3 attended  taken to gain access to these properties, all are within our managed process

Sickness absence is not on track for this All cases are being proactively managed through the month, although the direction of travel is Managing Attendance Policy and Procedure improving. There has been a reduction in long term absence, offset by an increase in short term. long term has reduced from 21 in July to 16 cases in August. Short term has increased Average days lost through CI 1 from 32 to 60 cases. Direction of travel for all sickness per FTE  directorates is improving, Overall there has been an increase of 0.01 days per FTE compared to August 2015. August 16-17 Backward Look Real Time Forward Look Direction of travel Year to date Directors Comment Year End Directorate KPI May June July August (compared to Mitigating actions / Assurance Status (Strategic Context) Forecast previous month) The performance for the year is very pleasing There has been a staff reduction in the accounts and above target, the performance in each payable team and TOTAL authorisation will be month has been above 97% since February switched on shortly therefore we need to continue to 2016. monitor and improve the processes around this Percentage of invoices paid indicator. CI 2 within 30 days  Directors Comment Directorate KPI (Strategic Context) Arrears for the month stood at 2.54% (£1,907,643) which is a % of current rent arrears against very positive HS 1 annual debit start to the year and compares favourably to April 2015 when arrears stood at 2.59%. Performance is at 1.09% which is within target and is Void rent loss % (£) of rent loss improved through vacant dwellings (Excluding HS 2 performance Sheltered properties and properties when earmarked for demolition) compared to the same period in the previous year (1.53%). All areas, apart At the end of April we had 8 households Number of Households in in temporary HS 3 Temporary Accommodation (including Bed and Breakfast) accommodati on and had only placed 3 households We are now up to our contracted Number and % of Households number of 40 HS 4 Maintaining or Established Independent Living service users with referral pathways in place. We We received 82 complaints in March with Analysis of complaints - Service 69 (84%) HS 5 Failure against Service Dissatisfaction (1 month in arrears) judged as dissatisfactio n with the remaining

Performance for April is 98.61% against a PS 1 Right First Time target of 98%. 63 jobs were not right first time from the The 100% target for this KPI has been met, with 1,042 jobs complete. 31 Scheduled Repairs - % of promises PS 2 kept of these being completed with the tolerance period.

This KPI is on target at 100% . No access at the end of April Gas Servicing - % of properties stands at 74. PS 3 attended 37 are without a landlords certificate, and are all under 30 days the oldest being

Sickness absence is on track for this month due to a large reduction in Average days lost through sickness h t t

Average days lost through sickness CI 1 short term per FTE sickness absence cases from 88 cases in March to 55 cases in April. ThThe b performance in April is Percentage of invoices paid within CI 2 above target 30 days at 97.94%. April May Directors Mitigating Mitigating Year End Comment Year End actions / actions / Forecast (Strategic Forecast Assurance Assurance Context) Work is Arrears for the As well as the ongoing to month stood ongoing work to introduce at 2.56% introduce paperless (£1,924,766) paperless direct direct which, debits and any debits and although is day draw down any day slightly higher arrangements, draw down than April is training for arrangemen still positive IMOs focussing ts. Once performance on negotiation we have when techniques and introduced compared to ‘excuse busting’ these we the same time has been will be last year when arranged to take increasing performance place in July An overall Performance An overall target target of is at 0.96% for of 1.19% has 1.19% has May and is been set for been set for within target 2016/17. close 2016/17. which is at monitoring, close 1.19%. ongoing action monitoring, Previous and investment ongoing months in the voids action and performance process is being investment was 1.09%. rolled out to in the voids Cumulative achieve the process is performance target being rolled is at 1.02%. out to We will At the end of Further work is continue to May we had underway to work at 11 households review the moving in temporary impact of the support to accommodatio new ways of early n, just slightly working and assessment above the putting and target of 10. additional We are We are now Weekly reviewing over our meetings the service contracted continue to be in in number of 40 place and we readiness service users are continuing for our with referral to review the Supporting pathways in service in People place at 41. readiness for We will be We received We will be rolling out 75 complaints rolling out customer in April with 64 customer care care (85%) judged training and are training as introducing a and are dissatisfaction greater focus on introducing with the learning from a greater remaining complaints with

Continuous Performance Continuous monitoring for May is monitoring and and 98.21% management of manageme against a this PI will nt of this PI target of 98%. continue. Into will 75 jobs were 2016/17 continue. not right first Into time from the Continuous the 100% Continuous monitoring target for this monitoring and and KPI has not management of manageme been met, with this PI will nt of this PI 4 jobs continue into will completed out 2016/17. Some continue side the tolerance has into tolerance been built in to 2016/17. period, giving capture jobs Some an in month complete within tolerance figure of 5 working days has been 99.59%, with a of month end, built in to cumulative close monitoring Continuous This KPI is on Continuous monitoring target at 100% monitoring and and . No access at management of manageme the end of this PI will nt of this PI May stood at continue. will 90. The continue. oldest of these are being pursued through court, with the next hearing on the 7th July

All cases Sickness All cases are are being absence is on being proactively track for this proactively managed month due to managed through the a reduction in through the Managing short term Managing Att d ik Att d

Attendance sickness Attendance Policy and absence Policy and Procedure. cases from 55 Procedure cases in April to 53 cases in May. The number of The overall lThe t The overall position for performance position for payment of in May is payment of invoices is above target invoices is good good with a at 97.36% and with a low low number the cumulative number of of invoices performance invoices in the in the for the year is system. During June

Directors Comment Mitigating actions / Year End (Strategic Context) Assurance Forecast

Performance at the end of The project to June stood at 2.49% introduce mobile (£1,865,826), and represents working for income the lowest total arrears management staff is balance since August 2013. ongoing. Other At the same point last year improvements include arrears stood at 2.68%. Tuesday data There were 3 evictions in processing, and the June and 9 for the year to organisation of excuse date; this is below the rate buster training. last year when there were 15 evictions in the first 3 months.

Performance for the month An overall target of continues to improve and at 1.19% has been set for 0.93% is within the target. 2016/17. Close The previous month’s monitoring, on-going performance was 0.96%. action and investment Cumulative performance has in the voids process is also shown a further being rolled out to improvement reducing from achieve the target. The 1.02% in May to 0.99% in final two areas to roll June. This is a big out will be in August improvement when compared and October. All teams to the same period in 15/16 across all areas of the when VRL was 1.46% in business are working June 2015 and the YTD figure together with a view to We placed 3 households in We are working with temporary accommodation the national Landlords throughout the month and at Association to look at the end of June had a total of the supply of suitable 10 households. Again, we homes for households have continued to avoid the who present through use of bed and breakfast. housing options. We are also trialling At the end of the month we We are continuing to were supporting 40 improve procedures households via this service and working practices which is our contracted within the service to service level. We had two ensure that we provide unplanned departures during effective support. We the month which were both are analysing the down to non-engagement. reasons for unplanned We received 71 complaints in We are rolling out the May of which 18 (25%) where lessons learnt the result of service failure. meetings with Directors Unfortunately, this moves us in order to embed out of our service target of learning from 20% of complaints due to complaints failure.

Right First time remains in Continuous monitoring target for June at 98.21% and management of (target 98%. ). 70 jobs were this PI will continue, not right first time out of the with analysis being 3831 completed jobs. This is undertaken of the an improvement from the 75 repairs not right first repairs not right first time in time to identify any May but is showing a patterns in an effort to 793 orders were raised for Continuous monitoring delivery in June. 6 of these and management of were not completed within the this PI will continue. month giving an out turn of Detailed analysis is 99.24% against a target of undertaken to ascertain 100%. This has shown a the reason why repair slight downward trend when promises have not compared to May's figure of been made. These are 99.59%. The average in discussed with the month time to compete is Service Manager and 61.92 days which again is Team Leaders to aid improving performance. learning and improvement. However This KPI is on target at 100%. Continuous All no access properties are management and being pursued within our monitoring of the KPI managed procedures. 5 will continue. properties are over 60 days no access, none are over 90 days. There is an increase on the number of properties under and over 30 days when compared to the previous month. Proactive action continues to be taken to gain access to these properties

Sickness absence is not on All cases are being track for June due to an proactively managed increase in both short term through the Managing and long term sickness Attendance Policy and absence. Short term Procedure sickness absence cases have i d f 53 i

increased from 53 cases in May to 56 cases in June. The number of long term sickness cases has increased from 16 cases in May to 18 cases in June. Overall there has been an increase of 0.11 days per TheFTE performance d t forJ June 2015 There were a very and for the year to date is small number of above target. The invoices which were performance for June is the paid late in June and lowest is has been this we will therefore financial year investigate the reasons why and utilise this learning to ensure that Directors Comment (Strategic Context)

Performance for the month continues to improve and at 0.92% is within the target, t at 1.19%. Previous month’s performance was 0.93%. All areas apart from SouthWest, have hit VRL targets in July. Cumulative performance has also shown an improvement reducing from 0.99% to 0.97%. Right first time is showing an improving trend for July at 98.87% in month and 98.12% cumulative (target 98%). 45 jobs from 3,993 for July were not RFT. 1020 orders were raised for delivery in July. 2 of these were not completed within the month giving an in month out turn of 99.80% against a target of 100%. This is showing an improvement on the previous month. Cumulative performance year to date is at 99.65%.

This KPI is on target at 100%. All no access properties are being pursued within our managed procedures. 2 properties are over 60 days no access, none are over 90 days. 15 are over 30 days. Proactive action continues to be taken to gain access to these properties, all are within our managed process

Sickness absence is not on track for this month, although the direction of travel is improving. There has been a reduction in short term absence, offset by an increase i l t Sh t t h

in long term. Short term has reduced from 56 in June to 32 cases in July. Long term has increased from 18 to 21 cases. Housing services is showing an improving trend, However Property Services is showing an Thei performance i ik in July b is the best we have achieved since we started to report on this indicator. The number of invoices paid in the month, 1,834 was the highest figure this year and only 36 were paid late (20 different suppliers). Year End Mitigating actions / Assurance Forecast

An overall target of 1.19% has been set for 2016/17. Close monitoring, on- going action and investment in the voids process is being rolled out to achieve the target. The final two areas to roll out will be in August and October. All teams across all areas of the business are working together with a view to improving VRL in the South West. Continuous monitoring of this PI will continue, with analysis being undertaken to identify areas of improvement. Continuous monitoring and management of this PI will continue. Detailed analysis is undertaken to ascertain the reason why repair promises have not been made. These are discussed with the Service Manager and Team Leaders to aid learning and improvement. However because of the target it will not reach its cumulative target by the end of the year

Continuous management and monitoring of the KPI will continue

All cases are being proactively managed through the Managing Attendance Policy and Procedure

There has been a staff reduction in the accounts payable team and TOTAL authorisation will be switched on shortly therefore we need to continue to monitor and improve the process around this indicator.

KPI Directorate KPI Reference

% of current rent arrears KPI 1 HS 1 against annual debit

Void rent loss % (£) of rent loss through vacant dwellings KPI 3 HS 2 (Excluding Sheltered properties and properties earrmarked for demolition)

Number of Households in HS 3 Temporary Accomodation (including Bed and Breakfast) Number and % of Households HS 4 Maintaining or Established Independent Living

Analysis of complaints - Service Failure against Service KPI SLHD 12 HS 5 Dissatisfaction (1 month in arrears)

KPI 6 PS 1 Right First Time

Scheduled Repairs - % of KPI 10 PS 2 promises kept Gas Servicing - % of properties KPI 11 PS 3 attended

Average days lost through KPI SLHD 14 CI 1 sickness per FTE

Percentage of invoices KPI 19 CI 2 completed on time April 15-16

Directors Comment (Strategic Context)

Arrears reduced again in April which is against the recent trend for the period in previous years where we have seen arrears rise between March and April. This is also the first time where we have not seen a clear increase in arrears over a period which historically was a rent free period. Looking forward, we have now advertised for our Universal Credit lead and are working on our implementation plan.

April's performance showed a very marginal improvement on March. The North area (the pilot area) has shown the biggest improvement and we are looking to see to what extent changing working practices within the void review has impacted on this.

We have now stabilised our use of bed and breakfast. Work is currently ongoing to look at how we can ensure that this position is maintained and in particular so that we can look forward to being able to say that we have completely ceased any bed and breakfast use by families. We have seen great progress in this service with 42 customers now being supported, this is 2 above our contracted figure and is the result of creating clear pathways into the service for colleagues in estates. This has opened up the service to our tenants and is being used for intensive support in eviction prevention work.

Service failure levels in March stood at 18% (15 complaints), a total of 85 complaints were received for the period with the main area of failure being damage to property. For service dissatisfaction the main area of dissatisfaction was with policy not delivering what the customer would want.

For April this KPI was above target at 98.41% (target 98%) 70 jobs were not right first time out of 4,336. Primary reasons for those that failed are tenant led and diagnosis by operative. This KPI is showing a downward trend in comparison to the March out turn of 98.61%

1,191 orders were raised for delivery in April. 34 of these were not completed within the month giving an out turn of 97.15% against a target of 100%. This has shown a downward trend compared to March's figure of 99.39%. This years gas servicing programme commenced at the beginning of April and is on target at 100%. No access has reduced leaving 23 properties without a landlords certificate under 30 days and 9 over 30 days, but under 60 days. The oldest property has an appointment for the 19th May

Whilst the target for April has not been met, there has been a significant reduction in the figure when compared to April 2014 and an improvement from March 2015. A number of attendance hearings are scheduled for May.

A cross departmental working group will be reviewing short term sickness over the next few months and working to identify any further actions the business could take to improve attendance.

75% of invoices paid in April were paid within 30 days compared to the target of 95%. There are a number of invoices still in the system which are over 30 days, we are working hard to reduce these and improve processes which will then be reflected in a higher percentage of invoices being paid within 30 days.

Forward Look Forward Look

Mitigating actions / Assurance 2015/16

Directors Comment (Strategic Context)

Although arrears rose slightly in May, we are still well within our target and below the level of arrears for the same period last year.

Void rent loss has stabilised across the Borough (movement downwards was by 0.01%) apart from an increase in the North area, this is the pilot area for our voids review and so an increase in the time taken to let properties was anticipated during the period we are trialling different work methods.

At the end of May we had 15 households in temporary accommodation, an increase of 1 from April. This included 1 household in bed and breakfast with the remaining households living in our own self contained properties. We now have more households receiving support than our contracted figure of 40 with the pathways in place to make sure that we can continue to work effectively to support households.

Although the % of failure to dissatisfaction has moved in the wrong direction this month this is against a backdrop of fewer complaints which means that the number of service failures at 14 is still lower than last month. Total complaints dealt with stood at 63 which compares well with A il 2014 h h d 83 For May this KPI was above target at 98.67% (target 98%) 53 jobs were not right first time out of 3,983. Primary reasons for those that failed are Tenant Led and Diagnosis by Operative. This KPI is showing an upward trend in comparison to the April out turn of 98.41% 1,007 orders were raised for delivery in May. 10 of these were not completed within the month giving an out turn of 99.01% against a target of 100%. This has shown an upward trend compared to Aprils figure of 97.15%. With average time to complete at 64.41 days. This KPI is on target at 100%. No access stands at 144 with 123 without a landlords certificate under 30 days and 21 over 30 days, but under 60 days.

There has been a reduction of 80 days sickness compared to April 2015 outturn, and a 50 day reduction compared to May 2014. This This performance dipped during May due to a high number of scaffolding invoices paid which were scanned as one invoice. This was identified on receipt of the suppliers’ statement. May 15-16 Forward Look Forward Look

Mitigating actions / Assurance 2015/16

We have now recruited our Universal Credit co-ordinator whose role will be to drive forward the action plan which in turn will be monitored through Quality Committee.

We are continuing to look at introducing an Open Market policy with DMBC. The conclusion of the voids pilot will see both qualitative and quantitative improvements rolled out across the Borough.

Effective monitoring of all cases is in place to ensure that families move through temporary accommodation in a timely manner. We currently have vacancies within the Housing Options service which we are being pro-active in filling Implementation of the complaints review findings will help us to manage the learning from complaints more effectively

Continuous monitoring and management of this KPI will continue. Failures will be scrutinised in an effort to improve delivery and value for money.

Continuous monitoring and management of this KPI will continue. However because of the target it will not reach its cumulative target by the end of the year. Continuous monitoring and management of this KPI will continue. June 15-16 Forward Look

Directors Comment Mitigating actions / Assurance (Strategic Context)

At 2.68% of the debit, arrears The work we are undertaking on rose by 0.04% during the month current arrears is continuing to which is still well within the be effective with an overall months tolerance of 2.89% improving trend on arrears. which is needed to reach our year end target. In monetary terms this was an increase of £31,702.32. Positively, the number of cases over £500 is Althoughd i there d th was a slight b f The conclusion of the voids pilot reduction in void rent loss of will be the catalyst for 0.08 from 1.54% to 1.46% improvements to processes and during June, this figure is still in the quality of the homes we are need of significant improvement. offering. At this point we will The only area showing a further also be looking at the impact the drop in performance was the changes will have on the void North (increase of 0.02%). As turnaround time. the pilot area for the voids review we are looking at different ways of working in the The number of people moving A lack of staffing resources is into temporary accommodation having an impact on has reduced from 12 to 9 since performance. Vacant posts are last month. However the out to recruitment and filling snapshot at the end of the these will ensure there are month has remained constant at sufficient resources to make 15. decisions on cases in temporary accommodation and ensure The number we are supporting We are reviewing the source of has decreased to 39 this month our referrals to ensure that we which is 1 household below our are capturing all those who contractual level hence our require the nature of support performance moving to amber offered through this service status.

Performance in this area remains positive. 62 complaints were logged in May, this is 18 less than were logged in May 2014. Service failure levels still remain lower than our target with 21 % (13) of the complaints assessed as service failure.

For June this KPI was above Continuous monitoring and target at 98.46% (target 98%). management of this PI will 65 jobs were not right first time continue. Failures will be out of 4,227. Primary reasons scrutinised in an effort to for those that failed are tenant improve delivery and value for led and materials. This KPI is money. showing an downward trend in comparison to the May out turn 885f 98 orders 67% wereF th raised k for i Continuous monitoring and delivery in June. 7 of these were management of this PI will not completed within the month continue. However because of giving an out turn of 99.21% the target it will not reach its against a target of 100%. This cumulative target by the end of has shown an upward trend the year. compared to Mays figure of 99.01%. With average in month

This KPI is on target at 100%. Continuous monitoring and No access stands at 62 all are management of this PI will without a landlords certificate, continue. 60 under 30 days and 2 over 30 days, but 0 under 60 days. All are being pursued within our managed procedure.

The number of days lost per FTE for April to June due to long term sickness has significantly reduced from 1086.30 days per FTE in 2014 to 782.13 days per FTE in 2015. A reduction of 304 days compared to the same quarter last year.

However, there has been an increase in short term absence The performance for the year on A recruitment exercise has been this KPI is 77%, during the first completed and the team should three months of this year a new be back up to a full complement system for P2P (procure to pay) by the beginning of August. has been introduced across Follow up training is being Housing and Corporate services offered following the introduction and there has been significant of the new P2P system, if the staff turnover within the team. correct procedures are followed th t ti f July 15-16 Forward Look Forward Look

Year End Directors Comment Mitigating actions / Forec (Strategic Context) Assurance ast For July this KPI was Continuous monitoring and above target at 98.06% management of this PI will (target 98%). 74 jobs continue. Failures will be were not right first time scrutinised in an effort to

1058 orders were rasied Continuous monitoring and for delivery in July. 3 of management of this PI will these were not completed continue. However because within the month giving an of the target it will not reach This KPI is on target at Continuous monitoring and 100%. No access stands management of this PI will at 138 all are without a continue. landlaords certificate, 115 under 30 days and 22

This KPI is slighly under Regular Directorate meetings target for the month of to monitor sickness with July at 0.66 average days relevant actions taking place. lost per FTE against an in Measures to reduce short

The percentage of To improve this PI further invoices paid within 30 relies on all teams across the days increased to 82% in business to follow the July. The accounts appropriate processes for

August 15-16 Forward Look

Year Year End Directors Comment Mitigating actions / End Forec (Strategic Context) Assurance Forec ast ast Arrears increased by In addition to existing 0.04% (£30,666) during mitigations, we have now August with arrears for agreed to fund an those affected by Welfare alternative credit union Benefit Reform reducing 'jam jar' account for by £4,000. It is positive to tenants. This will see arrears stabilised particularly help those over the school holiday tenants who are most period which is a pinch vulnerable to payment Performancei t f f il in b August d t Thed f pilot lt is nearing a improved across all conclusion with clearly management areas with a emerging service monthly loss of 1.30% improvements which will (£75,269). This leaves be reported to board in the cumulative figure of November. 1.44% (£439,842) void rent loss. Whilst acknowledging that the pace of improvement needs to accelerate, the The improvement work undertaken by colleagues is now resulting in a We will continue to sustained positive closely monitor our performance. It is now performance to maintain over 3 months since we our position. had any placements in b d d b kf t This is another positive As previously reported, performance for the we are now working with Access to Homes Team. the Supporting People We are now supporting Commissioners to look at 44 households against a where we need to performance target of 40. improve the quality of service we are delivering. We are confident that we will be able to keep within 101 complaints were We are continuing to feed logged in July which is 20 back learning from more than logged in July complaints to managers. 2014. Although increased slightly from June, service failure levels still remain within target.

For August this KPI was Continuous monitoring above target at 98.62% and management of this (target 98%). 50 jobs PI will continue. Failures were not right first time will be scrutinised in an out of 3,617. The primary effort to improve delivery reasons for those that and value for money failed are tenant led and diagnosis by trades staff. 1040Thi KPI orders i hwere i raised Continuous monitoring for delivery in August. 18 and management of this of these were not PI will continue. However completed within the because of the target it month giving an out turn will not reach its of 98.27% against a cumulative target by the target of 100%. This has end of the year. shown an downward

This KPI is on target at Continuous monitoring 100%. No access stands and management of this at 134 all are without a PI will continue. landlords certificate, 99 under 30 days, 29 over 30 days, but under 60 days. 6 over 60 days All are being pursued within our managed procedure The month of August is Regular Directorate showing an improving meetings to monitor picture at 0.59 FTE sickness with relevant across the business. actions taking place. This is the lowest no. of Measures to reduce short working days this term absence are financial year which is currently being attributable to a reduction considered by the of 47 days across both Support and Challenge short term and long term Group and will be compared to July. presented to EMT in This performance has The Accounts Payable stabilised but is still well team need to be more below the 95% target. proactive to ensure that The Accounts Payable the correct processes are team is now fully staffed. followed to raise goods A number of problem received orders so that suppliers have been payments are made identified. automatically. Where ti l li h September 15-16

Directors Year Comment Mitigating actions / End (Strategic Assurance Forec Context) ast Performance at We will continue with 2.58% (£1.954 m) our work on is very positive and sustainability compares assessments for new favourably with the tenants with the aim same period last of reducing new year when arrears tenants going into stood at 2.89%. arrears. Indicators sitting Afterd showing th th KPI The outcome of the positive movement voids pilot including since May, void recommendations for rent loss has changes to the voids increased service is due at significantly this Board in November. month from 1.30% Procedures for to 1.47%. Each addressing low area apart from the demand properties East has seen will start to be performance implemented during The number in We now have all our temporary new staff in place accommodation and have introduced has increased a dedicated case slightly this month officer for temporary with 15 households accommodation in temporary cases with the aim of d ti t reducing the time We now have 47 We are confident households being that we will continue supported through to support at least this service against the number of a contracted figure households within of 40. From this the contract. number, we had one unplanned departure last Positively the 71 We will continue to complaints review each failure received was 16 and take learning less than logged from the cases. In during August addition to being 2014. However, addressed at an although still within individual level, the target, the number theme of staff f th hi h ttit d / ti i For September this Continuous KPI was above monitoring and target at 98.25% management of this (target 98%). 81 KPI will continue. jobs were not Right Failures will be First Time out of scrutinised in an 4,617. Primary effort to improve reasons for those delivery and value 829th t ordersf il d were Continuousf raised for delivery monitoring and in September. 7 of management of this these were not KPI will continue. completed within However because of the month, giving the target it will not an out turn of reach its cumulative 99.16% against a target by the end of

This KPI is on Continuous target at 100% and monitoring and has been management of this throughout quarter KPI will continue. 2. No access stands at 71, all are without a landlords certificate, 51 under 30 days 11 over 30 The month of Regular Directorate September is meetings to monitor showing a sickness with downward trend at relevant actions 0.79 FTE across taking place. the business. The Measures to reduce increase in short term absence sickness absence are currently being is due to long term pursued by a sickness cases. Support and Three cases have Challenge Group The performance A training for the month has programme has increased from been developed and 80% to 84%, and will be delivered the cumulative during October and performance for the November. DMBC year now stands at and Dumpall (Skip 79%. The current suppliers) f i i t tl h October 15-16

Year Directors Comment Mitigating actions / End (Strategic Context) Assurance Forec ast Performance has dipped by We have robust 0.03% from last month with processes in place to arrears standing at 2.61% help mitigate against the (£1,971,926). This is still risk of the roll-out of within the tolerance level universal credit and will which stands at 2.78% and be reporting progress on we are still confident of a regular basis to Quality meeting this KPI. Within the Committee headline figure, we are As reportedi in t previous t t The void pilot has now months this KPI is a concluded with cumulative figure and, due to recommendations the level of performance to brought forward to Board date, we will not be able to aimed at improving the move performance standard of voids and, sufficiently to meet our target together with the of 0.92%. However, we have implementation of the moved in the right direction open market procedure, during the month with the reducing the void monthly performance turnaround time. With 6 household placed in We now have a temporary accommodation dedicated case officer throughout the month, this is for temporary the best performance for the accommodation cases, year to date. However, we which will impact on time have a less positive message taken to make decisions regarding the number of and therefore throughput h hld i ttl h of temporary The number we are We are currently working supporting now stands at 42 through an action plan to against a contracted number ensure that we are of 40 and are now delivering the required concentrating our efforts on quality of support the quality of the service we offer.

We logged 73 complaints in We will continue to take September with 100% learning from complaints acknowledged within 3 and we are looking at working days and 97% refresher customer care responded to fully within 10 training in response to working days. 23% of the an identified trend in complaints were judged to be complaints as a result of service failure which again staff attitude. i ithi th t t f For September this KPI was Due to a decline in above target at 98.16% performance over the (target 98%). 90 jobs were last three months, closer not right first time out of scrutiny is being 4,891. Primary reasons for undertaken by those that failed are, managers. diagnosis by trades staff and materials. This KPI is 1020h iorders liwere ht d raised for d Continuous monitoring delivery in October. 10 of and management of this these were not completed PI will continue. However within the month giving an out because of the target it turn of 99.01% against a will not reach its target of 100%. cumulative target by the end of the year. This KPI is on target at 100% Continuous monitoring . No access at the end of and management of this October stands at 83, all are PI will continue. without a landlords certificate, only 1 of these is above 90 days and has an access date of the 17th November. Servicing of our solid fuel properties was completed in Sickness absence has out Regular Directorate turned better than target for meetings to monitor October due to the reduction sickness with relevant in long term sickness cases. actions taking place. There has been a 30% Measures to reduce reduction in sickness short term absence are absence compared with currently being pursued October 2014. The by a Support and cumulative year to date is Challenge Group slightly below target by 0.30 days per FTE. The number of invoices paid Additional training has in the month increased by been completed during almost 30% although the % October and is paid within 30 days dropped continuing into to 81% in October from 84% November. We intend to in September. There are a change the basis of this number of invoices within the calculation with effect system which are greater from November to bring th 30 d ld d th l l ti i li November 15-16

Year Directors Comment Mitigating actions End (Strategic Context) / Assurance Forec ast Cumulative Several actions performance is below have been the 98% target for implemented 15/16 at 97.79%. This following a is however an performance improvement on the review meeting and cumulative these include: performance in • Listening to and November's2014/15 f 97 40% Continuousit i h cumulative management of performance has this KPI takes shown a slight place. decrease when compared to the previous month reducing from 98.98%

The servicing Preparation for programme has now next year's finished and has met programme has its target. All landlord commenced. certificates are in place.

Sickness absence has Regular Directorate out turned better than meetings to target for November monitor sickness due to the reduction in with relevant short term sickness actions taking cases. There has place. been a 18% reduction Measures to in sickness absence reduce short term compared with absence are October 2014. The currently being cumulative year to pursued by a

December 15-16

Year Directors Mitigating actions / End Comment Assurance Forec (Strategic Context) ast As expected there Actions taken over was an increase in the past year have arrears to 2.78% now embedded well (£2,104,257) at the with a sustained end of December. improvement now As this KPI is seen. The profiled to take challenge now is to payment trends into ensure that our account , this still plans to mitigate Asl highlighted ll atithi Learningi t th from i the t previous Board voids pilot in the meetings - due to North will be used to this being a ensure that there is cumulative figure, no significant spike we are not going to in the void meet our target for turnaround while the the year end. new standard and However, we do way of working is have some positive bedding in. news in that our Changes to the IT We placed 7 We are confident households in that we will continue temporary to deliver on a accommodation (all reduced number of self contained) households coming during the month through our which obviously temporary i l d d th accommodation During December The service is on a we had 34 service 3 month users which is a improvement plan decrease on last (to the end of month’s March) to embed performance and changes to the below our service which will contractual level of ensure that we 40 This is a attain the Quality 84 complaints were We will continue to logged in November use learning from with service failure complaints both representing 26% internally and with (22) of the total. contractors working The number one on our behalf. reason for service failure was staff ttit d / ti / hi Cumulative Several actions performance is have been below the 98% implemented target for 15/16 at following a 97.82.%. This is performance review however an meeting and are improvement on the ongoing: cumulative • Listening to and December'sf i Continuousit i h ll cumulative monitoring and performance has management of this improved on the PI will continue. previous month However because 98.96% to 98.99%. of the target it will The in month not reach its performance for cumulative target by

The servicing Preparation for next programme has now year's programme finished, this has commenced. includes solid fuel, and has met its target. All landlord certificates are in place.

Sickness absence is Regular Directorate higher than meetings to monitor November's figure of sickness with 0.65 at 0.69 days relevant actions lost per FTE against taking place. a in month target of Measures to reduce 0.71, giving a short term absence cumulative figure of are currently being 6.07 against a pursued by a cumulative target of Support and 6.04 (0.03 days) the Challenge Group. The performance The number of figures for invoices outstanding November and has reduced December are significantly over a based on the 12 month period, revised basis of 2,153 invoices calculation using the outstanding as at 31 invoice received December 2014 and d t d t th 487 t D b Feb 15-16

Directors Comment Mitigating actions / Assurance (Strategic Context)

There has been a slight increase Work continues with Mobysoft to in arrears since January from improve the RentSense arrears 2.58% to 2.62% (£1.98m). management system including However, we are still within the the development of the monthly target figure of 2.64% performance dashboard which which puts us on track for our will improve the current year end target of 2.54%. The performance management arrears for the same period last processes. year stood at 2.78%. There were Void7 i rent ti loss i Fhas b further b i i The roll out from the voids pilot is reduced in February 2016, down being closely monitored. to 1.24% for the month and Extensive work is ongoing with reducing from 1.40% cumulative all teams to reduce void levels in January to 1.35% cumulative and turn arround time. end February. The North Area has seen the biggest reduction in February compared to the previous month, with VRL reducing from 2.00% to 1.78%. The Central area, which includes 5 families were placed in temporary accommodation during the month with 9 families We will continue to embed the in total in temporary homes at the working practices which have end of the month. This resulted in our improved position. represents the most positive picture since we started i th i Th At the end of the month we had Within the small team delivering 39 households being supported support; we have some short- against our target of 40. term sickness issues which we Positively, we did not have any are managing and have brought unplanned departures from the support in from the wider team to programme during the month. enable us to continue to deliver on our commitments within the contract. We received 69 complaints within Processes are currently working the period with 58 (84%) well assessed as service dissatisfaction leaving 11 (16%) which were a result of a service failure. Again, when viewed alongside the number of interactions, this is a low number f f il d thi th th i Cumulative performance is below Several actions have been the 98% target for 15/16 at implemented following a 97.84.%. This is however an performance review meeting and improvement on the cumulative are ongoing: performance in January of • Listening to and monitoring how 97.83%. The in month calls are handled to identify any performance is at 98.61%. 68 learning points jobs were not right first time from • An analysis of past information thAt the4 898 end j of b January i F b cumulative Continuoush b monitoring d t k and hi h performance is at 98.92%. the in management of this PI will month figure is at 98.50%, which continue. However because of has improved on the previous the target it will not reach its month 98.04% with 14 jobs not cumulative target by the end of being completed within time the year. scale out of 932 raised. The servicing programme has Preparation for next year's now finished, this includes solid programme has commenced. fuel, and has met its target. All landlord certificates are in place.

The increase in sickness All cases are being proactively absence is as a result of a large managed through the Managing increase in short term sickness Attendance Policy and absence cases from 65 cases in Procedure. January to 77 cases in February. The number of long term sickness cases has reduced from 17 in January to 16 cases in February. Overall there is a reduction of 0.03 days per FTE compared to February 2015. The The performance during The process whereby orders are February exceeded the target for authorised in advance will be the first time this year and was switched on for the TASK system 97.5%. The cumulative total for during the first quarter of the new the year based on the revised financial year and it is imperative method of calculation is 92.4%. that we implement all the The number of invoices learning from the switch on of outstanding and the number of this system for ERP to ensure a i i th t 30 d th t iti Year End Forec ast

March 15-16

Directors Comment (Strategic Context)

Outturning at 2.56%(£1,936,444) we were 0.02% outside of our 2.54% target. However, this represented an improved performance of 0.11% from March 2015. Although disappointed not to have reached our target, it is good to again see an improved picture with lowering arrears. This when coupled with a reduction in evictions and high level arrears paints a positive picture moving forward. As a result, we are confident that during 2016/17 we will continue with an improving trend on arrears. The only caveat to this is the At thed end f th of march ll t cumulative f U i lyear C ditend Void Rent Loss is at 1.37%, and has shown continuous improvement . In Month performance is at 1.19% which is the best performance all financial year and is a marked improvement when compared with the same period in March 2015 (1.55%) The North area has again seen the biggest reduction, reducing from 1.78% in February to 1.54% in March.

2014/15 saw a marked and sustained improvement in this indicator. At the end of March 2015 we had 13 new households move in to temporary accommodation and the snapshot at the end of the month saw 13 families being accommodated. This was in marked contrast to this March where we had 3 new households moved in to temporary accommodation with a total of 8 families accommodated at the d f th th W l ti t h ld iti ith At the end of the year we were supporting 39 households which is the identical number as March 2015. Significantly however, we have a higher level of confidence regarding the quality of support being provided.

During February we received 88 complaint which were split 80% (70) service dissatisfaction and 20%(70) service failure. With the number of interactions we have on a monthly basis this does not represent a high number of complaints but we are continuing to try and move the number of service failures down.

Monthly performance for March was above the 98% target at 98.62%. Year-end performance was slightly below target at 97.85%. There were 61 jobs classed as “not right first time” from the 4,423 jobs completed during March.

At the end of March cumulative performance is at 98.85%. the in month figure is at 97.41% which has seen a decrease on the previous month 98.50% with 19 jobs not being completed within time scale out of 733 raised. The servicing programme has now finished, this includes solid fuel, and has met its target. All landlord certificates are in place.

The increase in sickness absence is as a result of a large increase in short term sickness absence cases from 77 cases in February to 88 cases in March. The number of long term sickness cases has also increased from 16 in February to 17 cases in March. Overall there is a reduction of 0.11 days per FTE compared to March 2015. The outturn for 2015/16 shows a reduction of 1.18 days per FTE compared to 2014/15. this years out turn is 8.4 days per FTE which is an improvement on 2014/15 at 9.58

The overall performance for the year was 92.8% which was slightly below target. The performance for the last two months of the year was above target and puts us in a good positon to start the new financial year and remain on target. Year End Mitigating actions / Assurance Forecast

We are continuing with our dedicated resource for Universal Credit and are currently reviewing our income management function to ensure that going forward the function is effective in supporting tenants with the challenge of Universal Credit an overall target of 1.19% has been set for 2016/17. ongoing action and investment in the voids process is being rolled out to achieve the new target

We are continuing to implement changes to the front of our processes with the aim of arriving at early decisions and as a result being able to support households without the need to move them through temporary accommodation We are continuing to work with colleagues in assurance and Business Excellence to make sure that the current level of service delivery is embedded and that the pace of improvement is maintained.

In order to further embed learning from complaints we have introduced a quarterly Directors challenge to the process

Continuous monitoring and management of this PI will continue into 2016/17. some tolerance has been built in to capture jobs complete within 5 working days of month end

Continuous monitoring and management of this PI will continue into 2016/17. some tolerance has been built in to capture jobs complete within 5 working days of month end Preparation for 2016/17 programme has commenced

All cases are being proactively managed through the Managing Attendance Policy and Procedure April 2014-15

KPI Directorate KPI Reference

% of current KPI 1 HS 1 rent arrears against annual debit

Void rent loss % KPI 3 HS 3 (£) of rent loss through vacant dwellings

Number of KPI 4 HS 4 evictions due to rent arrears

ASB - % of KPI 5 HS 5 repeat perpetrators

Analysis of complaints - KPI SLHD 12 CI 1 Service Failure against Service Dissatisfaction

KPI 6 PS 1 Right First Time

Appointments KPI 7 PS 2 Made and Kept

Percentage of Emergency KPI SLHD 8 PS 3 Repairs Completed on time

Percentage of Routine Repairs KPI SLHD 9 PS 4 Completed on time

Scheduled KPI 10 PS 5 Repairs - % of promises kept

Gas Servicing - % of KPI 11 PS 6 programme complete

RIDDOR KPI SLHD 13 CI 2 reportable and LTA's

Days lost KPI SLHD 14 CI 3 through sickness per FTE 1

Building Confident Communities, in Partnership

Complaints and Compliment Information Q1 2016/17 Overview 2 Q1 2016/17 Complaint Handling Performance Service Standards Performance:

Acknowledge 100% of complaints within 3 working days (100% Achieved)

Respond to 95% of complaints within 10 working days (99% Achieved)

The following information is a cumulative comparison of Q1 information over a 3 year period:

2014/2015 252 complaints were received, the performance is as follows: Acknowledged within 3 working days – 100% (252) Answered within 10 working days – 95% (239)

2015/2016 217 complaints were received , the performance is as follows: Acknowledged within 3 working days – 100% (217) Answered within 10 working days – 96% (209)

2016/2017 231 complaints were received , the performance is as follows: Acknowledged within 3 working days – 100% (231) Answered within 10 working days – 99% (228)

When comparing the last three years information, the performance was met in 2014/2015 and improved by 1% in 2015/16 and by a further 3% in 2016/17. Building Confident Communities, in Partnership 3 Q1 2016/17 Complaints Volume Trends There has been a 6% increase in complaints in Q1 cumulative complaints compared to 2015/16 (231 received in this Q1 compared to 217 received in Q1 last year.)

Building Confident Communities, in Partnership 4 Q1 2016/17 Complaints Volume Trends Summary of graph on previous page: There has been a 6% increase in complaints in Q1 compared to 2015/16 and 8% decrease of complaints compared to 2014/2015

April – 2014/201583 April –2015/2016 63 April – 752016/2017 May – 80 May – 62 May – 71 June – 89 June – 92 June – 85

Quarter 1 Total = 252 Quarter 1 Total = 217 Quarter 1 Total = 231

Building Confident Communities, in Partnership 5 Q1 2016/17 Complaints by Directorate (231 received)

Property Services Housing Services Corporate Services

Received 66% (152) Received 29% (68) complaints Received 5% (11 complaints) complaints

The top 3 service areas The top 3 service areas The top service areas

Estate Management South West = Gas Repairs & Servicing = 24 DMBC = 7 13 complaints complaints Insurance = 1 Choice Based Lettings = Inspectors = 19 complaints Income Management =1 Technical Support Agents = 11 complaints 9 complaints Homeless Team = Top 3 Themes Asset Management = 9 complaints 11 complaints

DMBC Top 3 Themes Top 3 Themes Policy Policy and Staff actions/attitude Staff/Contractor Actions Rents (overpayment/arrears) Policy Time taken to complete a repair Handling of ASB cases Work not to standard

14/15 Qtr 1 = 77 14/15 Qtr 1 = 5 14/15 Qtr 1 = 170

15/16 Qtr 1 = 75 decrease by 3% (2) 15/16 Qtr 1 = 3 decrease by 40% (2) 15/16 Qtr 1 = 139 decrease by 18% (31) 16/17 Qtr 1 = 152 increase by 9% (13) 16/17 Qtr 1 = 68 decrease by 9% (7) 16/17 Qtr 1 = 11 increase by 73% (8)

Volume of complaints Volume of complaints Volume of complaints decreased from 15/16 increased from 15/16 increased from 15/16 Building Confident Communities, in Partnership 6 Overall Complaints Analysis - Q1 2016/17

The KPI for Service Failure is 20%

Of a total of Of a total of Of a total of 965 930 231 complaints complaints complaints

An increase in Service Failure complaints this Quarter 1 compared to last however still just under target for Service Dissatisfaction Building Confident Communities, in Partnership 7 Q1 Complaint Themes Service Failure 2016/17

16% (11) Housing Services Top 3 Themes complaints were 1) Lack of information (4) Received 29% (68) determined 2) Admin/correspondence (4) as Service 3) Staff actions/attitude (3) complaints Failure

Corporate Services 27% (3) Top 3 Themes complaints 1) Admin/correspondence (1) were 2) DMBC – Standard of work (1) determined 3) DMBC – Time taken to complete Received 5% (11) as Service repair (1) complaints Failure

19% (29) Top 3 Themes Property Services complaints 1) Staff/Contractor were Actions/attitude (5) determined 2) Incomplete repairs still Received 66% (152) as Service awaiting parts (5) complaints Failure. 3) Repair not logged (5)

In Quarter 1 we determined 18.61% (43) complaints as Service Failure Building Confident Communities, in Partnership

8 Q1 Complaint Themes Service Dissatisfaction 2016/17

84% (57) Housing Services complaints Top 3 Themes

were 1) Policy (7) determined as Received 29% 2) Lack of information (6) Service 3) Staff attitude/actions (4) (68) complaints Dissatisfaction

Corporate

Services 73% (8) Top 3 Themes complaint were determined as 1) DMBC – Communal Areas (2) Service 2) Lack of information (1) Received 5% (11) Dissatisfaction 3) Website/SMS Text (1) complaints

81% (123) Top 3 Themes Property Services complaints 1) Time taken to complete a were repair (22) determined as 2) Condition of properties (Inc. Received 66% Service garages & gardens (12) (152) complaints Dissatisfaction. 3) Lack of information (12)

In Quarter 1 we determined 81.39% (188) complaints as Service Dissatisfaction Building Confident Communities, in Partnership

9 Q1 2016/17 Policy Complaints by Directorate

Housing Services Corporate Services Property Services Received 19% (13) complaints Received 9% (1) complaint regarding Received 16% (24) complaints regarding policy policy regarding policy 4% (1) of these complaints was determined as Service Failure The main complaints regarding policy The main complaints regarding policy are: are: The main complaints regarding policy are:

Home Choice * Banding criteria and the length of time taking to process applications Scheduled repairs * Medical assessment form and * Too long to wait for some repairs policy not relevant to their needs especially minor ones e.g. repair work to porch, plastering of walls * Bidding for 2 properties to be told not eligible, says system gets hopes Responsive repairs up as it allowed them to bid Finance * Will only carry out necessary repairs and not renew e.g. repair fence not Housing Options replace, size of standard bath * Criteria for assessing * Insurance claim was turned down installed homelessness - Applicant not happy Asset Management that they were asked to leave temporary accommodation as a no- * Timescale to claim compensation duty decision was made. claim for home improvements * Not happy with inspectors process Estate Management for checking damp – too quick to claim * Criteria for fencing tenant’s lifestyle * Process of handling ASB cases * Dealing with tenancy breaches

Building Confident Communities, in Partnership 10 Elected Members Q1 2016/17 In Quarter 1 there were a cumulative total of 99 complaints received from Elected Members of Parliament, Councillors and The Mayor. Compared to 113 received in Quarter 1 15/16 this is a decrease of 12% (14) :

MP Councillor Mayoral

Received 45 (45%) Received 51 (51%) Received 3 (3%) 47% (21) were responded to 78% (40) were responded to 100% (3) were responded to within timescale of 10 working within timescale of 10 working within timescale of 10 working days. days days

Rosie Winterton = Top 3 Councillors 53% (24) Cllr Hughes = Top 3 Complaints Ed Miliband = 12% (6) Home Choice = 1 31% (14) Cllr Jones = Caroline Flint = 10% (5) Planned Maintenance 16% (7) Cllr Butler = 8% (4) = 1 Housing Options = 1

Top 3 Complaints Top 3 Complaints Estate Management = 20 Home Choice = 15 Asset Management = 12 Estate Management = 13 Home Choice = 8 Asset Management = 11

Building Confident Communities, in Partnership

11 Ombudsman Complaint Volumes Q1 2016/17

Premature Ombudsman Investigative • We have not received This is when a complainant has any Premature Ombudsman • We have received no approached the Ombudsman Ombudsman cases in This is when our Investigative Ombudsman prior to exhausting our Quarter 1of this complaints process has complaints in Quarter 1 of complaints process. The financial year been exhausted and the this financial year Ombudsman will not complainer is not happy investigate but will ask for it to with the outcome go through our process and inform them of the outcome

Out of this 1 case (received in total Quarter 3): 1 – determined local settlement

Building Confident Communities, in Partnership 12 Appeal Volumes Q1 2016/17 16 Appeals have been received this year compared to 8 received in Q1 2015/16 this is an increase of 100% (8).

0 Corporate Services (0%) 6 Property Services (37%) 10 Housing Services (63%)

Appeals completed in timescale

Of the 16 Appeals received: 100% (16) were completed within 20 working days

19% (3) were upheld

Appeals outcome

Not Q1 Upheld Upheld 2015/16 1 7

2016/17 3 13

Building Confident Communities, in Partnership

13 Q1 2016/17 Complaints Satisfaction Surveys are completed on 100% of closed complaints by Viewpoint and the results are reported through Voluntas. There are no targets set on the performance of receiving and dealing with complaints but there is a service standard to meet of 95% within 10 working days. The following are comments from some of our customers in Quarter 1 (April to June 2016):

“The speed from the initial “She seemed to get on with it phone and the follow up was very good” straight away and it was dealt 82% were satisfied with immediately and I also 72% were satisfied with the way they with the way they received an apology” were treated when were kept informed they made a complaint which is an increase of 22% which is an compared to increase of 12% 2015/16 Q1 (50%) “I had to ring them, they never “Every time I put in a complaint compared to contacted me once”

they always come up with the 2015/16 Q1 (70%) same excuse that it’s not their policy.” 76% were satisfied 73% were satisfied with the way their with the outcome of complaint was their complaint handled which is an which is an increase of 29% “Everything else was brilliant increase of 23% compared to “They sent three men round just the outcome with the compared to 2015/16 Q1 (44%) 2015/16 Q1 (53%) they said I could have the kitchen.” works done and no-one came back. They seemed to lack in communication”

Building Confident Communities, in Partnership

14 Data Protection & Freedom of Information Q1 2016/17

Data Protection Freedom of Information To date we received a total of 96 requests To date we received a total of 21 100% (96) were answered within the requests mandatory 40 calendar days. 100% (21) were answered within the In Quarter 1 we received 96 requests mandatory 20 working days 0% (0) breached the 20 working days

Breakdown of the requests In Quarter 1 we received 21 requests Data Protection Breaches

63% (60) Tenancy references Breakdown of the requests There were no Data Protection 19% (18) Information requested by Breaches in Quarter 1 DMBC The requests are all varied and are 8% (8) Information regarding tenants mainly to deal with figures, costs and and former tenants percentages relating to : rd 5% (5) 3 party requests for Temporary accommodation and information homeless persons 2% (2) Utility companies asking for Rehousing of tenants fleeing Domestic former and current tenants information Violence 3% (3) Information requested by Police Information regarding facilities and rental cost on Traveller sites

Building Confident Communities, in Partnership

15 Compliment Volumes Q1 2016/17 71 compliments have been received this year and are split by directorate. Please see next two slides for more details

Property Services have received a total of 41 compliments so far for this year which is 58% of all compliments received

Housing Services have received a total of 30 compliments so far for this year which is 42% of all compliments received

Corporate Services have received a total of 0 compliments so far for this year which is 0% of all compliments received

Building Confident Communities, in Partnership

16 Actual Compliments Q1 2016/17 In Quarter 1 we received 71 compliments which is an increase of 3% compared to 69 compliments received in Quarter 1 of 2015/16

Can I just say a huge thank you I have recently attended St. Leger for your quick action in getting Homes Lettable Standards the work done. I have been Consultations presented by Jennifer I have had the St Leger Daly. She outlined all the facts and Homes Garden Service asking the council for 3 years to improved procedures in a very Team to my property do the work and you are the professional, pleasant manner. She today and would like to only one that has made it had listened very carefully to all our thank them for doing happen. suggestions, excellent feed back and such a good job, they The door and window of the also I noticed she also readily took always take pride in their shed are done to a superb on board any other comments or work and are a lovely standard. Many thanks again problems expressed by people team, they always take for your amazing customer present. A formal commendation is, the time to talk to me. service and constant update therefore, awarded to her. Well done, communication emails. Jennifer ! Kind regards,

Mrs X wanted to thank Estates Assistants Emma Jones and Lisa Sadler, and Mick Tenant really happy with the Bellamy from Home choice for "making way the gas fitter carried out everything so easy for me" with her move to a the repair and how polite and Council property. Mrs X said "I've only patience she was as the experienced politeness, care, kindness and tenant had recently had a professionalism throughout the process" She stroke said she suffered no stress and the process was wonderful.

Building Confident Communities, in Partnership

17 Actual Compliments Q1 2016/17

Tenant called to thank Gareth Laycock gas fitter to say what a well Tenant has had some fencing mannered, helpful and efficient completed at his bungalow and is workman he was he also left the very happy with both the trades team place spotlessly clean she was very who erected the fencing and Lisa pleased. Wallace and Kelly Brooke from the Asset team who he has been dealing with. Tenant is very happy with Tenant phoned to Tenant wanted to Patrick from the WOW team and is thank Nev Cooper for thank Jace for how he 'very chuffed' with the work. his work and polite/professional handled their enquiry attitude. and chased a repair for the extractor fan for them.

The tenant was happy with Vicky’s help, helping with The tenant wanted to a ASB issue. thank John for all the help and support he has given her.

Tenant called to say The tenant was they both did a great happy with Vicky’s job fitting her new help, helping with electric fire a ASB issue.

Building Confident Communities, in Partnership

18 “You said, we did”

As the outputs from the complaint review are implemented we should find it easier to capture “You Said, We did” moving forwards. This will heavily rely on feedback from Service Managers.

Tenant was unhappy that her boiler cut off as it ran out of days before the annual service was due. This occurred over the weekend and called out of hours on the Sunday. A visit was made and extra days were put on the system but tenant feels that this shouldn't happen.

It was identified that the timers had been set wrong and didn't allow for the correct number of days inbetween services, therefore they cut off early. Advice was given, that although not convenient, there is a button on the boiler to give 1 extra hour which will work for 99 hours, but has to be pressed every hour.

Process improvement identified - During the most recent services extra days have been set so that the problem doesn't re- occur next year.

Building Confident Communities, in Partnership

Customer Journey – Service Dissatisfaction Re-locating a bedroom radiator

1 2 3

Mr & Mrs P are both in their 60’s and called Mr & Mrs P explained to the inspector that the The operative went out on 18/2/2016 to move Technical Support Team on 28/01/2016 to radiator in the bedroom is next to the door and in the radiator and said he would ring the office to ask for the radiator in their bedroom to be the winter the bedroom is very cold. The inspector see if he could arrange a bigger radiator to go moved. An appointment for an inspector to said it could be moved under the window and under the window, he was told he could not visit was booked for 4/2/2016 arranged for an operative to call on 18/2/2016. move the radiator at all. 6 5 4

The Customer Relations Officer sent the Mr & Mrs P wrote a letter to Customer Relations Mr & Mrs P telephoned the Technical complaint to the service manager for Team on 2/6/2016 to make a complaint. They Support Team on 8 separate occasions investigation. He was informed that the team explained that Mrs P was Asthmatic and after her asking when the radiator is to be moved or leader had completed a room calculation in brain operation she had been left disabled and replaced. Each time an email was sent to February 2016, to confirm if a new radiator was feels the cold more and if the kind operative had Mick Wright and/or Allen Walker but Mr & required and it came back as it was not required not suggested a bigger radiator then it would have Mrs P had no communication from them. therefore he did not see any point in committing already have been moved. manpower to moving it 8 9 7

£££ excessive cost to SLHD

Mick Wright inspector team leader visited Mr & An appointment was made for an operative to Mrs P called to say thank you for everyone's help in Mrs P’s home on 13/06/2016 to further inspect attend on 16/6/2016 to move the radiator. This finally agreeing to moving the radiator, which was the issues they were experiencing. Mick and took a total of 88 working days and 19 weeks their initial request. If the radiator had been moved at Alan Walker then discussed his findings and from the first inspection to decide whether to the first appointment a complaint would not have agreed the radiator could be moved. move the radiator or not and 3 days after the been raised and unnecessary worry for Mr & Mrs P agreed decision to actually move it! and additional costs could have been avoided. 20 SUMMARY These are the questions and queries that have been raised from the complaint

• Why was the operative told not to move the radiator even though he was already in the tenants home? • Why was the discussion changed about moving the radiator after the inspector had originally arranged the work? • Why didn’t the tenant receive any communication after calling in 8 times and each time an email was sent to the team leaders? • Why was the tenants health condition not taken into consideration when the room calculations came back? OUTCOME FROM COMPLAINT

• Mick Wright visited on 13 June 2016 to assess the situation and listen to the tenants issues • Mick and the quality control supervisor discussed his findings and agreed to move the radiator • It was identified that there was a lack of communication between the team leader and the tenants by not returning requested call backs • Due to the radiator not being moved initially further costs were incurred where more senior officer’s time was taken up, operative visiting twice for the same job, involvement of the customer relations team, not to mention the effect this had on Mr & Mrs P • A letter of apology was sent with confirmation of arrangements and follow up telephone call was made to ensure Mr & Mrs P was happy with the outcome • This complaint was originally determined as dissatisfaction but on looking into all the facts we have failed on providing the original service and lack of communication Actions Taken/To be Taken • The operative attended the tenants home 16 June and moved the radiator

ST LEGER HOMES OF DONCASTER Board Briefing Note

Title: Gas and Solid Fuel Policies

Action Required: For Board’s information

Item: 15

Prepared by: Jackie Linacre, Head of Repairs and Maintenance

Date: 28 September 2016.

1 Purpose

1.1 To inform Board of amendments to the Gas and Solid Fuel policies

2 Background

2.1 The Gas and the Solid Fuel policies were last reviewed in 2013. Changes have been made to both policies to bring them up to date with existing legislation and service delivery.

2.2 The Gas Policy has been updated to reflect changes in service delivery around the installation of carbon monoxide detectors and our response should a detector be activated.

2.3 Parts of the Gas Policy have been removed that relate to procedural, rather than policy issues. Any procedural elements that have been removed have been incorporated into existing procedures to support the delivery of the policy statement.

2.4 The Gas Policy has also been updated to better reflect the work we do to meet Health and Safety legislation and to reflect our service offer to Leaseholders and Private Landlords and our new service offer to Private Homeowners in Doncaster.

2.5 The Solid Fuel Servicing policy has had minor amendments to reflect changes in service delivery around the installation of carbon monoxide detectors. Any text relating to procedures have been removed and incorporated into existing procedures.

2.6 The text in red has been completely removed. The text in blue will be removed as it is already incorporated into procedures. The text highlighted in yellow is new text.

2.7 The policies are attached at Appendix A and B, together with the relevant Equality Impact Assessment Statements for Board’s information.

3. Monitoring and Reporting

3.1 The policies will be reviewed on a bi-annual basis for accuracy and appropriateness, and will take into account any legislative changes or requirements.

1 3.2 Monitoring of the policy will be through the performance framework and the results of the quality control inspections which are fed into the monthly gas management meetings.

3.3 The Gas Safe registration held by SLHD requires external monitoring by Gas Safe annually.

3.4 Performance will be monitored through the reporting of Key Performance Indictors and customer feedback.

4. Contact Officer

Jackie Linacre Head of Repairs and Maintenance 01302 862262

2 Appendix A

POLICY DOCUMENT Gas Policy

POLICY TITLE: Gas Policy LEAD OFFICER: Dave Norman, Mechanical and Electrical Service Manager DATE APPROVED: July 2013 APPROVED BY: EMT DATE FOR NEXT May 2018 REVIEW: ADDITIONAL Repairs and Maintenance GUIDANCE: Policy/Health and Safety Policy TEAMS AFFECTED: All Staff and Board Members THIS POLICY Gas Policy V2 March 2013 REPLACES WITH IMMEDIATE EFFECT:

DOCUMENT CONTROL

For guidance on completing this section please refer to the document version control guidance notes

Revision History

Date of this revision: July 2016 Date of next review: July 2018 Responsible Officer: Dave Norman

Version Version Author/Group Summary of Changes Number Date commenting 0.1 07/01/2010 Sharon Adam 1st Draft 0.2 18.03.10 Lesley Saxelby 2nd draft – added procedures and statement of intent 0.3 18.03.10 Sharon Adam Amendment to format – addition to section 5.1.11 0.4 15.04.10 Lesley Saxelby Addition of Legal Background and Health and Safety at Work Section and Responsibilities section 0.5 19.04.10 Equality Impact Updated minor amendments to layout Assessment and wording 1.0 19/05/10 Property Services Final approved version Committee 2 27/3/2013 D.Norman Reviewed

2 13/08/13 EMT Approved 3.0 WHEN WHEN WHEN APPROVED APPROVED APPROVED 3.1 June 2016 Dave Norman Minor amendments and amendments to remove sections that relate to procedures. 4.0 July 2016 EMT 4.1 September Board Reported for information 2016

POLICY DOCUMENT Gas Policy

1. Introduction

1.1 St Leger Homes of Doncaster (SLHD) is committed to maintaining the Health and Safety of employees, tenants and members of the public. The Company recognises the potential health risks associated with gas used for fuel in SLHD premises and in Council housing. Potential risks associated with gas as a fuel are significant, given the risk of fire/explosion, or from carbon monoxide poisoning due to incomplete combustion arising out of poor or irregular maintenance of appliances and systems.

SLHD will take all reasonable steps to ensure that appropriate management systems are in place to ensure employees and members of the public are not put at risk from the effects of gas or carbon monoxide.

2. Purpose

2.1 The Gas Safety Installation and Use Regulations places important duties on landlords of all properties to ensure that gas appliances and their flues are maintained in a safe condition, annual safety checks are carried out, and records are kept and issued to tenants. These duties are in addition to the more general ones that landlords have under the Health and Safety at Work Act and the Management of Health and Safety at Work Regulations.

The purpose of this document is to demonstrate SLHD’s commitment to ensuring its employees, tenants and the general public, are not knowingly exposed to any risks that would affect their safety. The documents Page Version Date Author Page 1 of 2 2 June 2016 D Norman File Path S:\SLHD_Directorates\Business Planning Directorate\Business Performance and Improvement\Business Assurance Team\Policy & Procedure\Intranet docs\PS6 Gas Policy

covered by this Corporate Policy will provide guidance and specific instructions for all SLHD employees and external contractors, whilst undertaking gas contracts. This is with the aim of satisfying the legal duties of the current Gas Safety (Installation and Use) Regulations and may also include other aspects which will assist SLHD in satisfying its duty of care to its tenants.

3. Scope

3.1 This policy applies to all properties under the management of SLHD, domestic rented properties, domestic housing stock, private landlords and commercial responsibilities, and all work undertaken in these properties on DMBC’s behalf.

This policy will apply to all SLHD employees and contractors undertaking gas work on SLHD’s behalf and anyone likely to be put at risk from work on those properties.

The specifications as compiled will include the Health and Safety Policy, and working procedures of SLHD.

4. Legal Background & Responsibilities

4.1 Gas Safety (Installation and Use) Regulations

These regulations, supported by their Approved Code of Practice (ACOP), stipulate exactly how gas safety will be achieved. The fundamental requirements are:

 Installations, appliances and their flues shall be installed in such a way that they will be safe to use, and installations, appliances and their flues shall be maintained in a safe condition so as to prevent risk of injury to any person (in lawful occupation). This also applies to employers or self- employed persons in respect of places of work under their control.  Appliances and flues relevant to those appliances in premises which are let, shall be checked for safety at intervals of no more than 12 months.  A certificate (referred to as the Landlord’s Gas Safety Record), confirming the findings must be given to the tenant or responsible occupier  Landlords shall ensure that the work undertaken on their behalf is done by a member or an employee of the Health and Safety Executive’s (HSE) “Approved Class of Persons”. For the time being the approved class of person is one currently registered on the Gas Safe Register.  It is very important to note the use of the terms “shall” and “shall ensure”. This makes the duty absolute. It does not Page Version Date Author Page 2 of 2 2 June 2016 D Norman File Path S:\SLHD_Directorates\Business Planning Directorate\Business Performance and Improvement\Business Assurance Team\Policy & Procedure\Intranet docs\PS6 Gas Policy

consider cost, technical issues, or any other considerations; it must be done. The efforts that SLHD make in this pursuit cannot absolve it from the duty, but if called to account, may (where qualified by the regulations) be used as evidence in mitigation.  In common law, SLHD also has a general duty of care in respect of its tenants, and service users of its properties. To this end SLHD must have in place management systems and practices to adequately address all foreseeable risks. Management in accordance with the Gas Safety (Installation and Use) Regulations is demonstrable evidence of such.

 Regulation 36 – Duties of Landlords - Regulation 36 places important duties on most landlords of domestic property to ensure that gas appliances and flues are maintained in a safe condition. Annual safety checks are carried out and records kept and issued (or in certain cases displayed) to tenants.

To summarise regulation 36

The Gas Safety (Installation and Use) Regulations; Regulation 36, places 2 duties upon a landlord, those being:

 to maintain all gas appliances, flues and gas installations; (appliances that the tenant cannot legally remove); and to undertake an annual safety check of gas appliances and flues, and produce documents to support.

4.2 Statement of Intent

A statement of intent from the Chief Executive Officer, the Director of Property (Technical) Services and the Head of Repairs and Maintenance is detailed in 10.1, 10.2 and 10.3 to confirm SLHD’s commitment to Gas Safety, and also to demonstrate SLHD’s commitment in ensuring its employees, tenants and the general public are not knowingly exposed to any risks that would affect their safety.

4.3 Health and Safety at Work Act 1974

There are two sections of the Health and Safety at Work etc. Act 1974 relevant to this context:

Section 2 (1)

“It shall be the duty of every employer to ensure, so far as is reasonably practicable, the health, safety and welfare at work of all his employees”.

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This is supported by specific reference to maintaining the workplace in a condition such that it is safe, and does not put employees at risk.

Section 3 (1)

“It shall be the duty of every employer to conduct his undertaking in such a way so as to ensure, so far as reasonably practicable, that person not in his employment who may be affected thereby, are not thereby exposed to risks to their health or safety”.

This can be interpreted to mean, SLHD on behalf of DMBC shall (so far as is reasonably practicable) ensure its housing stock (its business activity) does not cause harm to its tenants (non-employees).

Section 3 (1) is clearly a very broad duty and is a section increasing in use in prosecutions.

4.4 The Management of Health and Safety at Work Regulations

In general terms this means that SLHD will:

 Assess the risk to the Health and Safety of all employees and to anyone who may be affected as a result of work undertaken.

 Endeavour to provide comprehensive information, instruction, training and supervision with the aim of ensuring, so far as is reasonably practicable, the health and safety at work of every employee or person so affected.

Risk assess all work activities.

5. Policy

5.1 The requirements for a robust Gas Safety Management and Maintenance System are clearly defined in Gas Safety (Installation and Use) Regulations, the Management of Health and Safety at Work Regulations together with the Health and Safety at Work Act and other Regulations under this Act.

5.2 To safely manage these and other regulations SLHD will ensure the following procedures policies are adopted across all SLHD and are continuously reviewed and amended as required.

5.2.1 Specific Contractor Instruction - Appendix 1 The purpose of this document is to:

Provide guidance and specific instructions for all SLHD employees and contractors whilst undertaking gas contracts. This is with the aim of Page Version Date Author Page 4 of 2 2 June 2016 D Norman File Path S:\SLHD_Directorates\Business Planning Directorate\Business Performance and Improvement\Business Assurance Team\Policy & Procedure\Intranet docs\PS6 Gas Policy

satisfying the legal duties of the current Gas Safety (Installation and Use) Regulations. The requirements for a robust Gas Safety Management system and Maintenance system are clearly defined in Gas Safety (Installation and Use) Regulations, the Management of Health and Safety at Work Regulations together with the Health and Safety at Work Act and other regulations made under this Act. To safely manage these and other regulations SLHD will ensure the following policies/procedures are adopted across all the Company and are continuously reviewed and amended as required. The following specifications/procedures will apply to all SLHD employees and contractors undertaking domestic gas work on SLHD’s behalf

5.2.3 Procedure for Qualifying Contractors and Operatives The purpose of this procedure is to provide guidance and specific instructions for all SLHD contractors whilst undertaking gas contracts. This is with the aim of satisfying the legal duties of the current Gas Safety (Installation and Use) Regulations. The work detailed within the specifications may also include other aspects that will assist SLHD in satisfying its duty of care to its tenants. The following specifications will apply to all SLHD employees and contractors undertaking domestic gas work on SLHD’s behalf.

 Gas Service specification  Central Heating Installation specification – Decent Homes and ‘One off’ replacements  Gas Training Matrix for internal and external gas fitters (agency) and contractors

5.2.4 Uniformity of Documentation Procedure

The purpose of this procedure is to provide guidance for SLHD contractors to identify all gas safety documentation utilised by SLHD and to ensure that all documents used are and remain fit for the purpose. To demonstrate that operatives have carried out the tests and checks required by the relevant Gas Safety (Installation and Use) Regulations, SLHD will have in place uniform documentation and paperwork that will allow positive records to be completed for confirmation and future reference. Where any detests are checks are carried out by an operative the work records will ‘positively record’ the information detailed in the procedure.

5.2.5 Unsafe Situations Procedure

The purpose of this procedure is to provide guidance for SLHD contractors to follow when dealing with unsafe situations, and clarifies SLHD’s interpretation of specific aspects within the Industry Unsafe Situation procedure. This procedure will also ensure SLHD meets Regulations 34(1 &2) of the Gas Safety (Installations and Use) Regulations, in ensuring the Page Version Date Author Page 5 of 2 2 June 2016 D Norman File Path S:\SLHD_Directorates\Business Planning Directorate\Business Performance and Improvement\Business Assurance Team\Policy & Procedure\Intranet docs\PS6 Gas Policy

safety of its tenants in respect of gas escapes or suspected emission of products of combustion (fumes) in domestic properties.

5.2.6 Gas Escapes Procedure This procedure is to ensure SLHD meets Regulation 34 (1 & 2) of the Gas Safety (Installation and Use) Regulations in ensuring the safety of its tenants from gas escapes, suspected emission of products of combustion (fumes) or carbon monoxide activation in domestic properties.

5.2.7 Gas Procedure for Void Properties This procedure is to be followed by SLHD employees and contractors to ensure that in the case of a tenant vacating a property, gas fittings/appliances are safe before the property is re-let. When a property becomes vacant the SLHD Surveyor will cap off the gas supply to the property. The SLHD fitter will ensure that gas fittings/appliances are safe before the property is re-let .Just prior to or on the first official occupancy day of the property – it will be uncapped. A full service/safety check and inspection of the installation will be undertaken and a Landlord’s Gas Safety Record produced and retained by SLHD and a copy left at the property or emailed to the tenant. The tenant will also be given instruction on the safe use of appliances and controls.

5.2.8 Gas Mutual Exchange Procedure This procedure will be followed by SLHD employees and contractors to ensure that in the case of a tenant vacating/exchanging a property that gas fittings/appliances are safe before the property is re-let. When an application for ‘Mutual Exchange’ of properties has been approved, SLHD need to ensure that gas fittings/appliances are safe before the exchange can take place. Wherever possible checks will take place on the day of the exchange as Mutual Exchanges constitute a new tenant and therefore the requirements of the Gas Safety (Installation and Use) Regulations 36 (6b) apply. A copy of the new Landlord’s Gas Safety Record will be given or emailed to a new tenant before or on the day of taking up occupancy.

5.2.9 Procedure for Quality Control (QC) This procedure will provide SLHD with a systematic approach to QC that is both efficient and effective, and the results clearly demonstrated and documented. SLHD will ensure it has QC procedures that monitor and record the quality of domestic gas work that is carried out by all gas operatives working within SLHD managed domestic premises.

This procedure will also allow SLHD to demonstrate its duty to the Health and Safety at Work Act and the Management of Health and Safety at Work Act. All work carried out on gas systems and appliances by gas trade staff will be subjected to a formal audit on standards of workmanship to ensure the specification of the tender document is being met.

This will include:

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Internal quality control (Checks are made by the gas Team leaders and External Corgi services External, independent quality control (Checks are made by the gas Team leaders and External Corgi services

5.2.10 Procedure for Monitoring, Storage and Retrieval of Landlords Gas Safety Checks The purpose of this procedure is to provide guidance for SLHD employees to follow when dealing with gas documentation, especially in the vetting, storage and retrieval of all Landlord Gas Safety Records. It is a legal requirement that these documents be kept for a minimum of 2 years, and a SLHD requirement that they are either electronically captured on the Total Repairs IT system or on Anite.

5.2.11 Central Heating Installation Specification The purpose of this document is to provide guidance for SLHD employees and contractors to follow when installing a new gas central heating system. This specification is standard across the business for all new installations by In house teams, contractors and decency partners to ensure a consistent standard.

5.2.12 Gas No Access Procedure The purpose of this procedure is to provide guidance for all SLHD employees and external contractors involved in the process to demonstrate that all reasonably practicable steps to gain access to tenanted properties has been undertaken. This is with the aim of satisfying the legal duties of the current Gas Safety (Installation and Use) Regulations. Landlords have a duty to maintain all the appliances they own, as well as undertake a safety check and produce a safety record. This is to be undertaken at intervals of no more than 12 months.

DAY 1 ATTEND SERVICE APPOINTMENT NO ACCESS - CARD PROPERTY, ADVISING TENANT TO MAKE ANOTHER APPOINTMENT DAY 8 LETTER SENT TO TENANT, ADVISING THEM TO MAKE CONTACT WITHIN 7 DAYS, OR A COURT WARANT WILL BE APPLIED FOR

DAY 15 21 DAY ABATEMENT NOTICE IS SENT TO THE TENANT DAY 36 BOOK COURT DATE SEND TENANT 7 DAYS NOTICE OF THE COURT DATE DAY 43 ATTEND COURT AND OBTAIN A WARRANT 14 DAY NOTICE OF FORCED ENTRY SENT TO TENANT DAY 57 FORCED ENTRY & SERVICE APPLIANCE

5.2.13 Solid Fuel to Gas Conversions

Requests for change from solid fuel to gas due to ill health will be referred to Social Services to apply for an adaptation (Disabled Facilities Grant). During the summer months (1st May to 31st September) the tenant will be issued with additional electrical temporary heaters supplied on request. Page Version Date Author Page 7 of 2 2 June 2016 D Norman File Path S:\SLHD_Directorates\Business Planning Directorate\Business Performance and Improvement\Business Assurance Team\Policy & Procedure\Intranet docs\PS6 Gas Policy

During the winter months (1st October – 31st April) bottled gas (LPG) boiler and system will be offered, as the average time for the full completion of conversions is up to 16 weeks, this is due to awaiting installation of services from third parties, such as TRANSCO. This will be converted back to natural gas once a new gas mains has been installed. The tenant will be given the first 2 LPG gas bottles for free, thereafter the tenant pays for the replacements up to the conversion back to natural gas.

5.3 Suspected Emissions

Suspected emissions (fumes) in a property will only be tested by a qualified gas fitter with the CMDDA1 qualification.

5.4 Provision Fitting of smoke alarms and carbon Monoxide detectors

At the time of the appointment a Service Engineer will check the property to ensure that there is a smoke alarm and Carbon Monoxide detector present and that these are in good working order. If it is found that the property does not have a smoke alarm or a Carbon Monoxide detector, or an existing unit is faulty a new smoke detector or Carbon Monoxide detector will be installed.

5.5 Activation of a Carbon Monoxide Detector

If a CO detector activates tenant are advised to switch off all gas appliance, open windows and to contact the gas transporter (EG Transco). A visit is made by the CMDDA1 qualified gas fitter to carry out a room test.

5.6 Tenants’ Own Appliances

SLHD will service and check the safety of all appliances and flues that the tenant cannot legally remove.

In respect of a tenant’s own appliances SLHD accepts its liabilities to the flues of the properties that tenants own appliances are connected to. In recognition of those liabilities SLHD will undertake a gas safety check on all appliances connected to DMBC flues. The tenant must provide the gas appliance manufacturer’s instructions prior to a service/safety check or gas repair that SLHD will include, but will not be limited to, those checks detailed in the Gas Safety (Installation and Use) Regulations, Regulation 26 (9). In respect of appliances not connected to flues owned by DMBC eg, gas cooker, a visual inspection for safe use will be undertaken and appropriate action taken as required.

Regulation 26 (9)

Where a person performs work on a gas appliance, they shall immediately thereafter examine:

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a) the effectiveness of any flue; b) the supply of combustion air; c) its operating pressure / heat input, or where necessary both; d) Its operation so as to ensure its safe functioning. e) Flues in void space compliance where applicable

and forthwith to take all reasonably practicable steps to notify any defect to the responsible person, and where different, the owner of the premises in which the appliance or flue is installed, or where neither is reasonably practicable, the supplier of gas to the appliance.

5.7 To safely manage and ensure compliance with Health and Safety Regulations shown throughout this document SLHD will deliver a gas- servicing programme that run over a 9 month period to allow for any problems gaining access to some properties. All tenants will be offered an appointment and every effort will be made to gain access at a time, which is mutually convenient.

5.8 Reasonable steps will be taken to ensure access and complete a gas safety check. All attempts to access a property. Where access cannot be gained legal proceedings will be instigated to gain access to the property as the last resort.

5.9 Following completion of the service a copy of the gas safety record certificate will be issued to the tenant.

5.10 Where appliances have been installed for less than 12 months, they will be checked in line with the servicing programme.

5.11 Where a property is void, SLHD will undertake the annual service and safety check during the void period as well as at the annual service date. We will ensure that all gas fittings and flues are safe before re-letting a property, and a copy of the gas safety certificate will be given to the new tenant as part of the sign up procedure.

SLHD will maintain a comprehensive record of:

 All properties with gas supplies;  Details of the council’s own gas appliances in the property;  Details of any newly installed gas appliances, including date of installation;  Accurate records of all servicing work and gas safety checks completed;  All records will be retained for a minimum of two years.

5.12 We will disconnect a tenants own appliance where it is found to be defective and advise of the defect so that the tenant can take action to repair. Where the tenant refuses to allow the appliance to be disconnected the gas engineer will immediately inform SLHD R&M Page Version Date Author Page 9 of 2 2 June 2016 D Norman File Path S:\SLHD_Directorates\Business Planning Directorate\Business Performance and Improvement\Business Assurance Team\Policy & Procedure\Intranet docs\PS6 Gas Policy

Services and TRANSCO under Regulation 34 Unsafe Appliances of the 1998 regulations.

5.13 Where a tenant wishes to install their own appliances such as a fire or cooker, the appliance must be fitted by a Gas Safe registered Installer and the tenant will be advised that permission must be obtained from SLHD.

5.14 Leaseholders, Private Landlords and Private Homeowners will be offered the opportunity to access our gas servicing services, at a rechargeable cost.

5.15 SLHD will provide guidance and specific instructions for contractors whilst undertaking gas contracts on our behalf. This is with the aim of satisfying the legal duties of the current Gas Safety (Installation and Use) Regulations.

6. Monitoring and Review

6.1 This policy will be reviewed on a bi-annual basis for accuracy and appropriateness, and will take into account any legislative changes or requirements.

6.2 Monitoring of the policy will be through the performance framework and the results of the quality control inspections which are fed into the monthly gas management meetings.

6.3 The Gas Safe registration held by SLHD requires external monitoring by Gas Safe annually.

7. Performance Standards

7.1 The performance standards of compliance with Gas Safe registration is monitored externally by Gas Safe in addition to internal monitoring of compliance with Gas Regulations.

SLHD also has a performance management framework detailing targets for gas servicing work – including:-  100 % of properties with a valid landlord’s certificate  100 % of annual programme complete

These are reported the Executive Management Team and Board on a monthly basis.

8. Partnership issues

8.1 The Mechanical and Electrical Service Manager will work closely in association with Procurement on any contracts with a requirement for gas works, will attend regular contract meetings with any contractor carrying out gas works, ensure regular Health & Safety monitoring visits are carried Page Version Date Author Page 10 of 2 2 June 2016 D Norman File Path S:\SLHD_Directorates\Business Planning Directorate\Business Performance and Improvement\Business Assurance Team\Policy & Procedure\Intranet docs\PS6 Gas Policy

out on contractors and SLHD gas staff and work closely with all partners in relation to the development, monitoring and revision of all SLHD policies in relation to gas.

9. Responsibilities

9.1 Chief Executive

Key Responsibilities:-

 Effective operation of the Gas Policy across St Leger Homes as a whole  Ensure adequate resources are made available to both develop and implement appropriate procedures  Enable responsibilities to be effectively delegated

9.2 Director of Property (Technical) Services

Key Responsibilities:-  Interface with Corporate Management team.  Reporting to Chief Executive.

9.3 Head of Repairs and Maintenance

Key Responsibilities:-

 Management of the Gas Policy for SLHD’s domestic rented accommodation is applied.  Management for ensuring gas management systems and procedures are in place, maintained, monitored and reviewed across the Council’s domestic rented accommodation

10. Statement of Intent

10.1 Chief Executive of St Leger Homes of Doncaster

As Chief Executive (CEO) of SLHD I am committed to the effective operation of the Gas Policy across SLHD as a whole, and I will ensure that effective procedures are in place to implement the policy within SLHD. I am also committed to ensuring that adequate resources are made available to both develop and implement appropriate procedures, enabling responsibilities to be effectively delegated and key personnel trained. I believe that the proper implementation of the Gas Policy will contribute directly to ensuring the well-being of the citizens of Doncaster.

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Chief Executive, St Leger Homes of Doncaster

……………………………………………………. Susan Jordan

10.2 Director of Property (Technical) Services

In my role as Director of Property (Technical) Services I will be responsible for ensuring the Gas Policy for SLHD’s domestic rented accommodation is applied. In addition I will be responsible for ensuring gas management systems and procedures are in place, maintained, monitored and reviewed across the SLHD’s rented accommodation. The Director's position is responsible for ensuring that the Gas Policy and procedures are robust and effective and to regularly confirm that the persons currently in roles of responsibility are able to commit to their statements of intent.

Director of Property (Technical) Services

………………………………….. Mick Werritt

10.2 Head of Repairs and Maintenance

As Head of Repairs and Maintenance, I am committed to ensuring that the Gas Policy and related procedures safeguard our tenants and improves the quality of life on our estates. I will ensure that effective monitoring of the implementation of the policy and procedures is embedded into our performance management systems and that all staff across all areas of SLHD work effectively together to monitor implementation and manage improvement where required.

Head of Repairs and Maintenance

………………………………………... Jackie Linacre

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Equality Analysis Commissioning / Decommissioning Services, Decision making, Projects, Policies, Services, Service, Strategies or Functions (CDDPPSSF)

Website Summary – Please complete for publishing on our website and append to any reports to, EMT or Board.

Completed Key findings Future actions equality analysis

The Gas Policy explains the statutory None Service: Mechanical & Electrical ...... legislation that SLHD must comply with, explains what is involved and actions Function, policy or proposal name: ...... that could be taken if access has been denied. Gas Policy ...... There was no negative impact found. Function or policy status: Existing ...... The Gas servicing programme has (new, changing or existing) performed at 100% completion for the last 5 years. Name of lead officer completing the equality analysis:

Dave Norman ......

Date of assessment: 21 June 2016 ......

Appendix B

POLICY DOCUMENT Solid Fuel Servicing

POLICY TITLE: Solid Fuel Servicing LEAD OFFICER: Dave Norman DATE APPROVED: August 2013 APPROVED BY: EMT IMPLEMENTATION August 2013 DATE: DATE FOR NEXT July 2018 REVIEW: ADDITIONAL Repairs and Maintenance policy / H&S policy GUIDANCE: TEAMS AFFECTED: Property Services All staff and Board Members THIS POLICY Solid Fuel Policy August 2013 REPLACES

DOCUMENT CONTROL

For guidance on completing this section please refer to the document version control guidance notes

Revision History

Date of this revision: 05.04.2013 Date of next review: May 2016 Responsible Officer: Dave Norman

Version Version Author/Group Summary of Changes Number Date commenting 1.1 12/01/2010 K Fisher Amalgamation of No Access Policy into Service Policy 2.0 10/02/2010 EMT & Board Policy approved 3.0 26/3/2013 D. Norman Reviewed 3.0 13/08/13 EMT Policy Approved 3.1 June 2016 D Norman Minor amendments 4.0 September Board Reported for information 2016

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POLICY DOCUMENT Solid Fuel Servicing

1. Introduction

1.1 St Leger Homes of Doncaster (SLHD) aims to provide an efficient customer orientated Solid Fuel service to residents.

1.2 SLHD also has a responsibility to protect the value of the housing stock and to ensure that the promises and obligations made to our customers in respect of their homes, health and safety and general welfare is honoured

2. Purpose

2.1 The purpose of this policy is to outline SLHD responsibility with regards to Solid Fuel Servicing. This includes the following:  To comply with Section 3(1) of the Health and safety at Work act 1974  Competency of Engineers  Appointments  Maintenance regime  Provisions for fitting of smoke alarms  Completion of landlord certification  Condemning of solid fuel appliances  Work in Void properties  No Access procedure

3. Scope

3.1 The policy is relevant to all SLHD tenants with the exception of leaseholders.

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4. Responsibilities

4.1 The relevant people responsible the administration and delivery of the policy are:  Service Managers  Appointed persons (HETAS)  Team Leaders (HETAS)  Service Engineers (HETAS)

5. Policy

5.1 Health and Safety at Work act 1974

Under the Health and Safety at Work Act 1974 (HSAWA74) the maintenance of solid fuel appliances forms part of the landlords undertaking, that the sweeping of flues cannot be delegated to tenants, and that this requirement of maintenance can be enforced under section 3(1) of the act.

5.2 Competency of Engineers

Heating Equipment Testing and Approval Screen (HETAS) is the official body recognized by government to approve solid fuel domestic heating appliances, fuels and services. HETAS collaborates with the National Association of Chimney Sweeps (NACS) in supervising a solid fuel orientated course for chimney sweeps which results in successful candidates being “HETAS Approved”.

HETAS operates a registration scheme for heating engineers with special skills in the installation and maintenance of solid fuel heating systems.

All SLHD employees who repair, service and install solid fuel appliance are HETAS trained.

5.3 Appointments

All work to solid fuel appliances are appointed on cyclical, yearly basis. The appointments are issued up to 2 weeks prior to the date of appointment. This appointment is flexible and every effort will be made to adjust appointments to suit customer needs.

All appointments are made within the normal working week, 8:00am until 4:00pm Monday to Thursday and 8:00am until 3:30pm on Fridays.

If customers are unable to meet these appointments then alternative arrangements will be made to service appliances outside of these times. This will be based on need and case by case basis.

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5.4 Maintenance responsibilities

When Service Engineers carry out such maintenance, be it a safety check or general repair, maintenance; the following basic checks must be adopted;

 Visual inspect appliance/s and chimneys  Carry out service on the complete insulations and/or appliances  Check for satisfactory provision of all necessary ventilation  Check integrity of flue  Test flue and appliance to ensure correct draw on fire and no escape of fumes

As an addition to this SLHD offer a service above these basic requirements which include repairs and renewal of parts to ensure that the appliance is left in a clean and safe working condition with all automatic and manual controls in operation. A check is also carried out on smoke alarms and Carbon Monoxide Detectors to ensure they are present and in good working order.

The Service Engineer also explains the workings of the appliance and system controls and leaves various advice leaflets with the customer. A copy of the check sheet and certification is also left with the customer for their records.

5.5 Provisions for fitting of smoke alarms and Carbon Monoxide Detectors

At the time of the appointment a Service Engineer will check the property to ensure that there is a smoke alarm present and in good working order. If it is found that the property does not have a smoke alarm/Carbon Monoxide Detector or an existing unit is faulty the smoke detector/Carbon Monoxide Detector will be replaced as part of the annual service.

Once the appointment is confirmed the details are passed onto the Fire Service and an officer attends to carry out an assessment of the property and supply some alarms as required.

5.6 Completion of landlord certification

Where a service has been carried out and the appliance has been found to be operating in a satisfactory condition the Service Engineer is to complete the SLHD Solid Fuel Appliance Service Report. This report also acts as the certification that the appliance is in good working order at the time of the service.

A copy is left with the customer and a copy is kept on record. The certification last for one year unless there are major alterations to the appliance or the appliance has been deemed to be ineffective between services. The file record kept by SLHD is kept for 2 years

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5.7 Condemning of solid fuel appliances

Unless the tenant specifically requests a like for like replacement our policy, for health and safety and environmental reasons, is to replace a condemned solid fuel appliance with gas central heating.

If another solid fuel appliance is installed this is carried out in accordance with the HETAS & Part L guidelines on renewal of appliances.

Timescales for replacements are to aim to complete a solid fuel replacement within 6 weeks and a gas central heating replacement within 16 weeks.

We will supply another form of heating until the heating is replaced. if bottled gas (LPG) is supplied we will provide 2 LPG gas bottles free of charge, thereafter the tenant will pay for any replacements until the conversion is completed. Meter readings will be taken by the Engineer to reimburse the customer for any additional expense, following completion of work.

Where an appliance fails its initial service and is uneconomical for repair the Service Engineer will condemn the fire. The certification is completed identifying that the appliance is not fit for use. The customer will be asked at that time if they require another solid fuel appliance or another form of heating. Where possible the option for gas central heating will be SLHD preferred upgrade but the choice of the customer is paramount.

If Solid Fuel is requested then a full survey of the property is carried out as per the HETAS guidelines on renewal of appliances. The timescale for replacement of appliances varies dependent on personal circumstances, time of year, demand and availability of appliances from suppliers. Every effort will be made to complete all renewals within 6 weeks of initial visit.

When gas central heating is requested a referral is made to SLHD Gas Section and an appointment is made with the customer to assess the property. The average time for full completion is up to 16 weeks and this is due to awaiting installation of services from third parties, such as Transco. When an appliance is condemned the Service Engineer will supply another form of heating, usually electric temporary heaters, to ensure that there is adequate heating for the property. Bottled gas (LPG) boiler will be offered during the winter months, due to the duration taken for the suppliers to install a new natural gas installation to the property, This will be converted back to natural gas once a new gas main has been installed. The tenant will be given the first 2 LPG gas bottles for free; thereafter the tenant pays for the replacements, up to the conversion back to natural gas.

The Service Engineer will take a meter reading and any additional expense incurred by the customer will be recompensed once the new heating is in place.

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5.8 Work in void properties

All void properties shall have a solid fuel safety inspection and service carried out prior to a new tenancy, regardless of the date of the last service.

We will remove or decommission and make safe any solid fuel appliance within a void property and ensure another suitable fuel type system is in place, prior to the property being occupied. This system may be of a temporary nature depending on the gas supply to the property.

5.9 No Access procedure

When an appointment is made to carry out a service and the customer is not at home when we visit we will implement our No Access Procedures.

5.10 Solid Fuel - No Access Procedure

The purpose of this procedure is to provide guidance for all SLHD employees and external contractors involved in the process to follow; to demonstrate that all reasonably practicable steps to gain access to tenanted properties has been undertaken. This is with the aim of satisfying the HETAS guidance for landlords to maintain all the appliances they own, as well as undertake a safety check and produce a safety record. This is to be undertaken at intervals of no more than 12 months.

The ENVIROMENTAL PROTECTION ACT (EPA) procedure within the EPA legal process managed on a calendar day basis

PROCESS ACTION DAY 1 ATTEND SERVICE APPOINTMENT NO ACCESS - CARD PROPERTY, ADVISING TENANT TO MAKE ANOTHER APPOINTMENT DAY 8 LETTER SENT TO TENANT, ADVISING THEM TO MAKE CONTACT WITHIN 7 DAYS, OR A COURT WARANT WILL BE APPLIED FOR DAY 15 21 DAY ABATEMENT NOTICE IS SENT TO THE TENANT DAY 36 BOOK COURT DATE SEND TENANT 7 DAYS NOTICE OF THE COURT DATE DAY 43 ATTEND COURT AND OBTAIN A Page Version Date Author Page 6 of 2 3 05/04/2013 Dave Norman File Path S:\SLHD_Directorates\Business Planning Directorate\Business Performance and Improvement\Business Assurance Team\Policy & Procedure\Intranet docs\PS7 Solid Fuel Servicing Policy

WARRANT 14 DAY NOTICE OF FORCED ENTRY SENT TO TENANT DAY 57 FORCED ENTRY & SERVICE APPLIANCE

SLHD through contract will service and check the safety of all appliances and flues that the tenant cannot legally remove. In respect of tenant’s own appliance SLHD accepts its liabilities to the flues of the properties that tenants own appliances are connected to. In recognition of those liabilities SLHD will Undertake an annual solid fuel safety check on all appliances connected to DMBC property flues.

6. Monitoring and Review

6.1 The review of this policy will be done annually. It is the responsibility of the HETAS appointed person to update the policy as and when new regulations or legislation come into force

7. Performance Standards

7.1 Performance indicators are reported weekly. Indicators for performance include

 Weekly service targets  Actual services taken place  Amount of no access properties  Amount of overdue services

Records are kept recording this performance and this is reviewed and monitored by all levels of SLHD.

8. Partnership issues

8.1 A partnership exists with South Yorkshire Fire and Rescue who assist with the free supply and fitting of smoke alarms.

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Equality Analysis Commissioning / Decommissioning Services, Decision making, Projects, Policies, Services, Service, Strategies or Functions (CDDPPSSF)

Website Summary – Please complete for publishing on our website and append to any reports to, EMT or Board.

Completed Key findings Future actions equality analysis

The Solid Fuel Policy explains the None Service: Mechanical & Electrical ...... statutory legislation that SLHD must comply with, explains what is involved Function, policy or proposal name: ...... and actions that could be taken if access has been denied. Solid Fuel Policy ...... There was no negative impact found. Function or policy status: Existing ...... The Solid Fuel servicing programme has (new, changing or existing) performed at 100% completion for the last 5 years. Name of lead officer completing the equality analysis:

Dave Norman ......

Date of assessment: 14 June 2016 ......

ST LEGER HOMES OF DONCASTER LTD Company limited by guarantee registered in England Company Number 05564649

Board Meeting

REPORT

Date : 28 September 2016

Item : 16

Subject : Social Housing Equality Framework (SHEF) Update

Presented by : Jane Davies Head of Customer Focus

Prepared by : Louise Robson Customer Focus Service Manager

Purpose : To inform Board on the recommendations and proposals for the SHEF accreditation

Recommendation:

Board review the recommendations within the report and agree with the proposed next steps.

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Company Number 05564649 A Company Limited by Guarantee Registered in England

To the Chair and Members of the Agenda Item No. 16 ST LEGER HOMES OF DONCASTER BOARD Date: 28 September 2016

1. Report Title

1.1 Social Housing Equality Framework (SHEF) Update.

2. Executive Summary

2.1 The Social Housing Equality Framework (SHEF) accreditation is up for review next year, however the Equality and Diversity / Fairness strategy also needs refreshing before April 2017 so it makes sense to review both at the same time. This report details recommendations for future accreditations, such as the SHEF, or to look for alternative accreditations / validation mechanisms for equality and diversity.

3. Purpose

3.1 To inform Board on the recommendations and proposals for the SHEF accreditation.

4. Recommendation

4.1 Board review the recommendations within the report and agree with the proposed next steps.

5. Background

5.1 Board supported our commitment to undertake an external assessment to achieve the ‘Excellent’ level of the nationally recognised Social Housing Equality Framework (SHEF). SHEF is administered by the Local Government Association (LGA) and is a national continuous improvement framework for housing organisations to use to improve their approach to equality and fairness across the organisation. It is assessed through a rigorous Peer Challenge process.

5.2 Following a three day peer to peer, on site assessment during 2014, St Leger Homes successfully attained the ‘Excellent’ level of the Social Housing Equality Framework.

5.3 The output from the SHEF was a very lengthy action plan to cover some of the recommendations the accreditation highlighted. The cost of accreditation plus expenses was in excess of £7,000.

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5.4 Sitting alongside this we also had two further action plans for the Annual Framework for Fairness Reports and the Equality and Diversity Strategy. The majority of actions are now either complete or the actions are not applicable anymore.

6. Timescales and future of SHEF

6.1 The SHEF accreditation lasts for three years. To keep the SHEF ‘Excellent’ status, we would have to go through a reaccreditation. The reaccreditation should take place three years after the original accreditation (2017), although there is some flexibility with this if needed. The Cost of reaccreditation is £4,500 plus expenses.

6.2 The reaccreditation usually takes one and a half to two days. It involves time spent with the organisation by a smaller team than the original peer challenge process, with three attendees comprising two equality officers and a councillor who has experience of housing and equality.

6.3 The reaccreditation process is lighter touch, with fewer meetings. Wide cross sections of staff, particularly front line staff, are consulted. There is no formal presentation at the end of the process, a report is drafted and shared with other members of the peer challenge unit for moderation purposes. The final report and feedback is then supplied to the organisation.

6.4 In 2014, when we were awarded our ‘Excellent’ status we were one of only 13 housing organisations in the country to have been awarded the ‘Excellent’ level.

6.5 Researching this further, it seems that no other Housing organisations have been accredited since and only a minority have been re accredited. Out of 15 ALMO’s researched over half didn’t have any ‘formal’ equality and diversity accreditation and those that had were accredited either before or at a similar time to us. Although some haven’t got ‘formal’ accreditations, many of those who have recently refreshed their equality and diversity strategy, have followed the same format of the SHEF accreditation (similar to the layout of our 2015-16 annual fairness report) and their strategies are built around the five areas of performance from the SHEF.

 Knowing your customers / communities  Leadership, partnership & organisational commitment  Involving customers / communities  Responsive services, access & customer care  A skilled & committed workforce

7. Options

7.1 There are definitely benefits of ensuring we comply with the legislation surrounding equality and diversity, more than just producing an annual report. Some of the benefits can be:

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 Reduction in the number of grievances  Reduction in staff turnover  Increased staff development  Improved customer service and satisfaction  Improved links between employee activities and strategic objectives  Improvement in attitudes, behaviours and conduct  Improved communication approaches

7.2 Having researched other ALMO’s and Housing Providers I have found 3 other companies offering a formal accreditation in equality and diversity all at a similar cost of between £4-7K, however there is no budget within the current customer focus structure to source any form of external accreditation. The three other companies offering accreditations are:

7.3 1) C2E Equality Standard C2E is an independent not for profit organisation. C2E are responsible for review, accreditation, certification and awarding the C2E Equality Standard The C2E Equality Standard is a solution that brings practical recommendations to life and actions for business reflect the requirements within the Equality Act 2010. They have specifically created this vehicle to advance existing equality activity and to deliver real measurable results on the equality agenda. Good Practice - Change models for Business to adopt - appropriate to their size Accredited organisations are awarded a Unique Number ensuring visible confirmation of the business's Commitment to Equality Change models are available for organisations of all sizes and include an award system for equality achievers. The award is a public display of commitment, and hence organisations have the opportunity of achieving public recognition. The audit is conducted in accordance with generally accepted auditing standards. Those standards require that the audit is planned and performed to obtain reasonable assurance about whether the Equality Policies and Practices are being used. The audit includes examining, on a test basis, evidence supporting the Equality Policies and Practices. The audit also includes assessing the principles and practices applied by management. he Committed2Equality & Diversity Assured Accreditation Programme (C2E) is endorsed by SFEDI

7.4 2) National Centre for Diversity The National Centre for Diversity aims to advance fairness for all in the workplace by helping organisations to embed best Equality, Diversity and Inclusion (EDI) practices. Their goal is to positively influence beliefs, attitudes, behaviour and conduct towards issues surrounding EDI. They want organisations to do more than just tick boxes; they want them to transform the workplace environment to one which is equitable and inclusive. They do this through the Investor’s in Diversity awards, e-learning programmes, face-to-face training, consultancy, accreditations and EDI events. The Investors in Diversity Award is recognised as much more than just a highly prized and prestigious quality mark. It provides an all-encompassing

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methodology for improving Equality, Diversity and Inclusion (EDI) practices in the workplace. Those that achieve the Investors in Diversity Award have been enabled to take a structured and planned approach to embedding EDI at the heart of what they do. It also provides an excellent framework to bring together all of an organisation’s work around EDI.

7.5 3) Housing Diversity Network Housing Diversity Network is a social enterprise that aims to inspire and empower people, promoting equality, diversity and opportunity for all. They work collaboratively to support organisations to improve how they address inequality, get the most from their staff and meet the needs of the communities they work with. The accreditation report is assessed by HDN Associates and moderated by a group of multi-skilled professionals, consisting of practitioners in housing and employment, members of the HDN Board and staff. The accreditation comprises of a desktop review, on site interviews with the organisations leaders and staff and customers. It encompasses the requirements of the Equality Act 2010, Human Rights Guidance, the CIH Equality Charter and also considers the opportunity to address new inequalities, new vulnerable groups and more holistic thinking to complement community needs and strategies. HDN will produce a report and action plan for the organisation along with any recommendations for action. HDN awards distinctions for good practice and these will be displayed on our website and promoted at our conferences, to share learning.

7.6 All 3 of them follow a similar format to the original SHEF submission:

1. Conduct a self-assessment Equality Impact Assessment at the beginning to help understand our strengths and areas for improvement. 2. Offering peer to peer challenge and support to empower, lead and deliver significant and measureable improvement on all equality and diversity issues 3. Conduct a final Equality Impact Assessment at the end of the process to help again understand strengths and areas for improvement

They would broadly look at all the different layers of the organisations to help eliminate discriminatory behaviour. Helping us to understand the legal imperatives for Equality and diversity (particularly the Equality Act 2010), the business imperatives as well the moral case within both the Housing sector and within our own organisation.

7.7 Our own annual Equality and Diversity Framework for Fairness report for 2015/16 highlighted quite a few areas that we felt we needed to explore further or needed more work on, which will be built into the new strategy however didn’t necessarily cover the whole of the equalities framework, laid out by the Local Government Association (LGA) but was a good way of self- assessing ourselves, with Equality and Diversity moving into the Customer Focus structure and the addition of our a new Fairness and Insight Manager into the team.

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7.8 In addition to any specific ‘Equality and Diversity’ accreditation; being ‘Inclusive’, demonstrating we are fair and transparent, understanding our customers (insight) and tailoring our services are also built into two of our other regular external accreditations. (Customer Service Excellence and TPAS)

8. Recommendations

8.1 Recommendation 1 Due to the budget restrictions, the first recommendation is that we conduct our own self-assessment against the LGA equality framework, which is attached at Appendix A. this would be conducted by our newly appointed Fairness and Insight Manager (with the support of the Customer Focus Service Manager) and with help and support of the fairness champions.

8.2 Recommendation 2 The self-assessment takes place before the new strategy is scoped out to ensure we incorporate the findings from the self-assessment so that only one action plan is produced and monitored and the strategy has a clear vision and outcomes based on the assessment findings.

8.3 Recommendation 3 The self-assessment takes place across the whole organisation during Q4 2016 so the strategy can be produced early Q1 2017.

8.4 Recommendation 4 After the self-assessment and strategy have been completed, we look to seek accreditation in 2017 through an agreed accreditation mechanism via the SHEF or other alternatives noted in the report.

9. Procurement

9.1 There are no procurement issues

10. VFM Considerations

10.1 There is no budget within the current Customer Focus structure to source any form of external accreditation hence why the self-assessment option is being recommended from a value for money perspective.

10.2 Equality and diversity is closely linked to the customer Insight project and we do not want to duplicate any work already being considered as part of this project, so any ‘outcomes’ will only be documented once in either project, even though they might overlap.

11. Financial Implications

11.1 There is no budget within the current Customer Focus structure to source any form of external accreditation. We would need between £5-7k into

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2017/18 Customer Focus Budget.

12. Legal Implications

12.1 Any external accreditation or documented assessment helps evidence how St Leger Homes complies with its legal responsibilities in relation to the Equality Act 2010 and Public Sector Equality Duty

13. Risks

13.1 The original assessment did not identify any serious flaws in St Leger Homes equality and diversity practices. As we also do an annual review we are constantly staying abreast of any legislation changes.

13.2 We also mitigate any risks by doing equality impact assessments for all new policies and strategies or any fundamental changes to services.

14. IT Implications

14.1 There are no IT implications

15. Consultation

15.1 As well as consultation with the internal teams. Consultation with tenants and partners will also have to be built into the self-assessment and development of the new strategy.

16. Diversity

16.1 The recommendations should ensure we deliver all aspects of the Local Government Authority - Equality Framework, the Equality Act 2010 and Public Sector Equality Duty.

17. Communication Requirements

17.1 Once agreed we will need to work with all areas of the organisation to draw up a timetable for the self-assessment.

18. Equality Analysis (new/revised Policies)

18.1 Not applicable at this stage

19. Environmental Impact

19.1 There are no Environmental issues

20. Report Author, Position, Contact Details

20.1 Louise Robson, Customer Focus Service Manager, 862866

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21. Background Papers

21.1 Local Government Authority - Equality Framework

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Equality Framework for Local Government (EFLG)

1 Knowing your communities

Developing Achieving Excellent Understanding the importance of equality Delivering better outcomes Making a difference Collecting information

1.1 2.1 3.1 The organisation has gathered and published Relevant, proportionate and appropriate A comprehensive set of information about information and data on the profile of its information is being gathered about the local local communities/protected characteristics communities and the extent of inequality and communities and their protected characteristics needs and outcomes is regularly updated disadvantage. and published and used to identify priorities for the local area. Questions to ask in self-assessment for knowing your communities: collecting information Is the organisation clear about what sources of How is information disaggregated and analysed Does the organisation have a sophisticated information (both local and national) are on the basis of different communities, including understanding of the difference between the relevant and useful? Is the organisation aware those sharing protected characteristics? Are equality profile of their local area and how of what information is already being collected – national and regional data used and analysed? Is that translates to inequalities for different internally and by its partners, including information from ward councillors gathered in a groups? voluntary and community sector stakeholders? systematic way? How are equality gaps identified How are changing needs identified, What information has been gathered and and measured? What plans are there to plug gaps prioritised and met across a wide range of published? in data? Is information about health inequality services and outcomes by, for example, being captured? referring to the Equality and Human Rights Commission’s Equality Measurement Framework? How often is data updated and used to set priorities across the organisation and in different services, by geographical area and by protected characteristic? Is there evidence of a continuous improvement of the quality of the data? Analysing and using information

1.2 2.2 3.2 Systems are being developed to collect and Information and data is collected, disaggregated Up to date and comprehensive equality data analyse soft and hard data/intelligence about and analysed to support the assessment of local is used regularly to plan and assess impacts communities, their needs and aspirations. need, impacts of changes to services and of decisions. Performance is monitored priorities. against equality objectives and outcomes Appropriate mechanisms are in place to monitor including commissioned services, and with performance and inform equality objectives and key health partners and other stakeholders. service planning, commissioning and decision making. Questions to ask in self-assessment for knowing your communities: analysing and using information Is the organisation developing and improving How frequently is data gathered and analysed? How is the achievement of outcomes systems for collating and analysing the How is it used to inform the setting of objectives? measured? What evidence is there of gaps different sets of data being collected? How will Is information disaggregated in a meaningful way, being narrowed? How is performance information be collected by front-line staff or by relevant protected characteristic and other measured? Have relevant equality objectives key decision makers and taken account of? factors (such as deprivation or rurality) and been set? Are these regularly monitored? How well do people from protected groups fare analysed on a regular basis? How is information How are equality outcomes for commissioned compared to others? used to identify and prioritise on the basis of services monitored? need? Is information used effectively to inform timely and effective decision-making, for example as part of impact assessment/ risk assessment, giving due regard to the public sector equality duty? Sharing information between partners

1.3 2.3 3.3 Plans are in place to collect, share and use Relevant and appropriate information and data is Partners are able to identify changes in equality information with partners. mapped, disaggregated and used with partners, to community profiles, needs and outcomes and assess needs and priorities and set equality adjust equality priorities accordingly objectives. Questions to ask in self-assessment for knowing your communities: sharing information between partners Is the organisation working with its partners to Is the organisation working with partners to How is the organisation working with partners ensure information is shared effectively? How address identified gaps in information? Is data to ensure that changing needs are identified do partners ensure efficient collection of data disaggregated using the same or similar and met? How timely, relevant and that avoids duplication? categories? How is the information being shared accessible is the information? Can voluntary to inform and achieve equality outcomes for the and community sector partners/health area? Are there robust and effective protocols in colleagues and stakeholders access and use place for sharing information between partners the information? How is data, including and to ensure data protection? information about health inequality, developed and shared/ promoted across the organisation and with partners?

Leadership, partnership and organisational commitment

Developing Achieving Excellent Understanding the importance of equality Delivering better outcomes Making a difference Leadership 1.4 2.4 3.4 The political and executive leadership have Political and executive leaders demonstrate The organisation is able to show how they publically committed to reducing inequality, personal knowledge and understanding of local have made sure that even when making fostering good relations and challenging communities and continue to show commitment to difficult decisions they continue to have discrimination. reducing inequality. clearly articulated and meaningful The organisation can demonstrate its commitment to equality. commitment to equality in decision making and Leaders have gained a reputation within the how this informs the way it responds to challenges community and with all of its partners for championing equality, balancing competing interests and fostering good relations. Questions to ask in self-assessment in leadership, partnership and organisational commitment: leadership Is leadership on equality demonstrated in a How do leaders demonstrate knowledge and Do senior leaders own and demonstrate clear way that is recognised and understood by the commitment? knowledge of local equality priorities and how organisation and local communities? How Do senior leaders ‘walk the talk’? and why they are being addressed? have Leaders shown their commitment? What is the evidence that informs their decision Do they act as ambassadors for the equality making? agenda? Do they personally challenge inequalities and drive an improvement agenda? Local vision and priorities 1.5 2.5 3.5 Decision makers understand what ‘equality’ Shared equality priorities, objectives and The organisation can demonstrate success in means and why it matters locally. outcomes for the local area are understood and working with partners in the public, private, Partnership working arrangements are being acted on at all levels within the organisation. community and voluntary sectors to address reviewed with the voluntary and community There is a coherent, shared vision of equality for equality priorities, which are reviewed on a sector and the wider community to ensure that the local area, with clear priorities which have regular basis. local equality priorities are addressed been agreed and understood by all key Decision makers in the organisation are stakeholders, including the voluntary and active in driving the equality agenda forward. community sector. Questions to ask in self-assessment in leadership, partnership and organisational commitment: local vision and priorities Which documents capture the commitment of Is there a clear shared vision for the area? Can staff, the community or the voluntary and the organisation and partners to equality? How do the organisation and its partners community sector give any good examples of Are equality objectives reflected in local monitor, review and evaluate performance improved outcomes/ reduced inequality/ strategic planning? against equality priorities, including inequality improvements in health inequality? and health inequality? What review mechanisms are in place? Does this contribute directly to the development of Is there any cross-organisational learning the organisation’s objectives? taking place?

Equality objectives 1.6 2.6 3.6 Equality objectives for the organisation have Specific and measurable equality objectives have The organisation can demonstrate a clear been set and published in accordance with the been integrated into organisational strategies and link between meeting their equality objectives requirements of the specific duties to support plans and action is being taken to achieve them. and positive outcomes for its communities. the public sector Equality Duty. Outcomes are measured and monitored regularly by senior leaders. Questions to ask in self-assessment in leadership, partnership and organisational commitment: equality objectives Has the specific duty to publish equality How are equality objectives integrated into What evidence is there of improved objectives been met? organisational strategies and plans? outcomes? Is this underpinned by robust equality Is there evidence of a link between equality Are actions to achieve priority outcomes analysis? objectives, business planning and performance reviewed and regularly updated? management? What steps are taken if deficiencies are How is progress monitored and reviewed? identified? How often? How are stakeholders and staff involved in the monitoring? Monitoring and Scrutiny 1.7 2.7 3.7 Appropriate structures are in place to ensure The setting and monitoring of equality objectives The organisation uses the scrutiny process delivery and review of equality objectives. is subject to challenge, including through the as a driver for change. political Overview and Scrutiny process. The organisation benchmarks its achievements against comparable others and shares its experience in developing good practice. Questions to ask in self-assessment in leadership, partnership and organisational commitment: monitoring and scrutiny Who are the decision makers for delivering the Is the Overview and Scrutiny function used to Does the organisation assess its agenda? scrutinise and challenge equality analysis/ impact performance and outcomes against Is there an appropriate and accountable assessment objective setting and monitoring? comparable organisations? leadership group/ board/ forum who have How are the public involved? What review mechanisms are in place? responsibility for the equality agenda? How are progress and responses reported? What outcomes and priorities have changed Are there resources for supporting equality as a result of Scrutiny review? work? Is the organisation approached on a regular basis to provide examples of, or showcase good practice? Effective communication 1.8 2.8 3.8 Communications promote a clear commitment The organisation uses its communications to Through effective and consistent to advancing equality and fostering good deliver its equality priorities, respond to the needs communications the organisation has gained relations across all local communities. of its communities and foster good relations. a reputation within the community and with all partners for championing and improving equality outcomes, balancing competing interests and fostering good relations. Questions to ask in self-assessment in leadership, partnership and organisational commitment: effective communication How does the organisation communicate its How does the organisation promote a positive Can staff, the community or the voluntary and commitment to promoting equality? narrative around equality and good relations community sector give any good examples of Is there evidence that publications reflect the across the whole community? how effective communication has enabled organisation’s commitment to equality and Are there any examples where the organisation the organisation to prevent or manage fostering good relations? and its partners have had to take unpopular tensions between different equality groups? decisions but still managed to keep local What is the organisations role in ensuring communities on board? that all stakeholders collectively manage the Has the organisation taken steps to counter conflicting needs of their communities? negative stereotypes or dispel myths? How do they go about negotiating and changing priorities? Commissioning and procuring services 1.9 2.9 3.9 The organisation ensures that procurement Mechanisms are in place to ensure that equality The organisation can demonstrate that and commissioning processes and practice standards are embedded throughout the commissioned/ procured services are helping take account of the diverse needs of clients, procurement cycle. it achieve its equality priorities. and that providers understand the Requirements are consistently achieved by requirements of the public sector Equality suppliers and are monitored effectively. Duty. Questions to ask in self-assessment in leadership, partnership and organisational commitment: commissioning and procuring services Is guidance available on the equality How do specifications take account of the different Is there evidence that provision is being requirements for the procurement and needs of users, for example through equality monitored using quantitative and qualitative commissioning process? analysis/ impact assessments? analysis, and the results considered and Are there standard equality clauses for Are monitoring requirements built into contracts to analysed by both supplier and client? contracts? ensure equality issues are addressed? Is there evidence of providers meeting the How is performance measured through sub- organisations equality objectives? contracting arrangements? Do providers understand and can they articulate a commitment to equality?

Fostering good relations 1.10 2.10 3.10 Structures are in place within the organisation The organisation and its partners have a strong The organisation takes a sophisticated and across partnerships to understand understanding of the quality of relations between approach to fostering good relations which community relationships and map community different communities and collectively monitor has resulted in measurable improvements in tensions. relations and tensions. relationships between diverse communities. The organisation and its partners are actively engaged in planning and delivering activities that foster good relations. Questions to ask in self-assessment in leadership, partnership and organisational commitment: fostering good relations Are there joint partnerships responsible for Are, for example, harassment and hate crimes are What information is available to show there monitoring community tensions? monitored and analysed regularly, and has been an improvement? How does the community safety strategy appropriate action is taken to address the issues Has the organisation been asked to work address this area? that have been identified? with others to improve performance on Do leaflets/ posters/ communications/ events What data is available, and is it disaggregated to fostering good relations between diverse promote positive relations? cover the protected characteristics? communities? How frequently is it analysed and acted upon? Have there been any changes? How are stakeholders and communities involved in the monitoring?

Involving your communities

Developing Achieving Excellent Understanding the importance of equality Delivering better outcomes Making a difference

Engagement structures 1.11 2.11 3.11 Inclusive community engagement structures Engagement mechanisms and structures are in There are a range of sophisticated are being developed throughout the place to involve equality stakeholders and engagement structures that result in both organisation. scrutinise service delivery, decision-making and formal and informal interactions between the progress. organisation and its diverse communities. Questions to ask in self-assessment in engagement and satisfaction: engagement structures What engagement structures are in place? How well does the organisation know its different Are there a range of innovative approaches How well are protected groups engaged? communities? to involving communities? Has the published standards on effective and How are people from protected group encouraged What arrangements are made to meet inclusive engagement? and enabled to participate? specific or individual needs? Are vulnerable Are a range of methodologies used? Have any people/ communities participating and are priorities been changed? their satisfaction levels at least as high the On what evidence/basis? average? How is the organisation ensuring that particular Is there evidence continuous improvement in groups are not being over consulted, and that community involvement? there is an increase in the involvement of Is there evidence that mainstream underrepresented groups? engagement mechanisms are increasingly involving previously under-represented groups? Effective engagement 1.12 2.12 3.12 The organisation creates opportunities for a The organisation engages with all its communities Communities from across the protected range of communities to be involved in when making decisions, including those with groups are actively participating in and decision making. protected characteristics. influencing decision making.

Questions to ask in self-assessment in engagement and satisfaction: effective engagement Is the organisation clear about different levels Does the organisation use community How are communities encouraged or of engagement (i.e. informing, consulting, engagement effectively to inform decisions? supported to influence or make decisions? participating, co-producing) and when these How involved are staff, the community and Are staff and stakeholders able to describe are appropriate? voluntary sector and the wider community? levels of influence within the community and Can the organisation evidence examples of Are there processes and plans throughout the changes made as a result? these opportunities? organisation and with partners to increase How are key decision makers involved in the Is there evidence that the gaps in involvement stakeholder and voluntary and community sector engagement process? structures are understood and being involvement in informing priorities? Is evidence available that shows the addressed? How is feedback given, and how often? organisation is able to be decisive and How are people in the community able to confident about difficult decisions? challenge, and how are their views taken account of? Working in partnership 1.13 2.13 3.13 Shared engagement structures/mechanisms Partners work together to avoid ‘consultation The organisation works to drive improvement are in development with partners. overload’ by engaging collectively/sharing in involvement across all partnerships. information and results of engagement activities. What shared engagement Are there any examples where the organisation Is there evidence of partnership structures/mechanisms are in place? and partners have engaged collectively / shared arrangements leading to improved outcomes Is guidance in place that sets standards for information and results of engagement activities? in participation? working in partnership? How does the organisation map consultation to Are partners open to challenge and Does this include sharing engagement activities? understand overlap? constructive criticism?

Participation in Public Life 1.14 2.14 3.14 The organisation has a clear understanding of Local people are encouraged to participate in There is an improvement in the participation the level of participation in public life by public life or in other activities where they are rates of under-represented groups in public different communities/protected under-represented. life. Organisations can demonstrate real characteristics. improvement rather than just describing their work.

The organisation can demonstrate that people across a range of protected characteristics are able to influence decision making. Questions to ask in self-assessment in leadership, partnership and organisational commitment: participation in public life

What information/data is gathered about the How is the organisation actively informing and What improvements have been achieved? extent of involvement in public life? involving local people, including under- Are more people from under-represented represented groups, about civic and public groups participating across a wider range of participation opportunities? activities? Has any outreach work or public campaigning Are decision makers from a wider range of been undertaken? backgrounds? Do people feel satisfied that they have been listened to/involved? How are you influencing wider- representation?

Responsive services and customer care

Developing Achieving Excellent Understanding the importance of equality Delivering better outcomes Making a difference

Equality analysis/ impact assessment 1.15 2.15 3.15 The organisation has an agreed approach to Equality analysis/ impact assessment is integrated The organisation can demonstrate conducting equality analysis/ impact systematically into planning and decision making improvements in equality outcomes are being assessment of policy and service decisions across the organisation. delivered as a result of effective equality analysis/ impact assessment, and can demonstrate how negative impacts have been mitigated. Questions to ask in self-assessment in responsive services and customer care: equality analysis/ impact assessment Is there a corporate framework and / or Is there senior level commitment to using and Can the organisation demonstrate how guidance for equality analysis/ impact understanding equality analysis/ impact equality analysis/ impact assessment has assessment? assessment to inform planning and decision been used to identify needs and improve Is training and support on equality analysis/ making? outcomes/ reduce inequality? impact assessment available? Are the organisation’s assessments accessible, Can the organisation provide evidence of robust and meaningful? how or where equality analysis/ impact Are the findings, recommendations and assessment has informed decision-making conclusions shared effectively to inform decisions and facilitated different, tailored services that and planning? have improved outcomes? Are mitigating actions identified where appropriate? Integration into business planning and delivery 1.16 2.16 3.16 Structures are in place to ensure equality Equality objectives are integrated into plans The organisation can demonstrate that outcomes are integrated into business across the organisation, with progress towards improvements and equality outcomes are objectives. them monitored regularly by key decision makers. being delivered across the business. Questions to ask in self-assessment in responsive services and customer care: integration of equality analysis into business planning and delivery Are service plans monitored regularly to How do your objectives address inequality and Is it clear who the service users are? ensure that equality objectives are being met? equality gaps? Have gaps been identified in terms of who Who by? How are the needs of protected groups taken may not be using the service and why? Is equality analysis fed into planning and account of? Has action been taken to change services in assessment? Do the objectives have specific timescales? response? Do customer care policies highlight the needs Have resource implications been properly Do busiess plans review past performance, of protected groups? assessed? demonstrate how past objectives have been How are complaints dealt with? Are there In what ways do key decision makers achieved, review performance and set new mechanisms in place to enable staff to demonstrate that they continuously monitor, objectives? introduce business improvements? review and evaluate performance for equality What evidence is there of improved or objectives? improving outcomes, disaggregated where Is equality integrated into the performance appropriate to demonstrate the effects on management? different communities/ protected groups?

Accessible services 1.17 2.17 3.17 The organisation has systems to collect, Access to and appropriateness of services is There is increased satisfaction with services analyse and measure data on how all sections monitored regularly by senior leaders and amongst all users, including those with of the community are able to access services. decision makers. protected characteristics.

Questions to ask in self-assessment in responsive services and customer care: accessible services Do services carry out any mapping exercises How do senior leaders and decision makers Is there any evidence of how levels of to identify and review current participation and demonstrate that they continuously monitor, satisfaction have improved over time? to highlight gaps? review and evaluate access to services? How representative are the users of the How does the organisation collect data about Is data about access to services and user service? users’ satisfaction with its services? satisfaction used in equality analyses/ equality Are there any examples of different Is the mapping and satisfaction data collected impacts assessment? customers’ experiences being analysed and disaggregated by different equality groups or Is there a scrutiny/ evaluation process in place? acted upon? vulnerable communities? Human Rights 1.18 2.18 3.18 Appropriate mechanisms are in place to Human rights issues are understood and The organisation has taken steps to ensure that human rights considerations are considered when delivering services to customers safeguard the human rights of individuals identified when planning services and that and clients. where these have been threatened. customers and citizens are treated with dignity and respect.

Questions to ask in self-assessment in responsive services and customer care: Human Rights Do customer care policies highlight human How are human rights issues taken into account? Have threats to human rights been identified rights considerations? What guidance is available for staff? Do decision and steps put in place to reduce or mitigate Do staff have the competence to identify makers have up to date Human Rights the threat? potential human rights issues? knowledge? What training has been provided to service Are manuals updated regularly with regard to planners? changing case law?

A skilled and committed workforce

Developing Achieving Excellent Understanding the importance of equality Delivering better outcomes Making a difference

Workforce Diversity

1.19 2.19 3.19 The organisation understands its local labour The organisation can demonstrate movement The organisation’s workforce profile market, the barriers faced by those from towards greater equality in its workforce profile (including the profile of major providers of vulnerable or marginalised individuals and compared with previous years, including commissioned services) broadly reflects the groups, and the impact these have on increasing the levels of previously under- community it serves/local labour market. achieving a diverse workforce. represented groups at all levels of the organisation. Questions to ask in self-assessment in a skilled and committed workforce: local labour market Is the organisation clear about its local labour Where there is evidence of disproportionality, Are there appropriate examples of positive market? what action is being taken to reverse the trends? action to improve diversity? Was any equality mapping data used as part of How do succession plans and recruitment What evidence is there that the workforce the analysis? processes address under-representation? profile broadly matches the local labour What information did it use to make an market/community profile? assessment? Is this continually monitored? Has it begun to identify the steps it needs to Are there any reasonable explanations for take to achieve a diverse workforce reflect gaps (e.g. the community profile is constantly these in recruitment policies and procedures? changing or largely retired population) and what is the organisation doing about it? Workforce strategy

1.20 2.20 3.20 The organisation’s workforce strategy includes The equality objectives contained within the priority equality considerations and objectives. workforce strategy are implemented and Prioritised equality outcomes for the whole Specific and measureable employment targets monitored. workforce are being achieved. have been set to improve workforce diversity.

Questions to ask in self-assessment in a skilled and committed workforce: workforce strategy Does the organisation’s workforce strategy How are the equality aspects of the organisation’s What strategic, innovative and holistic identify equality issues? workforce strategy being implemented and approaches have been considered to How are they addressed? tracked? improve outcomes? Are targets and objectives based on internal Are specific actions being taken? How are Is there good use of flexible working monitoring, staff consultation and the processes changing? arrangements and career pathway initiatives assessment of the local labour market and Are workforce change programmes in place? to address potential barriers and under barriers to employment? Are trade unions and partners involved? representation? How are staff involved in developing and monitoring these policies? Workforce monitoring

1.21 2.21 3.21 Systems are in place to collect and analyse The organisation regularly monitors, analyses and The authority has a robust and employment data across a range of practices publishes employment data in accordance with its comprehensive set of employment data and (recruitment, training, leavers, grievance and statutory duties. uses this to inform its workforce strategy and disciplinaries etc). management practice. Questions to ask in self-assessment in a skilled and committed workforce: workforce monitoring

How is data collected? Is data on applicants, people shortlisted and the Does the workforce data include a wide Is diversity monitoring information separated composition of the workforce collected? range of information and protected from recruitment decisions and held securely? Can this be disaggregated by the protected characteristic profiles including pay levels? How are people encouraged to provide data? characteristics? How well does the organisation understand Is there evidence that workforce data is analysed the effects of employment policy and practice and published to help establish objectives? on its workforce? What information is published and where – does it Does the organisation have sufficient cover basic requirements and include analysis of information about staff to inform robust pay/job evaluation outcomes? equality analysis? What action has been taken as a result of Is the workforce profile updated regularly? monitoring, and are tends being identified? Is the data looked at organisationally and What has been the decision makers response? service by service? Is it possible to analyse data by all the protected characteristics? Employment and training policies and procedures

1.22 2.22 3.22 The organisation ensures that all employment policies and procedures comply with equality The organisation has a basic set of policies and The organisation has an excellent set of legislation and employment codes of practice practices to enhance workforce equality and policies and procedures in place which are and assesses new/changing policies for their diversity including reasonable adjustments, equal actively promoted to staff from all protected impact on people with protected pay, flexible working and family friendly policies. groups and used by managers to promote characteristics. equality. Questions to ask in self-assessment in a skilled and committed workforce: Employment and training policies and procedures Are equality analyses being undertaken when What policies and procedures are there for staff? Have positive and tangible outcomes been employment policies and procedures are What changes have been made as a result of delivered as a result of the implementation of reviewed or developed? EqIA/ equality analysis findings? a wide range of policies and practices? Are all employment and training related Do managers consistently apply policies and How does the organisation compare with policies regularly reviewed? practices across the authority? others? How are these being communicated to staff with protected characteristics? Staff engagement

1.23 2.23 3.23 A range of inclusive structures are in place to Staff are engaged positively in employment and The organisation has high satisfaction levels engage and involve staff service transformation and in developing new across all staff groups in respect of staff roles and ways of working. engagement. Questions to ask in self-assessment in a skilled and committed workforce: staff engagement What staff engagement structures are there? Are these staff networks supported and utilised by Are staff surveys carried out regularly, and Are there any staff support networks? Are the organisation. what do they say? there any groups for particular networks of What evidence is there that staff have been Is there any evidence of how levels of staff? proactively engaged, and do staff feel engaged? satisfaction have improved over time? Are there any examples of different staff experiences being analysed and addressed? Promoting an inclusive working environment 1.24 2.24 3.24 The organisation has assessed all aspects of A range of improvements to the working There are high satisfaction levels with the the working environment to ensure that the environment can be demonstrated. working environment across all staff groups needs of all its employees are met particularly those with protected characteristics. Questions to ask in self-assessment in a skilled and committed workforce: promoting an inclusive working environment

Have assessments of the work environment What improvements have been made? Do staff surveys and focus groups confirm been carried out? What examples are there of flexible working satisfaction with the working environment How often? arrangements or reasonable adjustments? including when analysed across all protected What was assessed, and what did it show? How have staff responded to these? characteristics? What improvements were highlighted as being Are these monitored to ensure ongoing Are there effective occupational health necessary? satisfaction by staff or to pick up any developing facilities available to staff and are these being Were the needs of all groups taken into concerns taken up across the authority and account? proportionately across all groups?

Equal pay 1.25 2.25 3.25 The organisation has made significant The organisation has reached agreement with the Action is underway to ensure equal pay is progress on its equal pay review and is unions and/or staff about the implementation of fully implemented. working towards reaching agreement with equal pay. unions. Questions to ask in self-assessment in a skilled and committed workforce: equal pay review Has a new pay structure been agreed, even if Has agreement been reached with unions? If the Overall, is there evidence that men and not all issues and gradings have been new structure is being introduced on the basis of women are receiving equal pay equal work finalised? amendments to individual contracts, how has this (subject to any major industrial, legal or other Have the new proposals been analysed to has been done in effective consultation with staff? barriers)? ensure there are no detrimental effects? Is the situation being monitored / audited Has an offer been made to the unions in good regularly? faith? Are negotiations continuing where final agreement has not been reached?

Harassment and bullying

1.26 2.26 3.26 Policies and systems are in place to identify, Harassment and bullying incidents are monitored Harassment and bullying at work are dealt prevent and deal effectively with harassment and analysed regularly. Appropriate action is with effectively and most staff say that they and bullying at work. taken to address the issues that have been are treated with dignity and respect. Staff are identified. confident that there are robust procedures in place to address harassment and bullying at work and they trust management to deal with incidents effectively. Questions to ask in self-assessment in a skilled and committed workforce: harassment and bullying

Is there a dignity at work or harassment and Are harassment and bullying incidents monitored? What information is available to show there bullying policy? Are there any support What action is being taken to address problems? has been an improvement for all groups – structures for staff? What training and How are information / support on these issues monitoring data, perception surveys, guidance is available to managers? publicised to staff? qualitative data? Do staff think they are useful? Is there evidence that staff from protected groups feel they are treated with dignity and respect?

Appraisals 1.27 2.27 3.27 Equality considerations for individuals are Management and individual appraisals include Managers and staff can give examples of integrated into appraisal systems. specific equality objectives for the service area. improved equality outcomes they have contributed to. Questions to ask in self-assessment in a skilled and committed workforce: appraisals

Does the appraisal take account of equality How do appraisal processes ensure staff and Are managers and staff accountable for needs of staff? managers are aware of their equality-related ensuring equality outcomes? responsibilities and accountabilities? Is good performance being recognised? How are employees made aware of equality Are issues relating to protected objectives or any changes or improvements? characteristics and equality practice challenged confidently and effectively by managers? Learning and development 1.28 2.28 3.28 The organisation carries out regular The organisation provides a range of accessible Decision makers understand the importance assessments of the training and learning and learning and development opportunities to support of equality when making decisions and in development needs required to ensure its councillors and officers in achieving equality how they use resources. Services are councillors and officers are equipped to objectives and outcomes. provided by knowledgeable and well-trained understand their equality duties and take staff who are equipped to meet the diverse action to deliver equality outcomes. needs of local communities. Questions to ask in self-assessment in a skilled and committed workforce: learning and development Has an assessment been made as to what Are different methods used to promote learning to What changes have come about as a result equality-related training, learning or a wide audience (e.g. standard courses, coaching, of any equality training? development will be required? mentoring)? Do staff feel their skills have improved? Have the appropriate competencies been Does equality and diversity form part of training Are staff able to relate effectively with a identified? and development for key decision makers? range of clients? Does the learning and development plan take What evidence is there that that equality issues Are they able to answer questions about the account of equality issues? are mainstreamed into all training (e.g. training on council’s equality priorities? Does it include decision makers? customer care and segmentation)? Is there any feedback from users?

Company Number 05564649 A Company Limited by Guarantee Registered in England

St. Leger Homes of Doncaster Limited QUALITY COMMITTEE

14 September 2016

Present Rodger Haldenby (Chair).

In Attendance Louise Robson (Customer Focus Service Manager), Judith Jones (Director of Housing Services), Inger Marriott (Housing Options Service Manager), Sharon Hoskins (Area Housing Service Manager), Jennie Daly (Universal Credit Implementation Project Manager), Laura Evans (Executive Support Officer), Maureen Tennison (Tenant Board Member), Sue Williams (Co-optee).

1. Apologies and Quorum ACTION

1.1 Apologies were received from Michelle Greenwood, Paul Wray and Mick Werritt. It was noted that quorum was not present and any decisions would be deferred.

2. Declarations of Interest by Committee Members

2.1 There were no declarations of interest received.

3. Minutes of the Meeting held on 13 July 2016

3.1 The minutes of the meeting held on 13 July 2016 were agreed as a true and accurate record.

Matters Arising

3.2 From agenda item 3.8 –Matters Arising – Support Tenants – Access to Services The Chair reminded members that this related to the alert system that SLHD has in place whereby tenants can state preferences on how they are contacted. It was noted that the Framework for Fairness Strategy is currently being refreshed and will be presented back to Quality Committee.

3.3 From agenda item 10.1 – Any Other Business The Universal Credit (UC) Implementation Manager advised that our customer information isn’t broken down to that level of information, but stated that SLHD aren’t aware of any language barriers with Ghurkhas. Members were reminded that there are translation services available.

4. Homelessness Update

Page 1 of 9

4.1 The Director of Housing Services advised members that SLHD commissioned John Leask, who previously worked for DMBC as the Equality & Diversity Manager, to undertake a piece of work with the aim of gaining a better understanding of the current provision of emergency beds in extreme weather for rough sleepers within the borough.

4.2 The report written by John makes a number of recommendations which included presenting the report to a future meeting of ‘Churches Together in Central Doncaster’. This has now happened.

4.3 A member queried whether the M25 are still involved with Wharf House. The Director of Housing Services confirmed that the local authority undertook a procurement exercise for this service and the contract was awarded to Riverside.

4.4 A member queried whether we’re aware of how many rough sleepers we have and whether they increase during bad weather. It was confirmed that generally, the numbers are quite low and they decrease during bad weather.

4.5 A member queried whether there is a criteria that has to be met for anyone to be deemed ‘homeless’. It was confirmed that there is a criteria, however, in urgent situations, people can be placed on ‘emergency beds’. A member queried whether the average age of those who present as homeless and whether were under or over 18. It was explained that it’s generally over 18’s and if there were any under the age of 18, these would be dealt with in partnership with Doncaster Children’s Service Trust.

4.6 The Director of Housing Services advised that she and Inger Marriott, Housing Options Service Manager, attended a Homeless and Support Partnership meeting where it was agreed that a Task and Finish Group is formed in order to push through the recommendations of John’s report.

4.7 It was agreed that a copy of the report is circulated to members, for information.

5. TRIP Review Action Plan

5.1 Members discussed the action plan and asked that it is presented at the next meeting where it can be formally approved.

6. Tenancy Agreement

6.1 Sharon Hoskins, Area Housing Service Manager, attended the meeting to provide an update on the review of the

Page 2 of 9 Tenancy Agreement. Members were advised that the Agreement was last subject to a review in 2010 and is now being picked up due to changes in legislation; new clauses have also been added, as well as changes to existing clauses.

6.2 Consultation has already taken place with SLHD, DMBC and tenants and residents throughout the borough. Members were reminded that, although the Agreement is enforced by SLHD, DMBC are responsible for approving the document. A further draft of the Agreement is currently being reviewed and proof read in order that it can be presented to the Board, prior to being presented to DMBC for approval.

6.3 Once the Agreement has been approved by DMBC, SLHD will be required to give preliminary notice to all tenants, which involves making tenants aware of the proposed changes and they will have an opportunity to respond with any comments. All comments from tenants will be acknowledged and the Executive Management Team will then consider the comments and make any necessary changes to the Agreement.

6.4 The final stage in the process involves writing to all tenants to advise that the changes will be implemented with 4 weeks’ notice. Members were made aware that this will be done in batches, and the 4 weeks’ notice will run from the last batch of letters that are circulated. It was noted that DMBC’s legal services are consulted with throughout the whole process to ensure that the changes are legal, reasonable and enforceable.

6.5 The Area Housing Service Manager advised members of the following changes:

6.6 Preferred method of payment is by direct debit Members were made aware that the Agreement will state that SLHD prefers to receive rent payments by direct debit, however this is not mandatory. The UC Implementation Manager explained that, whilst we do prefer this, we recognise that it’s not always the best option for everyone as many can incur late payment charges. A member questioned whether there is reference to having officers collect rent. It was confirmed that we don’t plan to have officers specifically dealing with his, however the option of having visiting officers trained to take rent payments, if tenants wish; this will be done via an online system.

6.7 One assignment or succession per household It was explained that this clause is due to a change in legislation and therefore this is now enforced by law. Members were advised that this can be reviewed on a

Page 3 of 9 case by case basis.

6.8 Harassment and abuse through social media This clause has been added as the volume of harassment and abuse through social media has grown over the years.

6.9 Slavery and human trafficking Although there have been no cases in SLHD properties that we are aware of, this has been included as, nationally, it’s been an increasing issue of late.

6.10 Explosive Materials This clause has been provided by DMBC and is in line with legislation.

6.11 Fireworks The clause relates to unreasonable behaviour, in the opinion of SLHD, with fireworks.

6.12 Terrorism DMBC Safety Team have written the clause that is now included.

6.13 Begging Members were advised that DMBC Legal hasn’t yet reviewed this clause. It has been included as there are several issues with begging and the connections to SLHD tenancies.

6.14 Condition of your homes and garden when ending your tenancy This clause has been included so that it is made very clear to tenants what is expected when they leave a property. Many tenants are not aware that they must clear their property, which can take SLHD a significant amount of time to clear once they have left. A member queried whether a record is kept of tenants who leave their property in an unfit state, and what happens if they reapply for a tenancy years down the line. The Director of Housing Services explained that these are reviewed on a case by case basis. A member queried whether tenants give us significant notice when they intend to leave the property. It was confirmed that notice is usually given and we have very few tenants who abandon properties.

6.15 Encroachment This is to cover any issues with shared access.

6.16 Misuse of Communal Areas Whilst the use of communal areas is covered through other clauses, this has been included to address issues such as tenants tampering with fire systems or congregating in the communal areas of flats. A member queried whether this

Page 4 of 9 covered communal gardens. It was noted that these would be considered as and when they arose, but generally there are no problems in open areas or communal gardens.

6.17 Hoarding Issues of hoarding are becoming more frequent and so a clause has now been included to address the issue. A member queried how hoarding would come to the attention of SLHD. It was explained that it’s generally through visits to the property for repairs.

6.18 Safeguarding This has been included for information and is to advise tenants of what role SLHD has in terms of safeguarding tenants.

6.19 Working in partnership Partnership working has been included to show that SLHD do work in partnership with others in the borough in order to make Doncaster a nicer place to live.

6.20 The Area Housing Service Manager advised that the Agreement is on track to be in place for April 2017. Members were advised that the Housing and Planning Act has not been included in the Agreement at present and the wording around permissions will also be altered; members were also informed that a separate clause will be included to cover the use of CCTV. A member queried whether, when tenants apply for CCTV, they have to provide a reason. It was explained that reasons don’t have to be given, however it is expected that tenants will only have CCTV that covers the curtilage of their own property; ideally cameras will be fixed in place.

6.21 A member queried whether anything is included within the Agreement to state that photographs of new tenants will be taken, for identification purposes. It was confirmed that this is not currently in the Agreement, as photos are taken prior to the tenancy being entered into. A member queried whether photos of tenants could be shown on rent cards, as a form of identification. The Director of Housing Services advised that this is currently being looked into.

6.22 Members were advised that the full Tenancy Agreement will be presented to the Board on 28 September 2016; if approved, it will then be presented to DMBC for approval.

7. Universal Credit Update

7.1 The UC Implementation Manager advised that as at 12 September, 134 cases have been received and 126 of these are currently live. Of these cases, 2 have found work, 2 have ended their tenancies and 4 have been

Page 5 of 9 evicted.

7.2 The cases have been broken down into the following areas: • Central – 39 • East – 28 • North – 27 • South West – 31 • Housing Options - 1

7.3 Members were advised that 65% of tenants already had arrears when they applied for UC, which is 13% lower than in June. The average level of rent, of these in arrears, is £534 when the claim was initially made. It was further advised that almost half of the claimants lose the first week of their claim due to the 7 day waiting rule.

7.4 The UC Implementation Manager explained that the ‘full service’ roll out has been delayed and is now anticipated to take place between 2019-2022, which is around 5 years over schedule. Members were advised that new claims for UC by families with 3 or more children will not be put onto UC, but they will be directed to one of the old ‘legacy’ benefits until at least November 2018. A member queried what happens if a family makes a claim and then has a third child. It was explained that they would remain on UC; it’s only those who have 3 children at the point of conversion.

7.5 Members were advised that benchmarking has been undertaken across the region, which shows that Doncaster has had the slowest take up of UC since going live. More work is being undertaken on the benchmarking information.

8. Customer Charter and Service Standards

8.1 Louise Robson, Customer Focus Service Manager, advised members that a review and refresh of the Service Standards is required in 2017, as the standards have now been in place for 3 years.

8.2 It was explained that consultation will take place with tenants to gauge what is expected as good customer service. The Director of Housing Services explained that it would be good to test the standards early on in terms of reporting to ensure that this is kept parallel.

8.3 A member queried who will be undertaking the consultation. It was confirmed that the Community Engagement Officers will be heavily involved, alongside the Customer Focus Service Manager. Initial consultation will take place via visits from officers and then more formal

Page 6 of 9 consultation will be undertaken following this.

8.4 The Quality Committee approved the recommendations for the next steps.

9. Young Persons Engagement Action Plan

9.1 Members were reminded that the Young Persons Engagement Action Plan was approved by the Board earlier this year.

9.2 A member referred to the appendix and noted the terms LE ‘program’ and ‘sible’ and asked that these are corrected.

9.3 A member queried whether the young person’s board is now in place. The Director of Housing Services advised that this will be followed up and reported back. It was also noted that an update on all the actions dated for August LE will be followed up and circulated to members, for information.

9.4 The Committee considered and endorsed the action plan.

10. Customer Access Strategy Action Plan - Milestones

10.1 The Customer Focus Service Manager reminded members that this is a 5 year strategy, which was approved by the Board in 2015.

10.2 A member commented that there are no milestones due for completion in 2016. The Customer Focus Service Manager confirmed that the majority of the actions are due for completion in 2018; however progress has been made on a number so far.

10.3 The Director of Housing Services suggested that updates are provided to the Quality Committee in order to ensure LE/LR that continuous progress is being made; it was further suggested that this be presented in the form of rag rating, for clarity.

10.4 The Quality Committee approved the Customer Access Strategy Action Plan.

11. Q1 Complaints Reporting

11.1 The Customer Focus Service Manager explained that, when compared to last year, complaints have seen a slight increase with 231 received during Q1.

11.2 Of the 231 complaints received, 29% (68) were for Housing Services, 5% (11) were for Corporate Services

Page 7 of 9 and 66% (152) were for Property Services. A member commented that of the complaints for Property Services, 19 were related to Inspectors. It was confirmed that this has been looked into and generally, these are complaints that relate to dissatisfaction with what the Inspector advises. It was agreed that LR looks further into these LR complaints.

11.3 A member referred to page 9 and queried the process for assessing homelessness. The Director of Housing Services explained that when somebody presents themselves as homeless, there’s a general belief that they will automatically be given priority for temporary accommodation, but they’re not always deemed to need the accommodation.

Also on page 9, a member queried the comment around Inspectors being too quick to claim that a tenant’s lifestyle is an issue for damp. The Customer Focus Service Manager explained that there is a protocol to follow in terms of damp, and all properties are inspected for rising damp and when this is not found, general lifestyle information is provided. A member queried whether the Inspectors are split across the borough. It was confirmed LR that this be looked into.

11.4 Members were referred to page 15 where it details that 71 compliments were received during Q1, with 41 in Property Services and 30 in Housing Services.

11.5 A member referred to the Customer Journey and queried whether these are presented to the Senior Management Meetings. The Customer Focus Service Manager confirmed that she attends quarterly meetings of each directorate where these customer journeys are discussed.

12. Q1 Service Standards

12.1 The Director of Housing Services explained that the issue with housing applications remains ongoing and that a new Temporary Team Leader has been placed in Housing Options.

12.2 Members were pleased to note that all targets, with the exception of housing applications, are being met.

12.3 The Quality Committee noted performance against the Service Standards for Q1.

13. Any Other Business

13.1 Fraud Pilot The Chair advised that he had received an update on the

Page 8 of 9 Fraud Pilot, which details that out of the 1,632 properties involved in the pilot, it is confirmed that there is no identified tenancy fraud.

13.2 From the process, it has been found that the pilot has taken up a significant amount of officer time in terms of processing the paperwork and as a result, additional resources are being put in place.

13.2 Gypsy and Travellers The Chair advised that he is attending a site visit to the Gypsy and Travellers sites, alongside the Health and Safety Team. It was advised that the Chair of the Board has asked that the rental shortage of £45k is looked into. The Director of Housing Services agreed to discuss this RH/JJ with the Chair of the Board.

Date and time of next meeting

9 November 2016 at 3:00pm

The meeting ended at 17:15.

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Company Number 05564649 A Company Limited by Guarantee Registered in England

St. Leger Homes of Doncaster Limited

AUDIT COMMITTEE MEETING

19 September 2016

Present Linda Christon (Chair), Robert Mayo, Allan Jones, Maureen Tennison.

In Attendance Julie Crook, Laura Evans, Nicola Frost-Wilson, Julie Lyon, Rachel Scott, Gaile Peacock, Hannah Matheau-Raven.

1. Apologies and Quorum ACTION

1.1 No apologies were received. Quorum was noted and the meeting commenced.

2. Declarations of Interest by Board Members

2.1 There were no declarations of interest.

3. Previous Minutes and Matters Arising – 8 July 2016

3.1 From Agenda Item 4 – Annual Financial Statements Members were advised that the additional information was included within the Annual Financial Statements for presentation to the Board.

3.2 From Agenda Item 5.3 – Monitoring of DMBC Internal Audit Programmes The Director of Corporate Services explained that the internal audit reports are now detailed on the Audit Committee forward plan.

3.3 From Agenda Item 10.2 – Q3-Q4 Procurement Update The Contract and Compliance Service Manager advised members that the cost of the ecological surveys was in relation to works on the eco scheme and also on properties for demolition. The eco scheme saw works delivered on around 1,700 properties, 994 of these had what is classed as a general survey at a cost of £35-£50 per survey.

If bats are found to be present in properties, guidance must be followed and more in depth surveys are undertaken; low surveys cost £400, medium surveys are £800 and high level surveys are £1,200. In total, 250 low level surveys, 320 medium and 20 high surveys were undertaken last

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year. All of the costs detailed were discussed with DMBC Ecology Team prior to any works being carried out. Members were advised that the eco scheme drew down £1.2m of grant funding and due to the strict timescales involved; it meant a full procurement exercise couldn’t be undertaken for the ecological surveys.

A member commented that it was reassuring to see that advice was taken from DMBC prior to any works undertaken.

4. Monitoring of DMBC Internal Audit Programmes – Outstanding Actions and 2016/17 Audit Plan

4.1 The Director of Corporate Services advised that a number of longstanding actions have now been completed and it is proposed that these are signed off by the Audit Committee. It was explained that a number of actions, particularly in Housing Options, have been put on hold in order for the organisation to focus on the Quality Improvement Framework (QIF) inspection, which is a priority for the company as it is linked to gaining funding.

4.2 A member referred to item 8.9 in the report and queried the critical error that was identified as a result of testing on the TSAK/TOTAL system. It was explained that testing is always carried out prior to any new systems going live and in this case, it now means that more work is required before the system can be rolled out. The Chair advised that the issues around ICT were raised at Board, who share the same concerns, and it has been requested that the Committee monitors progress on the ICT Strategy.

4.3 A member referred to the table detailed at 8.10 in the report and suggested it would be beneficial to include reference numbers to link up with the appendices. It was GP agreed that this be implemented.

4.4 A member referred to item 11.2 in the report and queried whether 135 days of work is accurate, considering there are 28 outstanding actions to be completed. It was explained that Internal Audit are not responsible for ensuring that outstanding actions are completed, this is the responsibility of SLHD; therefore, a small number of days are already allocated within the Audit plan for reviews of previous audits.

4.5 Members were referred to Appendix C and were advised that all actions shaded ‘tan’ are recommended for removal.

4.6 ISS.4 Collection Rates A member queried the length of time it has taken for this

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action to be completed. The Director of Corporate Services advised that this action linked to the creation of the Aged Debtors Policy, which was approved by the Board earlier this year. The member queried whether managers are setting the appropriate timescales. It was confirmed that managers are asked to be realistic when setting timescales and once these are set, the actions become part of the performance framework which is monitored by Directors and Heads of Service. The Director of Corporate Services further explained that debtors are monitored on a 6 monthly basis at the Audit Committee. A member queried whether it would be beneficial to breakdown the risk score for each action. It was explained that the risk score is included as a whole to provide an overall opinion.

4.7 ISS.22 – Central Log & Data Sharing Agreements A member queried whether the meeting had been arranged as detailed on action 15. It was confirmed that the data sharing log is now in place and around 20 meetings have been arranged with managers to progress this. All meetings should be complete by the end of October.

4.8 ISS.1 – Benchmarking, Capital Expenditure, Value for Money Members were advised that this action will be ready for GP sign off at the next meeting. The Chair asked that the revised date is altered to reflect the status update.

4.9 The Chair referred to item 7.2 in the report and explained that there are currently 12 audit days allocated to the Martindale project, however it is unlikely that there will be a need to undertake this work. The Internal Audit Manager explained that it has been agreed that some work is undertaken on data matching, which includes looking at fraud; up to 5 audit days will be used for this. The Director of Corporate Services advised that another area which can be picked up could be around expenditure on materials, as this is a budget pressure for the organisation.

4.10 A member queried whether there was any update on the Martindale Project. The Director of Corporate Services advised that an update will be provided at the Board on 28 September.

4.11 The Audit Committee noted the completion of the 2015/16 Internal Audit Programme and agreed the sign off of all completed actions.

5. Reports Commissioned from Internal Audit

5.1 a) Aids and Adaptations

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Members were advised that this audit was undertaken to assess the value for money of the work carried out on DMBC’s housing stock, relating to adaptations for the disabled. It was explained that the majority of adaptations work is demand led.

5.2 In 2015/16, the adaptation works were taken back in-house and are now undertaken by the Public Building Maintenance (PBM) team within DMBC. The audit showed that overall, value for money is achieved and the costs for stairlifts are cheaper now, as a result of the change in supplier. The audit recommends that SLHD has representation on the panel that considers the adaptations and also that targeted adaptations are made to certain property types.

5.3 A member referred to page 5 and queried ‘ESPO framework contract’. It was confirmed that this is the purchasing organisation that the Council is involved in, much like the EN Framework that SLHD uses. ESPO provide the public sector with procurement solutions to cut costs, reduce tendering times and receive the best possible value and they work with the NHS, emergency services and housing associations.

5.4 The Director of Corporate Services reminded members that, although the administration of the capital programme is managed by SLHD, the programme is funded by DMBC through the Housing Revenue Account (HRA).

5.5 Members were referred to the action plan at page 17 and were advised that the following officers will be responsible for their implementation: • Service Level Agreement – Jackie Linacre • Involvement with Adaptations Panel – Andrea Jarratt and a member of Property Services

5.6 A member queried the overall cost of the adaptations programme. It was confirmed that the programme has a budget of £1.8m.

5.7 Members were advised that a ‘best use of stock’ review is being carried out which will be linked to the allocations policy and also to ensuring that the adapted properties are being allocated correctly and that adaptations are completed in the correct properties.

5.8 A member commented that there appears to be no adapted properties within the Sprotbrough area and suggested that this is reviewed, as there are a number of age designated properties in the area. It was advised that the maps only show properties which have been adapted

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in the last 2 years.

6. Financial Regulations and Contract Standing Orders

6.1 Members were advised that the Financial Regulations and Contract Standing Orders form part of the overall Corporate Governance Framework and were last updated in 2012. A review of the documents has been undertaken and the proposed changes to the Financial Regulations are highlighted in yellow, for ease, and the Contract Standing Orders have been re-written completely.

6.2 The Chair highlighted the point at 3.1.3 on page 7 and reminded members of the overall responsibility of the Committee and that it is the responsibility of the Board and Audit Committee to regularly review these documents.

6.3 A member referred to item 3.4.1 and queried what is meant by Scheme of Delegation. The Director of Corporate Services explained that the Scheme of Delegation details which functions DMBC delegates to SLHD to undertake and then the delegations within SLHD.

6.4 A member referred to the Contract Standing Orders and queried the figures detailed at 21, 22 and 23 on page 27. The Contract and Compliance Service Manager explained that the figures are specified by EU law.

6.5 It was explained to members that the Contract Standing Orders have been re-written following the new regulations that were adopted by the EU in 2015. There is a need to ensure that the Contract Standing Orders complement those within DMBC, which have also been revised following the EU regulations.

6.6 Members were advised that Walker Morris Solicitors have reviewed the Contract Standing Orders and they confirm that the documents ensure SLHD is fully compliant.

6.7 The Audit Committee recommend the updated Financial Regulations and Contract Standing Orders for approval by the Board.

7. Review of Fraud Register and Related Activities

7.1 The Director of Corporate Services advised members that the Tenancy Fraud Pilot has identified one potential case of tenancy fraud, which also relates to housing benefit fraud; this case is currently being investigated. A member queried whether, if the case is successful, information will be publicised to show that fraud is taken seriously. It was confirmed that the case would be made public as the

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individual would be named under criminal law.

7.2 It was noted that there are 3 disciplinary cases that relate to potential allegations of fraud; 1 is in relation to insurance fraud which involves 2 employees, 1 is around timekeeping and 1 relates to a call out claim. A hearing date has been set for the case in relation to insurance fraud and the other 2 cases are still being investigated. A member queried whether the employees are currently suspended from duties. It was confirmed that the 2 employees linked to insurance fraud are currently suspended from any driving duties, but they remain in work.

7.3 The Audit Committee noted the Review of the Fraud Register.

8. Any Other Business

8.1 Forward Plan The Chair proposed that it would be beneficial for the JC Committee to receive a briefing paper on what is expected during the review of the ICT Strategy.

8.2 The Audit Committee expressed their thanks to Julie Lyon, Principal Internal Auditor, for all the work undertaken during her time working with SLHD.

The meeting ended at 12:30pm.

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