CITY & COUNTY OF SWANSEA
CABINET
At: Committee Room 1, Civic Centre, Swansea.
On: Thursday, 28 February, 2013
Time: 5.00 pm
AGENDA
1. Apologies for Absence.
2. To Receive Disclosures of Personal and Prejudicial Interests from 1 Members.
3. To Approve the Following Minutes: - a) Cabinet Meeting held on 31 January, 2013. 2 - 9 b) Special Meeting of Cabinet held on 6 February, 2013. 10 - 15
4. Leader's Report(s).
5. Public Question Time.
6. Councillors' Question Time.
7. Report within the Finance & Resources Cabinet Member Portfolio: a) Multi Functional Devices Contract Award Report. 16 - 29
8. Report Within the Learning and Skills Cabinet Member Portfolio: a) Local Authority Governor Appointments. 30 - 31
9. Report(s) within the Place Cabinet Member Portfolio: a) Financial Procedure Rule 7 Capital Allocation to Highway and 32 - 36 Infrastructure Assets. b) Commuted Maintenance Charges for Highway Developments. 37 - 62 c) Framework Agreement for Residential Construction Works. 63 - 68 d) Proposed Changes to the Hackney Carriage Fares. 69 - 73 e) Regional Working / Progress with Simpson Compact Implementation in 74 - 80 Public Protection, Community Safety, Highways and Transportation Services.
10. Report(s) within the Target Areas Cabinet Member Portfolio: a) Target Areas 81 - 126
11. Joint Report within the Place and Regeneration Cabinet Member Portfolio's: a) Pontarddulais Transportation and Development Study - Stage 1 127 - 139 Report.
12. Reports within the Regeneration Cabinet Member Portfolio: a) Swansea Vale Development Strategy Review Report on Public 140 - 150 Consultation Exercise.
13. Report of the Chief Executive: a) Pay Policy 2013/14. 151 - 166
14. Report within the Citizen, Community Engagement & Democracy Cabinet Member Portfolio: a) Corporate Health and Safety Annual Report 2011/12 167 - 206
15. Exclusion of the Public 207 - 210
16. Report(s) within the Finance & Resources Cabinet Member Portfolio: a) Proposed Sale of RTB Landore Playing Fields, Beaufort Road, 211 - 229 Landore, Swansea. b) Proposed Disposal Strategy. 230 - 249 c) Crown Courts - Variation of Lease and FPR7 Report. 250 - 255
Patrick Arran Head of Legal, Democratic Services & Procurement Thursday, 21 February 2013 Contact: Democratic Services - Telephone: (01792) 636820
Agenda Item 2 Disclosures of Personal Interest from Members
To receive Disclosures of Personal Interest from Members in accordance with the provisions of the Code of Conduct adopted by the City and County of Swansea. You must disclose orally to the meeting the existence and nature of that interest.
NOTE: You are requested to identify the Agenda Item / Minute No. / Planning Application No. and Subject Matter to which that interest relates and to enter all declared interests on the sheet provided for that purpose at the meeting.
1. If you have a Personal Interest as set out in Paragraph 10 of the Code, you MAY STAY, SPEAK AND VOTE unless it is also a Prejudicial Interest.
2. If you have a Personal Interest which is also a Prejudicial Interest as set out in Paragraph 12 of the Code, then subject to point 3 below, you MUST WITHDRAW from the meeting (unless you have obtained a dispensation from the Authority’s Standards Committee)
3. Where you have a Prejudicial Interest you may attend the meeting but only for the purpose of making representations, answering questions or giving evidence relating to the business, provided that the public are also allowed to attend the meeting for the same purpose, whether under a statutory right or otherwise. In such a case, you must withdraw from the meeting immediately after the period for making representations, answering questions, or giving evidence relating to the business has ended, and in any event before further consideration of the business begins, whether or not the public are allowed to remain in attendance for such consideration (Paragraph 14 of the Code).
4. Where you have agreement from the Monitoring Officer that the information relating to your Personal Interest is sensitive information, as set out in Paragraph 16 of the Code of Conduct, your obligation to disclose such information is replaced with an obligation to disclose the existence of a personal interest and to confirm that the Monitoring Officer has agreed that the nature of such personal interest is sensitive information.
5. If you are relying on a grant of a dispensation by the Standards Committee, you must, before the matter is under consideration: (i) disclose orally both the interest concerned and the existence of the dispensation; and (ii) before or immediately after the close of the meeting give written notification to the Authority containing -
- details of the prejudicial interest; - details of the business to which the prejudicial interest relates; - details of, and the date on which, the dispensation was granted; and - your signature
Page 1 Agenda Item 3a
CITY AND COUNTY OF SWANSEA
MINUTES OF THE MEETING OF THE CABINET
HELD AT CIVIC CENTRE, SWANSEA ON THURSDAY 31 JANUARY 2013 AT 5.00 P.M.
PRESENT: Councillor D Phillips (Leader) presided
Councillor(s): Councillor(s): Councillor(s):
N S Bradley C R Doyle R C Stewart J E Burtonshaw W Evans M Theaker M C Child J C Richards
152. APOLOGIES FOR ABSENCE
An apology for absence were received from Councillor S E Crouch.
153. DISCLOSURES OF INTEREST
In accordance with the provisions of the Code of Conduct adopted by the City and County of Swansea, the following interest were declared:
Councillor J E Burtonshaw - personal - Minute No. 158, 159 and 162 – Audit of Financial Statements Reports and Youth Justice Plan - sister’s grand daughter works for the section - dispensation granted by Standards Committee. Daughter works for Capgemini – dispensation granted by Standards Committee.
154. MINUTES
RESOLVED that the Minutes of the meeting of Cabinet held on 7 January, 2013 and the meeting of Special Cabinet on 19 December 2012, be approved as correct records.
155. LEADER’S REPORT
None.
156. PUBLIC QUESTION TIME
Questions were asked by Mr N Perrott, Ms L Davies and Mr. R Welsby relating to items 7(a) and 7(B) on the agenda. The Cabinet Member for Finance and Resources responded accordingly.
The Cabinet Member for Finance and Resources stated that he would provide a written response to Mr. N Perrott, in relation to the valuation of James Harris paintings within the possession of the Authority.
Page 2 Minutes of the Meeting of Cabinet – 31/01/2013 (cont’d)
157. COUNCILLOR QUESTION TIME
No questions were asked.
158. AUDIT OF FINANCIAL STATEMENTS REPORT – CITY AND COUNTY OF SWANSEA
Mr H Pullen, Wales Audit Office provided a comprehensive overview of the Audit of Financial Statements Report. He detailed the issues in relation to the closure of accounts and highlighted the significant audit risks which included Equal Pay, Job Evaluation, Banking and cash Management Arrangements between the Council and the Pension Fund. He referred to other matters arising from the audit which included Swansea City Waste Disposal Company Limited (SCWDC Ltd) Municipal Mutual Insurance and Unfunded Teacher’s Benefits.
Cabinet Members’ raised various questions regarding the cash management arrangements between the Council and the Pension Fund.
CABINET DECISION
Cabinet received the report.
159. AUDIT OF FINANCIAL STATEMENTS REPORT – CITY AND COUNTY OF SWANSEA PENSION FUND
Mr H Pullen, Wales Audit Office, referred to the previous report which was submitted in September 2012. He detailed issues in relation to the banking and cash balances arrangements of the Council.
He referred to weaknesses in internal controls and recommendations for the Council to improve controls and procedures in relation to the Pension Fund. He detailed the management response in relation to recommendations.
Cabinet Members’ asked questions in relation to the recommendations.
CABINET DECISION
a) Cabinet received the report;
b) The report be referred to the Audit Committee for examination of the actions taken by the Council.
Page 3 Minutes of the Meeting of Cabinet – 31/01/2013 (cont’d)
160. EDUCATION FRAMEWORK FOR YOUNG PEOPLE EDUCATED OTHER THAN AT SCHOOL
The Cabinet Member for Learning and Skills submitted a report which sought Cabinet authority to set up a framework arrangement for educational provision for those students who are educated out of school and on an Education Other Than School (EOTAS) Pathway in Swansea.
CABINET DECISION
That Cabinet grant permission for the following providers to be appointed onto the framework:
1. Tenderer A; 2. Tenderer B; 3. Tenderer C; 4. Tenderer D; 5. Tenderer E; 6. Tenderer F; 7. Tenderer G; 8. Tenderer H; 9. Tenderer I; 10. Tenderer J; 11. Tenderer K; 12. Tenderer L.
Policy Framework
Contract Procedure Rules.
Reason for Decision
To comply with Contract Procedure Rules.
Consultation
Finance and Legal.
161. REGIONAL INTEGRATED SCHOOL IMPROVEMENT SERVICE – INTER AUTHORITY AGREEMENT RECOMMENDATIONS
The Cabinet Member for Learning and Skills presented a report which sort approval of an Inter Authority Agreement for the RISIS (Regional Integrated School Improvement Service) programme.
Page 4 Minutes of the Meeting of Cabinet – 31/01/2013 (cont’d)
CABINET DECISION
That Cabinet:
(1) Approved the contents of the draft Inter Authority Agreement between Ceredigion, Powys, Carmarthenshire, Pembrokeshire, Swansea and Neath Port Talbot to deliver a ‘Regional Integrated School Improvement Service’ subject to the Assistant Chief Executive – Legal Services being authorised to make any necessary minor amendments
(2) Confirmed the delegation of the Roles contained in Schedule 1 of the Agreement to the Director of Education and his Authorised Representatives Authority Agreement.
Policy Framework
None.
Reason for Decision
To agree the Inter Authority agreement.
Consultation
Chief Executive, Finance.
162. YOUTH JUSTICE PLAN
The Cabinet Member for Opportunities for Children and Young People sought approval of the Youth Justice Plan.
CABINET DECISION
That Cabinet refer the matter to Council for approval of the Plan prior to progression to the Youth Justice Board (YJB).
Policy Framework
Crime and Disorder provision relating to young people 10-18 years of age. United Nations Convention on the Rights of the Child. Children and Young People Partnership.
Reason for Decision
The Youth Justice Plan stands outside the Single Integrated Plan as Crime and Disorder Policy and remains a reserved area of national government. The Plan requires the approval of Council before submission to the Youth Justice Board for England and Wales and
Page 5 Minutes of the Meeting of Cabinet – 31/01/2013 (cont’d)
subsequently placement in the library of the House of Commons.
Consultation
Youth Offending Service Management Board, a statutory partnership of the Local Authority, Police, Probation and Health Services, Legal and Finance.
163. PLANNING APPLICATION FOR AGGREGATE RECYCLING CENTRE
The Cabinet Member for Place presented a report which sought authority to apply for planning permission that would allow the relocation and expansion of the existing aggregate recycling centre.
CABINET DECISION
That Cabinet approve the request to submit a planning application for an aggregate recycling centre at Viking Way, Llansamlet.
Policy Framework
None.
Reason for Decision
To comply with the Council Constitution.
Consultation
Legal and Finance.
164. EMPTY PROPERTY STRATEGY
The Cabinet Member for Place submitted a report which provided an update on the Council’s Empty Property Strategy.
CABINET DECISION
The impact of long-term and problematic empty properties on communities was noted and that the draft strategy be adopted as a basis for consulation.
Policy Framework
None.
Reason for Decision
To determine whether the strategy should go forward for adoption as a
Page 6 Minutes of the Meeting of Cabinet – 31/01/2013 (cont’d)
basis for consultation.
Consultation
Legal and Finance.
165. HOUSING MEASURE 2011 – SUSPENSION OF THE RIGHT TO BUY
The Cabinet Member for Place submitted a report which outlined proposals to apply to the Welsh Ministers to suspend the Right to Buy and the Right to Acquire across the Authority following the introduction of the Welsh Government’s Housing Measure in 2011.
CABINET DECISION
That Cabinet:
(1) Consult stakeholders regarding proposals to suspend the Right to Buy and the Right to Acquire across the whole of the Authority for all types of housing stock. (2) Following the consultation exercise and discussion with Welsh Government officials, a suspension application will be submitted to the Welsh Government for decision, if appropriate.
Policy Framework
Local Housing Strategy 2007 – 2012.
Reason for Decision
To determine whether a suspension proposal should be submitted to the Welsh Government following a consultation exercise with stakeholders.
Consultation
Legal and Finance
166. EXCLUSION OF THE PUBLIC
The Cabinet was requested to exclude the public from the meeting during consideration of the items of business identified in the recommendation(s) to the report on the grounds that they involve the likely disclosure of exempt information as set out in the exclusion paragraph of Schedule 12A of the Local Government Act 1972, as amended by the Local Government (Access to Information) (Variation) (Wales) Order 2007, relevant to the items of business as set out in the exclusion paragraphs of Schedule 12A of the Local Government (Access to Information) (Variation) (Wales) Order 2007, relevant to the
Page 7 Minutes of the Meeting of Cabinet – 31/01/2013 (cont’d)
items of business as set out in the report.
Cabinet considered the Public Interest Test in deciding whether to exclude the public from the meeting for the items of business where the Public Interest Test is relevant as set out in the report.
It was RESOLVED that the public be excluded for the following items of business.
167. CONTRACT 1 BOULEVARD WORKS
The Cabinet Members for Place and Regeneration Jointly submitted a joint report which sought approval of the award of the Contract to the next highest ranked tenderer, following withdrawal of Tender 1.
CABINET DECISION
That the recommendations as outlined in the report be approved.
Policy Framework
City Centre Strategic Framework.
Reason for Decision
To comply with Contract Procedure Rule 13 for the awarding of contracts.
Consultation
Legal and Finance.
168. TRADE UNION COUNTER OFFER RESPONSE
The Cabinet Member for Citizen, Community Engagement and Democracy, sought agreement to a counter proposal to the Trade Unions.
CABINET DECISION
That the recommendations as outlined in the report be approved.
Policy Framework
None.
Reason for Decision
To provide officers with authority to proceed towards implementation based on the best and final offer and the concessions contained
Page 8 Minutes of the Meeting of Cabinet – 31/01/2013 (cont’d)
therein.
Consultation
Legal, Human Resources and Finance.
The meeting ended at 5.55 p.m.
CHAIR
Published: 1 February 2013
Page 9 Agenda Item 3b
CITY AND COUNTY OF SWANSEA
MINUTES OF THE SPECIAL MEETING OF THE CABINET
HELD AT CIVIC CENTRE, SWANSEA ON WEDNESDAY 6 FEBRUARY 2013 AT 5.00 P.M.
PRESENT: Councillor D Phillips (Leader) presided
Councillor(s): Councillor(s): Councillor(s):
N S Bradley S E Crouch J C Richards J E Burtonshaw C R Doyle R C Stewart M C Child W Evans M Theaker
169. APOLOGIES FOR ABSENCE
No apologies for absence were received.
170. DECLARATIONS OF INTEREST
In accordance with the provisions of the Code of Conduct adopted by the City and County of Swansea, the following interest was declared:
Councillor J E Burtonshaw – personal – Minutes 174, 175,176, 177 and 178 – Budget Reports – sister’s granddaughter works for the authority – dispensation granted by Standards Committee.
171. LEADER’S REPORT
None.
172. PUBLIC QUESTION TIME
Questions were asked by Mr Jeffreys and Mrs Jamal relating to items on the agenda. The Cabinet Member for Finance and Resources responded accordingly and stated that a written response would be given in relation to the actual increase of money for schools and where this appears on the budget.
173. COUNCILLOR QUESTION TIME
None were asked.
174. FINANCIAL MONITORING THIRD QUARTER 2012/13
The Report of the Section 151 Officer was submitted regarding the financial monitoring for the third quarter of 2012/13.
Page 10
CABINET DECISION
That the comments and variations in the report be noted.
Policy Framework
Budget 2012/13.
Reason for Decision
To note any significant variation from the agreed budget 2012/13 and actions planned to achieve a balanced budget.
Consultation
Corporate Management Team, Cabinet Members, Legal and Finance.
175. REVENUE BUDGET 2013/14
The report of the Section 151 Officer was submitted which proposed a Revenue Budget and Council Tax levy for 2013/14 and detailed:
• Financial Monitoring 2012/13; • The Local Government Finance Settlement 2013/14; • Budget Proposals 2013/14; • Risks and Uncertainties; • Reserves and Contingency Fund Requirements; • Budget Requirements and Council Tax 2013/14.
CABINET DECISION
That the following Budget proposals be recommended to Council for approval:
(1) Revenue Budget for 2013/14;
(2) Budget Requirement and Council Tax Levy for 2013/14.
Policy Framework
None.
Reason for Decision
To agree a Revenue Budget and Council Tax levy for 2013/14.
Consultation
Cabinet Members and Corporate Management Team.
Page 11 Minutes of the Special Meeting of Cabinet (06.02.2013) Cont’d
176. CAPITAL BUDGET AND PROGRAMME 2013/14 - 2016/17
The report of the Section 151 Officer was submitted which proposed a revised Capital Budget for 2012/13 and a Capital Budget for 2013/14 - 2016-2017.
CABINET DECISION
That the revised budget for 2012/13 and a budget 2013/14 - 2016/17 as detailed in appendices A, B and E of the report be recommended to Council for approval.
Policy Framework
None.
Reason for Decision
To agree a revised budget for 2012/13 and a budget for 2013/14 - 2016/17.
Consultation
Cabinet Members and Corporate Management Team.
177. MEDIUM TERM FINANCIAL PLAN 2014/15 - 2016/17
The report of the Section 151 Officer was submitted which detailed:
• An overview of Financial Planning; • A Service and Financial Overview; • A spending and Resources forecast; • Risks and Uncertainties; • The strategy to resolve forecast shortfalls.
CABINET DECISION
That the Medium Term Financial Plan 2014/15 - 2016/17 be noted and recommended to Council as a basis for future service and financial planning.
Policy Framework
None.
Page 12 Minutes of the Special Meeting of Cabinet (06.02.2013) Cont’d
Reason for Decision
To agree a financial framework for future service planning.
Consultation
Cabinet Members and Corporate Management Team.
178. TREASURY MANAGEMENT STRATEGY PRUDENTIAL INDICATORS INVESTMENT STRATEGY AND MINIMUM REVENUE PROVISION POLICY STATEMENT 2013/14
The report of the Section 151 Officer was submitted which recommended the Treasury Management Strategy Statement, Prudential Indicators Investment Strategy and Minimum Revenue Provision Policy Statement for 2013/14.
CABINET DECISION
That the following budget proposals be recommended to Council for approval:
(1) Treasury Management Strategy and Prudential Indicators as detailed in Sections 2 - 7 of the report;
(2) Investment Strategy as detailed in Section 8 of the report;
(3) Minimum Revenue Provision Statement as detailed in Section 9 of the report.
Policy Framework
None.
Reason for Decision
To allow for the proper management of the Council’s borrowing and investments to comply with statute, and the adopted CIPFA Prudential Code for Capital Finance in Local Authorities and the Revised CIPFA Treasury Management Code of Practice.
Consultation
Legal and Finance.
Page 13 Minutes of the Special Meeting of Cabinet (06.02.2013) Cont’d
179. HOUSING REVENUE ACCOUNT (HRA) BUDGET 2013/14
The report of the Section 151 Officer and the Corporate Director (Regeneration and Housing) was submitted which proposed a Revenue Budget for 2013/14 and a rent increase for properties within the HRA.
CABINET DECISION
The following budget proposals be endorsed and recommended to Council for approval:
(1) Rents be increased in line with the Welsh Government guidelines as detailed in Section 4 of the report;
(2) Fees, Charges and Allowances be approved as outlined in Section 4 of the report;
(3) The revenue budget proposals as detailed in Section 4 of the report.
Policy Framework
None.
Reason for Decision
To agree a revenue budget as indicated and a rent increase for 2013/14.
Consultation
Cabinet Members, Finance and Legal.
180. HOUSING REVENUE ACCOUNT - CAPITAL BUDGET AND PROGRAMME 2013/14 - 2015/16
The report of the Section 151 Officer and the Corporate Director (Regeneration and Housing) was submitted which proposed a capital budget for 2013/14 - 2015/16.
CABINET DECISION
The following budget proposals be endorsed and recommended to Council for approval:
Page 14 Minutes of the Special Meeting of Cabinet (06.02.2013) Cont’d
(1) The transfers between schemes and the revised budgets for schemes in 2012/13;
(2) The budget proposals for 2013/14 - 2015/16;
(3) That where individual schemes in Appendix C of the report were programmed over 2 or 3 years then these are committed and approved together with their financial implications for funding.
Policy Framework
None.
Reason for Decision
To agree a revised budget for 2012/13 and a budget for 2013/14 - 2015/16
Consultation
Cabinet Members and Corporate Management Team.
The meeting ended at 5.55 p.m.
CHAIRMAN
Published: 7 February 2013
S: Cabinet - 6 February 2013 (JT/GDL) 6 February 2013
Page 15 Agenda Item 7a
Report of the Cabinet Member for Finance & Resources
Cabinet – 28 February 2013
MULTI FUNCTIONAL DEVICES CONTRACT AWARD REPORT
Purpose: To replace the current Multi-functional Device (MFD) contract which terminates 31 March 2012 and include print management software. The new contract will enable the Council to prioritise the use of the most efficient print processes and minimise the use of smaller, more costly devices.
Policy Framework: Revenue Budget
Reason for Decision: To ensure an efficient, cost effective, photocopy and print service which complies with data protection legislation.
Consultation: Legal, Finance, Procurement and ICT
Recommendation(s): It is recommended that:
1) The recommended bidder in this process is Supplier 1 It is therefore recommended that DesignPrint notify Supplier 1 of their successful bid and a contract is awarded by the Council as it is considered to provide best value to the authority. This is subject to a 10 day EU stand-still period.
Report Author: Anthony Evans
Finance Officer: Julie Davies
Legal Officer: Debbie Smith
1. Introduction 1.1. Chief Executive Department on behalf of the DesignPrint Service wishes to enter into a contract to undertake the rental of multi-functional photocopy and print equipment across the authority. The fleet will be managed by DesignPrint from Unit 4/5 Bell Court, Felinfach, Fforestfach, Swansea SA5 4HP under the budget reference 01 561 56034.
1.2. It is proposed that the goods and services will be carried out under the terms and conditions of GPS RM1599 Framework Lot 2. Framework start: 06/03/2012 Framework end: 28/02/2014
Page 16 1.3. The names of the tenderers have been removed to give anonymity to the process.
1.4. This contract is to replace the office photocopying monochrome and colour equipment following expiry of the current contract with Ricoh UK Ltd on 31 March 2013.
1.5. The volume of copy and print usage has been calculated on current usage.
1.6. The four suppliers on the GPS RM1599 Framework Lot 2 were notified of the mini competition and ITT documents were released through the Bravo system.
1.7. Rental over a three-year contract is to be provided through the supplier direct with an option for a one year extension.
1.8. The requirement is to replace the current devices as scheduled in the invitation to tender documentation.
1.9. The Council will enter into the contract for the rental of multi-functional devices (MFD). The ongoing costs of support, toner, staples and maintenance to be provided under a service contract which will be held with the supplier as part of the click charge.
1.10. The tender and contract comprise: • Departmental and library MFDs • Schools and education MFDs
1.11. The departmental MFD fleet comprises a range of six classes of MFDs including two colour enabled models and prices are set.
1.12. The school and education MFD contract allows schools to choose from a range of MFD finishing options which will give flexible options within a structured pricelist.
2. Tender Process and Analysis 2.1. The mini competition process was managed by the DesignPrint Manager with support from Procurement, Finance, Legal and ICT departments where required.
2.2. The timetable for the mini competition is below.
Page 17 Date Outline Actions Thurs 8 November 2012 CCS Mini Competition documents released Fri 30 November 2012 close of tenders (noon) Tues 12 December 2012 Evaluation panel meet Thurs 13 December Evaluation panel contract award report 2012 Fri 11 January 2013 Evaluation panel contract award report finalised Wed 16 January 2012 Appropriate CCS authorised signatures Tues 6 February 2013 Corporate briefing Thurs 28 February 2013 Cabinet Fri 1 March 2013 start of 3 day Cabinet call-in period Wed 6 March 2013 End of Cabinet call-in period, DesignPrint to inform successful tenderer. Start of EU 10 day standstill period Sat 16 March 2013 expiry of 10 standstill Mon 18 March 2013 Issue formal award letters, arrange pre- contract meeting with successful supplier, instruct Legal services on contract. Contract signing and mobilisation.
2.3. The tender submission was reduced to 22 days – CPR10 has been adhered to.
2.4. Tenders were opened by Legal Services with the Chair of the Council present in accordance to CPR.
2.5. Tenders were received from two suppliers, Supplier 1 and Supplier 2 with two suppliers declining to take part. See attached Appendix 1 – TCO regarding costs.
2.6. All submissions were evaluated using a business model which was to be for the lease cost of hardware, and the operating costs as a click 1 charge which includes the cost of maintenance and consumables.
2.7. In order to assess the suitability of the proposed solutions, the proposals were scrutinised by the professional staff from DesignPrint. This group comprised Anthony Evans (Manager – DesignPrint), Steve McElroy (Design and Production Manager) and questions relating to ICT were evaluated by Dave Westron (ICT Consultant). Appendix 2 contains a summary of rational.
2.8. All manufacturers’ electronic responses were checked by DesignPrint, ICT, Legal and Finance.
1 Click Charge – The cost which is levied by a supplier for the production of an image on a single side of a sheet. This charge includes cost of consumables such as toner and staples, and all servicing charges. Click charge does not include the cost of paper.
Page 18 2.9. This was followed by a quality comparison and a cost comparison exercise (see table in 2.18).
2.10. Both suppliers provided adequate solutions for the fulfilment of the tender though it quickly became apparent that there were some discrepancies from the specifications where suppliers’ costings were structured in different ways. The non-compliance was analysed and clarification was sought. These were included in the cost evaluation.
2.11. To ensure probity and transparency, where required, a number of clarifications were requested from the suppliers. Clarification was sought to ensure that all figures and specifications were correct for each supplier and that a direct comparison could be made for cost purposes.
2.12. Clarifications were dealt with under CPR12.
2.13. Arithmetical checks were carried out on all tenders, errors were found in the both the Supplier 1 and Supplier 2 tenders and these were corrected following clarification from the vendors.
2.14. After arithmetical checks, prices were checked and confirmation of price was received.
2.15. The suppliers were ranked out of 60% on their performance within the range on the basis of leasing cost and operating cost giving a Total Cost of Ownership (TCO). 30% for department and library MFDs and 30% for schools and education MFDs. They were also allocated absolute scores and relative quartiles out of 40% based on their performance in a number of quality criteria based on their method statements.
2.16. Each individual area was rated within a review sheet and all bidders were fully assessed on all technical aspects and their overall performance. The recommended bid covered all aspects of the specification to an acceptable degree.
2.17. The Recommended Solution was achieved by consideration of the increased demand on the section to provide a reactive and sufficient mono and colour facility to suit office requirements, and DesignPrint requirements to monitor volumes printed, redirect print to the most appropriate device and recharge for prints and copies used.
2.18. Finally the overall performance was also taken into account and objectively assessed based on the evaluation working group’s views of the ease of management of each of the solutions. The total score was based out of a possible 100 points based on the Council’s requirement criteria specified in the tender. Supplier 1 attained a level of 95.9517% out of a possible 100 points as can be seen from the table below.
Page 19 Supplier 1 Supplier 2
Score Score Score Score against including against including
Award Criteria Weighting matrix weighting matrix weighting Quality: [40%], broken down as— Rationalisation of the MFD and printer fleet 9% 9.6667 8.7000% 9.6667 8.7000% Continuity of service to users during changeover 9% 9.3333 8.4000% 9.6667 8.7000% Security features 9% 9.6667 8.7000% 9.6667 8.7000% Account of the introduction of mobile devices 5% 9.6667 4.8333% 8.3333 4.1667% management reports and performance monitoring 5% 8.6667 4.3333% 9.6667 4.8333% New technology 3% 5.3333 1.6000% 7.6667 2.3000% Total 40% 36.5667% 37.4000% Price: [60%], broken down as— Financial Breakdown of the School Service 30% 30.0000% 27.3387% Financial Breakdown of the Departmental Service 30% 29.3850% 30.0000% Total 60% 59.3850% 57.3387% Overall Total 100% 95.9517% 94.7387% *Price percentage x (lowest price / bid price)
2.19. Software to allow printing from android devices, iPads and iPhones etc was discounted from the assessment relating to use within departments and libraries. ICT have confirmed that they have a future proposal to supply access for these devices. However school requirements for this software have been evaluated in the assessment as this can be used within their local area network (LAN).
3. Financial Implications
3.1. The current spend is based on rental arranged over four years. Both click charges and leasing costs have reduced dramatically over this period.
3.2. The current budget defined by DesignPrint which includes the lease and individual click volumes is £464,000 per annum or £1,856,000 over four years, less income of £368,000 per annum = £96,000 net cost per annum or £384,000 over four years.
3.3. The operating expense is based on the output pages, this includes a cost per page, which incorporates toner, consumables, service and replacement of any hardware within the life of the device. The Operational cost excludes paper.
Page 20 3.4. The most economically advantageous tender was from Supplier 1 and is summarised as follows:
Per Annum Per Annum 4 Years Year 1 Year 2 onward Departments and £158,510 156,055 £626,675 Libraries Schools and Education £218,939 £218,939 £875,755 TOTAL £377,449 £374,994 £1,502,430
3.5. Implementation of the new contract will be 1 April 2013 with installations of MFDs from April to June 2013. Where MFDs are changed after their individual lease end date, Ricoh UK Ltd have agreed to implement additional quarter rental periods to allow for changeover. MFDs will be removed to coincide with the end date of individual MFD lease periods to avoid duplication of lease charges from the old and new contracts. Figures in Appendix 1 - Budget Details have accounted for the worst case scenario of any unavoidable duplication of charges during the first quarter of 2013-14. These costs will be kept to a minimum with careful management of the changeover.
3.6. For departments and libraries, from at least 2014-15, the capital cost of the MFD and the click charge are reduced over previous budgets. After including additional costs for print control and management software there is a reduced cost of £1,000 per year. This software will allow the Council to identify areas for savings in the future through control over print volumes and for the first time allow identification of the number of prints produced for each individual, section and department. Similarly for schools and education, from at least 2014-15, there is a £85,000 saving per year based on a like for like swap of MFDs. This includes additional print management and remote printing software for the secondary schools currently taking part in the central contract. However, the secondary schools may require additional features such as punching and booklet making. Savings can be used to procure these features and therefore the overall saving to secondary schools in particular with larger fleets of MFDs will be reduced initially. However, there will be ongoing savings as they manage print in a more cost effective manner making future savings.
3.7. Whilst there are reduced costs to DesignPrint for the new contract there will also be a comparable reduction in income derived from charges to departments, libraries, schools and education, so there will be no overall saving to DesignPrint. Schools will find that their costs (recharges from DesignPrint) are reduced as identified above.
3.8. This process is consistent with the Council’s Financial Procedure Rules, rental has been considered in conjunction with the Council Finance Rules.
Page 21
3.9. In summary, there is sufficient budget provision of £464,000 to accommodate this contract and an income budget of £368,000 per annum. Whilst there will be a saving of £85,000 in charges to schools and education the impact on the non schools General Fund will be negligible. See table in Appendix 1 – Budget Details. £0 in 2013-14 and £3,000 per annum from 2014-15.
4. Procurement and Legal Implications 4.1. The award procedure to be adopted was described in the Invitation To Tender. The Responsible Officer is satisfied that the Tender process has been undertaken in accordance with prevailing Contract Procedure Rules and European Procurement Regulations the award is recommended for approval on that basis.
4.2. The procurement manager for the City and County of Swansea confirms that the European Procurement Regulations have been applied to the tender process.
4.3. The relevant contract for GPS RM1599 Framework Lot 2, under which the goods and services will be carried out, is to be prepared by the Head of Legal, Democratic Services and Procurement. The contractual liabilities/obligations will be covered by the contract documentation.
Background Papers: None.
Appendices: Appendix 1 – TCO and Budget Details; Appendix 2 – Method Statement.
Page 22 Appendix 1 - Total Cost of Ownership (TCO)
Over 4 Years Supplier 1 Supplier 2 Department and Library MFDs £626,675 £613,829 School and Education MFDs £875,755 £961,004 £1,502,430 £1,574,833
Over 1 Year Supplier 1 Supplier 2 Department and Library MFDs £156,669 £153,457 School and Education MFDs £218,939 £240,251 £375,608 £393,708
Appendix 1 - Budget Details
13/14 14/15 15/16 Optional 16/17 £'000 £'000 £'000 £'000 Current Costs Departments & Libraries 160 160 160 160 Schools & Education 304 304 304 304 Current Income Departments & Libraries -64 -64 -64 -64 Schools & Education -304 -304 -304 -304 REVENUE BUDGET 96 96 96 96
Identified Costs Departments & Libraries 159 156 156 156 Schools & Education 219 219 219 219 Schools & Education potential 1st 76 0 0 0 quarter costs from current supplier Identified Income Departments & Libraries -63 -63 -63 -63 Schools & Education -219 -219 -219 -219 Schools & Education potential 1st quarter additional income for -76 0 0 0 recharges Total Costs 96 93 93 93
Total Savings 0 3 3 3
Page 23 Appendix 2
METHOD STATEMENT
Tenderers were asked to provide written Method Statements for the following. The tender submissions were evaluated and scored using the specified tender criteria issued in the ITT documents.
5.1 The figures supplied for MFD numbers and volume usage are indicative 9% and for the purpose of a like for like comparison within the tender. The City and County of Swansea will work with the successful supplier to realise significant savings by the rationalisation of the MFD and printer fleet, and through the control of high volume printing by redirection to the most appropriate device. Your method statement should demonstrate how this will be achieved. (See point 1.3 and 1.4). 5.2 Please include an explanation in your method statement of how you will 9% ensure initial installation provides continuity of service to users during the changeover from the existing contract with Ricoh UK Ltd, to the new contract, with reference also to the training provision and assessing user needs. Particularly around your experience of the differing requirements around departmental and library MFDs and schools and education MFDs. What are your proposals for ensuring close links and information sharing protocols are developed between yourselves and The City and County of Swansea Design Print Section? Confirm that you are able to meet the requirements of the procurement time table with regards to installation of all elements of the proposed solution. 5.3 You are required to outline security features which will protect copying, 9% printing, scanning and faxing of council documentation as well as private users in public access sites. This should include features such as pin access, card access etc. Does a Universal Print Driver exist for the range of MFD devices being proposed? Where scanning is required in a library premises, and shared PCs are available, the supplier should give consideration to the security of the scanned document with access for only that user. In addition any scans must be deleted after a specific period, if not automatically deleted upon log out. The supplier should give full details of this as part of the method statement.
Page 24 5.4 How will the print management software solution take account of the 5% introduction of mobile devices such as Tablet devices including Apple iPad; Windows 8 and Android Devices with access available to print from these devices. Options such as printing from remote devices without the need for print drivers to be installed, with features such as access to web printing etc should be considered, with full integration into the accounting and recharging module. 5.5 A full range of management reports are required. Suppliers should 5% outline what reports are available and to what level of detail. In addition bespoke reports are required to allow automated input of recharges into the council Oracle based financial systems. Describe what processes you will employ to monitor your performance of the contract. Detail how you will calculate uptime/downtime. Detail any arrangements which might need to be made to keep replacement parts/consumables on site at CCS in order to minimise down time. 5.6 Should there be new developments or new technology / systems 3% throughout the term of this agreement explain how you would make us aware and introduce these to the authority.
Scoring Rational Supplier
Statement 5.1 Supplier 1 Evaluator 1 Evaluator 2 Evaluator 3 A full yet concise The method statement Similar core software (Pcounter) answer. Includes adequately indicates as other supplier. Response from reference to print their solution suitability this supplier was more generic strategy, software and for CCS requirements. than other supplier – but both hardware solutions and suppliers met the question project management for Project Manager for installation. implementation Overall demonstrates a Pcounter as the software solution clear understanding of works in a virtual environment CCS requirements Full scoping exercise to be undertaken 10 10 9
Supplier 2 Evaluator 1 Evaluator 2 Evaluator 3 A longer answer which The method statement Supplier offer visual floor plan also includes all adequately indicates approach to device management. required references and their solution suitability Key elements - Detailed solutions. More details, for CCS requirements. response with a plan of action. but not actually more Will need involvement from substance. Capgemini/CCOS ICT on providing the access to the
Page 25 Council’s print estate. Print Policy developed with supplier Supplier Managed Print Services (MPS) Asset Discovery Software Proactive Consumable Management PCounter – Print Management Software • can integrated with Active Directory • ID Card • Can use Biometric Security Asset DB 10 10 9
Statement 5.2 Evaluator 1 Evaluator 2 Evaluator 3 Very good Demonstrates continuity Less detail included in the understanding of of service and CCS submission requirements. requirements of Full Transition Project Plan Understood the handover from current Evening deliveries important links between supplier CCS and cross working Take ownership of deployment with the current supplier activities Open Day for Users Big Bang Project Plan with most sites by end of March 2013? 10 10 8
Supplier 2 Evaluator 1 Evaluator 2 Evaluator 3 Gives a very clear Demonstrates continuity More detailed provided by process for handover. of service and CCS supplier on the interactions/ Overall demonstrates a requirements of resources required upfront clear understanding of handover from current Xerox Project Manager <> CCOS CCS requirements supplier Project Manager Detailed Implementation Plan Local IT Environment Assessment 3-5 Month Implementation RESOURCE IMPLICATIONS On Page 47: Server Team, Network, SQL Server, Desktop, Device Delivery and Removal
Page 26 Process – they will dispose of the old printers. Schools Section 10 10 9
Statement 5.3 Evaluator 1 Evaluator 2 Evaluator 3 Clear understanding of Security features are Comprehensive Answer council security adequate for CCS Security Outlined requirements. Offers needs Scanning Security everything required from a user and administrator Universal Print Driver perspective. Do we want to encrypt the HD in Additional ability to wipe MFD? – sounds like a kit = HDD on a regular basis. increased cost? 10 10 9
Supplier 2 Evaluator 1 Evaluator 2 Evaluator 3 Clear understanding of Security features are Comprehensive Answers to council security adequate for CCS Security Issues requirements. Offers needs Supplier Device Agent – will everything required from require ability to report back to a user and administrator Supplier perspective. Global print Driver available Covers all platforms Mobile Print Driver – FOC 10 10 9
Statement 5.4 Evaluator 1 Evaluator 2 Evaluator 3 Everyone Print option The Everyone Print Free to use option for proposed in addition to software is adequate for Mobile/tablet printing and uses mobile app. Giving CCS requirements. In Everyone print – there are no greater flexibility and a addition KM offer Page current plans to use Android free option for the Scope Mobile, which phones/tablets so the IOS is mobile or tablet side. appears to be a good more important and both offer Not going to be used in solution for use in some this departments but will be departments such as PageScope Mobile – take up by larger schools Android/IOS – free to use – schools. Gives schools smartphone/tablet usage. the option of the free Everyone Print – chargeable app which seems easy option? to use. 10 10 9
Page 27 Supplier 2 Evaluator 1 Evaluator 2 Evaluator 3 Everyone Print option The Everyone Print Both Suppliers put forward the proposed only. A clumsy software is adequate for “Everyone Print” option – the solution which seems CCS requirements solution from this supplier isn’t complex to use. Doesn’t quite as flexible on the cover all devices. Not mobile/tablet devices option as going to be used in the other supplier but Android departments but will be devices are not currently a part of take up by larger our strategy schools. Everyone Print WebPrint/Email Print/driver print/printing from IOS devices Not Android 8 8 9
Statement 5.5 Evaluator 1 Evaluator 2 Evaluator 3 Does not show P counter is proposed Similar solutions/options by both integration with Oracle solution. Does not suppliers but has the ability to indicate if system can Pcounter Used supply a range of be integrated with Pcounter Workstation Manager – reports to suit various Oracle. allows monitoring of local printers CCS requirements. – is this included in the costs for Including layout to suit both suppliers? automatic transfer. Clear understanding of Additional Chargeable reporting CCS requirements options? around monitoring. Pcounter Web Reports PC Workstation Manager 9 8 9
Supplier 2 Evaluator 1 Evaluator 2 Evaluator 3 Shows integration with P counter is proposed Similar solutions/options by both Oracle and ability to solution for Xerox. suppliers supply a range of System can be PCOUNTER USED reports to suit various integrated with Oracle. Integration with ISIS? CCS requirements. Clear understanding of KPI’s outlined CCS requirements around monitoring. 10 10 9
Page 28 Statement 5.6 Evaluator 1 Evaluator 2 Evaluator 3 Does not clearly define Does not clearly Generic Response didn’t really process or path to demonstrate upgrade answer the question technology upgrades. path. Generic answer Use of ITIL principles Generic Response 4 6 6
Supplier 2 Evaluator 1 Evaluator 2 Evaluator 3 Explains mechanism for Highlights method by Question Answered upgrade path, though no which new technologies 3 Major Releases per annum – great detail. and upgrades are made will inform CG Desktop of new available. updates etc 6 8 9
Page 29 Agenda Item 8a
Report of the Cabinet Member for Learning and Skills
Cabinet – 28 February 2013
LOCAL AUTHORITY GOVERNOR APPOINTMENTS
Purpose of Report: To approve the nominations submitted to fill L. A. Governor vacancies in School Governing Bodies.
Policy Framework: Policy and Procedure for Appointment of L. A. Governors as amended by Council on 23rd October 2008.
Reason for Decision: To ensure vacancies are to be filled expeditiously.
Consultation: Education, Legal, Finance.
Recommendation: That the nominations be approved, as recommended by the LA Governor Appointment Panel.
Report Author: Kate Phillips
Finance Officer: Ben Smith
Legal Officer: Stephanie Williams
1. 0 The nominations referred for approval
1.1 At the meeting of the L.A. Governor Appointment Panel held on 24th January 2013, nominations were recommended for approval as follows:
1. (a) BRYNHYFRYD Mr Peter Meehan – JUNIOR re-appointment
1. (b) CLYDACH Cllr Paulette Smith PRIMARY
Page 30 1. (c) LLANRHIDIAN Ms Rosemary Amesbury – PRIMARY re-appointment
1. (d) ST ILLTYD’S R.C. Mr Albert Anthony Foligno PRIMARY
1. (e) WAUN WEN Mrs Susan Anita Gay PRIMARY
1. (f) Y.G.G. LLWYNDERW Mrs Sian Jones
1. (g) YSGOL PEN-Y-BRYN Mr Edward Alan Pitt
2.0 Financial Implications
2.1 There are no financial implications for the appointments; all costs will be met from existing budgets.
3.0 Legal Implications
3.1 There are no legal implications associated with this report.
Background papers: None Appendices: None
Page 31 Agenda Item 9a
Report of the Cabinet Member for Place
Cabinet - 28 February 2013
FINANCIAL PROCEDURE RULE 7 CAPITAL ALLOCATION TO HIGHWAY AND INFRASTRUCTURE ASSETS
Purpose: To confirm the Capital work programmes for Highway Infrastructure Assets.
Policy Framework: The Revenue and Capital budget as reported to and approved by Cabinet and Council in February 2013.
Reason for Decision: To comply with Financial Procedure Rule No. 7 (Capital Programming and Appraisals) – to commit and authorise schemes to improve infrastructure assets.
Consultation: Finance & Legal.
Recommendation(s): It is recommended that :
1. The proposed allocations, together with the Financial Implications set out in Appendix A, are approved and included in the Capital Programme subject to 2012/13 overspends being a first call on their respective budget allocations.
Report Author: Carl Humphrey
Finance Officer: Steve Matthews
Legal Officer: Rod Jones
1.0 Introduction
1.1 At its meeting of 14th February 2013, Council approved the Revenue and Capital Budget. This included an allocation of £4.28M towards the Authority’s Highway and infrastructure assets
1.2 Summary of available funding
• Capital allocation for Infrastructure Assets 2013/14 2,050k • Capitalised Revenue 2013/14 1,230k • Capital Allocation from Insurance Reserve 1,000k
TOTAL £4,280k
Page 32 2.0 Objectives and Proposals
2.1 The City and County of Swansea’s Highway and Infrastructure is in a less than satisfactory condition. In order to improve condition indicators a capital programme has been put in place to target the worst areas. The Highway Asset Management Plan 2010-2015 included allocation of funding across the various asset groups to ensure future spending is targeted to minimise financial and service risk. A second 5 year maintenance programme based on these allocations has now been finalised and commenced in April 2010.
2.2 Key Proposals
2.2.1 The programme to upgrade bridges has been prepared to reflect requirements on strategic routes and those where strengthening is required. This will include a contribution of £90,000 in respect of the replacement of Beaufort Bridge as part of the Environment Agency’s Lower Swansea Valley Flood Risk Management scheme. This bridge forms part of the national cycle route.
2.2.2 The condition of Highway retaining walls continues to give cause for concern. A number of recent collapses have required intervention and have or are to be funded from the urgent infrastructure budget. However, there is a need to take proactive works to prevent others from failing.
2.2.3 The River Tawe barrage infrastructure requires sustained investment to ensure operations associated with Marina and other waterside activities are maintained.
2.2.4 The street lighting service is still a cause for concern. A testing regime was put in place to identify columns at risk; this resulted in a significant number of units being temporarily removed. The majority of these will be replaced this year as a result of investing some of the Welsh Government Prudential Borrowing monies towards this. However there will be a continuing need to invest in new columns as older units fail. The lantern replacement programme under the Welsh Government Prudential Borrowing initiative will however result in a significantly improved energy efficient stock on completion in 2015
2.2.5 There is a significant backlog of works to refurbish footways. This remains a concern as the issue is reflected in the level of third party claims for trips and falls.
2.2.6 The programme to install dropped crossings to meet the requirements of the Equality Act will continue for the foreseeable future.
Page 33 2.2.7 The baling plant is currently leased by the Authority to the Swansea City Waste Disposal Company. It is pivotal to delivery our waste disposal and recycling service. Failure of some elements of the sub structure require attention over the next few years. A plan has been developed to address these failures which commenced in 2012/13
2.2.8 Longstanding works to reduce flooding on the highway will be implemented across the Authority. This will include specific works on several culverted watercourses.
2.2.9 The backlog of repairs required on Swansea’s roads continues to be a significant issue. Lobbying by the County Surveyors’ Society and the Welsh Local Government Association to Welsh Assembly Government has had some success; however budget pressures and their Prudential Borrowing initiative means that there is unlikely to be further local road grants being awarded this year.
2.2.10 There are a number of issues relating to private streets that need to be addressed. These issues relate to land ownership and other responsibilities where the Authority is liable to improve or make up to a recognised standard.
2.2.11 The condition of cemetery roads is generally poor and there is need for a continued resurfacing programme to ensure they are safe and accessible
2.2.12 The condition of the cycleway network is generally good but there are sections that are nearing or past the end of their life.
2.2.13 There is a need to replace a significant percentage of highway safety barrier, a programme will commence this year
2.2.14 The highways recycling centre at Ferryboat Close is too small for this function. It is proposed to identify an alternative site and construct a purpose built facility to expand this service. The existing site will be absorbed into the Baling Plant footprint and developed to accommodate a food waste transfer station.
3.0 Allocation
3.1 In the current year the funds will be allocated as follows subject to any 2012/13 overspends being a first call on their respective budget allocations.
Bridge and retaining walls (including £90k contribution for Beaufort Bridge) £405k Marina Barrage £ 65K Street lighting column refurbishment £200k Footway renewals £550k
Page 34 Dropped crossings £ 20k Repairs to sub structure at the Baling Plant £150k Drainage works £200k Carriageway resurfacing £2,260k Making up of private streets £ 75k Cemetery Road surfacing £ 75k Cycleway surfacing £ 40k Replace safety barriers £ 40k Construction of aggregate recycling centre £200k
Total £4,280K
4.0 Financial Implications
4.1 Capital
The full cost of the Highways and Other Infrastructure works for 2013/14 amounts to £4.28m and will be fully funded by the Authority’s own resources.
Details are set out in Appendix A.
4.2 Revenue
Future maintenance expenditure will be met from respective Revenue Service budgets.
5.0 Legal Implications
5.1 This investment will assist the Authority in discharging its statutory duty to maintain the public highway.
Background Papers:
Revenue and Capital budget approved by Council on 14th February 2013.
Appendices: None.
Page 35 Financial Procedure Rule 7 Appendix A
FINANCIAL IMPLICATIONS : SUMMARY
Portfolio: ENVIRONMENT Service : HIGHWAYS AND OTHER SERVICES Scheme : HIGHWAYS AND OTHER INFRASTRUCTURE ASSETS CAPITAL MAINTENANCE Head of Service -
Memo 2013/14 Capital Programme 1.1. CAPITAL COSTS 2012/13 2013/14 2014/15 2015/16 2016/17 TOTAL £'000 £'000 £'000 £'000 £'000 £'000 Expenditure Highways and Other Infrastructures Bridges/Retaining walls 405 315 315 Contribution to Flood Protection Works on River Tawe by EA 90 90 Marina barrage 65 65 65 Street lighting refurbishment 200 200 200 Street lighting innovation prog 50 0 Footways 600 550 550 Dropped crossings 20 20 20 Repairs to Baling plant 50 150 150 Drainage works 250 200 200 Safety barriers 40 40 Cycle ways 40 40 Carriageway resurfacing 1,515 2,260 2,260 Aggregate recycling centre 200 200 Roads in cemeteries 75 75 Private streets 75 75 75 Replace litter bins 50 0
EXPENDITURE 3,280 4,280 0 0 0 4,280
Financing Own resources 3,280 3,280 3,280 Insurance Fund 1,000 1,000 0 FINANCING 3,280 4,280 0 0 0 4,280
1.2. REVENUE COSTS 2012/13 2013/14 2014/15 2015/16 2016/17 FULL YEAR £'000 £'000 £'000 £'000 £'000 £'000 Service Controlled - Expenditure
Employees ) Maintenance ) to be met from existing budgets Equipment ) Administration )
NET EXPENDITURE 0 0 0 0
Page 36
31/01/13 Z:\Committees\A Agenda Pack\Corporate Briefing\2012-2013\11 - 13 February 6\05 c.1 - Appendix A CB 06 02 13 FPR7 ReportHWYSCAPMAINT13-14 Agenda Item 9b
Report of the Cabinet Member for Place
Cabinet – 28 February 2013
COMMUTED MAINTENANCE CHARGES FOR HIGHWAY DEVELOPMENTS
Purpose: To establish a process for managing the commuted maintenance reserve and ensure that the most appropriate system for charging commuted sums is used.
Policy Framework: Highway Asset Management Plan.
Reason for decision: To comply with Financial Procedure Rules and accounting procedures – to approve the charging and drawdown mechanism is appropriate and auditable.
Consultation: Legal, Finance.
Recommendations: It is recommended that
1. The reserve is kept in an interest bearing account and 1/20th drawn down annually into the appropriate service budget for highway maintenance per year; 2. To adopt the County Surveyors Society commuted maintenance charging procedure.
Report Author: Carl Humphrey
Finance Officer: Kim Lawrence
Legal Officer: Janine Townsley
1.0 Current policy/position
1.1 The current policy to charge commuted maintenance on new developments was introduced in 2001. Swansea was one of the first Highways Authorities in the United Kingdom to implement such a policy. The commuted maintenance sum concerned is paid as part of agreements under the Highways Act 1980 to adopt the highway and associated infrastructure on such developments.
1.2 As this was a new initiative there was no guidance on how this charge was to be applied. A system was developed to recover the costs of maintenance of these highways for a 20 year period.
Page 37 1.3 The charge levied was based on rates for a number of items including, gully cleaning, lamp repair, energy costs and resurfacing of roads and footways.
1.4 A number of developments have been completed since the introduction of this charge. This has accrued to a significant sum.
1.5 A number of developers have refused to enter into agreements that include a contribution for future maintenance. The responsibility for maintenance of these estates then remains with the developer.
1.6 The monies which are paid by the developer through an appropriate agreement under the provisions of the Highways Act 1980.
1.7 There is some £2M currently held in the commuted maintenance reserve, this is despite strong opposition from developers.
1.8 There is a need to agree as to how this reserve accumulated over the last 10 years should be utilised for the maintenance of highway. Some agreements state that the commuted sum should be used only for the maintenance of the new highway asset contracted, whilst other agreements are not prescriptive as to which highway asset it can be used for.
1.9 Once the new highway asset is adopted then maintenance becomes the responsibility of the Authority as a statutory duty under the Highways Act 1980 to maintain the Highway at public expense.
1.10 The developer’s liability for maintenance stops when the highway asset is adopted. From a practical perspective, the developer has no interest in how the Authority discharges its statutory duty providing the highway asset is properly maintained.
1.11 The practicalities of allocating the reserve to a particular highway asset over time would be impossible to achieve and audit given that the highway authority is responsible in perpetuity. The County Surveyors Society came to the same conclusion.
2.0 Work commissioned by the Department for Transport to develop guidance for applying commuted maintenance.
2.1 The Department for Transport commissioned Chris Britton Consultancy in 2007 to develop a consistent model for charging Commuted sums for future maintenance in relation to Adoption and Transfer of Infrastructure Assets.
Page 38 2.2 This model was developed in conjunction with a number of groups including the County Surveyors Society. It was adopted by the County Surveyors Society on 16th November 2009.
2.3 This guidance is significantly different to that formally applied by Swansea, the main difference being that it only applies to non standard items. Should the Authority adopt this guidance it will result in some new developments having no charges and others which have non standard equipment having a higher charge. A copy of the guidance is attached at Appendix A.
2.4 Whilst the revenue stream may change if the Authority adopts this guidance it may release a back log of developments and discourage future legal challenges.
3.0 Proposals
3.1 To draw down 1/20th of the available reserve per year and allocate to the appropriate revenue budgets codes within highways, traffic, parks etc. used for highways maintenance. This would exclude major items such as bridges, or other assets where the funds would be capitalised and spent on such assets as and when required in accordance with the asset management programme
3.2 Further it is proposed that the reserve sum should be held in an interest bearing account to maximise the funds available for future maintenance
3.3 To align the Authority’s charging regime as set out in the Department for Transport’s guidance document that has been adopted by the County Surveyors Society
4.0 Financial Implications
4.1 There will be an effect on the amount of money received by the Council for the future maintenance of new developments. However, it is impossible to estimate the effect as it depends on the configuration of each development.
5.0 Legal implications
5.1 Where an existing agreement requires the commuted sum to be spent solely on the highway assets provided under the agreement there may be a risk that the developer wishes to be satisfied that the sum has spent on that asset.
Page 39 Background Papers:
• Highway and Transport policy framework adopted by Council in 2009
• County Surveyors Society “Guidance on Commuted sums for maintaining infrastructure assets ”
Appendices:
• Appendix 1 - Commuted Sums for Maintaining Infrastructure Assets
Page 40 CSS Appendix 1 Shropshire Council The Shire Hall Abbey Foregate Shrewsbury SY2 6ND t: 01743 255002 e: [email protected] www.cssnet.org.uk
COMMUTED SUMS FOR MAINTAINING INFRASTRUCTURE
Page 41 ASSETS All Photos Courtesy of Leicestershire County Council
www.cssnet.org.uk Guidance Document Guidance Document
CONTENTS
FOREWORD 001 SUMMARY OF ‘BEST PRACTICE’ GUIDANCE 002 1 INTRODUCTION 003 1.1 Background and scope 003 1.2 Status of document 006 1.3 Acknowledgements 006 2 LEGAL AND PLANNING ISSUES 007 2.1 Current Situation 007 2.2 Commuted Sum Definition 007 2.3 Statutory Agreements and the Planning Consent 008 2.3.1 Commuted Sums in relation to Section 38 Agreements 008 2.3.2 Commuted Sums in relation to Section 278 Agreements 009 2.4 Early advice to developers 009 2.5 Use of S37 of the Highways Act 009 3 FINANCIAL CONSIDERATIONS 010 3.1 Existing funding streams 010
Page 42 3.2 “Ring fencing” of Commuted Sum monies 010 3.3 Highways PFI 011 4 ASSET MANAGEMENT 012 4.1 Responsibility for Highway Maintenance 012 www.cssnet.org.uk 4.2 Assets potentially subject to commuted sums 012 4.3 Asset Lifecycles and Maintenance Regimes 012 4.4 Levels of service 013 5 PROCESS, PRACTICE AND PROCEDURES 014 5.1 Standard Construction 014 5.2 Commuted Sum Principles 015 5.3 Elements of Highway Infrastructure for which Commuted Sums may be Payable by Developers 015 5.4 The Application and Agreement Process 016 5.5 Calculating the actual commuted sums to be paid 016 5.6 Bonding of commuted sums 017 5.7 Timing of payments 017 5.8 Scope for variation 017 5.9 Risk 017 5.10 The Way Forward 017 Guidance Document
TABLE OF APPENDICES FOREWORD
APPENDIX 1 Asset Categories for which Commuted Sums may potentially be sought 18 The use of commuted sums for future maintenance is not new, but APPENDIX 2 Typical Commuted Sum (CS) Procedure for S38 and S278 Adoptions 20 there is considerable variation in their use and practice by highway APPENDIX 3 Examples of Situations that may incur Commuted Sums in relation to Section 38 22 authorities in relation to new developments. Historically commuted APPENDIX 4 Typical Situations where Commuted Sums sum payments have been limited mainly to sums in respect of the may be Sought on Adoption of Developments 25 future maintenance of bridges, tunnels or unusual items. More APPENDIX 5 The Calculation Methodology 28 recently, for a variety of reasons, there has been a trend for the APPENDIX 6 Typical Commuted Sum Calculation Examples 30 scope of commuted sums to be widened. APPENDIX 7 Typical References to Commuted Sums in S278 and S38 Agreement Clauses 37 APPENDIX 8 Bibliography and References 39 The style, location and expectation of developments has APPENDIX 9 Glossary of Abbreviations 39 changed over the last 10 to 15 years with more emphasis being placed on providing Better Places to Live, delivering a ‘quality’ LIST OF FIGURES environment with enhanced materials and street design. Coming Figure A3.1 Additional areas beyond typical highway requirements 22 at the same time as moves to develop the more constrained and Figure A3.2 H/w Retaining Structures 23 challenging sites, this has raised questions over the adoption Figure A3.3 Additional areas beyond typical highway requirements 23 Figure A3.4 Highways Features – Bollards 24 and, in particular, the safety, maintainability and future funding Figure A4.1 Example of turning head within extended areas of road layouts which vary from the ‘normal’ standard of highways beyond the normal width of a turning head 25 authorities, and on which their funding levels are based. Page 43 Figure A4.2 Example of additional area of grass verge adopted under a commuted sum 25 These challenges often lead to the introduction of higher levels of maintenance and may also involve additional features such as of benefit to all parties, and which should move towards providing retaining walls, and soakaways, which place additional burdens durable infrastructure without any need for commuted sum on future maintenance, but are often the only way to allow the payments for their future maintenance. practical development of the site. It is intended that both highway authorities, and developers, Local authorities and other public/community bodies have use this guidance in the spirit in which it is meant, and that increasing pressures on their budgets, which would normally innovation is not stifled. The aim is to enhance flexibility for preclude these enhanced developments from being maintained highway authorities to adopt ‘non-standard’ layouts and materials, to the appropriate standard unless payment is sought from the without placing undue burdens either on its maintenance budget, developer for the ‘extra over’ costs involved. Often these enhance- or the public purse, through constructive negotiation with develop- ments improve both the developer’s development prospects, and ers, aimed at reaching a fair and amicable funding agreement and their sales opportunities, and it is unreasonable that the extra costs avoiding unnecessary conflict and litigation. involved are borne by public and community organisations, and The guidance provides a transparent and consistent approach ultimately the council tax payer. On the other hand, it is not in the both to the seeking of and to the calculation of commuted sums. original spirit of commuted sums for an authority to ask for sums The clarity of approach should help remove the uncertainty and in excess of reasonable additional future costs. risk for developers at an early stage in the process. It will also This guidance aligns with the fundamental asset management provide security to the overstretched highway budgets, enabling principle of understanding ‘whole life costs’. Its use should help developments to progress with much more certainty about their to develop design concepts and material specifications, which are overall requirements and commitment, by both parties. The guidance in not fully developed in all areas and the CSS proposes to keep the issue under review, with a national working group to undertake further work.
001 Section One
SUMMARY OF ‘BEST PRACTICE’ GUIDANCE INTRODUCTION
The guidance contained in this document • Highway authorities should look more of the Final Certificate (Section 5.7) formulate their approach to commuted sum payments, being based is provided within the context of current flexibly at what assets they are prepared • Within its calculation formula, the high 1.1 BACKGROUND & SCOPE on current ‘best practice’, and allowing for flexibility of approach practices regarding commuted sums and, to adopt, and review the circumstances way authority should use a discount rate In July 2003 the ODPM (now Department for Communities and and ability to stimulate improvements. It advocates early advice to as such, it also raises issues for further dis- for which commuted sums will be sought of 2.2% and a time period of 60 years Local Government) published the report Better Streets, Better the developer as to the specific requirements of the authority such cussion, as well as seeking feedback on (Sections 4.2 & 5.3) for maintenance calculation purposes Places Delivering Sustainable Residential Environments1. This that the developer is aware of all likely costs at the outset, and its application. • The work of existing highway valuation (Appendix 5). If a highway authority followed a research project to establish whether there were the likelihood of adoption by the local authority is maximised. It is recommended that highway groups be extended to develop considers that a different rate or time substantive problems over the adoption of new highways meeting The document attempts to treat all assets in an equal manner, and authorities review their current strategies standardised unit rates for the period should be used (e.g. transfer of the requirements of Planning Policy Statement Note 3: Housing outlines when a commuted sum will normally apply, how the sum for the calculation of commuted sums for maintenance of the various highway a bridge which will be required in (PPS3) and Planning Policy Wales. The object of the study was is calculated, and how these should be managed in future years future maintenance, and ensure that they asset elements (Section 4.2) perpetuity) the reasons for doing so to identify the underlying causes of any such problems; and for the on-going maintenance of the relevant assets. The overall have ‘clear’ local standards, for design and • Highway authorities should set up and the calculations used must be recommend how they should be addressed. intent is not to stifle innovation, but rather to give the highway maintenance, within their Design Guide materials databases and look to share made explicit. The report identified the reluctance of many highway authorities authority greater flexibility to adopt ‘non-standard’ layouts and (Section 4.3). information (both regionally and • There should not be any retrospective to adopt materials or designs that were considered to require materials without placing undue burdens either on its maintenance nationally) on new materials and application of this guidance, which higher levels of maintenance than their ‘normal’ standard. budget or its Council Tax payers. The specific guidance recommendations methods (Section 4.3) should be applied to new agreements In order to cover any resulting increased maintenance costs high- For highway infrastructure, typically, but not invariably, are summarised as follows: • Highway authorities should develop only (Sections 5.2 & 5.8) way authorities were increasingly seeking commuted sums for commuted sums are secured by way of agreements made under • Developers should establish a dialogue their own standard construction these ‘extra over’ costs. the Highways Act 1980, using Section 38 for new roads provided
withPage 44 both the highway and planning definitions, and accepted materials The report recommended “that government takes steps to on private land, and Section 278 for alterations made to existing authorities at the earliest possible stage, list (Section 5.1) with due consideration regularise the system for authorities seeking payments from publicly maintained highways. As part of these agreements, many preferably prior to any land being of risk (Section 5.9) developers for future maintenance, so that it is seen to be local highway authorities have long required applicants to make purchased and certainly before planning • Commuted sums should generally be equitable and transparent”. It was proposed that Manual for Streets commuted payments towards the future maintenance of the new permission is submitted (Section 2.4) applied for the ‘extra over’ costs to be (MfS)2 should include clear guidance as to what should normally or improved highways provided. The statutory authority for these • The use of S37 should be avoided met by the highway authority (Sections be regarded as adoptable, without any payment for exceptional payments appears in Sections 38(6) and 278(3) of the 1980 Act. wherever possible, and that S38 should 5.2, 5.3 and Appendix 4) future maintenance. Payments for future maintenance should then Such commuted payments are considered lawful, but are not to be remain as the preferred method for • Commuted sums may well be only be charged for items falling outside these categories, with considered as a panacea for income generation, and must be seen highways adoption (Section 2.5) appropriate for any new works carried clear rules to determine their calculation; and with obligations for to be fair to all parties. In the interests of both highway authorities • It is not appropriate to seek commuted out to facilitate new development as the adopting authority to maintain the infrastructure to an agreed and developers alike, and to achieve ’shared’ local and national sums where other specific sources of part of a S278 Agreement, without any standard – a ‘quality contract’. However, due to difficulties in objectives, the pursuit of commuted sums for future maintenance funding are provided to cover ongoing requirement for calculating ‘degree reaching any agreement, this did not happen at the time of should be tempered with ’reasonableness’ of use, be in the spirit maintenance (Sections 3.1 & 5.2) of benefit’ to the highway authority publication of MfS. of the 1980 Highways Act, and be applied along similar lines • It is not appropriate to request commuted (Section 5.2) This Guidance Document is seen as the first step to achieving across the country. The guidance advocates a way forward that, sums for ‘standard’ highway network, or • The final commuted sum figure paid the government’s objectives and aims to provide a transparent irrespective of the legal issues involved, should be fair to all street lighting, adoptions (Sections 3.1 should be calculated immediately and consistent approach to the determination of relevant commuted parties and aims to achieve the required outcome of desirable & 5.2) before the development infrastructure sum payments for future maintenance aspects of adopted, or and sustainable developments. • The process for, and calculation of, is adopted, and the figure should be otherwise transferred, assets in England and Wales. It is intended The government is committed to encouraging a major house commuted sums should be transparent, adjusted periodically throughout design to be used in relation to the general ‘public realm’ aspects of new building programme over the next 10 years and beyond. The and collected monies should at least be and construction to accommodate any developments and is, therefore, not solely for the use of highway Barker Review of housing supply3 has also stressed the benefits to ring-fenced to the maintenance of the price fluctuations (Section 5.5) authorities but also by district/borough, town or parish councils. the country of economic activity and development. It is vital that highway network. Such monies should • Any commuted sums should be included Local authorities, will need to approach this subject with both new housing and new commercial and other development be not be deducted from any normal in the Bond required from the developer full regard to their local circumstances, needs and budgets. supported by suitable infrastructure. Developers, local authorities, highway maintenance budget provision (Section 5.6) and be payable before issue This guidance is offered in the hope of assisting all authorities to and other stakeholders all need to be engaged at an early stage, (Section 3.2)
1 ODPM (2003), Better Streets, Better Places, available from www.communities.gov.uk/archived/publications/planningandbuild- ing/betterstreetsbetter 2 DfT, CLG & WAG (2007), Manual for Streets, London: Thomas Telford Publishing, available from www.dft.gov.uk/pgr/ sustainable/manforstreets/. Manual for Streets provides guidance for practitioners involved in the planning, design, provision and approval of new residential streets, and modifications to existing ones. 3 Barker, Kate (2004), Delivering Stability: Securing our Future Housing Needs, available from www.hm-treasury.gov.uk/barker_review_of_housing_supply_recommendations.htm. 002 003 Section One
as required in MfS and be able to plan ahead with confidence that The main objectives of this document are: development and related infrastructure will come forward together, • To encourage more clarity and consistency of practices in and that resources will be available for the maintenance of that relation to the use of commuted sums for future maintenance. infrastructure. As the number of roads built by developers has • To encourage creativity and innovation in line with the ‘Manual increased, different highway authorities have developed a wide for Streets’ philosophy, by the potential adoption of higher range of approaches as to where these commuted payments should quality features and materials without the application be used and how they should be calculated, which has highlighted of commuted sums. the need for this guidance. • To find a negotiated solution in adopting ‘non-standard’ layouts With the development of more difficult sites, for example those and materials without placing undue burdens either on its with topographical, drainage or ‘brown site’ aspects, or involving maintenance budget or its Council Tax payers. innovative or unusual structures, the maintenance liability and costs • To ensure that developers are aware of any local authority increase. These situations are becoming more common, and may requirements at an early stage, and provide more transparency include features such as access bridges, retaining walls, sustainable in the commuted sum calculations. drainage systems (SUDS) and stabilised earthwork embankments, • To provide some basic guidance to be followed for the that may require increased levels of maintenance attention. calculation and application of commuted sums. The associated maintenance costs represent an increase in future • To keep the guidance simple, thus enabling the adoption maintenancePage 45 liability which will be more than the anticipated process to become as straightforward as possible. of the sections are peripheral to the main issue but are included increase in funding normally generated by the development. • As far as possible, to increase the likelihood of developments in order to put commuted sums in context with other current Ownership and responsibility for bridges which support the being adopted and avoid the creation of new private streets, and initiatives, and to assist with the further debate, and help to highway is sometimes transferred between authorities. This will • To raise the national profile of commuted sums, the issues still formulate additional definitive policy, advice and guidance. typically involve transfer of liability from Network Rail, British to be resolved, and engender further debate. This guidance is directed at any situation in England and Wales Waterways or an internal drainage board to a highway authority. where an asset is being transferred from one body, or organisation, The highway authority will normally require a commuted sum The guidance follows established good practice and is largely to another. It is anticipated that the main users will be highway to be paid to take account of the financial liability it is taking on. based around the Leicestershire County Council documentation, authorities, local planning authorities and developers, when This document proposes a way forward for LHAs seeking com- developed on behalf of the Midlands Service Improvement negotiating the adoption of highway assets as part of development muted sums without prejudice to any interpretation of legislation. Group (MSIG). In order to avoid duplication, all material sources works. However, it is also intended that it be used by: In building upon established good practice, the guidance seeks are acknowledged and appropriate references are provided. to keep the process as simple as possible. The aim is to raise the • Local authorities (including district/borough, town or parish A number of documents have been issued in recent years profile of commuted sums, encourage innovation, and create a councils) in relation to the general ‘public realm’, with the that recognise payments for future maintenance by developers. platform from which to move forward with this issue in a consistent adoption of ‘non-highway’ assets such as open spaces, These are listed in the bibliography at Appendix 8. and transparent way. landscaping, public art, play equipment and other assets The development of this document has involved consultation outside of the highway. with as many potential stakeholders as possible. All sectors of the • Bodies such as British Waterways or Network Rail, when industry have been consulted in its preparation, and the guidance for example, they are transferring ownership of such items as seeks to take a balanced view and to be of benefit to all interested bridges and structures. (Currently existing advice on commuted parties. It, therefore, gives advice built upon best practice and, as sums for transfer of ownership of bridges between Network Rail far as possible, where a degree of consensus has been achieved. and highway authorities is outlined in ‘Strengthening of Railtrack It does not necessarily represent the views of all parties involved owned Highway Bridges – Guidance for implementation’, in the consultation process, nor can it be expected to cover every March 1999). possible situation that may exist. • Where practical, all local authorities in relation to SUDS The document is not able to be definitive in all areas and, as and balancing ponds independent of or within open spaces such, also raises issues for further debate. In this respect some
004 005 Section Two
LEGAL & PLANNING ISSUES 1.2 STATUS OF DOCUMENT 2.1 CURRENT SITUATION 2.2 COMMUTED This is not national Government guidance or advice. Although it There remains a diversity of opinion as to the legality of Section 38 SUM DEFINITION is hoped that this guidance will be referred to and followed by all commuted sum payments in relation to the future maintenance of The following legal definition is suggested for the term ‘commuted interested parties, it is not mandatory. It attempts to reflect reason- highway assets when adopted from private developers. Although no sum’ in relation to the adoption of new infrastructure: able practice and the intentions of current legislation. It does not case law exists, this document has been prepared on the basis that “Commuted Sum: A payment of a capital sum by an individual, represent a definitive statement or advice and, as such, any party commuted sum payments are lawful under both Sections 38 and authority or company to the highway authority, local authority, or using this document should seek their own legal advice about 278 of the 1980 Highways Act. It identifies a way forward that is other body, as a contribution towards the future maintenance of the its use in any specific, and especially unusual, situations. in the spirit of the 1980 Act. However, local authorities should also asset to be adopted, or transferred.” It is expected that this guidance will promote further debate take appropriate legal advice. Such payment need not be a single payment and can, by agree- and additional related work and, as such, will need to be regularly The Midlands Service Improvement Group (MSIG) approach has ment, be a series of payments and may include issues beyond main- reviewed – potentially by a new national forum. It has been developer support, and is seen as a reasonable and acceptable way tenance, such as inspection, repair and relocation of the asset. developed in consultation with as many interested stakeholders forward to achieve layouts and features that create the environment Commuted sums are expected, in the main, to relate to payment as possible. that all parties seek for future desirable and sustainable develop- made by developers as a contribution towards the future capital 1.3 ACKNOWLEDGEMENTS ments. It is not just seen as a source of income generation for LHAs. maintenance of ‘non-standard’ and ‘extra over’ features in develop- ments. Section 4 outlines the specific asset types that are applicable The development of the Guidance was guided by a Steering to commuted sums, and Section 5, the suggested categories and cri- Page 46 group, which comprised: teria for payment. Edward Bunting Department for Transport (DfT) Project Officer The payment of a commuted sum by a developer will discharge Chris Britton Chris Britton Consultancy (CBC) Project Director them of any future maintenance responsibility for the adopted as- John Linsley Chris Britton Consultancy (CBC) Project Manager sets after issue of the final certificate. The payment of an appropri- Robert Biggs Derbyshire County Council (CSS Representative) ate commuted sum by an owner of an asset will discharge the Anthony Bracknell Forest DC (TAG Representative) owner of the obligation to maintain the asset. The obligation, and Radford-Foley associated risk, then lies with the adopting party to maintain the Paul Sheard Leicestershire County Council (representing asset. CSS Finance Committee) Neil Besley Derby City Council (representing the CSS Bridges Group) Stuart Bulmer URS (representing the CSS Lighting Group) Carl Dyer Osborne Clark Henry Brougham Roger TYM & Partners
Acknowledgements are due to the Project Steering Group members and the stakeholders who participated in the questionnaire exer- cise, and provided additional contributions during the development of the guidance. A special acknowledgement should also be made to Leicester- shire County Council, and particularly Frank Bedford, for their con- siderable contribution to the project, and for providing detailed information on the Midlands Service Improvement Group (MSIG) initiative, which forms the “backbone” of this document.
006 007 Section Two
104 (S104) of the Water Industry Act 1991. 2.3.1 COMMUTED 2.3.2 COMMUTED SUMS for continuous dialogue ensures that, as schemes evolve, the 2.3 STATUTORY A S104 Agreement relates to construction financial implications are understood, rather than waiting until AGREEMENTS of sewers, pumps and drains on developer’s SUMS IN IN RELATION TO SECTION the end of the process. AND THE PLAN- own land to be adopted and maintained RELATION TO 278 AGREEMENTS This national guidance should provide developers with by the water company following successful a degree of confidence as to the highway authority requirements, NING CONSENT SECTION 38 S278 provides that if a highway authority is satisfied that it would construction of the works and after the a consistency of approach, and more certainty as to what they AGREEMENTS be of benefit to the public for them to enter into an agreement The former ODPM Circular 05/2005: requisite maintenance period. will be expected to contribute. under this section with any person then they may do so. The Planning Obligations refers to the securing Highway infrastructure works are S38(6) provides the power to seek agreement would be for carrying out, on the existing public of financial contributions towards the generally entered into under Section 38 commuted sum for the maintenance 2.5. USE OF S37 OF highway, works that would be of benefit to the public, and provision of infrastructure by way of (S38) or Section 278 (S278) of the Highways of the adopted highway: THE HIGHWAYS ACT the cost of those works are to be borne by the developer. The Section 106 Agreements. Act 1980, which are discretionary powers “An agreement under this section may majority of the time, the work to be undertaken is carried out If a highway authority and developer are unable to agree on the The situation is Wales is covered by for the highway authority to enter into an contain such provisions as to the dedication by the developer as they will usually have some effect on conditions relating to a Section 38 Agreement, the developer can Planning Policy for Wales together with agreement with a developer to adopt as a highway of any road or way to which his development. build the road and give notice to the LHA that he intends to dedi- associated Welsh Technical Advice Note new highways or improve the highway. the agreement relates, the bearing of the There is an express provision in S278 (3) for payments for cate the road as a highway. If the LHA refuses to adopt the road as (TAN) documents. S38 Agreements relate to the adoption expenses of the construction, maintenance the maintenance of the works, and this may be applied by the highway the developer can apply to a magistrate court for an order A Section 106 (S106) Agreement (under of private internal estate roads built on the or improvement of any highway, road, highway authority if it chooses to do so: that the proposed highway “will not be of sufficient utility to the the TownPage 47 and Country Planning Act 1990) developer’s own land which the developer, bridge or viaduct to which the agreement “An agreement under this section may provide for the making public to justify it being maintained at public expense” (Section 37). is entered into by an individual to obtain upon completion, wishes to be adopted by relates and other relevant matters as the to the highway authority by the other party to the agreement The aim of this guidance is to help avoid both the creation of planning permission for a development the highway authority as highway maintain- authority making the agreement thinks fit.” of payments in respect of the maintenance of works to which new private streets, and the use of S37 (Highways Act, 1980) by de- proposal. Once executed a S106 Agreement able at the public expense. This clause was drafted in the widest the agreement relates and may contain such incidental and velopers for the dedication of parts of the highway (e.g. cul de sacs). remains connected to the land and binds S278 Agreements provide developers possible terms in 1980. It appears to allow consequential provisions as appear to the highway authority to Where practical and sensible, all new highways should be adopted all future owners of the land in question with a mechanism to either fund works, for a payment to be sought by the highway be necessary or expedient for the purposes of the agreement.” by the highway authority regardless of perceived ‘public utility’ unless expressly excluded by the Agree- or undertake works themselves, to the authority not only for ‘maintenance’ prior value – and without any uncertainties about the need, or otherwise, ment. It is discretionary, and enables the existing public highway. The works are to adoption but also “other relevant matters 2.4 EARLY ADVICE for commuted sum payments. As such, it is recommended local authority to seek payments, from often termed ‘off site works’ as they are as the authority making the agreement that the use of S37 be avoided wherever possible, and that S38 developers, as financial contributions to- usually separate from the developer’s site thinks fit”, which may include a TO DEVELOPERS should remain as the preferred method for highway adoption. wards infrastructure assets (including future and the works are necessary to provide commuted sum for future maintenance It is acknowledged that many of the current problems experienced Highway authorities, under the “Advanced Payments Code”, maintenance costs). This generally relates improved access to, or mitigate the effects following adoption. With the increased by developers in respect of commuted sums, and other procedures, ensure that roads constructed in connection with a development to ‘non-highway’ assets but can include of, the new development. application of SUDS the additional costs are as a result of inadequate knowledge as to the requirements are built to a suitable standard for adoption. The developers some ‘highway’ assets. For example, Considerable statutes and legislation of maintaining different forms of highway of the highway authority. Consequently developers could be being should not commence development without having first lodged in respect of higher quality materials, exist that cover ‘non highway’ situations drainage systems can be included within burdened with additional costs at a very late stage. an appropriate Bond or Agreement under S38, as set out in S219 improved transport network (e.g. quality and that would be more appropriately used this definition. It is recommended good practice for the developers to establish of the Highways Act. bus lanes and traffic signals in the form of by district/borough, town or parish councils. a dialogue with both the highway and planning authorities (which pedestrian crossings and signal junctions), These include provisions within the Local may be different authorities within the existing ’two tier’ local and such items as open spaces, other ‘green Government (Miscellaneous Provisions) government structure) at the earliest possible stage. This should areas’ and public art. However, this section Act 1982 and the Local Governments preferably be prior to the land being purchased, and certainly would not generally be used in respect of Acts 2000/2003. before any planning application is submitted. The onus falls highway infrastructure adoption and would mainly on the developer to initiate this process. Although com- not generally be appropriate to cover long- muted sums relate to the final scheme, and the detailed design term maintenance liabilities. may not be decided on until after the land has been purchased, A further relevant statutory agreement early dialogue can remove many of the uncertainties. The need in respect of commuted sums is Section
008 009 Section Three
FINANCIAL CONSIDERATIONS 3.1 EXISTING FUNDING STREAMS A general rule established in this guidance is that commuted sums will not be appropriate to be requested where existing funding streams are made available to the authority for the purposes of future maintenance of the specific assets. The highway length maintained by LHAs is an input to the Relative Needs Formulae (RNF), which are designed to reflect the relative needs of individual authorities in providing services. However, they are not intended to measure the actual amount needed by any authority to provide local services, but to simply A local authority also receives income from the Council Tax or recognise the various factors which affect local authorities’ costs business rates, from all new properties within any development 3.3 HIGHWAYS PFI locally. The RNF does not relate to the actual monetary amount of area, which may contribute towards the future maintenance of the grant that an authority needs for providing services for its residents. overall highway network through normal revenue funding. The above premise is appropriate to the situation in most In reality, this means that a local authority’s Revenue Support Grant At this stage the impact of the new Community Infrastructure LHAs. However, in LHAs where there is a highways (and/or (RSG) allocation, whilst recognising increased highway length, does It is recommended that highway authorities adopt a formal street lighting) PFI in place, the situation may be different, and
Page 48 Levy (CIL), introduced in the Planning Act 2008, is uncertain. not necessarily translate into an increase in the overall allocation The Bill allows for regulations to empower local councils to apply (’transparent’) approach to commuted sums, and establish the principles of this guidance may need to be adapted. to the authority for that network, since many other factors come a CIL on new developments in their areas, to support infrastructure a protocol to ensure that the ‘ring-fencing’ of monies is achieved, Under a PFI the LHA has a contractual payment requirement into play to produce the overall RSG figure. The grant allocation delivery. Although the possibilities are negligible, LHAs must at least to the highway maintenance budget, and preferably to for a long period (normally 25 years) which makes the valuation, is not ‘ring fenced’ to highways, or indeed any specific service area. ensure that any monies collected by this mechanism are not the specific asset categories. and paying for the cost of change, (such as the adoption of Despite the foregoing, the premise of this guidance is that the duplicated by commuted sum requests. The protocol should allow for annual ‘out-turn’ reports to be new infrastructure), a particular issue. It is important that local RSG system recognises increased highway length in its grant produced to provide financial control, and ensure that the correct authorities, when contemplating PFI schemes, should fully consider allocation to LHAs and that, as such, commuted sums for ‘standard’ 3.2 “RING FENCING” OF funds are transferred to the respective highway (or other asset) the commuted sums issue and adequately provide for it. It may be network adoptions are not appropriate to be charged regardless COMMUTED SUM MONIES maintenance budgets for future years. Arrangements for setting appropriate for the commuted sum fund to pay part of the monthly of the recognised increased liabilities that the LHA will incur, at up and administering the budgeting protocol will vary between PFI service charge. least in the short term. All monies received in respect of commuted sums should ideally authorities, but should be agreed by the budget holder(s) and the There is a further issue in that the highway lengths input into be spent on the purpose for which they were intended (i.e. on Finance Department. the formula are based on such lengths determined in the previous the maintenance of the specific assets), but in reality this is Any commuted sums monies should be treated by the highway year. Whilst this inevitably means that there is a ‘time lag’ with considered impractical unless it is for a specific asset such as a authority as additional to any considerations in respect of normal RSG allocation, equally there should be very little maintenance bridge or public art. It is considered essential that, in general, maintenance budget allocations for the year. in the early years of any development. commuted monies are re-invested into maintenance of the network, Note: The formula application by Government normally only and ‘ring-fenced’ for that purpose. accounts for a ‘simple’ road layout using ‘standard’ construction, The initial financial process should demonstrate the justification for example: for the level of commuted sum set for each asset item. However, over such a long time period, there will be changes in maintenance • Carriageway, kerbs and associated footways practice and processes which will inevitably involve deviation • Verge areas for service strips and visibility splays from the original proposed maintenance regime. This should not be • low level earthworks i.e. very minor lifting, or cutting, seen as an issue as highway authorities move to asset management of carriageway into ground profile, and practices, with the aim of ensuring that the general quality of the • Street lighting, drainage and signing infrastructure is maintained to the appropriate standards.
010 011 Section Four
ASSET MANAGEMENT
At this stage there has not been any attempt to determine a view to expanding their list of ‘standard’ materials that would 4.1 RESPONSIBILITY FOR standardised unit rates. This exercise is seen as aligning very not require commuted sum payments from developers. HIGHWAY MAINTENANCE closely to current highway authority asset valuation exercises The lifecycle, and maintenance regime, for an asset will be as part of Transport Asset Management Plan (TAMP) developments. dependent on the initial design specification and local standards The highway authority has a statutory responsibility for the It is recommended that the work of existing valuation groups be adopted. This is currently an area for negotiation between the management and maintenance of the highway network which extended to include this aspect. developer and highway authority, but it is the aim of this guidance includes a need to keep the network safe for users. In order that the publication of clear local standards for asset design and to do this, highway authorities should develop, implement and The associated activities/functions that may also be included maintenance will reduce the variations in the approach taken. adhere to a carefully considered strategy. Traditionally, budgets in the calculation of commuted sums may include: A ‘whole life costing’ approach (looking at the most economic for maintenance have been insufficient to meet the ‘real’ need of • Inspections and surveys maintenance regime over the life of the asset) should be used for the network. As such, the maintenance of appropriate standards • Routine and cyclic maintenance calculating commuted sums, involving the discounting of future is a challenge for highway authorities, and which requires a formal • Winter maintenance maintenance costs based on the year they are expected to arise and improved asset management approach. • Energy charges (see Appendix 5). Typical issues to be considered are: • Design and supervision 4.2 ASSETS • Hierarchy, network type and location It is assumed that the costs of any accident, and unpredicted • Specification and materials POTENTIALLY SUBJECT damage (e.g. flood damage/vandalism), caused after adoption • Maintenance practices/frequencies of intervention TOPage 49 COMMUTED SUMS can be recovered by the highway authority from the perpetrator, Appendix 1 is based on current practice, and lists asset and should generally be an accepted risk for the authority. For the calculation of commuted sums to be transparent and components for which commuted sums for future maintenance However, some authorities may have difficulties with regard to equitable, having local standards published in the local HAMP, may potentially be sought, i.e. for which a developer may be liable cost recovery as a result of vandalism and, where the risk can or Maintenance Plan, will ensure that the mechanism for deciding to pay commuted sums in appropriate situations. This covers both be clearly demonstrated, LHAs may wish to make appropriate upon eligible commuted sums are readily available and auditable. ‘highway’ and ‘non-highway’ assets. For purposes of conformity, and reasonable allowance in their commuted sum calculations the table has been formatted in a similar way to that produced for such unrecoverable costs. 4.4 LEVELS OF SERVICE in the Guidance Document for Highway Infrastructure Asset In addition to the specific aspects required for its effective Valuation1. It is also anticipated that identifying the asset groups 4.3 ASSET functioning, each asset should also be looked at in respect of and components with similar issues, will, in this way, assist in the LIFECYCLES AND its contribution to the overall service requirements of each highway determination of associated maintenance regimes and appropriate MAINTENANCE REGIMES authority. This is a complex issue which highway authorities will unit rates. It should also help with future work to determine a single consider within their HAMP development and at some stage, may Much work has already been carried out nationally in respect definitive list of assets subject to commuted sums (with associated be developed further for commuted sum calculation considerations. of asset lifecycles and maintenance regimes, but more work is still criteria) and, equally, a list of assets which are not subject to The aim of this guidance is to help improve standards across needed in respect of understanding of modern materials and their commuted sums. the whole of the ‘public realm’, but it is recognised that there is maintenance requirements. These issues are fundamental to asset Transfer of bridge ownership between bodies/private owners still a considerable ‘education’ exercise to be undertaken nationally management, and should be considered by each highway authority will normally be formalised with the payment of a commuted with both the collation of existing information, and the sharing as part of the development of their individual HAMPS. This could sum to reflect the maintenance liability which is transferred. of good practice. help, for example, to inform or adjust the time period for the The table in Appendix 1 is not intended to be exhaustive calculation of commuted sums (see Appendix 5). and should be used as a general framework. It is anticipated that Highway authorities either individually, or in regional/national the list will vary by authority and should be adapted as necessary groups, are encouraged to set up materials databases; and this to suit the local situation. The items listed could generally be is especially useful where special materials are associated with attributed to both S38 and S278 works, and could form the basis commuted sums. Such databases should be used to monitor the of the local commuted sums calculation, using a locally agreed performance of ‘non standard’ materials, and street furniture, with schedule of rates.
1 Guidance Document for Highway Infrastructure Asset Valuation; Roads Liaison Group, July 2005; TSO 012 013 Section Five
PROCESS, PRACTICE AND PROCEDURES
should be encouraged to be more flexible sums for S278 works, even where such into after the publication date of this 5.1 STANDARD in its approach e.g. they may reduce, or 5.2 COMMUTED works are considered to provide some document. Where applicable, users CONSTRUCTION waive, any commuted sums requirements, SUM PRINCIPLES benefit to the general public (e.g. an should be given adequate time (as particularly on the basis of maintenance improved junction layout with enhanced agreed by both parties) to modify their ‘Standard’ construction definitions This guidance proposes several principles experience of particular types of asset, pedestrian facilities being provided). approach in time for the changes to will typically include (as a minimum): which are expanded in various sections. where robustness is proven. • Under S278, commuted sums are not take effect. • Carriageway surfaced in flexible They are that: At this stage, some highway authorities applicable to additional works, required construction to the normal standard • The guidance is equally applicable to An overriding principle is that commuted (particularly those with both planning by the highway authority, which are of the highway authority both S278 and S38 adoptions, albeit sums should be calculated objectively and highway functions) may feel unable merely for aesthetic rather than for • Footway surfaced in asphaltic materials that they are different situations (see and as fairly as possible to reflect the to adopt such a flexible approach, design reasons (e.g. full width resurfacing and (for many LHAs) block paving to the note below) genuine present day value of predicted even though enhanced materials may where only part width would be normal standard of the highway authority • For newly constructed infrastructure, future costs which they are designed be included within their design guide, necessary to accommodate a new • Gully drainage and connections (not commuted sums are not generally to service. and positive encouragement given to junction). associated with adoptable surface considered appropriate where there developers to use higher quality materials. • Where S38 works are deemed as water sewers) are other sources of funding to cover 5.3 ELEMENTS In such situations it is suggested that the ‘standard’ construction, commuted • Standard street lighting layouts, columns ongoing maintenance. OF HIGHWAY above definitions be utilised for commuted sums are not generally applicable. and lanterns included within the Note: For older existing infrastructure, sums purposes, but it is imperative that However, they should be applied for INFRASTRUCTURE authority’s lighting policy adoption or transfer of ownership of
Page 50 a developer is advised of this situation the ‘extra over’ areas and ‘extra over’ • Highway signing, or other features any asset may require substantial FOR WHICH at the earliest possible time. costs of exceptional items and specialist associated with safe design (traffic pre-adoption remedial work, or for the COMMUTED In many authorities the design guide materials etc. indicator bollards etc) impaired condition to be reflected in SUMS MAY could be used as the ‘standard’ (e.g. • Precast concrete and granite kerbing, the commuted sum calculation (if Note: S38 relates to the creation of minimum requirements) for the purposes BE PAYABLE and appropriate). This will particularly apply additional lengths and/or areas of of determining commuted sums, and as BY DEVELOPERS • Pedestrian guard rails and road to the taking over of old ‘under- highway to be adopted. Commuted setting out which designs can incorporate restraint systems maintained’ bridges etc. and will sums are generally payable for ‘extra Commuted sums charged from developers higher quality materials that are acceptable accord with the guidance in over’ costs which are deemed, by the high- for adoption, will generally cover the ‘Non-standard’ is defined as all construction to the highway authority without attracting Management of Structures: A Code way authority, to be placing an extra burden following circumstances: types or materials that are not included a commuted sum payment. of Practice (Section 4.8.5)1. on the maintenance budget. This guidance • Additional areas of carriageway, footway, in the definition of ‘standard’ construction As part of the dialogue between the • As far as possible, all assets should be recommends 60 years as a default period landscaping etc. over and above the within the highway authority’s specification. developer and the highway authority, con- treated on the same basis for commuted to be covered by S38 works (see Appendix minimum requirements (i.e. additional Although individual highway authorities sideration should be given to minimising sum calculation purposes. 5) so it is essential ‘extra over’ areas and areas which are not required for the safe will have flexibility to determine their own the future maintenance liability as part • The historic acceptance of the basis costs are carefully defined so that develop- functioning of the highway) ‘standard’ specification and construction of the design process. Again, this could of application of commuted sums in ers are not burdened with unjustified costs. • Any street furniture not required for road details based on local circumstances, the include enhanced construction (i.e. to respect of adoption of bridges and safety purposes (as would normally be above definitions should normally apply. reduce any maintenance requirements) • Although there is not any legal structures should remain. the situation on residential streets) With the national trend towards or for the provision of higher quality requirement to provide lighting, the • All new works, including SUDS, • Any culvert, bridge, retaining wall or innovation, and higher quality design materials, which should then offset all or provision of ‘standard’ street lighting carried out as part of a S278 Agreement, other structure (as advocated by the MfS philosophy) part of the need for any commuted sum within S38 works will not generally be are appropriate for application of • Special features such as noise fencing as well as many planning authorities requirement. The asset categories list subject to commuted sums. commuted sums. and traffic signals encouraging certain construction materials should be verified locally and each • There should not be any retrospective • There should not be any requirement to to be used (or even insisting in Conservation authority should create its own standard application of this guidance, and it calculate any ’degree of benefit’ to the Areas and the like), the highway authority items list, which can be added to as should only apply to Agreements entered Continues overleaf... local authority in respect of commuted additional items are added for adoption.
1 UK Bridges Board (2005), Management of Structures: A Code of Practice, London: TSO, available from www.ukroadsliaisongroup.org.uk 014 015 Section Five
Continued from overleaf...
• Any soft landscaping in excess of the areas of grass verge For a LHA, the circumstances relating to the seeking of The commuted sums should be adjusted periodically to It is accepted that ‘standard’ construction types, and materials, over and above the minimum requirements of the authority commuted sums for future maintenance, can generally be accommodate any price fluctuations. This could be carried will vary from one authority to another but the principles of this (including trees) divided into four broad situations, namely: out by using current contract rates, and appropriate cost indices document should remain. Note: Wherever possible, these areas should be adopted as e.g. Baxter Index or the Department for Business Innovations As mentioned in Section 4.2, this document does not (i) ‘Additional’ areas not required for normal highways purposes. public open space or at least formal arrangements be made & Skills (BIS) ROCOS Index. propose any unit rates for maintenance costs to be used within (ii) ‘Extra over’ items for care by the authority responsible for landscaping the commuted sum calculations. It is not considered that these (iii) Alternative materials, and • The installation of specialist or ‘non-standard’ equipment 5.6 BONDING OF can be standardised on a national basis at the moment, as it is (iv) Sustainable Drainage Systems (SUDS). (e.g. street lighting equipment) that is not of the authority’s COMMUTED SUMS inevitable that these will vary, at least by region. standard type, and/or such items as decorative luminaires, These could equally apply to S38 and S278 works, and are Any commuted sums should be included in the Bond required or columns with embellishments applied etc. expanded in Appendix 4. 5.9 RISK under the S38 or S278 Agreement, unless payment is made prior • The additional columns (and equipment) from the provision to engrossment of the Agreement. This should be based on the Risk is acknowledged as a primary consideration in the calculation of street lighting to a standard above that which is normally 5.5 CALCULATING 'provisional' commuted sums calculated when the Agreement of the scale of commuted sum requirements, and it is incumbent on provided by the authority (and indicated in its lighting policy) THE ACTUAL COMMUTED is completed, and released following satisfactory completion of the adopting authority to understand such risk by making use of the • The use of any materials (e.g. surfacing materials), which whilst SUMS TO BE PAID the maintenance period and payment of the commuted sum. available data/experience both locally and nationally. being approved will result in maintenance or replacement costs Whilst it is accepted that there is a certain element of risk, to all over and above the authority’s ‘standard’ specification; The developer will be required by the relevant Agreement with 5.7 TIMING OF PAYMENTS parties, with regard to such issues as the use of new materials and • AnyPage 51 other ‘non-standard’ construction types or materials the highway authority to pay a commuted sum. However, it is SUDS (where, as yet, there may be insufficient evaluation), and the • Unusual drainage systems including on-line storage, hydro unlikely that the full cost implications of the site will be known The issue of when any commuted sum payment is to be made life of a development and so on, it is felt that any such risk can be breaks, pumping stations, open watercourses, sustainable by the authority at that stage. It is recommended that the authority will be dependent on the individual highway authority, and may minimised by the use of the standard procedures advocated in drainage systems (SUDS), permeable paving, swales and calculates the final commuted sums value immediately before the be on the execution of the Agreement or prior to the Final this document. soakaways; and development infrastructure is adopted. This should be based on Certificate being issued, or even after. It is recommended that, Risk transfer to the highway authority taking over the asset is • ‘Non- highway’ assets such as street art and public open spaces the 'provisional' commuted sums agreed at the Agreement stage. as normal practice, the commuted sum be payable before issue of effected once any commuted sum payment is received, and the The Agreement should contain provision for recalculating the the Final Certificate, and following satisfactory completion of the The overall intent is to give the highway authority greater flexibility asset adopted (or as otherwise set out in the Agreement). 'provisional' commuted sums based on actual quantities, revised maintenance period by the developer, i.e. immediately before to adopt ‘non-standard’ layouts and materials without placing It is important that a degree of flexibility, and scope for time periods to maintenance operations if appropriate, and a price formal adoption. undue burdens either on its maintenance budget or its Council innovation, is maintained within the process. It is expected that fluctuation factor to adjust current costs and maintenance The time period between the Agreement and completion of the Tax payers. the adoption of this guidance should not hinder this situation. operations specified in the Agreement (see Appendix 7). development can be quite long. As such, recalculation of the sum Regardless of the potential offer of a commuted sum payment, There are some concerns about the use of provisional and calculated at the time of the Agreement will be necessary to arrive the highway authority will retain discretion as to what it is prepared 5.10 THE WAY FORWARD final commuted sum payments in the event of either developer at the commuted sum payable prior to the issue of the Final to adopt, particularly where a proposal may not be acceptable in liquidation or a significant increase in the final sum compared to Certificate. (See Appendix 7, which illustrates relevant clauses This guidance provides a basis for negotiation that can be principle (e.g. on highway safety grounds) or where it would be the provisional, resulting in dispute. In this situation, some form from a typical council’s standard S278 and S38 Agreements). followed by all parties. It attempts to take a fair and balanced inappropriate for it to do so (e.g. street art, play areas); or where of ‘dispute resolution’ mechanism may need to be set up. view, but it will be for the parties in each particular case to flesh materials are considered to be of an unacceptable or inappropriate In the case of specialist landscaping materials, lighting 5.8 SCOPE FOR VARIATION out the framework it provides. The aim is to create a consistent specification. columns and signs, where finding replacements in future years As already discussed, this guidance is advisory, but it is and transparent approach, and a ‘base’ position from which to Appendix 1 identifies the specific asset types, and components, could prove to be difficult, an option could be for the highway recommended that the principles be adopted by all authorities move forward. for which commuted sums may be sought. authority to request a stockpile of material and adjust the and developers. The guidance allows for flexibility of approach It is important that the guidance should not be used for any 5.4 THE APPLICATION commuted sum payment requirement accordingly. This option and ability to stimulate any mutually agreed amendments. This form of retrospective consideration. It should only be used for would allow for any replacement specialist paving type materials guidance is not retrospective, and should only be applied to future agreements, with sufficient time being allowed to introduce AND AGREEMENT PROCESS to ‘weather’ on the same basis as the original, but may be a prob- those schemes where funding negotiations have not been the new procedures. A typical commuted sum procedure in connection with lem with storage for many authorities and is not regarded as an completed, and on all new negotiations; it being important to highway adoption from a developer is indicated at Appendix 2. acceptable solution in the medium to longer term. allow sufficient time to introduce the new procedures.
016 017 Appendix One ASSET CATEGORIES FOR WHICH COMMUTED SUMS MAY POTENTIALLY BE SOUGHT LEVEL 1 LEVEL 2 LEVEL 3 LEVEL 1 LEVEL 2 LEVEL 3 ASSET TYPE ASSET GROUP ASSET COMPONENTS ASSET TYPE ASSET GROUP ASSET COMPONENTS Carriageway Surfacing Hot Rolled Asphalt Paved area Street Furniture Urban, Suburban, Rural Bus shelters (where these are highway Negative Texture Surfacings Hard strip/ hard shoulder authority assets) (Thin Surface Course) Lay-by/parking bay Bus stop poles and flags Asphalt Concrete Central reserve Seating (Bituminous macadam) Roundabout (incl. mini) Litter bins Surface dressing Dedicated turning lane Dog bins High friction surfacing Hammerhead/turning area Bollards Pigmented Traffic island Marker posts Block paving Street name plates Modular paving Cycle racks Benches Carriageway Ancillaries Kerbs Bull-nose/full batter/half batter Hanging baskets Granite Planters Safety kerb Raised beds Bus stop kerbs Tree pit grating Dropped kerbs Tree supports/protection Road markings Line/text/symbol/numeral etc. Road studs Cored Verges and landscaped areas Earthworks Embankments Adhesive Structural earthworks Cuttings Footways, cycleways Asphalt Concrete Paved area – attached to carriageway Page 52 Reinforced earth & paved verges (Bituminous macadam) Paved area – remote from carriageway (incl PROW) Pigmented (binder, aggregates Footpaths and Bridleways Vegetation Grass or chippings) Off road cycle routes Trees Block paving Paved visibility splays Plants Modular paving Shrubs Tactile paving Hedges Unbound surfacing Traffic / pedestrian management Traffic signals Signal, column and foundation Footway ancillaries Vehicle crossovers Pedestrian signals Control equipment and cables Kerbs Illuminated traffic signs Bulbs Markings Non-illuminated traffic signs Sign, column and foundation Edgings Illuminated pedestrian signs Control equipment and cables Stiles and gates Non-illuminated pedestrian signs Illuminated bollards Fences & barriers Safety barriers Steel safety barriers Heritage pedestrian signs Concrete safety barriers Finger posts Pedestrian guardrail Gateway signs Parapets Information signs Variable message signs Amenity Fencing Knee-rail fencing Rotating plank signs Boundary fencing Noise fencing Traffic calming Speed bumps/humps Side road entry cushions/tables Structures Bridges Subways Chicanes Major Structures Culverts Speed cameras Retaining walls Traffic island Head walls Pedestrian refuge Sign/signal gantries and cantilever road signs Rumble strips Miscellaneous Structures Fords and causeways Cattle grids Hydraulic bollard systems
Tunnels CCTV
Street lighting Standard Column Architectural Foundation High mast Lantern Continues overleaf... Wall mounted lighting Control gear, switching, cabling, Decorative lit bollards feeder pillars etc. Subway/bridge lighting
018 019 Appendix Two TYPICAL COMMUTED SUM (CS) PROCEDURE FOR Continued from overleaf... S38 & S278 ADOPTIONS
LEVEL 1 LEVEL 2 LEVEL 3 Initial Discussions ASSET TYPE ASSET GROUP ASSET COMPONENTS Developer/Planning & Highway Authorities With respect to development proposal Drainage SUDS, Positive Petrol interceptors Drainage, Soakaways Pumping stations Gullies Issues identified by Planning & Highway Authorities Developer confirms land purchase Pipework/connections including any CS requirements in principle Channels Access chambers Ponds Combined kerb drainage units Planning Application Consult Highway Authority
Grips Hydro-brakes
Storage chambers/tanks Balancing ponds Application Processed Ditches Reed beds Control valves Catchpits Highway Authority calculates ‘provisional’ CS requirements Swales (eg. “non-standard” and “extra over” items etc) to be included
Page 53 Infiltration Trenches in Bond Filtration trenches Permeable Paving Infiltration blankets Consultation on more specialist inventory items eg. Bridges Storage blankets where site evaluation may be required Dry detention Basins Wet detention basins Tidal flaps, suburbs Draft section38/278 Agreement prepared by Legal Department Public Open Spaces Specialist activity areas Bowling greens Tennis courts Athletics tracks Pitches Allotments Consultation & final Agreement incl. CS requirement within Bond figure Play areas Community gardens Playing fields Equipped play space Informal recreational areas Works completed Assessment of any design changes Public amenity areas Landscaping that would affect CS’s Public art Street art
Miscellaneous Pay and display / parking CS recalculated including indexation ticket machines
After maintenanceperiod Developer invoiced for CS payment & Commuted Sum paid by Developer
Final certificate issued Bond Released Budget holders informed accordingly
Road Network adopted & Maintenance carried out to agreed frquency & funding allocation
020 021 Appendix Three
EXAMPLES OF SITUATIONS THAT MAY INCUR COMMUTED SUMS IN RELATION TO SECTION 38
(Source: Leicestershire County Council – www.leics.gov.uk/htd) The following examples show some types of layout or features that may incur commuted sums. Additional areas such as "squares" as shown in Figures A3.1 and A3.3 are not necessary for highway purposes and will result in an additional maintenance liability for the highway authority. Both examples also show trees within the adoptable area which may also need to be covered by a commuted sum. Structures such as retaining walls (Figure A3.2) which support the highway will also become the responsibility of the highway authority to maintain and may incur a commuted sum. The last example (Figure A3.4) shows bollards around the inside radius of a bend to prevent overrun and parking, and trees, both of which are beyond the typical features the highway authority would expect to maintain. Both features may incur a commuted sum. Page 54
Figure A3.2 H/w Retaining Structures
Figure A3.1 Additional areas beyond typical highway requirements
Figure A3.3 Additional areas beyond typical highway requirements
022 023 Appendix Four
TYPICAL SITUATIONS WHERE COMMUTED SUMS MAY BE SOUGHT ON ADOPTION OF DEVELOPMENTS Continued from overleaf... ‘ADDITIONAL’ AREAS NOT REQUIRED FOR NORMAL HIGHWAY PURPOSES
(Source: Leicestershire County Council – www.leics.gov.uk/htd) The cost of maintaining areas and construction which, under the highway authority’s normal design guidance are not required for the safe and satisfactory functioning of the highway. Examples are a “square” i.e. additional areas of carriageway, such as extended areas beyond the normal width of a turning head (see figure A4.1), hard landscaping, grass verges (see figure A4.2) and so on. Page 55
Figure A3.4 Highways Features – Bollards
Figure A4.1 Example of turning head within extended areas beyond the normal width of a turning head
Figure A4.2 Example of additional area of grass verge adopted under a commuted sum
024 025 Appendix Four
It is expected that, as LHAs embrace the design principles advocated in MfS, these types beneficial as it restricts the amount of hydro-carbons which run into the storm system, of examples may become less appropriate. The expectancy being that the more informal improving water quality in the areas and minimising damage to wildlife and eco-systems. types of layout will be accepted by LHAs within their revised design standards. Current Defra consultation on improving surface water drainage makes reference to Currently, within this heading a developer may be required to pay commuted sums for commuted sums in relation to SUDS. Relevant extracts from the document (Improving future maintenance in respect of: Surface Water Drainage) are: • For new adoptable highways generally constructed under S38 Agreements – 3.33 If capital works were needed on SUDS infrastructure, the expenditure by local Any additional areas and construction which result from the overall development authorities would be classed as public expenditure, and be subject to public layout design, which are over and above that which the highway authority would sector borrowing controls. However, capital SUDS works would not normally normally require to satisfy safety and operational requirements; and need to be undertaken by the body responsible for their adoption and maintenance. • Alterations carried out to existing highways under S278 Agreements. Some highway Rather, it would rest with the adopting body to ensure that all SUDS provided by authorities may consider waiving any commuted sums where the alterations had developers are properly designed and built. It would also be important to ensure already been programmed for construction by them. that SUDS maintenance and renewal works be financed through an ongoing funding ‘EXTRA-OVER’ ITEMS mechanism that enables appropriate service levels to be sustained.
In relation to S38, the cost of maintaining some features of the adoptable works which 3.34 If adoption of SUDS results in net additional costs to local authorities, the local can be considered as ‘extra over’ the normal design. Examples include highway structures, authority will ensure that these are fully funded as required under the Government's public transport infrastructure, landscaping, trees and shrubs, and special features such as new burdens rules. noise fencing. 3.65 The maintenance of SUDS is sometimes funded through commuted sums made by
Page 56 These costs represent an increase in the highway authority’s future maintenance liability developers to organisations that are currently accepting the responsibility of SUDS. which will be more than the anticipated normal funding generated by the development. This form of funding can be rather inflexible and can be both site specific and time Where commuted sums are appropriate, it is the difference in cost between the assets limited. It can also be a cause of difficult negotiation between parties, may be provided and the ‘standard’, that will be subject to a payment for future maintenance. inequitable, and is a disincentive to SUDS. The Government wishes to move the Note: Specialist items, such as traffic signals, are generally only provided in relation funding of the maintenance of SUDS and the charges on to a basis which meets to S278 works where it is the full cost that should be used. the needs of the service provider, is equitable and does not disincentivise the uptake of SUDS. ALTERNATIVE MATERIALS The additional cost of maintaining permitted alternative materials and features which are ‘non-standard’. Examples include proprietary surfacing materials, permeable paving and decorative street lighting equipment. These additional costs are in excess of that which the highway authority would have incurred if the materials and features used had been to the ‘standard’ specification. Again, where commuted sums are appropriate, it is the difference in cost between the assets provided and the ‘standard’, that will be subject to a payment for future maintenance. SUDS Sustainable drainage systems (SUDS) might include, for example, permeable paving, flow-attenuation devices, swales and storage areas. This is a relatively new area for high- way authorities and, as such, current operating experience is limited, but use should be made of existing industry knowledge. The adoption of SUDS, without the need for commuted sum payments, is encouraged wherever possible. Features such as swales of ‘run-off’ areas both pre-treat water that will eventually reach open water course and filter silts, reducing maintenance on underground pipework, minimising the risk of blockages and localised flooding which may result. Pre- treatment of surface water ‘run-off’ from the highway and parking areas is particularly
026 027 Appendix Five
THE CALCULATION METHODOLOGY CALCULATING COMMUTED SUMS Time period (T) When the life of a development is 60 years or more, it is recommended that a period of 60 There are a number of variations on the formulae that have been used for calculating years be used as the default period for calculating commuted sums for future maintenance. commuted sums. The essential feature is that the commuted sum paid is discounted to The period of 60 years is conventionally used as the life of housing and highways allow for the fact that it will be earning interest which will make up part of the maintenance assets. 60 years for commuted sums represents a reasonable compromise between payment when it is required. . It is therefore necessary to determine the net present value covering future costs and the uncertainties over whether they will be required in the future. of a future expense, and the following formula is recommended to be used to calculate the • Commuted sums will need to include for replacement of assets with a shorter life than maintenance obligation: that expected for the development. Net present value = !Mp/(1 + D/100)T , where The potential exceptions to the use of this time period are: Mp = Estimated future maintenance cost T years from now • Where assets have been constructed to serve a development that is intended to have D = Discount rate (effective annual interest rate) (%) less than 60 years life. In such situations it is reasonable to use the expected life of T = Time period before expenditure will be incurred (years) the development as the period for which commuted sums for future maintenance should be sought Commuted sum = summation of all net present values for appropriate future costs • Where commuted sums for maintenance of assets adopted under S278 cover a period MAINTENANCE COST (MP) of, say, 15 or 30 years until major repair/refurbishment, this period should continue to be used
Page 57 This guidance does not provide any cost information. The normal method would be for • Where a highway authority or other body is adopting a substantial asset (e.g. a bridge) the highway authority to use its current contract rates. The maintenance regime generally which forms part of a public network (particularly where it is part of the strategic being based on a ‘whole life costing’ approach with the frequency of treatment, and/or the network) rather than serving a development. Where the need for the asset is long-term, intervals of replacement, based on planned frequencies or historic information (see Section it is reasonable to seek commuted sums covering replacement of the asset, provided 4). It may also be appropriate to add an agreed percentage to the works costs to cover the that there is a strong likelihood that it will be needed for a period longer than 60 years. highway authority design and supervision costs. The Bridge Management Code (section 4.8.9) recommends taking a life of 120 years PERIODIC DISCOUNT RATE (D) adjusted to reflect any ‘whole life cost’ analysis indication of a reduced economic remain- ing life. Calculations for such time periods will frequently include provision for complete The recommended discount rate (effective annual interest rate) is 2.2%, and is worked replacement of a structure in addition to maintenance operations. out as follows: Note: If a highway authority considers that a different rate or time period should be D = ((1.045/1.0225) – 1) x 100 used due to changing circumstances (e.g. transfer of a bridge which will be required in = 2.2% perpetuity), the reasons for doing so and the calculations used must be made explicit.
where 1.045 is the interest rate (4.5% based on long-term neutral base rate), 1.0225 is the inflation rate (2.25% based on RPI-X that is RPI excluding mortgage payments). This formula ensures that both the interest earned on the commuted sum, and the effect of inflation in increasing the cash sums eventually required, are taken into account.
It is not recommended to use a discount rate of 3.5% for two reasons: • It is the government’s rate for project appraisal, which is not the same process as calculating commuted sums • It does not take account of inflation, and therefore tend to result in commuted sums which are too small.
Commuted sum calculations can be very sensitive to variations in the adopted discount rate.
028 029 Appendix Six
TYPICAL COMMUTED SUM CALCULATION EXAMPLES
The following examples are amongst those sent as contributions towards identifying and sum them to give a commuted sum of £6,544. good practice in levying commuted sums. Each example is qualified by comment Present Values of £300 per annum at a discount rate of 2.2% whether it is considered good practice, or otherwise. £ EXAMPLE ONE Yr 1 300 Yr 2 287 TYPICAL COMMUTED SUM FOR ADDITIONAL COST OF HERITAGE LIGHTING Yr 3 281 (Lancashire CC) (from report of CSS Lighting Working Group 2003) Yr4 275 Method: Yr5 269 Calculate additional maintenance cost over life of the installation (30 years). Yr6 263 Yr7 258 Additional cost is: Yr8 252 Lanterns – renew all after 15 years Yr9 247 Replace 10% of complete units due to damage during 30 years. Yr10 241 (in each case being extra cost over standard equipment) Yr11 236 Divide total additional cost by 30 to give annual cost. Yr12 231 Invest a sum, which will yield that annual amount on an interest rate of 3.5%. Yr13 226 Yr14 221 Example Calculation: Yr15 216 Standard (£) Heritage (£) Extra (£) Page 58 Yr16 212 Lantern 110 340 230 Yr17 207 Column 35 170 135 Yr18 203 Total 145 510 365 Yr19 198 There are 18 no. units on the installation Yr20 194 Yr21 190 10% – 2 units. Yr22 186 Additional cost of lanterns = 18 x £230 = £4,140 Yr23 182 Additional cost of complete units = 2 x £365 = £ 730 Yr24 178 Total = £4,870 Yr25 174 Yr26 170 Annual amount = 4870/30 = £162 Yr27 167 Yr28 163 Commuted sum = 162/0.035 = £4,628 Yr29 160 However, as the lanterns require replacement every 15 years, this example appears to Yr30 156 understate the total amount required by £4,140 – the cost of replacing the lanterns in Commuted Sum 6,544 Year 30 as well as Year 15. This would give a total cost of £9,010 (£4870+£4,170) and an annual cost of £300 per year. The commuted sum would be: In line with the recommendation that the default period for commuted sums for adoptions under S38 should be 60 years, it is considered that there should be a justification for the £300/0.035 = £8,571 use of 30 years as the time period. In practice, if there has been a policy decision on this, Comments it would not be required with every calculation. This is a good example of identifying additional maintenance costs for which it is appropriate to seek commuted sums. EXAMPLE TWO It is considered that a discount rate of 2.2%, which takes into account inflation, is better Extract from CSS Guidance Notes on Commuted Sums for Bridges – 3rd Draft, CSS 2005 than 3.5% which is likely to result in the LHA finding the commuted sum insufficient as cash maintenance costs rise with inflation. Sum To Provide Costs Of Reconstructions (SUM A) The calculation used above will result in the LHA still holding the £4,628 (or £8,571) All reconstructions up to and including 150 years from ownership transfer are taken commuted sum figure at the end of 30 years, as this is the principal sum to provide the into account. annual maintenance cost in perpetuity rather than for 30 years. This is not of major Sum A = ! cost of reconstruction at current prices concern for the size of figures used in the example, but the sums involved for a LHA (1+d)y for adopting a real development could be large. It is recommended that the commuted for each reconstruction, y years from now up to and including 150 years sum be calculated by summing the present values (PVs) of the annual maintenance cost of £162 (or £300 covering an additional lantern replacement) for each of the 30 years. In the table below we show the PVs for £300 per annum at a discount rate of 2.2%, 030 031 Appendix Six
Example The CSS costs can be used in conjunction with Table 3’s discount factors (below) A culvert has an expected life of 20 years and will then be replaced by a corrugated to calculate the present sum of money required to meet the cost of all predictable steel buried pipe at an estimated present day cost of £18,000 with a life of 120 years. maintenance of an asset throughout the next 150 years (SUM B). Where the cost Reconstructions will take place after 20 and 140 years at a present day cost of £18000. figures provided in Table 4 are used, SUM B is adjusted from 1996 to current prices It is therefore necessary to add the net present values of £18000 calculated for these time for incorporation in the commuted sum. periods. Our note: the discount rates shown below are 3.5% at 20 years and 2% at The CSS’s table of costs (updated from 1996 to current values) can be used in 140 years which appears to be in line with Treasury advice on reducing discount rates conjunction with their table of discount factors (below) to calculate the present for appraisals) sum of money required to meet the cost of all predictable maintenance of an asset throughout the next 150 years (SUM B). Net Present Value of reconstructions Maintenance Discount Factors !A = 18000 x 1 + 18000 x ____1____ For cyclical costs which are predicted to occur at fixed intervals over the entire life of the (1+0.035)20 (1+0.02)140 structure, [appropriate] values of: 1___
(using discount rate of 3.5% for 20 years and 2.0% for 140 years (see comment) (1+d)y
= 18000 (0.50257 + 0.06251) (where d is the discount rate and y the year in which maintenance occurs) can be com- bined to give a maintenance discount factor for the relevant time interval. These factors = £10171.44 are listed in Table 3 below. Page 59 The sum to provide costs of reconstructions of the culvert 20 and 140 years from now ‘Table 3’ Maintenance Discount Factors for a period of 150 years. Discount rate 3.5% is £10,171. Maintenance Interval Discount Factor D Discount Factor D Comments (years) Reconstruction (No reconstruction) This is a textbook example of the application of the preferred formula for calculating after 120 years) the commuted sum of future maintenance activities. 2 17.01636 17.06801 It is recommend that the use of a single discount rate of 2.2% for the reasons stated 5 6.44318 6.49484 in Appendix 5. 7" 4.13358 4.18524 It is considered that a very strong justification is required for levying a commuted sum 10 2.98629 3.03795 for an event 140 years into the future. In this example the PV of £18,000 in 140 years is 15 1.79976 1.85142 £1,125. Given the possible high degree of uncertainty that the work will be required, and 20 1.26472 1.31638 uncertainty over the cost of replacement in the middle of the 22nd century, the justification 30 0.68565 0.73731 for requiring a commuted sum of £10000 to meet replacement costs is questionable. 40 0.44526 0.49692 Nevertheless there are occasions when bridges on major highway routes transfer between 50 0.36404 0.41570 authorities, and there is every reason to assume that those routes will exist in perpetuity. In those cases, depending on the discount rate being used, there is a point beyond For example, the discount factor for 15 yearly maintenance = 1.79976 (in bold above). which the present value of costs becomes insignificant. Calculations can therefore be This is made up of the sum of the individual 15 yearly discount factors: 0.59689 + 0.35628 curtailed accordingly. + 0.26444 + 0.16973 + 0.10895 + 0.10836 + 0.07482 + 0 (reconstruction year) + 0.06902 + 0.05128 Sum To Meet Costs Of Predictable Maintenance (SUM B) CSS have prepared a table which lists average maintenance costs and anticipated intervals Calculation Example at which they are anticipated to occur, for a range of structural types and elements (these From CSS table: replacement of a bridge joint every 15 years. are set out in a table in the CSS guidance notes). Cost for 25 metres @ £580 per metre = £14,500 These figures were derived for a rural authority bridge stock in 1996. They may not Commuted sum for a maintenance period of 150 years is: be appropriate in some situations, and other figures may be substituted if available. Further guidance on periodic bridge maintenance costs for highway bridges is available in Cost every 15 years X discount factor for 15 yearly maintenance from ‘Table 3’ Departmental Standard BD 36. £14,500 x 1.79976 = £26,097
Maintenance Discount Factor tables can be drawn up for any asset maintenance period to speed up calculations.
Comment The material above is a good example of systematising information on costs and discount factors for certainty of obligation and ease of calculation, although, as previously noted, it is recommended that a discount rate of 2.2% rather than the 3.5% be used.
032 033 Appendix Six
EXAMPLE THREE From Lincolnshire Shared Services Partnership Project: Draft Proposal for Commuted Sums for Street Lighting Maintenance, Nov 2007
LSSP – STREET LIGHTING – TOTAL COMMUTED SUM CALCULATION
Commuted sum period 150 years Life of column 40 years Bulk lamping cycle 3 years Lantern change cycle 15 years Test & Inspect cycle 6 years Night patrol cycles 26 years
Cost of replacement £900 per column Cost of lamp change £15 per column Cost of lantern change £110 per column Cost of test & inspect £10 per column
Page 60 Cost of night patrol £36 per 1000 columns
Number of columns of which 4 columns Years at NPV Years at NPV Years at NPV Years at NPV Years at NPV Years at NPV SUM A 100 % to be replaced in 5 £3,031and 45 £952and 85 £441and 125 £164and 999 £0 and 999 £0 £4,589 0 % to be replaced in 10 £0 and 50 0 % and 90 £0 and 130 £0 and 999 £0 and 999 £0 £0 0 % to be replaced in 15 £0 and 55 0 % and 95 £0 and 135 £0 and 999 £0 and 999 £0 £0 0 % to be replaced in 20 £0 and 60 0 % and 100 £0 and 140 £0 and 999 £0 and 999 £0 £0 0 % to be replaced in 25 £0 and 65 0 % and 105 £0 and 145 £0 and 999 £0 and 999 £0 £0 0 % to be replaced in 30 £0 and 70 0 % and 110 £0 and 150 £0 and 999 £0 and 999 £0 £0 0 % to be replaced in 35 £0 and 75 0 % and 115 £0 and 999 £0 and 999 £0 and 999 £0 £0 0 % to be replaced in 40 £0 and 80 0 % and 120 £0 and 999 £0 and 999 £0 and 999 £0 £0 0 % to be replaced in 45 £0 and 85 0 % and 125 £0 and 999 £0 and 999 £0 and 999 £0 £0 0 % to be replaced in 50 £0 and 90 0 % and 130 £0 and 999 £0 and 999 £0 and 999 £0 £0 0 % not being replaced TOTAL SUM A £4,589 Note: The replacement of all the columns at Year 5 reflects the variable condition of those taken
SUM B SUM A £4,589 NB: Spreadsheet for Sum B elements not shown £692 For lamp change SUM B £2,066 Comment £1,015 For lantern change £6,655 TOTAL COMMUTED SUM A good example of setting out a PV calculation for periodic replacement of assets. £231 For test & inspect As already stated, it is preferred to use a discount rate of 2.2% that takes account £129 For night patrol of inflation. With future values increasing with inflation a discount rate of 3.5% risks £2,066 TOTAL SUM B NB: These calculations assume a robust, fully populated inventory exists leaving the LHA out of pocket. It is considered that there would need to be a very strong justification for levying a commuted sum to cover projected expenditure in Years 85 and 125. 87% of Sum A is accounted for by replacement at Years 5 and 45.
034 035 Appendix Seven
EXAMPLE FOUR TYPICAL REFERENCES TO From Leicestershire County Council
Commuted Sum Calculation Tegula blockwork to carriageway COMMUTED SUMS IN S278 Take up and relay blocks @£31.10/m2. Add cost of new blocks (10%) @ £21.25/m2 = £2.13/m2. Total £33.23/m2 & S38 AGREEMENT CLAUSES
(Extracts from Leicestershire County Council documentation) 15% of total treated in 10 years = £4.98 be null and void but otherwise it shall be and remain in full force and the Estimated periodic maint cost (£ at present values) giving by the Authority of any extension of time for the performing of the S278 AGREEMENT CLAUSES S.278 Covenants or any covenant contained in the S.278 Agreement and Interval between periodic maintenance (years) Mp 4.98 on behalf of the Developer to be performed or fulfilled or any forbearance Discount rate (%) T 10.00 Security or forgiveness on the part of the Authority to the Developer in respect of Upon the execution of this agreement the Developer shall secure the costs Time limit for commutation (years) D 2.200 any matter referred to in or concerning the S.278 Agreement shall not in of the Highway Works by deposit with the highway authority of a sum Tmax 60.00 any way release the Surety from the Surety’s liability under the above written equivalent to the Director's reasonable estimate of the cost of the Highway Present value of a future maintenance event = Mp / (1 + D/100)nT (where n is the Bond PROVIDED THAT upon the issue of the Provisional Certificate under Works (including any Statutory Undertakers works) together with any com- number of the maintenance event - 1st, 2nd, 3rd etc., and nT does not exceed Tmax.) Clause 2 of the S.278 Agreement the liability of the Developer and the muted sum payable to the highway authority in accordance with Clause Surety under this Bond shall be reduced to a sum equivalent to ten per cent 26 in the sum of £ , .00 of the cost of the Highway Works together with the value of the commuted Event no. n nT Present value or sum as calculated in accordance with the Schedule hereto upon the issue Event no. 1 10 4.01 Prior to the commencement of the Highway Works the Developer shall of the Provisional Certificate or a minimum sum of one thousand pounds Event no. 2 20 3.22 secure the cost thereof by the deposit with the highway authority of a (£1,000) whichever is the greater and upon the issue of the Final Certificate Event no. 3 30 2.59 Bond in the manner and form incorporated in the Second Schedule hereto under the S.278 Agreement the liability of the Developer and the Surety Event no. 4 40 2.09 in a sum equivalent to the Director’s reasonable estimate of the cost of the under this Bond shall absolutely cease Event no. 5 50 1.68 Highway Works (including any Statutory Undertakers works) together with Event no. 6 60 1.35 any commuted sum payable to the highway authority in accordance with SCHEDULE Event no. 7 n/a 0.00 Clause 26 1.In this Schedule:-
Page 61 "Index" means the Resource Cost Index of Road Construction Event no. 8 n/a 0.00 Commuted Sum (ROCOS) published by the Department for Business Enterprise and Event no. 9 n/a 0.00 Immediately prior to the issue of the Final Certificate of Completion the Regulatory Reform as part of the Quarterly Building and Cost Indices for Event no. 10 n/a 0.00 Developer shall pay to the County Council a commuted sum towards the Public Sector Construction Works or such other index as may from time Event no. 11 n/a 0.00 cost of future maintenance of the said roads in the sum of THOUSAND to time be published in substitution thereof Event no. 12 n/a 0.00 HUNDRED AND POUNDS (£ ) adjusted in accordance with the "Base Index Date" means the date of this Agreement Schedule to the Bond hereto to arrive at the Final Sum Payable Event no. 13 n/a 0.00 "Base Index Figure" means the figure last published in or Event no. 14 n/a 0.00 respect of the Index prior to the Base Index date at the time of the If so required the Developer shall pay to the highway authority prior to Event no. 15 n/a 0.00 Base Index Date the issue of the Final Certificate of Completion such reasonable commuted Event no. 16 n/a 0.00 sum as may be agreed between the parties towards the cost of future Event no. 17 n/a 0.00 "Final Index Figure" means the figure including any provisional figure last maintenance of items such as special street lighting, trees and their published or otherwise agreed or determined in respect of the Index prior Event no. 18 n/a 0.00 maintenance and special works in respect of preservation and any to the respective date upon which the Commuted Sum is payable Event no. 19 n/a 0.00 sustainable drainage 20 n/a 0.00 If time periods to any maintenance operation covered by the commuted Commuted sum 14.93 Use of Sums Paid sum are different from those used in the calculation (e.g. if the asset has (total present value of The County Council shall use such sums as are payable in accordance with been in service for a year or more), it will be necessary to recalculate the the terms of this agreement together with any interest which may accrue future maintenance) sum using the revised periods and updated costs of maintenance operations. only for the purposes set out above Total Commuted Sum 16.43 If the time periods are unchanged from those in the calculation, the com- muted sum shall be increased by such sum if any in pounds sterling as (Including 10% design SECOND SCHEDULE shall be equal to the sum calculated according to the following formula:- and supervision) BY THIS BOND WE (Name of Developer) whose registered office is situate Increased Sum = A x C at (Insert Registered office of Developer) (hereinafter called "the Developer") B and (Insert name of Surety) whose registered office is situate at (insert Where: "A" equals the Commuted Sum Note that the commuted sum for maintaining the same area of Tegula Blockwork for 30 years is £10.80, address of Surety) (hereinafter called "the Surety") are held and firmly "B" equals the Base Index Figure indicating the additional costs from increasing the CS period to 60 years. bound unto LEICESTERSHIRE COUNTY COUNCIL (hereinafter called "the "C" equals the Final Index Figure Authority") in the sum of for the payment of which sum Comment the Developer and the Surety bind themselves their successors and assigns If after the Base Index Date there should be any change in the Base Index A good example of setting out a PV calculation for periodic maintenance. It uses the preferred discount rate of jointly and severally by these presents WHEREAS the Developer has entered Figure by reference to which changes in the Index are calculated, the figure 2.2% and recommended default period of 60 years. into an Agreement with the Authority dated Two taken to be shown in the Index after such change shall be the figure which Thousand and (hereinafter called "the S.278 Agreement") pursuant On the face of it, this example shows the full costs for maintaining Tegula blocks rather than the additional would have been shown in the Index if the said Base Index Figure had to Section 278 of cost over a standard finish. This example illustrates the importance of restricting commuted sums, to additional been retained and the appropriate reconciliation shall be made but if for the Highways Act 1980 whereby the Developer has covenanted to carry costs only, when covering 60 years main-tenance. In this example, the increase in the commuted sum from that any reason the Index shall be otherwise altered or shall be abolished or out the Highway works referred to in the S.278 Agreement (hereinafter replaced, there shall be substituted for the purposes of this Schedule such for a 30 year period at £9.81, to that for 60 years, £14.93, is £5.12, or 52%. called "the S.278 Covenants") index as may from time to time be published by or under the authority of any Ministry or Department of Her Majesty's Government and if no such NOW THE CONDITION of the above written bond is such that if the index is published, the parties thereto shall endeavour to agree such Developer shall well and truly perform and fulfil the S.278 covenants other index as shall most closely reflect changes in the cost of Public according to the true purpose intent and meaning of the S.278 Agreement or Works (Roads) if on failure by the Developer so to do the Surety shall pay to the Authority the said sum of then the above written Bond will 036 037 Appendix Eight
BIBLIOGRAPHY AND REFERENCES
Legislation Legislation can be accessed on-line from www.opsi.gov.uk/ • Highways Act, HMSO, 1980. • Local Government Act 2000 and Local Government Act 2003 • Local Government (Miscellaneous Provisions) Act,1982 If any substitution for the said Index or any index previously substituted After all of the above has been done to our satisfaction, we will: • New Roads and Street Works Act, HMSO, 1991 thereof shall occur pursuant to the provisions of Clause 3 of this Schedule, • issue a final certificate of completion; • Road Traffic Act, HMSO, 1988. the parties hereto shall endeavour to agree the appropriate reconciliation • inform you that the bond can be cancelled; • Town and Country Planning Act, HMSO, 1990. between the Index substituted on the one hand and the ROCOS Index • post notices of adoption on-street; and • Water Industry Act, HMSO, 1991 or any index previously substituted thereof on the other hand. • adopt all areas dedicated within the Section 38 agreement as highway Highways documents S38 AGREEMENT CLAUSES to be maintained at public expense. • Highways, transportation and development - the Leicestershire Guide www.leics.gov.uk/htd • Evaluation of maintenance costs in comparing alternative designs for highway structures BA 28/92, DMRB, Volume 1, Section 2, Part 2, TSO, 1992. Surety Payments to us • Evaluation of maintenance costs in comparing alternative designs for highway structures BD 36/92, DMRB, Volume 1, Section 2, Part 1, TSO, 1992. We must be protected against the risk of unforeseen expenditure if you We make a charge for the work involved in: • Maintaining a vital asset, UK Roads Liaison Group, DfT, 2005. leave the road works unfinished for any reason. So we will calculate the • preparing and managing the Section 38 agreement; • Management of highway structures - A code of practice, UK Bridges Board, TSO, 2005. cost of the road works, including any highway structures, highway drainage • checking the design of the road works, any associated structures and • Manual for streets, Thomas Telford, 2007. and commuted sums (where applicable) and you must provide us with an any highway drainage; and • inspecting the works on site. • Well lit highways - Code of practice for highway lighting management, UK Lighting board, TSO, 2004. appropriate surety equal to the cost that we calculate. This may be in the • Well maintained highways - Code of practice for highway maintenance management, UK Roads Liaison Group, TSO, 2005 form of: The charge for administration, design checking and site inspection is • Guidance Document for Highway Infrastructure Asset Valuation, UK Roads Liaison Group, TSO 2005 • a bond with a recognised financial institution; or normally a fixed percentage, and currently this is normally 6%, of the • Commuted sums for the relief of maintenance and reconstruction of bridges (Third draft), CSS Bridges Group, January 2005. • the equivalent sum of monies lodged with us. estimated cost of the total road works, as calculated by us, excluding any associated structures (see below) and SUDS and ‘non-standard’ drainage • Interim Code of Practice for Sustainable Drainage Systems, National SUDS Working Group, 2004. Issuing a provisional certificate systems. There is a minimum charge of £1000 for each agreement. • Investigation into the current and future application of commuted sum charges for street lighting, CSS Lighting Working Group, December 2003. When we issue a provisional certificate, the amount of bond can be • National SUDS Working Group: Interim Code of Practice for Sustainable Drainage Systems, July 2004 Edition. reduced,Page 62 usually to 10% of the original amount. The exception to this is We will make additional charges for design checking and site inspection of where you are paying us a commuted sum in which case the bond cannot highway structures based on ‘actual’ costs. (Please see Part 4, Section MC15 Planning and other documents be reduced to a value less than the ‘provisional’ commuted sums that we for further details on structures.) We will also charge additional fees, based • Planning Policy Statement 25: Development and Flood Risk, Department for Communities and Local Government, 2006. have calculated. on ‘actual’ costs, for SUDS and ‘non-standard’ drainage systems. (Please see • Planning Policy Wales, March 2002. National Assembly for Wales Part 4, Section MC8 for further details on drainage). • Better streets, better places delivering residential environments, Office of the Deputy Prime Minister (now Department for Communities and Issuing a final certificate Local Government), 2003. We will also charge a separate fee of 10% of any commuted sum towards We will issue a final certificate of completion when the following actions • ODPM Circular 05/2005: Planning Obligations, Office of the Deputy Prime Minister (now Department for Communities and Local Government), 2005. the costs of our additional administration and inspection work. have taken place. • Planning Policy Guidance Note 3: Housing (Cancelled), Office of the Deputy Prime Minister (now Department for Communities and Local • You must contact us at the end of the maintenance period to arrange Commuted sums Government), 2000. a further joint inspection of the road works (including any landscape For some time we have normally required commuted sums to cover mainte- • Delivering Stability: Securing our Future Housing Needs, H M Treasury, Barker Review of Housing Supply, March 2004. planting, trees, grassed areas and so on). We will issue you with a list nance of such items as highway structures, noise fencing, traffic signals and • CIRIA 697 Maintenance Standards of any outstanding remedial works we require you to do, which you ‘heritage’ street lighting where they are to be adopted as part of a publicly • Delivering Quality Places: Urban Design Compendium 2, English Partnerships 2007 must then complete to our satisfaction. maintained highway,. We have now broadened this requirement to give us • Improving surface water drainage - Consultation to accompany proposals set out in the Government’s Water Strategy, Future Water, February 2008 • You must have maintained the road works to our satisfaction during greater flexibility to adopt ‘innovative’ layouts and ‘non-usual’ materials the maintenance period. without placing undue burdens either on our budgets or on Council Tax • You must have maintained any existing or new landscape planting, payers. trees, shrubs, grassed areas and so on to our satisfaction during the Appendix Nine road works’ maintenance period. So, where in principle we are prepared to adopt them, you will normally • You must provide us with a copy of the provisional certificate of also have to pay commuted sums on: GLOSSARY OF ABBREVIATIONS adoption for the drainage and sewers, as issued by the relevant • additional areas exceeding usual highway design standards and which water company. are not required for the safe functioning of the highway; CAA Comprehensive Area Assessment MSIG Midlands Service Improvement Group • You must pay us any commuted sums that are required. • materials outside our usual Specification; CIL Community Infrastructure Levy NFB National Federation of Builders • You must pay us any other charges that are required, for example to • non-usual or additional street furniture; CIRIA Construction Industry Research and Information NHBC National House-Building Council cover the bulk clean and lamp change for illuminated signs (see Part 4, • landscaping within the proposed highway, including trees; and Association NPV Net Present Value paragraph 4.114) or to cover similar for street lighting (see Part 4, • sustainable drainage systems (SUDS), for example, flow-attenuation CS Commuted Sum PFI Private Finance Initiative paragraph 4.128). devices, swales and storage areas). CSS County Surveyors Society PDG Planning Delivery Grant • Where the new road is subject to a safety audit, stage 4 must have been DC District Council PPG Planning Policy Guidance Note: Where you are proposing SUDS, you must hold discussions with completed to our satisfaction. We will decide whether we can issue the DCLG Department for Communities and Local Government PV Present Value final certificate once the stage 4 12-month report has been completed. all relevant parties at an early stage (and certainly before you submit DfT Department for Transport RNF Relative Needs Formula (Please see appendix D for further information on safety audits). your planning application) to agree ownership and responsibility for DMRB Design Manual for Roads and Bridges RSG Revenue Support Grant • You must provide us with ‘as built’ drawings, preferably in an electronic the facility. form on CD, for example Autocad file. HA Highways Agency RTPI Royal Town Planning Institute • You must provide us with the health and safety file, on CD, produced HA 1980 Highways Act 1980 SUDS Sustainable Drainage Systems in line with the Construction (Design and Management) Regulations HAMP Highway Asset Management Plan TAG Technical Advisers Group 1994 (CDM). HBF Home Builders Federation TAMP Transport Asset Management Plan LHA Local Highway Authority TAN Technical Advice Note (Wales) LPA Local Planning Authority 038 039 Agenda Item 9c
Report of the Cabinet Member for Place
Cabinet – 28 February 2013
FRAMEWORK AGREEMENT FOR RESIDENTIAL CONSTRUCTION WORKS
Purpose: To seek approval for the establishment of a Residential Contractor Framework Agreement for Construction Works to assist in the Authority’s current and future Housing Capital Works Programmes.
Policy Framework: Contract Procedure Rules.
Reason for Decision: To comply with Contract Procedure Rule 13 -To approve the award of a contract
Consultation: Legal Services, Finance, Housing, Procurement
Recommendation: It is recommended that Cabinet:
1. Approves the use of this Framework.
2. Authorises the Award of the Contract for the Refurbishment of B.I.S.F Properties, Gendros, Swansea to Contractor B.
3. Authorises the Responsible Officer to approve the award of contracts following any mini competitions held under the Framework and authorises the Head of Legal, Democratic Services and Procurement to enter into contracts with the successful contractors as appropriate.
Report Author: John Lewis
Finance Officer: Steve Matthews
Legal Officer: Deb Smith
1.0 Introduction
1.1 In order to assist the Authority’s current and future Capital Housing Programme in support of the achievement of the WHQS it is necessary to establish and put into place a Framework Agreement for Construction Works.
1.2 The Framework will consist of five contractors, and the establishment of the Framework Agreement is in line with current best practice.
Page 63 1.3 The Framework Agreement is an arrangement for a term of four years, comprising of an initial term of two years with an option to extend for a further two terms of twelve months each.
1.4 The establishment of the Framework Agreement will negate the need to procure each project through the Buy4Wales portal during the period of the Framework. This has the benefits both of a financial saving to the Authority, and a substantial decrease in the amount of time taken to set up such contracts on a project specific basis thus speeding up the delivery of the individual projects.
1.5 Individual project specific contracts procured off the Framework will not exceed the stated threshold for works as defined by OJEU/EU Regulations and it is proposed that all projects falling under this Framework can be awarded by the Head of Corporate Building and Property Services and the Head of Legal, Democratic Services and Procurement, irrespective of value, via delegated powers and as approved by Cabinet.
1.6 From the Housing Capital Programme 2013/14 – 2015/16, some future call offs will exceed £1m in value. It is the intention that the Responsible Officer will approve award of these contracts as stated in 5.2 below. Contracts exceeding £1m in value include:
• 13/14 – WWP Winch Wen (£1.80m) • 14/15 – WWP Penlan (£1.1m) • 15/16 – WWP Croft Street (£3.0m)
1.7 Within the tender document it is made clear that the Authority does not guarantee work to any firms.
2.0 Selection Process
2.1 Following an advertisement placed in OJEU, Contractors were selected to be appointed onto the Authority’s Residential Contractor Framework for Construction Works following a two stage selection process. 2.2 First stage pre qualification questionnaires were sent to interested Contractors. Completed submissions were scored according to their technical expertise (quality) with the highest scoring ten applicants being invited onto the second stage submission. These quality elements included financial standing, technical expertise, company management, equal opportunities, health and safety, approach to targeted recruitment and training, Beyond Bricks and Mortar, and approach to sustainability and waste management. A summary of the first stage scoring is shown in Appendix A. 2.3 During the second stage tender period Contractors C and D withdrew from the tender process.
Page 64 2.4 For second stage submissions the eight remaining contractors submitted a priced tender together with responses to project specific questions. The priced tender was based upon a project included within the Authority’s Housing Capital Programme 13/14, namely, The Refurbishment of 42Nr. BISF Properties, Gendros, Swansea.
2.5 Second stage submissions were assessed upon the written responses (Quality) and priced tender (Cost) based upon a weighting of 30:70. Panel members independently scored each submission in accordance with the tender documents. Again the quality elements included their approach to the delivery of the project, company management, health and safety, approach to targeted recruitment and training, Beyond Bricks and Mortar, and their approach to sustainability and waste management. 2.6 Following evaluation of both the quality submissions and financial submissions, the highest scoring five Contractors will be appointed onto the Framework. In addition, to assist in accelerating the works the highest scoring Contractor will be awarded the construction contract for the tendered scheme subject to that Contractor having the capacity to undertake the works. Thereafter, all future projects will be awarded through the mini competition process which will be quicker than a traditional approach.
2.7 Overall quality/cost scores for each contractor were generated as shown in Appendix B, with the highest scoring Contractor being recommended for contract award.
3.0 Evaluation
3.1 The Tender Evaluation Panel met on 23rd January 2013 and decided unanimously that it should be recommended that Cabinet accept the establishment of a Residential Contractor Framework Agreement for Construction Works, that the highest scoring five Contractors should be appointed onto the Framework, and that the first project for the refurbishment of B.I.S.F Properties, Gendros, Swansea should be awarded to Contractor B.
4.0 Financial Implications
4.1 Future contracts arising from the Framework will only be let where there is sufficient HRA budget to meet the full cost of individual schemes.
4.2 The budget for the scheme for the Refurbishment of 42Nr. BISF Properties, Gendros is sufficient for the current contract.
5.0 Legal Implications
5.1 This Framework has been established via an EU compliant restricted process. All relevant information has been provided to the tenderers within the Notice, ITT and tender documents. There has however been some confusion over the form of contract to be used and the evaluation
Page 65 of the financial data submitted. Although there is a risk that any unsuccessful tenderer may wish to challenge the Council on the basis that there has been lack of clarity on these issues, this risk is minimised as a result of all tenderers having been given the opportunity to reflect on the situation and to amend their tender submission accordingly. None chose to do so.
5.2 This tender has been designed so that the top five scoring contractors are appointed onto the Framework and the highest scoring tenderer is awarded the first call-off contract. Subsequent contracts will be awarded by mini-competition. In accordance with Contract Procedure Rules, if the value of any call-off contract exceeds £1m, then that contract award must be approved by Cabinet. In order to facilitate the efficient use of this Framework to deliver the Council’s programme of works, Cabinet will be requested to authorise the Responsible Officer to approve the award of all call off contracts, irrespective of their value, and to authorise the Head of Legal and Democratic Services and Procurement to enter into all contracts on behalf of the Council as are necessary.
5.3 The Responsible Officer is satisfied that the tender process has been undertaken in accordance with prevailing Contract Procedure Rules and Public Contracts Regulations and recommends approval in accordance with those Rules.
Background Papers: None
Appendix A: Summary of the First Stage Scoring
Appendix B: Overall quality/cost scores for each Contractor
Page 66 RESIDENTIAL CONTRACTOR FRAMEWORK
SQuID ASSESSMENT
APPENDIX A
1 Contractor A 1505.30 2 Contractor B 1482.99 3 Contractor C 1443.69 4 Contractor D 1413.01 5 Contractor E 1395.96 6 Contractor F 1392.72 7 Contractor G 1385.32 8 Contractor H 1376.93 9 Contractor I 1362.30 10 Contractor J 1358.67 11 Contractor K 1357.67 12 Contractor L 1355.70 13 Contractor M 1347.98 14 Contractor N 1303.69 15 Contractor O 1301.02 16 Contractor P 1282.96 17 Contractor Q 1282.65 18 Contractor R 1272.67 19 Contractor S 1271.64 20 Contractor T 1266.98 21 Contractor U 1258.68 22 Contractor V 1242.36 23 Contractor W 1241.02 24 Contractor X 1178.01 25 Contractor Y 1094.66 26 Contractor Z 1011.35 27 Contractor AA 0.00
Page 67 TENDER EVALUATION ASSESSMENT
APPENDIX B
Summary of Scoring Quality Cost Total Contractor B 1,414.35 4,433.00 5,847.35 Contractor I 1,213.67 3,596.14 4,809.81 Contractor H 1,116.99 3,272.18 4,389.17 Contractor J 1,236.40 2,596.63 3,833.03 Contractor E 1,329.25 2,237.89 3,567.14 Contractor F 1,238.28 2,202.92 3,441.20 Contractor A 1,077.65 2,098.61 3,176.26 Contractor G 1,281.67 1,991.97 3,273.64
Tender Prices Tender Sum Contractor B £1,159,350.60 Contractor I £1,405,132.08 Contractor H £1,488,537.09 Contractor J £1,689,397.30 Contractor E £1,788,503.10 Contractor F £1,800,509.80 Contractor A £1,833,110.00 Contractor G £1,865,370.33
Page 68 Agenda Item 9d
Report of the Cabinet Member for Place
Cabinet - 28 February 2013
PROPOSED CHANGES TO THE HACKNEY CARRIAGE FARES
Purpose: To consider proposed changes to the hackney carriage fares.
Policy Framework: The Council’s policy on hackney carriage vehicles.
Reason for Decision: To consider the proposed requests.
Consultation: Legal, Finance.
Recommendation(s): It is recommended that: -
1. The proposed changes to the hackney carriage fares are refused.
Report Author: Lynda Anthony
Finance Officer: Kim Lawrence
Legal Officer: Lyndsay Thomas
1.0 Introduction
1.1 A Local Authority may fix the fares for hackney carriages within the district for time and distance and for other charges in connection with the hire of a hackney carriage vehicle. Legislation requires that miles, yards, feet and inches must be used when setting hackney carriage fares.
1.2 The last increase in the hackney carriage fares was in November 2008.
1.3 The current table of fares is attached at Appendix A.
2.0 Proposed Changes to the Table of Fares
2.1 In January 2012 two requests were received from members of the hackney carriage trade proposing changes to the current hackney carriage fares for the City and County of Swansea.
2.2 The two proposals received were as follows:
Page 69
i) Proposal 1 The current Tariff 2 to replace Tariff 1. This would mean that in the current table of fares the first tariff would be deleted and the second tariff would be used 24 hours per day.
and
ii). Proposal 2 Tariff 3 which is the Christmas and New Year tariff to be permanently removed from the table of fares.
3.0 Consultation
3.1 Following the request for changes to the hackney carriage fares a consultation was undertaken with all licensed hackney carriage proprietors.
4.0 Results of the Consultation/ Objections to the Proposed Increase
4.1 320 letters were sent to all hackney carriage proprietors and 92 (29%) replies were received by the deadline. Three replies were received after the deadline and were not considered.
4.2 A number of objections to the proposed increase detailed in paragraph 2.2.i) above were also received from both hackney carriage proprietors and drivers. These are as follows:
i) An objection from the Director of Data Cabs on behalf of the 110 Data Cabs Swansea Ltd Members;
ii) 100 individual objections from hackney carriage proprietors/drivers;
iii) A petition signed by 39 hackney carriage proprietors/drivers;
iv) An individual objection from a member of the public.
5.0 Summary
5.1 In summary, from the 320 letters sent, 92 (29%) responses were received. Of those that responded 51 (55%) were in favour of an increase in fares. This represents 16% of the hackney carriage proprietors consulted. In addition 101 individual objections, a petition containing 39 signatures and an objection on behalf of 110 Data Cabs Members were also received.
6.0 Effect of Proposed Increase
6.1 For Members information a table has been drafted to illustrate the effect the proposed fare increase would have on certain fares charged. A copy of this table is attached at Appendix B.
Page 70 7.0 Conclusions
7.1 From the consultation responses and objections received to the proposed increase in fares in paragraph 2.2i) above, it is apparent that only 51 (16%) of licensed hackney carriage proprietors are in favour of the fare increase.
8.0 Financial Implications
8.1 There are no financial implications associated with this report.
9.0 Legal Implications
9.1 Any decision made could be judicially reviewed.
Background Papers: Consultation results
Appendices: Appendix A – Current Table of Fares Appendix B – Effect of the Proposed Increase on Current Fares Charged
Page 71 Appendix A
Current Table of Fares
First tariff
Applies Monday to Saturday between 06.00 hours and 22.00 hours
Mileage: £1.80p for the first 251.43 yards and then 25p for each 251.43 yards or part thereof.
Waiting time: 25p for each period of 70 seconds.
------
Second Tariff
Applies each night between 22.00 hours and 06.00 hours and on Sundays and Bank Holidays
Mileage: £2.10p for the first 251.43 yards and then 30p for each 251.43 yards or part thereof.
Waiting time: 30p for each period of 70 seconds.
------
Soiling Charge: £50.00
------
Christmas Tariff (Tariff 3)
24th December at 18.00 hours to 27th December at 06.00 hours
------.
New Year Tariff (Tariff 3)
Is Tariff 2 plus 50% and applies from 31st December at 18.00 hours to 2nd January 06.00 hours
Page 72
Appendix B
Effect of Proposed Increase
JOURNEY CURRENT TARIFF PREFERRED OPTION WELSH EFFECT - OPTION 3 AVERAGE Swansea (T1) £5.05 (T2) £6.00 (T1) £5.14 An additional cost of to (T2) £6.00 (T2) £6.55 0.95p for journeys Tycoch Christmas: currently taking place (2 Miles – Christmas: T2 plus 50% =T3) between 0600 hours 3520yds) (T2 plus 50% =T3) £9.00 to 2200 hours. £9.00 New Year: New Year: (T2 plus 50% = T3) (T2 plus 50% = T3) £9.00 £9.00 Swansea (T1) £10.30 (T2) £12.30 (T1) £10.59 An additional cost of to (T2) £12.00 (T2) £13.57 £2.00 for journeys Mumbles Christmas: currently taking place (5 Miles – Christmas: (T2 plus 50% = T3) between 0600 hours 8800yds) (T2 plus 50% = T3) £18.45 to 2200 hours £18.45
New Year: New Year: (T2 plus 50% = T3) (T2 plus 50% = T3) £18.45 £18.45
Swansea (T1) £19.05 (T2) £22.80 (T1) £19.66 An additional cost of to (T2) £22.80 (T2) £25.28 £3.80 for journeys Pontardulais Christmas: currently taking (10 Miles – Christmas: (T2 plus 50% = T3) place between 0600 17600yds (T2 plus 50% = T3) £34.20 & 2200 hours £34.20 New Year: New Year: (T2 plus 50% = T3) (T2 plus 50% = T3) £34.20 £34.20
Page 73 Agenda Item 9e
Report of the Cabinet Member for Place
Cabinet - 28 February 2013
REGIONAL WORKING / PROGRESS WITH SIMPSON COMPACT IMPLEMENTATION IN PUBLIC PROTECTION, COMMUNITY SAFETY, HIGHWAYS AND TRANSPORTATION SERVICES
Purpose: To provide an update on regional working and the Simpson Compact.
Policy Framework: Corporate Improvement Plan.
Reason for Decision: To advise Cabinet of significant developments in regional working and collaboration.
Consultation: Legal and Finance.
Recommendation(s): It is recommended that, given the commitment already made to the Compact:
1. The progress in relation to collaborative working in relation to these services is noted; 2. Where there is identified to be additional resources required to progress the work, that appropriate bids are supported to be put forward to Welsh Government; 3. The response as attached in Appendix A be forwarded to Welsh Government on behalf of the Council in relation to the Compact for Change. 4. Further reports on progress be brought forward at the appropriate time.
Report Author: Reena Owen
Finance Officer: Kim Lawrence
Legal Officer: Janine Townsley
1.0 Introduction
1.1 This report provides an update on regional working and progress with the Simpson Compact Implementation in relation to certain services within the Environment Directorate. It also provides a response to the recent Programme of “Compact for Change” set out for Highways and Transportation Services by the WLGA and WG.
Page 74 2.0 Context
2.1 Members will be aware that Swansea along with all other LA’s in Wales signed up to the Compact for Change/Simpson Compact with Welsh Government in 2011.
2.2 This Compact included a number of commitments and recommendations relevant to services within the Environment Directorate including:
- Trading Standards - Environmental Health - Highways & Transportation
2.3 Over recent months, a review of Community Safety Partnership arrangements was also commissioned across the South Wales Police force area given the reductions in funding and changes to the Police Basic Command Units.
2.4 This report aims to provide a short update on these initiatives.
2.5 It needs to be highlighted however that this is set in the context of the existing regional working in relation to waste and transport planning which the Authority is already and has been committed to for some years in relation to Regional Procurement of Waste Treatment facilities and progressing and achieving the South West Wales Regional Transport Plan.
3.0 Environmental Health and Trading Standards
3.1 Both of these services have been reviewed by an external advisor to assess the benefits or otherwise of the services being delivered locally, regionally or nationally. The results of these reviews have been feedback commented on by the relevant professional group, namely the Directors of Public Protection Wales and this work reported to the National Organisational Development/Simpson Implementation (ODSI) Group.
3.2 The Group concluded that whilst various scenarios could work, that the Trading Standards service, in particular would benefit from being based on a regional footprint. The view on Environmental Health is that these services should remain “local” for the present. Therefore discussions on Trading Standards have been taking place with neighbouring authorities in terms of agreeing a way forward.
3.3 Current proposals are that Swansea and Neath Port Talbot work together in collaboration. This is in light of Bridgend having already committed to working with the Vale of Glamorgan and Cardiff. Similarly, Carmarthenshire has committed to working with Pembrokeshire and Ceredigion.
3.4 Swansea and Neath Port Talbot already collaborate in relation to the metrology laboratory and animal health work. Both Councils also participate in common initiatives where the nature of the work and economies of scale can benefit e.g. recent “horse dumping” work across South & West Wales.
3.5 Currently proposals are being worked up and it is envisaged that proposals will be coming forward shortly on this to Members.
Page 75 4.0 Community Safety
4.1 In this area, there have been ongoing discussions for some time as to whether a regional, force footprint or national delivery model is more appropriate. The review recently undertaken looked at various business cases; and whilst there was little support for a national service, there was support for more regional working in South Wales.
4.2 However, with the introduction of the new Police Crime Commissioner (PCC) and the new plans, this work has not yet been finalised.
4.3 There has however already been some collaborative work with Neath Port Talbot where two anti social behaviour coordinator posts (one in each authority) have been merged into one post with consequential savings and making use of common initiatives. The community safety team have also relocated to a police station to jointly work side by side with other colleagues in the police service and third sector to be able to deliver a more joined up thinking approach to community safety issues. The Swansea Partnership also operates as part of the larger Safer South Wales Partnership with other community safety partnerships and the wider police division on cross boundary initiatives.
5.0 Transport and Highways Services
5.1 There has been a great deal of work undertaken over the last few months, representing a significant commitment from Local Government to increasing collaborative working.
5.2 An update on the Compact was presented to and discussed by the Regional Partnership Board for Central and South West Wales at their 19th November meeting.
5.3 Key points highlighted to the Board were as follows:
• The specific transport & highways commitments within the Compact • The establishment of a Steering Group to oversee progress • The focus on the development of a business case, starting with a “High Level Review of Transport and Highway Services” • The use of the above review to carry out wider engagement with stakeholders and the fine tuning of that review. The review document is over 100 pages long and is not re-produced here, but it formed part of the background papers to the Regional Board • The development of a Strategic Programme for Change, which is still in draft form but which clarifies the scale and scope of future work.
5.4 The Board also considered progress on the “quick wins” agreed between the Regional Transport Consortium (SWWITCH) and the Welsh Government. These are:
• eProcurement of passenger transport with reference to special education needs – an initiative concerned with regional procurement of c£32m of passenger transport services
Page 76 • travel planning including access to health services and facilities – a project focussed on regional delivery of travel planning with regards to access to health services and facilities • walking and cycling – a project aimed at improving the limited coordination of walking and cycling initiatives both nationally and within the region
5.5 Progress has also been made in developing joint working and collaboration on highway engineering services, through sharing workload peaks between authorities and developing shared framework contracts for construction and specialist services.
5.6 The Welsh Government is also leading on a review of the interfaces between Trunk Road Agencies and Regional Transport Consortia. There has been little visible progress on this to date, though this element is reflected in future work streams identified by the Regional Board
As set out in the report to the Regional Board as referred to in 5.2 above, ten future work streams have been identified as follows:
• leadership and governance 1. strengthen governance arrangements for regional collaboration, policy and strategy 2. establish a planning framework for the next National Transport Plan and Regional Transport Plan 3. redefine the status of the roads making up the Welsh highway network 4. reallocate responsibilities for the various categories of the highway network • efficiency 1. develop business cases for further collaboration on a regional or sub-regional basis 2. introduce arrangements for WG and local authorities to share their professional skills 3. introduce a programme to roll out procurement processes that have secured efficiency savings at national, regional, sub-regional and local levels • effectiveness/innovation 1. establish minimum operational and maintenance standards and policies and rationalise specifications for the network 2. increase resilience to deliver planned and non planned events 3. introduce a requirement and system to produce, record and compare outcomes and outputs against investment
5.7 There is clearly a considerable amount of work to be addressed to ensure business cases are fully developed for the Compact, and the Regional Board resolved in respect of this work to:
“Endorse the identified work streams and agrees to further investigation of the work streams through to business case production during 2013/14”.
Page 77 5.8 Subsequently, this Council has received a letter from the Minister for Local Government and the Chief Executive of the WLGA seeking views on the Programme by the beginning of February.
5.9 In response to this request, it is difficult given the high level nature of the Programme outlined to date, to assess at this stage how this will develop and its impact on future service delivery. However, the ten work streams identified and business case development will no doubt require some considerable resource input and it is important that the views of the Council are fed into both the work itself and the Steering Group which is intended to oversee the work.
5.10 It is also important that where the need for additional resources are identified as being necessary for progressing this work at a regional level, that appropriate bids are put forward through SWWITCH for assistance.
5.11 It should also be noted that running parallel with this work is the proposal to administer bus services grants and concessionary fares on a regional basis, through the Regional Transport Consortia from April 2013. Whilst some short term funding has been made available to SWWITCH to assist with this work, it is not clear that further funding will be made available for this in 2013/14.
5.12 The Welsh Government’s direction of travel is for regional transport consortia to determine a desirable regional bus network, from which decisions about which non-commercial bus services should be supported would be determined. This will reduce local authority control / influence in this area, and could result in service reductions – this makes the development of the desired network a particularly important piece of work, and one in which City & County of Swansea officers will need to be actively involved.
6.0 Financial Implications
6.1 The considerable work carried out to date has been achieved with existing resources. There is no specific budget provision for further work and if additional resources are required sources of funding will need to be identified at the appropriate stages.
6.2 The proposals that eventually arise from this work will no doubt have financial implications for the Council and these will be considered when those proposals are brought forward.
7.0 Legal Implications
7.1 There are no legal implications arising from this report.
Background Papers: Letter from Minister dated 14 January 2013 – Compact for Change Commitments.
Appendices: Appendix A – Draft reply to Letter from Minister dated 14 January 2013 – Compact for Change Commitments
Page 78 Appendix A
Draft Response to Minister for Local Government and Communities
Dear
Compact for Change Commitments – Transport and Highways Services
I refer to your letter of 14th January 2013 concerning collaboration and regional working, and write to provide comments in response to the specific questions posed in your letter.
How to ensure that the proper arrangements are in place to support regional and sub-regional decision making and scrutiny in relation to effective delivery on Transport and Highways Services at local authority and Regional Transport Consortia level.
Individual local authorities within SWWITCH are committed to working productively at a regional and sub-regional level. SWWITCH has established business arrangements which involve close working at Director, Head of Service and operational levels, with active involvement of Councillors (and input from external partners) through the SWWITCH Joint Committee. These arrangements work well.
On Scrutiny, this is carried out by individual constituent local authorities, rather than by Councillors on the Joint Committee. This provides transparency and reflects the fact that Councils, rather than SWWITCH, are legally responsible for the services involved. SWWITCH acts as part of the delivery of local authority functions. Maintaining Scrutiny at a local authority level fosters a wider understanding of the work being done and maintains democratic accountability.
Plans to make progress against the commitments made on Quick Wins across the regions, and implement best practice.
SWWITCH, and officers from its constituent authorities, will continue to work collectively and with Welsh Government officials to achieve the Quick Wins. The three SWWITCH quick wins are being progressed, and appropriate monitoring arrangements are in place.
Clearly, to achieve this, appropriate staff and financial resources are required, and it should be noted that, particularly during development and transition, these costs and resource requirements will be additional.
The changes to the bus funding regime from April 2013 are a good example, where the work on Bus Services Operators Grant in particular is creating considerable challenges and workload. SWWITCH and its constituent authorities will work with Welsh Government on this to achieve a successful implementation, but it is essential that this work is properly resourced now and for the future.
Page 79 Contd. How to move beyond individual collaboration initiatives and unlock large scale transformation.
SWWITCH is supportive in principle of this iterative process. There are however legal and governance issues that need to be addressed. Individual local authorities retain the legal responsibility for many services and functions, and this must be reflected in collaboration arrangements.
Similarly clear local accountability needs to be retained so that local Councillors are involved and accountable, and so that they can make key decisions for their respective council areas.
Whilst SWWITCH is happy to review and revise its governance arrangements as appropriate, this cannot mean that local accountability and control is lost.
It is therefore essential that the process continues to involve the Welsh Local Government Association and individual local authorities, as well as regional bodies such as SWWITCH.
How can we ensure the Regional Transport Consortia, supported by their member authorities, can rise to the challenge of a strengthened role in the regions?
SWWITCH and its constituent local authorities remain committed to regional working, and recognise the importance of the highway and transport issues to the region.
Existing collaboration through SWWITCH has been successful, but your commitment that the Welsh Government is keen to ensure that its transport planning and highway management functions and resources are included is particularly welcome.
SWWITCH will have an essential role in developing collaboration and in sharing of best practice. This will have the support of its member authorities who will, as you will understand, seek to ensure that clarity of responsibility, sound governance, together with local accountability and control, are maintained and strengthened.
I hope that these comments are helpful. I and relevant Cabinet Members will continue to work constructively with the Welsh Government on these issues.
Yours sincerely
Page 80 Agenda Item 10a
Report of the Cabinet Member for Target Areas
Cabinet – 28 February 2013
TARGET AREAS
Purpose: This report seeks to; a) establish the principles for Target Areas, b) identify those areas spatially, c) identify the service areas where there is potential for focussing effort more specifically on Target Areas. d) bring forward capital expenditure proposals to make an immediate start in those areas Policy Framework: City & County of Swansea Policy Commitments Statement Reason for Decision: To establish the framework for the Target Area approach Consultation: Finance, Legal, Corporate Property, Environment. Recommendation(s): It is recommended that Cabinet
a) Approves the principles for working in Target Areas b) Agrees the spatial definition of Target Areas as described in this report c) Agrees the proposals for HRA expenditure as outlined in section 6 and Appendix 1 and makes provision for this expenditure in the budget report to be considered by Council in February 2013 d) Notes the proposal in section 7 of this report to bring forward environmental improvements as part of an overall regeneration package for the Target Areas. e) Agrees the proposed approach to Children and Young People issues in the Target Areas as outlined in section 8 and appendices 2 and 3. f) Notes the progress made by the Poverty Forum as outlined in section 9 and agrees the priorities as identified in paragraph 9.6. g) Agrees the following policy statement in respect of Pay Day Loan companies and companies of a similar nature. “Cabinet strongly disapproves of the activities of pay day loan companies, high interest lenders and opportunistic buyers who can often leave families in dire living circumstances and trapped in a dangerous cycle of debt. We will work in partnership with LASA Credit Union and other partner organisations to put in place better and more sustainable loan facilities and support services for the people of Swansea. We will also pursue a robust campaign to limit the workings and actions of any organisation which seeks to take financial advantage of the most vulnerable in our City and County.”
Report Author: Corporate Management Team
Finance Officer: Mike Trubey
Legal Officer: Roderic Jones
Page 81 1. The Principle of Target Areas.
1.1 Much has been made of the East/West divide in Swansea. Whilst this is an over-generalisation in terms of geography there is plenty of evidence to suggest that there are significant differentials between communities in the City in terms of wealth, income, health and aspiration.
1.2 The Welsh Index of Multiple Deprivation (WIMD) 2011 ranks 13 of Swansea’s Lower Super Output Areas (LSOAs) in the top 100 of deprived areas in Wales and 8 in the top 50.
1.3 Whilst economic policy must deal with economic growth and wealth creation the issues of inequality must be addressed if we are to promote a stable and sustainable City.
1.4 To date Council has broadly operated a policy of universality in the delivery of services and the allocation of resources. Evidence suggests that the gap between rich and poor is widening and that the real brunt of the economic recession is being felt disproportionately in the most deprived communities.
1.5 The Policy Commitments Statement adopted by Council on 26th July identifies the intent to take “a fresh and coherent approach to community regeneration and to tackling poverty in Swansea. It will seek to develop a ‘Target Area’ approach, bringing together council departments, the NHS and other agencies, pooling resources and finance, to work together, across boundaries to tackle the trans- generational causes of poverty and deprivation.”
1.6 The establishment of a cabinet portfolio for Target Areas demonstrates the importance attached to addressing this issue. There is also an implicit acceptance that to make a real difference effort needs to be concentrated, at least in the short term, primarily but not exclusively on a limited number of areas.
1.7 Conventionally the Target Area approach that has been adopted nationally to deal with deprivation is the Communities First Programme. Communities First is the Welsh Government's flagship programme to improve the living conditions and prospects for people in the most disadvantaged communities across Wales. Communities First has almost universally failed to achieve its aim of wider programme bending of council services in Wales and as a consequence of that, in combination with the relatively small amounts of resources in the programme, it has not made the required impact. It is not synonymous with Target Areas for the following reasons • It covers a large number of areas in Swansea and, because the definition of the boundaries is fixed to LSOAs and wards, it includes areas which would not be considered as Target Areas. • There are weaknesses in the WIMD and it may not fully reflect deprivation.
Page 82 • The Target Areas are essentially locally defined, albeit through discussion; Communities First Clusters are determined by WG and not all our views have been accepted by WG.
2. The Principles for Target Areas.
2.1 The key principles underlying the Target Area approach should be;
Fairness – an understanding of need and current inequalities, a commitment to targeting resources in areas of need and the promotion of equality of opportunity for all. This will require a programme bending approach and a balanced approached to prioritisation. Partnership – with communities and other agencies to establish common priorities and agree a joint plan which has tangible, measurable and meaningful outcomes. Partnership with communities will require us revisiting our approach to engagement. Sustainability - The aim must be to create self sustaining solutions which do not promote dependency, permanently raise aspiration and break the trans-generational cycle of poverty. Innovation - conventional approaches to regenerate areas of deprivation tend to deliver short lived improvements, committing the cardinal sin of raising expectations which are subsequently dashed. Engagement – accountability to the community, increasing the level of engagement and visibility in neighbourhoods and consideration of area based decision making structures. Delivery – there will need to be changes in the way services are delivered to reflect prioritisation. Location of services within the community will be an important consideration. The primary focus of this effort is on people rather than simply on physical and environmental improvement.
3. The Target Areas
3.1 It is recommended that this will require a 2 tier approach.
Tier 1 – will represent the two most deprived areas namely Townhill (plus Castle 1, 2 and 3) and Penderry. These are virtually synonymous with the Communities First Clusters. The population in the Townhill cluster is 11,731. the population in the Penderry cluster is 13,622. These two Target Areas therefore contain around 10% of the City’s population. Tier 2 – will represent the other three Communities First clusters. The South Cluster (the remainder of Castle ward, Landore and Sketty Park) has a population of 11,700. The East Cluster (Bonymaen, Llansamlet, St Thomas) has a population of 11,621. The North East Cluster (Morriston, Mynyddbach,Clydach) has a population of 10,496. Together Tier 1 and 2 represent around a quarter of the City’s population.
Page 83 Tier 1 Tier 2 Non Target
It is proposed that initial focus will be on the Tier 1 areas and that the Tier 2 areas will primarily be addressed as part of the Communities First programme.
3.2 As a starting point it will be important to superimpose the provision of services and facilities spatially on these mapped areas. It is essential to understand what is already in place in the targeted communities, even though these may not currently be fit for purpose. This will need to include the services of key partners like the NHS and Police. This work is in progress.
3.3 It is important that we differentiate between the physical area and the population within the Target Areas. There may be interventions that need to be made outside the geographically defined Target Areas in order to benefit the populations within those communities.
3.4 The next step will be to commission a gap analysis for each area which also identifies where there is duplication or contradiction in service delivery.
4. What Outcomes should we aim for?
4.1 Outcome measures will be essential to monitor progress and these are in the process of development. These might include; • Health (morbidity/mortality/prevention) • Education and skills (attendance/attainment/literacy/numeracy) • Prosperity (unemployment/inactivity/average earnings) • Dependency (means tested benefits/free school meals) • Environment (cleanliness/public protection/streetscene) • Facilities (community/social/retail/leisure/open space) • Safety (criminality/incivility/ASB/fear of crime) • Access to transport and opportunity
But should also include more person centred issues like; • Ambition and expectation(education/employment/lifestyle/family) • Well-being (optimism/engagement/happiness/participation) • Perceptions of area (housing waiting list/surveys/graffiti & vandalism)
Page 84 4.2 Where possible these will need to be base-lined against local and national indicators and we will then need to determine, in partnership with the community, where we want to get to in a specified time period. Specific plans are being drawn up for the Target Areas which are being informed by • Existing action plans, particularly the developing Townhill Plan • The Poverty Action Plan • Healthy Cities • Communities First Cluster Plans
4.3 It will be essential that there is an effective process for community engagement in the development of these plans.
5.0 Service Provision in Target Areas
5.1 Provision of services across the City and County is broadly universal, although for particular service areas including social services, housing and education they are disproportionately focussed in the areas of deprivation.
5.2 The Chief Executive has presented Council with his proposals for a review of the senior management structure and has ensured that the responsibility for dealing with Target Areas is explicitly allocated within it. Irrespective of this the Target Area approach will need to be a corporate one involving the co-ordination of a broad range of services.
5.3 It is also essential that the Target Area approach is embraced by our Local Service Board partners. Early indications are positive and commitment has been secured to deal immediately with;
a) The number of Police Community Support Officers in Target Areas b) The provision of primary health care facilities in Mayhill
5.4 Conventional regeneration based programmes are often primarily focused on the delivery of physical and environmental improvements to communities. Dealing with the “place” issues without addressing the “people” factors leads to unsustainable solutions. The Target Area programme must address both these factors or it will fail to achieve its potential.
6. Place - Housing
6.1 This section of the report highlights existing housing capital resources including resources that will be brought forward to be spent in the financial year 2013/14.
6.2 The Capital and Revenue programme for the next 3 years was reported to Council in February 2012. In the current financial year £5 million has been allocated to schemes in the Penderry Ward and £2.6 million to schemes in the Townhill and Castle Wards. For the financial year 2013/14, £2.6 million has been allocated to schemes in the Penderry
Page 85 ward and £3.5 million for schemes in the Townhill and Castle Wards. A list of existing schemes is detailed in Appendix 1.
6.3 Council in February 2013 agreed the detailed HRA budget, bringing forward additional works in the financial years 2013/14 2014/15 and 2015/16. and comprising:
• In the Castle Ward it is proposed that a programme of kitchen and bathroom renewal is introduced in the Matthew Street blocks of flats to complement the overall refurbishment of these blocks. This work would cover 117 properties and cost approximately £1 million.
• In the Townhill Ward it is proposed that enveloping works are undertaken in the following streets; Tanymarian, Nicander Parade and Llewellyn Circle. These works would encompass 230 properties at a total cost of approximately £5million.
• In the Penderry Ward it is proposed that enveloping works are undertaken in the following streets; Eiddwen Road, Heol Frank, Penymynydd Road, Penymor and Pensalem Rd. These works would encompass 150 properties at a total cost of approximately £3 million. Although this scheme was already scheduled to start in 2013/13, the additional investment will mean that works will be completed over a 3 year period instead of 5 year period.
6.4 In addition, in the financial year 2013/14 a further additional £2.5m will be allocated to schemes in the Target Areas which will be funded by the surplus following the out turn report for the last financial year (2011/12). This will enable work (outlined in paragraph 6.3 of this report) to start on the enveloping scheme in Townhill and will also enable more properties to be completed in the Penderry enveloping scheme
6.5 Tenants will be consulted regarding the above proposals as part of the wider consultation process for the Welsh Housing Quality Standard delivery strategy.
7. Place - Environment
7.1 In addition, to complement this housing expenditure, additional expenditure regarding upgrading/resurfacing roads in the Target Areas is proposed. Already works to Pentregethin Road, Emlyn Road, Alun Road and Carig Gardens have been brought forward from the financial year 2013/14 to the current financial year. Consideration is also being given to bring forward other schemes at Stembridge Avenue and Tanymarian Road from 2014/15 to 2013/14, this is subject to funding being available. Most of these roads are in close proximity to the housing capital works proposed.
7.2 Bids will be submitted to the Welsh Government prudential borrowing initiative to increase the volume of highway related works done in Target Areas.
Page 86 8. People – Children & Young People
8.1 Achieving The Best Start In Life Critical to the Healthy Cities developments in Swansea and the delivery of the Single Integrated Plan are the Marmot policy objectives. One of these is to achieve the best start in life and there are key recommendations to achieve this : • Ensure high quality maternity services, parenting programmes, childcare and early years education to meet need across the social gradient • Increase the proportion of overall expenditure allocated to the early years and ensure expenditure on early years development is focused progressively across the social gradient • Support families to achieve progressive improvements in early years development, including: (i) Giving priority to pre and post natal interventions that reduce adverse outcomes of pregnancy and infancy (ii) Providing paid parental leave in the first year of life with a minimum income for healthy living (iii) Providing routine support to families through parenting programmes, children’s centres and key workers, delivered to meet social need via outreach to families (iv) Developing programmes for the transition to school • Build the resilience and well being of young children across the social gradient. (i) Combined with outreach to increase the take-up by children from disadvantaged families (ii) Provided on the basis of evaluated models and meet quality standards
8.2 Moving Forward The model in Appendix 2 identifies an approach that can be adopted by key agencies for the period pre-birth to 25 years which will particularly help address the needs of children, young people and families in the Target Areas and start to address the policy recommendations.
8.3 Appendix 3 identifies the desired outcomes and how they will be achieved through a combination of o Universal statutory provision o Integrated inter-agency targeted provision o Signposting to specialist interventions o Enhanced provision in the Target Areas by the Council
9. People - Poverty
Background 9.1 The Poverty Forum was established approximately 12 months ago and is chaired by the Chief Executive. The Leader of the Council is a member given his lead role in Poverty. The forum is cross departmental and inclusive. The work of the forum is to focus on our poverty efforts. The work of the forum is City & County wide but given
Page 87 the dominance of poverty related issues much of the activity will inevitably focus on the Target Areas.
9.2 The role of the Poverty Forum is to • Promote an understanding of poverty issues and maintain a focus on the broadest definition of poverty • Identify and implement best practice • Develop and deliver action plans • Promote innovation and change • Develop outcome measures and, over the longer term, improve outcomes.
What do we mean by poverty? 9.3 Poverty is often defined in purely economic terms. For example child poverty is sometimes said to affect those children living in households with 60% or less than household average income.
9.4 However the Council’s social inclusion policy and the Welsh Government and Westminster strategies define poverty in the broadest sense. Poverty is characterised by • Lack of resources • Family circumstances • Life chances
9.5 It is not simply measured economically but includes • Worklessness • Health inequalities • Low aspirations • Inability to access services • Dysfunctional families
What are our priorities? 9.6 The Poverty Forum agreed five key workstreams • Worklessness • Income and debt • Strengthening families • Educational outcomes • Health inequalities
9.7 For each workstream detailed action plans have been developed and are being implemented (see Appendices 4-8). These workplans are both ambitious and extensive. The forum selected particular issues to be worked on where it was felt the group needed to make the greatest impact in the short term. These issues are • Tackling Pay Day Loans • Food/cooking/growing – linked to Healthy Cities • Creating apprenticeships • Engaging excluded children • Mitigating the impacts of benefit cuts • Strengthening family support
Page 88 These workplans are being monitored by the Poverty Forum and are in the process of being updated. As this occurs members will be kept up to speed with progress via subsequent reports to Cabinet.
Revenue budget – areas of focus 9.8 In the meantime it is important that progress is made within communities and, as part of revenue budget approval process officers have been instructed to bring short to medium term proposals forward in relation to; a) Intensive housing management b) Youth outreach services c) Employment gateway d) Prevention and Early Intervention e) Community art and sport f) Environmental management, particularly dog fouling g) Local food production and healthy nutrition h) Benefit cuts i) The LIFE Programme
Pay Day Loans 9.9 There is a specific and growing problem with Pay Day Loan companies and similar organisations, as the number of such outlets has increased rapidly over the last few months. In order to take immediate steps to ensure that the appropriate policy framework is in place the Council needs to agree a firm statement of policy in respect of these companies. It is proposed that the following statement is adopted.
“Cabinet strongly disapproves of the activities of pay day loan companies, high interest lenders and opportunistic buyers who can often leave families in dire living circumstances and trapped in a dangerous cycle of debt. We will work in partnership with LASA Credit Union and other partner organisations to put in place better and more sustainable loan facilities and support services for the people of Swansea. We will also pursue a robust campaign to limit the workings and actions of any organisation which seeks to take financial advantage of the most vulnerable in our City and County.”
10. Legal Implications
10.1 The Council has the powers to carry out the various works and services mentioned in the report , for example under the Housing Act 1985. 10.2 As set out in the Financial Implications paragraph , full Council will consider the proposals at the meeting which considers the Budget proposals in February 2013. The Council must take the Public Sector Equality Duty into account in the exercise of its functions.
11. Financial Implications
11.1 The proposed Housing (HRA) expenditure (Section 6 above) will be met from previously agreed resource allocations including the additional expenditure of £2.5m approved by Cabinet on 4th October
Page 89 2012. , The relevant schemes will be further detailed in the February HRA budget report.
11.2 In terms of Environmental/road Improvement issues (section 7 above) it is clear that the proposals are subject to funding “being available”.
11.3 In terms of appendix 4 to this report which highlights enhanced service provision in the Target Areas it should be noted that these enhancements will have to be delivered within the overall Directorate Budgets for 2013/14 and beyond which will be submitted for approval to Council in February 2013.
Background Papers: None.
Appendices:
Appendix 1 - Existing Scheduled Housing Capital and Revenue Expenditure in Target Areas
Appendix 2 - Responding To The Research ; A Model For Children, Young People And Families From The Early Years Through Schooling To Employment
Appendix 3 - Delivering The Model For Children, Young People And Families From The Early Years Through Schooling To Employment
Appendix 4 – Poverty Action Plan ; Educational Outcomes
Appendix 5 – Poverty Action Plan ; Worklessness – Swansea Apprenticeship Preparation Programme
Appendix 6 – Poverty Action Plan ; Financial Inclusion
Appendix 7 – Poverty Action Plan ; Health Inequalities
Appendix 8 – Poverty Action Plan ; Supporting Families - Child Poverty Task Group (Prevention and Early Intervention
Page 90 Appendix 1
Existing Scheduled Housing Capital and Revenue Expenditure in Target Areas
Planned Scheme Ward No. 2012/13 2013/14 2014/15 Props (over 3 yrs) Highrise Refurbishment at Jeffreys Penderry 40 £1,200,000 £0 £0 Court, Penlan *(Carried forward from 2011) Wind and Weatherproofing at Heol Penderry 48 £500,000 £800,000 £0 Gwyrosydd Flats, Penlan Wind and Weather Proofing in Penderry 71 £0 £700,000 £850,000 Penlan BISF (Steel Houses), Penlan Penderry 64 £1,000,000 £600,000 £0 Wimpey No Fines, Blaenymaes Penderry 42 £850,000 £0 £0 Structural Repairs Penderry 1 £42,000 £0 £0 Smoke Alarms Penderry 320 £32,000 TBC TBC Fire Safety (Approximate Penderry 112 £150,000 £0 £0 investment) Boiler Renewal Penderry 175 £360,000 £90,000 £0 Kitchen and Stair Fire Separation Penderry 31 £50,000 £0 £0 Electrical Rewiring Penderry 372 £520,000 £300,000 £0 Lighting to Sheltered Complexes Penderry 53 £50,000 £0 £0 Door Renewal Penderry 430 £325,000 £110,000 £0 Investment Total £5,079,000 £2,600,000 £850,000
Page 91 Planned Scheme Ward No. 2012/13 2013/14 2014/15 Props (over 3 yrs) Wind and Townhill 45 £650,000 £0 £0 Weatherproofing in Mayhill Boiler Renewal Townhill 425 £650,000 £200,000 £250,000 Electrical Rewiring Townhill 592 £430,000 £850,000 £0 Smoke Alarms Townhill 500 £50,000 £0 £0 Lighting to Sheltered Townhill 23 £2,500 £0 £0 Complexes Door Renewal Townhill 40 £0 £40,000 £0 Highrise Castle 120 £50,000 £2,000,000 £2,750,000 Refurbishment at Matthew Street, Dyfatty Planned Scheme Ward No. 2012/13 2013/14 2014/15 Props (over 3 yrs) Highrise Castle 104 £0 £0 £500,000 Refurbishment at Croft St Dyfatty Wind and Castle 44 £600,000 £450,000 £0 Weatherproofing at New Street Flats, Dyfatty Wind and Castle 6 £100,000 £0 £0 Weatherproofing at Colbourne Tce, Waun Wen Boiler Renewal Castle 24 £60,000 £0 £0 Electrical Rewiring Castle 27 £0 £60,000 £0 Door Renewal Castle 85 £25,000 £0 £65,000 Investment Total £2,617,500 £3,540,000 £3,565,000
Page 92 Appendix 2 Responding To The Research
A Model For Children, Young People And Families From The Early Years Through Schooling To Employment The model below identifies an approach that can be adopted by key agencies for the period pre-birth to 25 years which will particularly help address the needs of children, young people and families in the Target Areas and start to address the policy recommendations
Targeted & Specialist Integrated cross agency high quality interventions which are universal, targeted or Interventions for specialist to address child & family developmental needs Child & Family (Health Visiting, Early Years Support, Parenting, Vulnerability Assessment Profile, 5 Tier Model, Our Development World Assessment, Team Around The Family, Promoting Inclusion, Keeping in Touch, …….)
Reducing Support & A good home learning Page 93 Interventions To Help environment supported by health, Develop A Good Home Learning early years and schools Environment
Integrated Effective Universal Services Health and Quality Pre Effective Effective Effective Transition to Continued Providing High Early Years School Nursery & Primary Secondary Education, employment, Quality Effective Provision Provision Reception School School Employment education or Core Provision (pre birth to (2y to 3y) Provision Provision Provision & Training training 4 y) (3y to 5y) (5y to 11y) (11y to 16y) (16y to 18y) (18y to 25y)
Targeted & Specialist Integrated cross agency improvements to support families with low socio-economic Interventions For Families With Low status and to move them out of poverty Socio Economic Status (Welfare Rights, Social Inclusion, Job Centre Plus, Communities First, …….) Appendix 3 Delivering The Model For Children, Young People And Families From The Early Years Through Schooling To Employment
Focus And Desired Universal Statutory Integrated Inter- Signposting Proposed Enhanced Service Provision In Outcomes Provision (Coherent across Agency Targeted Processes To Targeted Areas By The Council agencies and integrated Provision Specialist where necessary) Interventions • Maternity Services • • Health Visiting (pre Schools have Pupil birth to 4y) • Flying Start (2y to • Health Screening Deprivation Grant from Early Years • Primary Care 3y) • Readiness for Welsh Government • Bookstart Pre-birth to 5 years • Early Years Provision Free childcare School Profile (£450+ per free school (9m to 3y) • Improved home including Play Additional health • Nursery/Reception meal pupil) for period (Health & 2012/13 to 2014/15 learning environment • Family Information visiting Profiles Libraries) which each can target • Improved early Service Parenting support • Our World • Oracy to provide interventions cognitive and social • Readiness for Basic skill Assessment development • LIFE programme skill development Schools development • Team Around The (3y to 5y) initially with Seaview, • Increased level of • Libraries • Family Learning Family (Education) Blaenymaes, Townhill & early identification of • • Communities First • Restorative Nursery/Reception • Parenting
Page 94 Portmead Primary developmental • Voluntary Sector Practice (3y to 5y) (PEI) Schools (Education) barriers social and cognitive • Children & Family • Children potentially • Team Around The development through Centres at risk Family staff (PEI) the Foundation • Joint development with Phase Health as part of • Education (eg • Counselling Primary School Years • Vulnerability Profile Primary Care & Family • Primary Care Education Welfare, for 7 to 11 5 to 11 years • Tier Model Centre development in • Family Information behaviour support, year olds • Improved home • Primary School Mayhill (PEI) Service etc) (Education) learning environment Profiles • Increased mobile library • School Nursing • Family Learning • Restorative • Good literacy and • Our World provision • • Family Learning Practice numeracy levels Libraries Assessment (Regeneration) • Signature (Education) achieved Primary Schools • Team Around The • Sports and Arts acquiring literacy and • Parenting • Family • Early identification Family (Regeneration and numeracy skills • Childcare Learning and signposting to • Restorative Schools) social development • Police (PSCOs) Signature services to remove Practice • Health Promotion wellbeing • Communities First (Education) barriers to cognitive • Promoting Inclusion • Children and young readiness for • Voluntary Sector • Literacy & and social • Children potentially people engagement secondary schooling • Children & Family numeracy development at risk and participation (PEI) Centres (Education) Focus Universal Statutory Integrated Inter- Signposting Proposed Enhanced Service Provision In Provision (Coherent Agency Targeted Processes To Targeted Areas By The Council across agencies and Provision Specialist integrated where Interventions necessary) • Engaging Learners in Schools (ELiS) • Our World Secondary School • Secondary Schools • Restorative Practice (Education) • Education (eg Assessment Years reaching potential • Family Learning Signature (Education) Education Welfare, • Team Around The 11 to 16 years attainment levels • Targeting of Youth Service (Education) and behaviour support, Family • Best level of acquiring transferable Infonation (PEI) etc) • Restorative qualifications skills • Youth Offending (Social Services) • Family Learning Practice social development • achieved at 16y • Shift from intervention to prevention for • Signature Education Other Transition to wellbeing • substance misuse (Social Services) readiness for Parenting Than At School education, training • • Enterprise (Education) transition at 16y Police (PSCOs) (EOTAS) and employment • • • LIFE programme initially with Bishop Gore successful at 16 • Careers Wales West Communities First Promoting • and Dylan Thomas Secondary Schools Page 95 Voluntary Sector Inclusion years • Primary Care linking with targeted primary schools • Children & Family • Keeping in Touch • Supportive home • Libraries (Education) Services • Infonation learning environment • School Nursing • Children potentially at risk (Social Services) Young Adults • Keeping in Touch (18y to 25y) (Careers & 16 to 25 years Education) • Secondary School • Statutory agencies • Successful transition • Beyond Brisk and Mortar (Regeneration) • Careers Wales West and voluntary • To be completed to employment, • Workways (Regeneration & Education) • Job Centre Plus sector education and • Swansea Apprenticeships (Regeneration training and Education) Socio Economic Status • Integrated health and early years provision • Improved wellbeing (PEI) • Raised aspirations • Parenting programmes • Increased income • Family Learning (Education) • To be completed • To be completed • To be completed • Improved skills • LIFE programme (Education) • Employment • Beyond Brisk and Mortar (Regeneration) • Maximised benefits • Workways (Regeneration & Education) • Childcare • Swansea Apprenticeships (Regeneration) # "" ! ! " ! $ % !" # $"$ % & ' '$$ $"$ % ( ) ! * +#& ,-$./, % 0 % Page 96 $ * 1 ! 1 2 ( $" # $"$ 3 1 $"$ Q R) 6 ,,. $ !&!' %(!')'*+* $ 1 8 !" ! $"$ 17& $$ 17& %& 8 !" # $"$ $! ) 17&9!;< $"698 >11 -3 17& $"$!= = )* ! '(# *&(# ! 7 - ( ? +( $ 89 = >11 ? (3 1 2 0 +#& , 8 -( ,&9!$"6 +#& ,-$./, %0 ' ( $"$!) !;@ = - 9!#"" $"$ != 6 ,' (*'*+ '+*&( 6 7 (- B (7 >11 A 9!6@ $"$!= Page 97 @ (')(!#'#( 6 7 1 B (7 >11 A 9!<$ $"$!= ; $- $.*(/0 & #C? ?,,.@/ #C1 +8. #C? ?,,.@/ #C1 #C? 3 % #C1 1 C &,#1 (*'*+ C . DD- &( 8 >11 (*%*#( 7 1 ( ( >11 ( & . 3 1 ( ( <"E 6E $ 2(0,# &2 $ ' 8 E ( F . C6E 9# E ( = . E $<$E ! #&*' (%&#'* # #1 ( # ! ! " # $ 6 #&*( '*+()'#(
Page 98 6 ,* %&& ($"$M >11 % " > @ 9!!#" $"$ 7H & M != () ! " * + , "" (- " ( 6$ 8 >1 >11 ( ( 9!6" $"$!= D, @ (*++'*+ (*( @ , - & DM >11 9,-= 9!$" $"$ - -$ != Appendix 5 N ! "
# "" ! ! " ! $ 3 ,,7. !" # $"$ ,* * () ( B 7D?, (
Page 99 $ , ,,I ( ,,7. !" # $"$ 7 (. ) ,,7. 7D?, A A ! 8 ( 1 !" #$"$ , -' A , . 7D?, ( $ ! $ 1 ( ,,7. $6 # $"$ A 7D?, $$ 1 1 . & ,,7. $C 6 $"$ 7D?, . & $! 1 1 1 ( ! 6 $"$ & 7D?, B $# ' !" ; $"$M? B ') $"$ ? > ( B $6 '( ' 0 ''0. ! ; $"$M? ? > 7 I $"$ * !( $6 1 ,,7. ! ; $"$ - ' ) 7D?, (A -' ! < $"$M ($"! 7D?, ' )( B $6 1 , # C $"$ 7D?, %,D $! D . ! ! !$ 1 B ,. , ! < $"$M ($"! ? ( , 7 ) A Page 100 !$ 1A ,,7. $"$ ($"! % A B !! 7 Q8 ,1 !" $"$M ($"! % 1 R R R ,,7. A -1 ( # '"" # , 3 % ( !" $"$ , ) D I ''0 B ,. , 6 (4 6 Appendix 6
Financial Inclusion Action Plan Child Poverty Focus Group This action plan has been developed by Swansea’s Financial Inclusion Steering Group. The FISG was established in 2009 in response to one of the recommendations made at the Financial Inclusion Seminar: Making the Best of Local Connections. The Steering Group is a Swansea wide network of public, third and private sector organisations delivering services linked to the financial inclusion agenda.
Partners include: Page 101 • City & County of Swansea • Communities First • Welsh Government • Citizen’s Advice Bureau • Credit Union • SCVS • Money Advice Service • Family Housing Association • Environment Centre • Groundwork, • Swansea Bay Age Cymru, • NEA • Gwalia • Principality Building Society • Barclays Bank • Care and Repair Swansea • Energy Savings Trust Page 102 • Swansea Bay Regional Equality Council The plan encapsulates current and planned activity across Swansea under the themes identified within Welsh Governments Financial Inclusion Strategy: “Taking Everyone into Account”. These are: • Access to Mainstream Services • Providing Affordable Credit and Services • Improving Access to Money and Debt Advice • Increasing Financial Capability and Literacy • Income Maximisation An additional theme of ‘Strategic Development’ has been added to identify more effective ways maximising available resources.
The actions within this plan will contribute to the objective of reducing inequalities which is a key element of the following plans/programmes: 12. CYP Plan 2011-14 13. HSCWB Plan 2011-14 14. Healthy Cities
The actions also link with National objectives within: • Welsh Government’s Financial Inclusion Strategy, “Taking Everyone into Account” Page 103 • Children and Families (Wales) Measure 2010 • Child Poverty Act 2010
! # "" ! ! " " " 4 $ . 8 ' + & 8& ( 8 ( ( ' 1 D3 JB ' $"! ? 1 D % & .$ 8 (* . + & 8& $"$ 8 ( % & 3 1 ( Page 104 "5 ! 4 6 4 .$ 3 7& K $"! $ ! ( ( -33 ( K9 K= 2 1 2 '( .$$ 8 K 7 K 8K B $"! ( 6@ - 3 ( & 8& ( ( + & . ( $6" .$! . K 8K 3' D 3 B0 K 8& .$# 1 % + & 8K B0 3 D ? Page 105 8 (- K D 8-K1 ( B 8& 7BD .$6 1 K K 8K . D $"$ ? K). 8 8& ( K - ( B .$@ 7 7 K K ', D $"$ $ & J ( B .$; 7 7& K B1 $"! !" ( . B1 ( 6" .$< 8 ( 7& K B1 $"! ( ( 8 1 - ( B)& ! # "" ! !
" '" 4 6 4 7 T3.1 1 (3 1 3' K 8K $"# (3 K 8& 8 B ( T3.2 K * + 8K 3 ($"$ 8 & . 3 . 7 $"$9.' = 8 Page 106 T3.3 7 ( 1 3' 3 $"# (91 ( 3 - $"! . = 3' $ $"! F 3 F 3<<" M ?1. !!6 93$= ( 6#" 9- = ( T3.4 1 J B $"! , 6C$""@ ; 6<$" $ . 6"E . T3.5 ,* 1 J B K 8D 7 3 B8D ( * * $"$ % 1 B. D 1 B 1 K Page 107 ! # "" ! !
" ' 63 3 - .# , JB $"$ , 0 K ( K ( .#$ 8 K K $"! ( ( K . @ .#! 1 . D 1 B K & B8D ( J B K (
Page 108 & $"$ 1 .## ,* + 8K . K $"! ( & ! # "" ! ! " ' "" 9" 8 .6 1 3' $"6 % & 7 (-3 ;" )!;")""" 7 % ( 8K 0 $"$ 0 .6$ 7 ( 8K $"! 6 @ 3 Page 109 K .6! 3' 1 3' @" ( .6# 7 8K $"! #; ( .66 8 B' 1 ' $"! 6E - . 3' 1 3' %& !$6 )!$6)""" $"6 .6@ 8 . * 1 - ' . $"! 6E ' 3' $"6 %& B' .' .6; 8 ( 1 - ' . $C B' . 7$" $"$)<; % 3 $" $ .6; 1 J B B8D ( K) (0. K ( .6< ( '- ( 3' $"$ 3 F A 3<<" M ?1.
Page 110 !!6 93$= ( 6#" 9- = ( .6C 7 (' 3 F' 3' $"6 $6" ( );!") B A 1 ( !$")""" B .6" 3 $"$ % ' % & .6 8 1 ( 8K 1 ( $"! 3%31 3 1 . & * (( .6$ 1 3 ( 3 ( ' ( ' ( ! # "" ! ! " %4 " / ; : .@ 7 2# .@$ 8 ( 2# * .@! , % & R3 + $"! % & Page 111
.@# . 2# % ( Appendix 7 Page 112 1 !" ! ! " # $ %& ' #$%&$ '( ! M " " & " QR & " + , & Page 113 - . && / $ " + & & & 01 00 $ & 02 & 03 & + & & & & & " " & & , & )''$ &%!& ( ! & " & & & ! 4 * ( & & " , " & ' 5 & "' 6 " $ & & " ! & & " & & & & & 7 & & & & 85
Page 114 9 ! & + & : ' & ; & " " & & & & - & / ' & + & & 01 ' & & 00 4 & & & & & & & " & ' < < & " & & + (! % & 85 - = ' + 4 / + & 7 & & & & & &" " 5 & & " 4 ! "4 = & ; > 4 & & 85 Page 115 , $ & " & " & > + & & & Q & R $ & R & $ & & ? & & " , 5 "( " !" " **( ,!( ,* -%(( ,* !, (( *( (" &,%( ! &**(* 0 M , 4 , 4 = & 7 =?!> ? & ?
Page 116 # & & & ! 2103 = & 4 2 M @ = & A 4 & B2102 "( " !" " **( ,!( ,* -%(( ,* !, (( *( (" &,%( ! .($"&$(% '$ 0 ! = ! # & , A =?!> + ! # ? 7 5 M 4 Page 117 & & # B2102 • %& 4 & 4 A 7 $+ %& A 74 = & = 2102 ; % • ' & "( " !" " **( ,!( ,* -%(( ,* !, (( *( (" &,%( $+ $44 4 4 $44 $44 + 4 !2103 ( .'!.,, (!' • 4 $& 4 = + Q R5 "=?!> 211 ?
Page 118 & & C 2103 " " & 4 " " " A =
** $ '%'* "( " !" " **( ,!( ,* -%(( ,* !, (( *( (" &,%( • = =%! ? % ! =%! & ' & Page 119 = +- Supporting Families - Child Poverty Task Group (Prevention and Early Intervention)
Ref Programme/Development Actions Anticipated Resources Lead Outcomes Officer 1. Flying Start The focus between 2012/13 and WG Grant funded SB 2014/15 will be to: A targeted multi-agency programme for children aged i. Maintain and improve Improved cognitive, 0-3yrs in the most deprived service delivery in existing social, emotional skills communities (n = 1430). Main areas in order to improve and physical health of 0- elements are: outcomes 3yrs in deprived areas • Free part time childcare ii. Expand the programme to a Flying Start Strategic • Enhanced Health further 1,229 0-3 year olds in Plan provides full details.
Page 120 Visitor support, line with Welsh Government • Parenting programmes requirements and approvals. • Basic skills via the language and play programme.
2. Families First: The focus between will be to: WG Grant funded SB/LH/MG
A multi-agency programme i. Develop robust multi-agency Increased number of with a clear focus on aiming to workstreams people from low income develop multiagency systems families, gaining and and processes, with an ii. Establish a whole systems sustaining paid emphasis on prevention and approach employment early intervention particularly those living in poverty. An iii. Continue to review the Improved health, safety important focus will be placed Programme in line with WG and well-being of on the provision of services and activities for families in requirements and local children, young people their own communities. needs identified via Needs and families living in Assessment/data. deprivation The workstreams include: Increased confidence, 1. Tools and Models for nurturing skills, and Integrated Service resilience of children, delivery (e.g young people and TAF,Promoting families living in Inclusion, Restorative deprivation. Practice) 2. Disability See Families First Plan 3. Community Based 2012/13 for further detail. services (link with Communities First) 4. Intensive and Bespoke services Page 121
3. Mayhill Surgery and Family The focus will be to: I SRA Capital ABMU Centre: funding Health i. Progress the procurement Improved access and WG Health Board and Achievement of an integrated process for a Third Party engagement with Revenue for the SB/AS and accessible facility for local Developer preventative services - Surgery element families in partnership with both Health and Family Families First ABMU Health Board, the GP ii. Engage with key Support revenue Surgery and Welsh stakeholders Government. Improved integration of iii. Undertake the capital build health and social care for vulnerable families resulting in more iv. Establish the Centre and responsive and implement service delivery preventative services
4. Four Site model : The focus will be to: WG Grant/ JT/SB/ShD Core/ESF A framework that has been i. Review and develop the A reduction in the developed to take account of Team Around the Family number of inappropriate the differing needs of approach referrals made to Social vulnerable children and young Care and other specialist people in Swansea. The ii. Implement and rollout the services. model is about sites of co- Promoting Inclusion Panels ordination where vulnerable Improved co-ordination children and young people can iii. Achieve a robust dataset to of service for children, be discussed, their needs determine the impact of the young people and understood and appropriate responses in relation to families vulnerable to services arranged and co- improving outcomes for social exclusion, at the ordinated and reviewed. Each vulnerable children, young earliest opportunity. site has basic features in people and their families. common including that they are: Improved skills and o multi-agency and involve confidence of those who are accountable practitioners to Page 122 for service interventions, respond to the unmet o triggered by a holistic needs of families. assessment of need concluding that a multi agency response is Increased family needed to improve functioning and outcomes for the family, stability. o focused on joint action in terms of the desired and measurable outcome, o supported by the resources which are needed to co- ordinate the organisation and monitoring of effective and accountable joint action. 5. Young People Services: The focus will be to: Core and WG and IJ/SB/GE European Grants Provision of integrated youth i. Ensure good quality and Improved reach and services for young people and responsive facilities and targeting of integrated their families provided both via services in line with the youth services. Prevention and Early Health Cities principle of Intervention Services and proportionate universalism Increased accreditation wider Youth Support Services and recorded outcomes partners on a multi-agency ii. Develop and implement a for young people basis. Services include centre plan to ensure fit with Estyn based work, street work, social requirements and A reduction in the media, school work, expectations in readiness for number of young people information shop, as well as the 2013 Inspection. who are NEET targeted provision via project work, summer programme, iii. Ensure services are linking Improved family annual events and referrals for with the TAF and Promoting relationships, family Page 123 121 interventions which Inclusion Panels to provide functioning and stability includes supporting and holistic responses for guiding young people 11-16 families Improved school years old who have attendance and disengaged from education to Provide leadership across engagement. re-engage into learning. iv. Youth Support Services on a multi-agency basis
6. Parenting The focus will be to: WG Grants and LH Provision of a continuum of Improved behaviour Genesis ESF holistic support for families i. Work with Health to ensure aiming to build and enhance that a robust peri-natal offer Improved self esteem emotional literacy and is in place within the Flying and confidence of resilience providing parents Start Programme parents/carers with the tools they need to better understand the needs of ii. Continue to provide groups Income maximisation their children and to build skills and 121 interventions to that will better enable them to address barriers impacting on meet the needs of families Increase in numbers of their parenting capacity and identified via the referrals parents/carers moving access training or return to closer to the labour work. Service provision is via iii. To work with wider partners market e.g taking up groups and 121 interventions such as Child and Family to training and entering the and includes focus on co-deliver services workforce behaviour, supporting Dads, income maximisation as well iv. To consider the most as dedicated provision and effective strategy to both programmes to support victims provide effective services as and perpetrators of domestic well as reduce the waiting abuse. lists
v. To increase the Flying Start element of the team in line with the expansion of the Programme. Page 124 vi. To enhance co-working with Flying Start Health Visitors to increase referrals so that all eligible families requiring intensive parenting are referred.
vii. Via Families First to work with the Young People Services to pilot a new project providing parenting for parents of young people, supporting young people directly and providing support to young parents. 7. Childcare The focus will be to: Improvements to the Core and WG grant AW The Childcare Act 2006 quality, accessibility and places a duty giving the Local i. To address the Childcare affordability of childcare, Authority via the Early Years Sufficiency Audit Action Plan so that parents/carers Development and Childcare e.g relating to new places, can take up training, Partnership (EYDCP) the lead sustainability, disability. education or work. role in facilitating the childcare market to ensure it meets the ii. To plan for the next Increased recruitment needs of working parents; in Childcare Sufficiency Audit and retention of staff to particular those on low (statutory requirement) the childcare workforce incomes, those with disabled in order to meet future children, or those who wish iii. Expand the Family demands e.g via the their children to attend Welsh Information Service (beyond Flying Start Programme. Medium provision. childcare) to include details on wider services for Increased accessibility It also places a responsibility Children and Young People and accuracy of Page 125 on the Local Authority to information for families broaden its existing duty to and professionals to iv. Link the Family Information provide information on meet requirements and Service to TAF and childcare to ensure that people needs. Promoting Inclusion to have access to the full range provide comprehensive of information they need as a information of available parent of children 0-20. services and opportunities
v. To implement the pilot of the Childcare Apprenticeship scheme and wider workforce initiatives 8. Play The focus will be to: Core and WG and SC Ensure every child’s right Big Lottery Grants Leading the multi-agency Play i. Undertake the statutory Play to quality, accessible Network and provision of play Sufficiency Audit by 1st play as essential for services via the Bus and March 2013 personal devt. development of provision to meet evidenced need. There ii. To address the Play To respond to gaps in is a new requirement for all Sufficiency Audit Action Plan provision, or access to it, Local Authorities to undertake to ensure equity a play sufficiency assessment iii. Review the Play service to as part of the requirements of ensure that it is fit for Ensure play’s effective the Child & Families (Wales) purpose within the Families contribution to meeting Measure 2010. First Programme. local and national priorities, particularly for identified communities / individuals in need
Page 126 Agenda Item 11a
Joint Report of the Cabinet Members for Regeneration and Place
Cabinet - 28 February 2013
PONTARDDULAIS TRANSPORTATION AND DEVELOPMENT STUDY – STAGE 1 REPORT
Purpose: To advise Cabinet of the recommendations of the Council’s Consultants in order to agree a way forward on transport and infrastructure options in support of further regeneration work in Pontarddulais.
Policy Framework: Unitary Development Plan
Reason for Decision: To agree a remit for further investigations as Stage 2 of the Pontarddulais Transportation and Development Study, that will potentially inform future funding bids and/or investment.
Consultation: Legal, Finance.
Recommendation(s): It is recommended that:
1) Cabinet does not support further work on the Pontarddulais Southern By-Pass; 2) Cabinet authorise further investigation of improvements to the Pontarddulais Town Centre Gyratory, and the potential for a Northern Industrial Access Road.
Report Author: Rowland Lanchbury
Finance Officer: Steve Matthews
Legal Officer: Roderic Jones
1.0 Introduction
1.1 Hyder Consulting (UK) has been commissioned by the City and County of Swansea, with funding secured by the Rural Development Plan (RDP) Programme for Wales to prepare an integrated and comprehensive Transportation and Development Study for Pontarddulais.
Page 127 1.2 The Study is intended to provide informed advice for Cabinet to consider the way forward, and has been commissioned in two distinct stages with a second stage proceeding if appropriate, within the remaining budget available.
1.3 Following a significant research exercise and a period of public consultation, a report on the first stage of the study has now been received and reviewed by the Head of Economic Regeneration & Planning and the Head of Transportation. This presents an assessment of the existing transport infrastructure and travel patterns throughout the town, together with the identification and appraisal of costed potential transport options to the north and south of the A48. It provides technical evidence and recommendations to assist Cabinet in determining the way forward for Pontarddulais, specifically in terms of its requirements for, and the deliverability of new transport infrastructure – town centre improvements, a southern by-pass, and a northern industrial access road.
2.0 Context
2.1 There have been several previous studies commissioned on Pontarddulais in the 1990’s. The concept of a bypass for Pontarddulais was first proposed in the 1990 Halcrow Fox report ‘Pontarddulais Urban Regeneration Strategy’ as an extension to the proposed Gorseinon Eastern bypass along the disused railway line from Station Road / A48 Water Street / Tidal Reach / A48 Water Street junction to the B4296 Pentre Road. Two further studies in 1993 ‘Economic Appraisal of Development Options in Pontarddulais’ and the ‘Pontarddulais Urban Regeneration Strategy – Development Sites and Traffic Study’ in 1996 also explored the potential for a bypass.
2.2 The bypass was identified as a mechanism for releasing the development potential of land south of the A48, but the proposal was never pursued because of insufficient funding, and because it had no status or protection, not having been identified as a priority scheme or included in any statutory plans such as the Local Plan or the Unitary Development Plan.
2.3 The ‘Pontarddulais Urban Regeneration Strategy’ (April 1990) also recommended that a new access should be constructed to provide access to development sites and relieve the residential Woodville Street and Tyn-y-Bonau Road of HGV traffic whilst also providing alternative access arrangements to industrial sites to the north of the A48.
2.4 One of the changes delivered as part of the ‘Pontarddulais Urban Regeneration Strategy’ was a one-way gyratory in the town centre. This came into place in the mid 1990’s and remains an issue within the town. Moreover the opening of the Tesco store south of the A48 brought with it the installation of traffic signals on the Station Road /
Page 128 A48 Water Street / Tidal Reach junction. The benefits or otherwise of these changes are also much debated in the community.
2.5 A draft Development Appraisal considered by the Council’s Cabinet in August 2010 explored the potential for development opportunities and new highway links on land south of the A48, and the wider regeneration agenda of Pontarddulais. This was then the subject of consultation in the town, and a report on the consultations was submitted to Cabinet on the 25th August 2011. Cabinet resolved that:
• The response to the consultation exercise and the petition was noted; and • No decision was made by Cabinet on the southern bypass scheme, pending the outcome of further detailed consultancy studies to examine the future regeneration and infrastructure needs of Pontarddulais.
2.6 More recently, the development of a new access (Tidal Reach) to the recently opened Tesco store in the town, as well as the provision that Tesco will pay the sum of £1 million towards an extension to the access road running from Water Street to Pentre Road, has generated renewed debate about the benefits and implications of the bypass. This contributed to the need for an informed assessment of its merits, as required by the Cabinet decision.
2.7 As a result, a Brief was prepared and required a two-stage approach to the study. Stage 1 was to fully assess the necessity for and the deliverability of transport infrastructure, with Stage 2 developing a delivery and development framework related to the improved transportation links, should these be identified as desirable and feasible. Hyder Consulting Ltd were duly appointed following a competitive tender process.
3.0 Summary of Report Findings
3.1 The Stage 1 Study explored a wide range options for transport infrastructure in Pontarddulais, dealing with the different but related situations arising – • within the town centre • south of the town centre, and • north of the town centre.
3.2 Options which, following an assessment, were considered to merit further investigation were combined into a number of scenarios and tested in a traffic model. These scenarios are illustrated in the appendix attached, and described below:
Page 129 • Do-minimum o Retaining existing arrangements within the town centre with no alterations to layout or mitigation of existing traffic circumstances
• Scenario 1 - Town Centre o Making Water Street two-way from St. Teilo Street junction to Dulais Road, enabling traffic travelling west from Tyn-y-Bonau Road and Dulais Road to exit the town via Water Street.
• Scenario 2 – Southern Area o Scenario 2a – a southern bypass from Tidal Reach to Pentre Road, then north of the cemetery to Bolgoed Road. o Scenario 2b – a southern bypass from Tidal Reach to Pentre Road then south of the cemetery to Bolgoed Road. o Scenario 2c – a southern bypass from Tidal Reach to Pentre Road, then uses Pentre Road for a section, then passes north of the cemetery to Bolgoed Road. o Scenario 2d – a southern bypass from Tidal Reach to Pentre Road. o Scenario 2e – a southern bypass from Tidal Reach to Pentre Road, avoiding most of the Pontarddulais Showground.
• Scenario 3 – Northern Area o Scenario 3a – a northern link to the employment areas from Station Road west of Woodville Street and on to the Lye Industrial Estate. o Scenario 3b – a northern link to the employment areas, from Station Road west of Woodville Street and on to the Lye Industrial Estate, running adjacent to the railway line.
3.3 All the scenarios were costed and appraised in terms of how they would meet a range of criteria set out in the Welsh Government WelTag process for transport schemes. This covers social, environmental and economic impacts, technical feasibility and deliverability and funding. The results of the appraisal are reflected in Hyder’s recommendations
3.4 Consultation events were held in July 2012. regarding the scenarios set out above. Attendees were provided with information regarding the scenarios, and a proforma asking for a level of agreement with each scenario. A total of 98 responses were received by the end of the consultation period. In addition, a petition signed by 340 residents was received, objecting to the bypass and making other comments regarding the town centre. The response of the public consultation to the scenarios is summarised below.
Page 130
Table 1 – Summary of Public Responses to Scenarios
% of Respondents % of Respondents Scenario Agreeing or Strongly Disagreeing or Agreeing Strongly Disagreeing Do Minimum 28 58 Scenario 1 74 16 Scenario 2a 18 66 Scenario 2b 20 59 Scenario 2c 34 55 Scenario 2d 26 65 Scenario 2e 37 56 Scenario 3a 50 36 Scenario 3b 65 20
4.0 Report Recommendations
4.1 Having regard to the WelTag appraisal for the different scenarios and the public consultation responses, Hyder Consulting (UK) has drawn a number of conclusions and made a series of recommendations to advise on the way forward.
Scenario 1 - Town Centre
4.2 Modifications to the town centre gyratory, which involve making Water Street two-way from the St. Teilo Street junction to Dulais Road could give significant benefits to St Teilo Street, town centre access and circulation. This would give an alternative east to west route for traffic from Caecerrig Road and Tyn-y-Bonau Road including from HGVs from the Lye Industrial Estate. Other variations of this proposal were explored but are not considered viable or appropriate at this stage.
4.3 The public response to this scenario was the most favoured with 74% of respondents at the consultation event It is likely to be relatively inexpensive at £620,000 and could be delivered mainly or wholly within highway land, with some potential for public funding given the regeneration benefits for the town centre.
4.4 Hyder have advised that the scenario tested requires refinement in order to maximise traffic benefits on the overall network and not lead to increased delays in the Water Street area. The refinements would need to give further consideration to the potential to modify the Water Street/ Station Road/ Tidal Reach junction, and its relationship to the St Teilo Street/ Water Street junction, and further investigation of the Dulais River Bridge on Tyn-y-Bonau Road would be needed.
Page 131 4.5 In conclusion, Hyder confirm Scenario 1 has considerable merit but requires refinement of design and cost implications before a scheme which maximises the benefits for the town centre could be agreed.
Scenario 2 - Southern Area
4.6 A range of scenarios representing various lengths of by-pass roads were explored to the south of the town, and these potentially provide the strongest benefits for the town, in terms of traffic levels in the town centre, as an alternative, faster route around Pontarddulais. The routes could potentially also open various areas of land for development in line with a Strategic Option of the emerging Local Development Plan (LDP).
4.7 Scenarios 2d and 2e, which provide the short link from Tidal Reach to Pentre Road, showed relatively high benefits at the lower cost of £2.50m and £4.26m respectively. This compares favourably to the full link options to Bolgoed Road – 2a, 2b, and 2c – which would cost up to £9.41m.
4.8 The southern bypass scenarios would not improve access to the northern industrial areas and there could be some loss of passing trade to town centre shops and businesses. Moreover, traffic benefits are based on a future year with general traffic growth and do not include additional traffic from any development level over and above incremental growth.
4.9 In terms of public consultation, only 18% and 37% agreeing or strongly agreed with the Southern Area Scenarios as favoured alternatives. The general response was largely adverse, and in the case of scenarios 2a and 2d which crossed the Showground, there was considerable opposition (65% and 66% respectively disagreeing or strongly disagreeing with the two scenarios).
4.10 Whilst Scenarios 2a and 2d are the lowest cost of the alternatives for the full bypass or part link, these would have the greatest impact on the Showground. Opposition by the owners of the Showground to any of the Scenario 2 alternatives mean that taking a link forward could be costly and problematic, and Hyder did not receive positive representations from landowners or potential developers with an interest in the area south of the town centre.
4.11 Hyder’s research concludes the scenarios for the south of the town are unlikely to be deliverable through public funding programmes, and they would, therefore, require a large amount of private developer funding. Furthermore, given the cost estimates for all of these scenarios, there would need to be a great deal of housing or commercial development to the south of the town to provide private sector contributions. This scale of development is unlikely to be allocated in the LDP or
Page 132 acceptable to the local population, and any attendant levy is unlikely to materialise.
4.12 Notwithstanding the above, as a potential contribution towards deliverability, there is a provision that Tesco will pay the sum of £1m towards the estimated costs of £2.5m for scenario 2d (southern bypass Tesco link to Pentre Road, which happens to be the cheapest scenario). Tesco’s agreement is, however, with a private developer, and is time bound, requiring the new highway to be completed and adopted as a public highway within five years after completion of the sale of the site. Attempts to verify the timescale with the developer’s advisors have not been successful, although it is thought that the end date is sometime in the middle of 2014.
4.13 In view of the above, whilst the potential benefits of a southern bypass are recognised, the difficulties in delivering and funding a new link compounded by landowner and public opposition means Hyder do not feel sufficiently confident to recommend that it be taken further.
Scenario 3 - Northern Area
4.14 Scenario 3a and 3b could significantly improve access to the northern employment areas of the town, including a link to the Lye Industrial Estate occupied largely by Macmillan Distribution. This would reduce some of the movements of HGVs and general traffic through the northern residential areas as well as open up some sites for development. The area north of the town is one of the strategic urban options in the LDP Strategic Options Concept Plan, thus improved access may support the allocation of land for development in this area.
4.15 The public response to the scenarios in the northern area was positive, in that both scenarios had more people agreeing or strongly agreeing than disagreeing or strongly disagreeing. Scenario 3b involved a route closer to the railway line and this was the favoured of the two alternatives, and had agreement from 65% of respondents. Positive responses were received from two landowners in the area relating to the potential for providing access to new development sites.
4.16 Scenario 3a and 3b would be costly, £3.53m and £3.68m respectively. However, there is considered to be some public sector funding potential, given that it would improve access to employment sites, and it could generate some contributions from developers. An appropriate development and delivery framework would confirm the development potential of this northern area, and how infrastructure could be delivered. This would include exploring alterations at the Water Street/ Station Road/ Tidal Reach junction, including parking and pedestrian movement issues at Station Road, in order to maximise the benefits of the link.
Page 133 4.17 In conclusion, Hyder consider that the improved access to the northern area could provide considerable benefits and should be further investigated as part of a development framework in the area, closely aligned with the work on the LDP.
5.0 Officer Response to Recommendations
5.1 The Study has demonstrated that the regeneration benefits of providing improved circulation around the town centre by altering existing roads, would provide for an improved throughput of traffic and is unlikely to affect the patronage of the town centre unduly. It probably falls short of the aspirations of the wider public, who would generally wish to see the end of the one-way system, but this is not deliverable at reasonable cost and is not recommended by Hyder.
5.2 Nevertheless it is considered that a two way carriageway along Water Street, along with associated improvement at relevant road junctions, would initially appear to be beneficial, however, further modelling and design works would be prudent to deliver a robust assessment of the proposals.
5.3 The Southern Area By-Pass would appear to provide some benefits, but there is a danger from the loss of passing trade, there would be objections from residents and landowners, and the significant cost would be difficult to fund without more substantial transportation or regeneration justification. In addition, the southern By-pass does not feature in the Regional Transport Plan and as such there is little opportunity to attract match funding to complete the route, as it fails to deliver a strategic transportation objective.
5.5 The northern industrial access road would clearly assist in protecting vulnerable residential streets and the town centre retail area from HGVs and superfluous traffic. Its delivery, however, is a significant challenge, and notwithstanding the support of local landowners, further work is required to explore how this might be achieved. Given that there is potential for this to be influenced through the LDP, it may be worth exploring the transportation implications further at this stage of the process, in order to be able to respond positively when the LDP process has progressed.
5.6 It is important to note that whilst the study may identify indicative new development opportunities and options, any resultant development proposals must be consistent with the adopted/forthcoming development plan framework. It is anticipated that the Deposit LDP will be published during 2015 and given the likely realistic timescales for the delivery of the explored options derived from this study, progress will have to be made in accordance with the provisions of the emerging LDP and associated studies. It is therefore considered that the outputs gained from this study will act as firm evidence base for the
Page 134 consideration of Pontarddulais’ transport and infrastructure options that will help inform the LDP.
5.7 In terms of funding delivery, funding opportunities from public sources are clearly limited at present, as existing programmes are fully committed to existing schemes. However, consultation has commenced on European funded programmes to run from 1 January 2014 – 31 December 2020. The programmes as outlined in the consultation documents offer similar opportunities to those currently operating. Decisions on the way forward will be influenced by the evolving governance arrangements around city regions, as well as the way the UK Government responds to the opportunity provided in the regulations for ‘community-led local development’ approaches. The latter could offer opportunities to continue economic regeneration activity in the rural/semi-urban parts of the County in a similar way to the current Rural Development Programme. Programmes will be smaller in scale, but in general grant intervention rates for projects average at 50-80% of total project costs, dependent on the programme, and the amount of match funding that can be secured from other sources. This may, in itself prove to be challenging.
5.8 In summary, Officers consider that the following be explored further as the second stage of the Transportation and Development Study –
• Scenario 1 – Town Centre : Further design investigation of a two way carriageway along Water Street, along with associated improvement at relevant road junctions • Scenario 3 – Northern Area : Further design and land ownership investigations to facilitate funding bids in relation to an industrial access road north of the A48 at Pontarddulais.
5.9 It is further considered that Scenario 2 : Southern Area does not merit further investigation at this stage, in view of the limited benefits for significant cost, the substantial difficulties in delivery arising from land ownership, and the limited prospect for securing external funding.
6.0 Financial Implications
6.1 The costs arising from further investigative work would be 100% grant funded via the Welsh Government’s Rural Development Plan Programme and can, therefore, be met from the existing approved budget. Of the £90,000 budget previously identified and it is anticipated that a revised remit for the consultants, to whom the Council is contractually committed, could be delivered from the remaining budget.
7.0 Legal Implications
7.1 There are no legal implications associated with this report.
Page 135 Background Papers: Pontarddulais Transportation and Development Study: Stage 1 Report, Hyder Consulting (UK)
Appendix: 3 No. Scenario Plans
Page 136 enrio2I x enrio2I Page 137
t2 e ilo 2 tre et
egenertion28 lnning xot2o2le
©2grown2gopyright2nd2dtse2right2PHII yrdnne2urvey2IHHHPQSHW ©2rwlfrint22hwl2ronf2ddt9r2qoron2PHII r2erolwg2yrdnns2IHHHPQSHW x enrio2P
enrio2P
enrio2P
enrio2P
enrio2Pd
enrio2Pe Page 138
5 5 5 5
egenertion28 lnning 5 xot2o2le
©2grown2gopyright2nd2dtse2right2PHII yrdnne2urvey2IHHHPQSHW ©2rwlfrint22hwl2ronf2ddt9r2qoron2PHII r2erolwg2yrdnns2IHHHPQSHW enrio2Q x enrio2Q
enrio2Q Page 139
egenertion28 lnning xot2o2le
©2grown2gopyright2nd2dtse2right2PHII yrdnne2urvey2IHHHPQSHW ©2rwlfrint22hwl2ronf2ddt9r2qoron2PHII r2erolwg2yrdnns2IHHHPQSHW Agenda Item 12a
Report of the Cabinet Member for Regeneration
Cabinet – 28 February 2013
SWANSEA VALE DEVELOPMENT STRATEGY REVIEW REPORT ON PUBLIC CONSULTATION EXERCISE
Purpose: To report back on a public consultation exercise on the Draft Development Strategy Review agreed at Cabinet on 9th August 2012.
Policy Framework: Swansea Community Plan - delivery of Prosperity and Environment themes. Swansea 2020, Unitary Development Plan (2008), Swansea Vale Development Strategy and Concept Plan (1999).
Reason for Decision: Once adopted the document will be used as planning guidance to inform prospective developers, the local community and other interested parties about the future land use and to guide implementation of infrastructure and development.
Consultation: Legal Democratic Services and Procurement, Finance, Economic Regeneration and Planning, Education and Highways.
Recommendation(s): It is recommended that:
1) Cabinet agree to adopt the Swansea Vale Development Strategy Review as planning guidance for the future development and regeneration of the Swansea Vale area.
Report Author: Gail Evans
Finance Officer: Steve Mathews
Legal Officer: Rod Jones
1.0 Introduction 1.1 The City and County of Swansea (CCS) appointed consultants Atkins to prepare a revised strategy for the future development and regeneration of the Swansea Vale and to respond to a range of new issues affecting this important regeneration area. The Draft Swansea Vale Strategy Review was presented in a report to Cabinet in August 2012 where the document was agreed as a basis for a public consultation exercise. Subject to the results of a consultation exercise, the overall aim was that the revised Development Strategy could be adopted as the Council’s policy to inform the preparation of the Swansea Local Development Plan, to help to ensure a comprehensive approach to the
Page 140 delivery of an Overarching Vision for Swansea Vale and encourage renewed market confidence in the area.
1.2 The report to Cabinet set out a summary of the revised Draft Vision and Objectives for the site, a summary of development aspirations and land use changes, the rationale for those changes, the guiding principles for sustainable environment requirements, access and movement requirements and an indication of how the Strategy would be delivered in a phased manner. The report also highlighted how significant changes to land use allocations are required to facilitate the delivery of the Lower Swansea Valley Flood Risk Management Scheme and to improve the overall viability and delivery of the Swansea Vale scheme. In some areas of Swansea Vale the proposed changes of land use represent a departure from the current land use allocations in the Unitary Development Plan (UDP) 2008.
1.3 A public consultation exercise has now been undertaken and this report sets out the range of responses received from residents, businesses, organisations and stakeholders who submitted a comment form or email during the consultation event, and sets out the responses from statutory and non statutory consultees who were also consulted directly on the draft document.
2.0 The Public Consultation Process 2.1 A community consultation exercise was held from November 12th to 31st 2012 and was undertaken by the following methods: • Press release and publicity for the exhibition event in the local press on Friday November 9th 2012. • A manned public exhibition held at the Swansea Vale Resource Centre located within Tregof Village on 12th and 13th November. • Site notices were displayed within the business park and residential areas of Tregof Village, Llansamlet and Peniel Green Road. • Flyers were distributed to properties on Walter Road where there are changes to proposed land uses directly adjacent to residential properties. • Publication of the Development Appraisal document and content of the exhibition on the Council’s Intranet site, including the Consultation database and Business web sites. • Comment forms were made available at the exhibition event, and on the Council’s web site which invited members of the public to give their views on the key issues affecting the area.
2.2 Preliminary consultations were undertaken with the Environment Agency and Countryside Council for Wales by the consultants during the early stages of the preparation of the Strategy. During the consultation exercise these statutory organisations were re consulted for confirmation of their views, and a range of specific general and local consultation bodies, service providers, local organisations and interest groups were also consulted by directly by email or letter. . 2.3 This was a successful consultation exercise, with a consistently high level of attendance from members of the local community throughout manned exhibition event. A diverse range of issues were highlighted through the open comments section of the comment form and through the various emails received from
Page 141 residents and stakeholders. The four key issues are highlighted below and set out in more detail in Appendix 1, along with a response and a proposed refinement to the Strategy where appropriate. • Traffic and access- concerns about traffic generation and the need for improved integration and sustainable transport. • Gypsy Travellers- Objection to allocation of sites for gypsy travellers • Land use at Tregof Village- Concerns about loss of greenfield areas and the need for play space. • Community facilities- Concerns about lack of community facilities and local school capacity and the condition of the school. 3.0 Responses from Organisations and statutory undertakers
Countryside Council for Wales (CCW) 3.1 CCW had no comment to make regarding the allocation of land use types in the Indicative Master plan. They also welcomed the commitment to the Ecology Park, Nature Reserve and Green Corridors and would be happy to provide further advice on monitoring, design and species composition of the planted areas.
Environment Agency Wales (EA) 3.2 The EA acknowledged the joint efforts and co operation between CCS , the EA and CCS’s consultants Atkins in bringing forward the Strategy proposals, and commended the close working partnership as a successful example of professional interaction resulting in a positive approach to the areas’ redevelopment. There is therefore no objection to the draft proposals but offered advice in respect of: a) Flooding- the strategy is based on previous discussion and agreement, and the EA draw attention to the importance of delivering the Lower Swansea Valley Flood Risk Management scheme. b) Land contamination – Developers should be made aware that further investigations may be necessary for site specific developments within the project area to establish the full implications of building upon contaminated land. c) Surface water drainage- The EA support the reference to Sustainable Drainage schemes which reflect the advice of Planning Policy Wales and Technical Advice Note 15 (Development and Flood Risk)TAN15.
Dwr Cymru Welsh Water (DCWW) 3.3 Welsh Water supports all policies which support sustainable economic development and in particular makes reference to the inclusion of sustainable drainage and water supply systems in the Strategy. DCWW acknowledge that given the size of the sites some hydraulic modelling assessments will be required to determine the adequacy of the water and sewerage networks and evaluate whether any improvements are required.
The Swansea’s Community Boat Trust, Neath and Tennant Canal Trust, Inland Waterway Association, Swansea Canal Society, Canal and River Trust 3.4 These five organisations individually responded to the consultation exercise and expressed concerns about the lack of reference to protecting the route of a
Page 142 potential navigable waterway through Swansea Vale, and raised objection to the Strategy Review on this basis. The route is identified under policy HC31 in the Swansea Unitary Development Plan (2008), and shown on the proposals maps as following the line of the Fendrod stream. However the route has never been indentified on the previous Swansea Vale Concept Plan (1999) or the original Swansea Vale Development Strategy, and has never formed part of a delivery programme for the area. Local Development Plan candidate site submissions have also been made in respect of the protected alignment. In financial and technical terms the waterway would be difficult to deliver, and the technical implications of creating a new waterway, particularly in an area of flood risk would need full evaluation. 3.5 The Swansea Community Boat Trust have requested that the Development Strategy includes reference to the protected alignment by including the statement VW6- ‘To safeguard the possibility of creating a navigable waterway based on the Nant y Fendrod’. The principle of protecting of the alignment will not compromise the delivery of the Strategy’s wider objectives and will therefore be included as a minor amendment to the Strategy document. Any formal protection of the alignment will need to be confirmed by the Swansea Local Development Plan in due course.
4.0. Planning and Legal Implications 4.1 The full Swansea Vale Development Strategy Review can be viewed on line and the Indicative Master plan is included as an Appendix 2 to this report. The most significant change to the original Strategy and Master plan (1999) is the proposed realignment of the flood defences at Riverside North (RN1 Park and Ride) site and the creation of a wider river flood plain, where at least half the site will no longer be allocated for development. This element of the Environment Agency led scheme is essential to offset the impacts of raising the flood defences downstream and vital to delivering a comprehensive flood risk management scheme for the area. The planning application for the flood risk management plan was approved at the meeting of the Development Management and Control Committee on January 10th 2013, with implementation work staring as soon as possible thereafter.
4.2 Other significant changes include the re allocation of office land use to less intensive uses, and the redefining of development areas to contribute towards the management of flood risk and deliver other flood mitigation measures. Also new residential land use allocations are proposed on other areas of land such as to the rear of properties on Walters Road (LE South) to provide capital receipts for re investment in infrastructure and improve the overall viability of the Swansea Vale development area.
4.3 The changes in land use proposed to accommodate the Lower Swansea Valley Flood Risk Management scheme, and other new land use allocations referred to above represent departures from current land use allocations in the Unitary Development Plan (UDP) (2008). Changes can not be made to the UDP at this stage, and as the Strategy Review presents land use allocations which depart from the UDP, the new Strategy document will need to be endorsed by Development Management Control Committee. It is also worth noting that any new proposals that are submitted that accord with the Strategy Review but do not accord with the UDP would still need to be advertised as departure from the UDP.
Page 143 4.4 The proposals set out within this report will also need to be taken into account as part of the Local Development Plan (LDP) preparation process. The Swansea Vale Strategy Review can in due course be adopted formally as supplementary planning guidance to the LDP once the LDP is adopted.
5.0. Financial Implications 5.1 In order to deliver the overarching Vision and Objectives for the area, there are key enabling initial phases of development which CCS and Welsh Government (as Joint Venture partners in this scheme) will need to deliver. These include the implementation of flood risk management on the Eastern side of Swansea Vale, the implementation of site flood mitigation measures, undertaking feasibility work and where necessary the provision of infrastructure(such as sewers, roads and pumping stations) to facilitate the planned levels of development.
5.2 Once further feasibility work is completed, individual schemes will be subject to future FPR7 reports to Cabinet which will detail the proposals and any capital and revenue financial implications.
6.0 Conclusion 6.1 The Strategy Review and recent public consultation exercise has confirmed that Swansea Vale is a unique but complex development area and has responded to the changed circumstances affecting the area. Consultation with statutory organisations, in particular the Environment Agency has confirmed their support for the revised Strategy and emerging schemes. The consultation with the local community and organisations has also confirmed community views and a range of other key issues affecting the area including transportation and access, and the need for additional community facilities.
6.2 The Strategy Review provides a comprehensive framework at strategic level for addressing many of the issues raised in the consultation exercise, and for guiding future development and the enabling actions which are required to bring forward development. The adoption of the Strategy as Council policy and integration into the forthcoming Local Development Plan will provide developers with more certainty about the acceptability of development proposals and encourage market confidence in the Swansea Vale area as an investment location.
Background papers: Report of the Cabinet member to Cabinet August 2012 Draft Swansea Vale Development Strategy Review.
Link to full document http://staffnet/index.cfm?articleid=50095
Appendices:
• APPENDIX 1: Swansea Vale Development Strategy ReviewSchedule of Consultation responses; • APPENDIX 2 :Swansea Vale Indicative Masterplan
Page 144 APPENDIX 1: Swansea Vale Development Strategy Review Schedule of Consultation responses
Comments received from 11 No of Response residents and one Community Group comments Proposed Changes Traffic and access R1. Concerns about traffic generation from 3 The Strategy includes a section on Sustainable Transport none new developments and from the requirements and a Strategic Travel Plan has been prepared to proposed Park and Ride support the Development Strategy which will help to ensure sustainable travel demand within the limits of the areas transport infrastructure. The Swansea North Integrated Travel forum (SNITI) will facilitate the delivery of site specific travel Page 145 plans. R2. Insufficient parking for businesses and 2 As above R1 none residents, overspill into Tregof Village R3. Traffic pressure on surrounding network 1 As above R1 none Junction 44, Church Road , Gwernllwynchwyth Road and Heol Las R4. Lack of crossing facilities within 1 Comment noted. The Strategic Travel Plan identifies a number none Swansea Vale and poor integration with of potential infrastructure improvements. Further feasibility adjacent communities (no footways at work will be required, and funding sources will need to be Heol Las ) identified including potential contributions from developers. R5. Objection to the proposed layout to link 1 The original Swansea Vale Concept Plan shows the provision none through Heol Celyn, implications for of a road which links proposed phases 3, 4 and 5 to the safety and peacefulness, retain cul de existing phases 1 and 2. A link through the respective phases sac arrangements. will allow for a more even distribution of traffic and planning guidance Planning Policy Wales (5.11.6) highlights how street networks within housing developments should generally be interconnected or ‘permeable’ to facilitate safe walking and cycling. They should also connect with adjacent street networks and make provision for future connections with subsequent developments. R6 Safety of pedestrian routes 1 The Strategy includes guidance for developers on user safety none in section 7.9. Further detailed guidance will be provided with site specific development briefs. R7 .Improved public transport 1 Noted and referred to in the Strategy as part of Sustainable none Travel requirements. Gypsy Travellers R8 Objection to the use of any of the sites 1 The Swansea Vale Strategy Review focuses on the potential none for Gypsy Travellers or caravan use development and regeneration opportunities for the Swansea Vale area and does not identify any gypsy traveller sites. The CCS consultation process on identifying a permanent gypsy traveller site is separate to this consultation exercise. R9 The Strategy is to be commended for 2 As above R8 none bringing forward permanent regeneration rather than gypsy traveller
Page 146 sites, and such sites would conflict with the wider objectives for the Swansea Vale regeneration area. Land use R10 Objection to use of Tregof Village site 1 Site TV3 has long been established as a future housing site, none TV3 for residential use. Retain instead identified in the Swansea Unitary Development Plan (2008), as open space/playing fields. and previously adopted statutory and non statutory planning guidance for the Swansea Vale area. Swansea Vale has substantial areas of land already provided that can be enhanced or developed for recreational use. R11 Objection to development of green field 1 The majority of land at Swansea Vale comprises of brownfield none areas development areas of former industrial and mining activity. Areas of Tregof Village and Llansamlet East are already identified in the Unitary Development Plan. Former farmland at Tregof Village although green field land makes a significant contribution to the comprehensive regeneration of the area. R12 Objection to the development of 1 The need for affordable housing is a material planning none affordable housing. Consider off site consideration and an essential element in contributing to provision community regeneration and social inclusion. The target for provision on Swansea Vale sites will be identified through site specific Development Briefs. Community facilities R13 Lack of community facilities and school 5 The Education Dept is currently completing feasibility work with none capacity. the intention of preparing a bid to obtain funding from Welsh Government to significantly improve the accommodation ( including improved access for the Community) at YGG Lonlas Welsh medium primary school which is one of the local Schools currently receiving pupils from Tregof village. The proposed development at Y.G.G Lonlas is one of the priority schemes within the L.A Strategic Programme for School Organisation but will require a 50% local contribution. Birchgrove Primary English medium school is also receiving pupils however significant investment has been undertaken at this School to facilitate improvements in the Teaching and Learning environment. Page 147 R14 Need for other community facilities 2 The Swansea Vale Strategy Review and Indicative Masterplan none doctors dentists provides potential sites within Tregof Village subject to market interest R15 Suggested use of developer 1 The scope for developer contributions is highlighted in the none contribution to deliver community Strategy (section 8) which also considers delivery facilities and open space mechanisms. R16 Need for play space for older children 2 Noted. Identified in the Strategy for Tregof Village and to be none incorporated in detailed site specific development briefs as a potential developer contribution. Miscellaneous R17 Concerns expressed about recent 2 Detailed flood risk assessments have confirmed that Nant Bran none flooding issues on Walter Road and associated watercourses on the Eastern side of Swansea Vale can cause flood risk issues, and CCS is currently evaluating potential flood risk mitigation measures to address these. R18 To prioritise future infrastructure needs 1 An implementation plan and programme has been prepared none which identifies future infrastructure needs and enabling actions. R19 Support for protection and 2 Noted. The Strategy aims to address this issue within the none enhancement of the nature reserve Ecology Park and Nature reserve areas. R20 Japanese Knotweed infestation 1 Noted. As R19. Controls will be need to be in place where none future development or infrastructure works are undertaken.
Comments from Statutory organisations Organisation Comment Proposed changes CC 1 Countryside Council for CCW had no comment to make regarding the allocation of land use types none Wales in the Masterplan. They also welcomed the commitment to the Ecology Park, Nature Reserve and Green Corridors and would be happy to provide further advice on monitoring, design and species composition of the planted areas. 2 Environment Agency Wales The EA have no objection to the draft proposals but offered advice none in respect of: Flooding-the strategy is based on previous discussion and agreement, and the EA draw attention to the importance of
Page 148 delivering the FRM scheme. Land contamination – Developers should be made aware that further investigations may be necessary for site specific developments within the project area to establish the full implications of building upon contaminated land. Surface water drainage- EA support the references to sustainable urban drainage systems (SUDs) which reflects advice of PPW and TAN15.
3 Dwr Cymru Welsh Water Dwr Welsh Water supports all policies which support sustainable economic none development and in particular makes reference to the inclusion of sustainable drainage and water supply systems in the Strategy. DCWW acknowledge that given the size of the sites some hydraulic modelling assessments will be required to determine the adequacy of the water and sewerage networks and evaluate whether any improvements are required. 4 Swansea’s Community Boat Expressed concerns about the lack of reference to protecting the route of Development Trust, Inland Waterway a potential navigable waterway through Swansea Vale, and raised Strategy document Association, Neath and objection to the Strategy review on this basis. The representations to include reference Tennant, Swansea Canal suggest that proposal would fit in well with the overarching vision of the to the protected Society and Canal River trust development area, that economic viability may improve in the future and alignment by that if not protected in the Strategy, the lack of a potential route may including the compromise the wider objective to create a regional waterway. statement ‘VW6- To safeguard the possibility of creating a navigable waterway based on the Nant y Fendrod’. Page 149 APPENDIX 2: Swansea Vale Indicative Masterplan Page 150 Agenda Item 13a
Report of the Chief Executive
Cabinet – 28 February 2013
PAY POLICY 2013/14
Purpose: To seek Cabinet approval of the Pay Policy 2013/14
Policy Framework: None
Reason for Decision: To comply with the Localism Act 2011.
Consultation: Human Resources, Legal and Finance.
Recommendation: It is recommended that: -
1. Cabinet approve the Policy and commend to Council for adoption.
Report Author: Steve Rees
Finance Officer: Mike Trubey
Legal Officer: Patrick Arran
1. Background
1.1 The Localism Act 2011 requires the Authority to prepare a pay policy statement which articulates its policy towards a range of issues relating to the pay of its workforce, particularly senior staff and the lowest paid employees. The Authority’s Pay Policy for 2012/13 was approved at Council on 15th March 2012.
1.2 The statement must be:
• prepared each financial year • approved by Full Council, • published on relevant authorities websites
2. Pay Policy
2.1 The Policy has been drafted in accordance with the Welsh Government Guidance issued in January 2012.
2.2 The Policy will be reviewed each year and brought before Council for approval.
Page 151
2.3 Members will be aware that this Policy is being drafted at a time when the Council is nearing the conclusion of its negotiations with the Joint Trade Unions in respect of implementing Single Status in Swansea. This will include a revised Pay & Grading Model, harmonised financial terms & conditions and a revised suite of HR Policies. Therefore, some information, including the Employee Pay Scales in Appendix A of the Policy will be subject to change during 2013/14.
3. Financial implications The costs arising from the Council’s pay policy statement are reflected in the approved 2013/14 budget.
4. Legal Implications All of the legal implications have been set out in the Policy.
Background Papers: None
Appendices: Pay Policy 2013/14.
Page 152 CITY & COUNTY OF SWANSEA PAY POLICY 2013/14
1. INTRODUCTION AND PURPOSE
1.1 Under Section 112 of the Local Government Act 1972 the Council has ‘the power to appoint officers on such reasonable terms and conditions as the Authority thinks fit’. This Pay Policy statement sets out the Council’s approach to Pay Policy in accordance with the requirements of 38 (1) of the Localism Act 2011 which requires English and Welsh Local Authorities to produce and publish a Pay Policy Statement for 2012/3 and for each financial year after that, detailing:
a) The Authority’s Policies towards all aspects and elements of the remuneration of Chief Officers b) Their approach to the publication of and access to information relating to all aspects of the remuneration of Chief Officers c) The Authority’s Policies towards the remuneration of its lowest paid employees (including the definition adopted and reasons for it) d) The relationship between the remuneration of its Chief Officers and other employees.
1.2 Local Authorities are large complex organisations with multi-million pound budgets. They have a very wide range of functions and provide and/or commission a wide range of essential services. The general approach to remuneration levels may therefore differ from one group of employees to another to reflect specific circumstances at a local, Welsh or UK national level. It will also need to be flexible when required to address a variety of changing circumstances whether foreseeable or not.
1.3 The global economic crisis and the reduction in budgets during the current Comprehensive Spending Review (CSR) period has necessitated councils going through unprecedented and painful cuts in jobs and services in response. This process has avoided some of the potential financial difficulties for councils but has been essentially reactive, and will require ongoing strategic review going forward.
1.4 Once approved by the full Council as required by the legislation, this policy statement will come into immediate effect and will be subject to review on a minimum of an annual basis in accordance with the relevant legislation prevailing at that time.
2. LEGISLATIVE FRAMEWORK
2.1 In determining the pay and remuneration of all of its employees, the Council will comply with all relevant employment legislation. This includes the
a) Equality Act 2010 b) Part Time Employment (Prevention of Less Favourable Treatment) Regulations 2000 c) Agency Workers Regulations 2010 and where relevant, the d) Transfer of Undertakings (Protection of Earnings) Regulations
2.2 With regard to the Equal Pay requirements contained within the Equality Act, the Council is currently workingPage to153 ensure that there is no pay discrimination within its pay structures and that all pay differentials can be objectively justified through the use of equality proofed Job Evaluation mechanism which directly relate salaries to the requirements, demands and responsibilities of the role.
3. SCOPE OF THE PAY POLICY
3.1 The Localism Act 2011 requires Authorities to develop and make public their Pay Policy on all aspects of Chief Officer Remuneration (including on ceasing to hold office), and that pertaining to the ‘lowest paid’ in the Authority, explaining their Policy on the relationship between remuneration for Chief Officers and other groups. However, in the interests of transparency and accountability the Council has chosen to take a broader approach and produce a Policy covering all employee groups with the exception of School Teachers (as the remuneration for this latter group is set by the Secretary of State and therefore not in Local Authority control).
3.2 Nothing within the provisions of the Localism Act 2011 detract from the Council’s autonomy in making decisions on pay that are appropriate to local circumstances and which deliver value for money for local tax payers. However, this Policy will be complied with in setting remuneration levels for all groups within its scope.
4. BROAD PRINCIPLES OF OUR PAY STRATEGY
4.1 Transparency, accountability and value for money
4.1.1 The Council is committed to an open and transparent approach to pay policy which will enable the tax payer to access, understand and assess information on remuneration levels across all groups of council employees. To this end the following are provided as Appendices to this policy:-
i) City & County of Swansea Employee Pay Scales, Local Government Services Employees (Appendix A) ii) City & County of Swansea Chief Officer Pay Scales (Appendix B) iii) National Pay Grades - Soulbury Appendix C) iv) National Pay Grades – JNC Youth & Community Worker (Appendix D) v) JNC Chief Officer Terms and Conditions (available upon request from Human Resources) vi) JNC Chief Officer Employment Rules (as per Council Constitution) (http://www.swansea.gov.uk/index.cfm?articleid=1758?Lang=eng ) iii) Policy on Redundancy and Severance Payments (including additional pension payments) http://www.swansea.gov.uk/index.cfm?articleid=903
4.2 Development of Pay and Reward Strategy
4.2.1 The primary aim of a reward strategy is to attract, retain and motivate suitably skilled staff so that the Authority can perform at its best. The biggest challenge for the Council in the current circumstances is to maximise productivity and efficiency withinPage 154 current resources. Pay Policy then is a matter of striking a sometimes difficult balance between setting remuneration levels at appropriate levels to facilitate a sufficient supply of appropriately skilled individuals to fill the Authority’s very wide range of posts, and ensuring that the burden on the taxpayer does not become greater than can be fully and objectively justified.
4.2.2 In this context it does need to be recognised that at the more senior grades in particular remuneration levels need to enable the attraction of a suitably wide pool of talent (which will ideally include people from the private as well as public sector and from outside as well as within Wales), and the retention of suitably skilled and qualified individuals once in post. It must be recognised that the Council will often be seeking to recruit in competition with other good public and private sector employers.
4.2.3 In addition, the Council is the major employer in the area. As such we must have regard to our role in improving the economic well-being of the people of the City & County. The availability of good quality employment on reasonable terms and conditions and fair rates of pay has a beneficial impact on the quality of life in the community as well as on the local economy. The Council also has a role in setting a benchmark example on pay and conditions to other employers in the area for the same reasons.
4.2.4 In designing, developing and reviewing Pay and Reward Strategy, the Council will seek to balance these factors appropriately to maximise outcomes for the organisation and the community it serves, while managing pay costs appropriately and maintaining sufficient flexibility to meet future needs. This Pay Policy will be reviewed an annual basis in line with our strategy for pay and approved annually by the Full Council.
4.3 Pay Structure - Pay Spine
4.3.1 The Council uses the nationally negotiated pay spine as the basis for its grading structure. This determines the salaries of the larger majority of the non-teaching workforce, together with the use of other nationally defined rates where relevant. There have been no increases in the national pay spine since 2009 (See Appendix A).
4.3.2 All other pay related allowances are the subject of either nationally or locally negotiated rates, having been determined from time to time in accordance with collective bargaining machinery and/or as determined by Council Policy.
4.3.3 New appointments will normally be made at the minimum of the relevant grade, although this can be varied where necessary to secure the best candidate.
4.4 Job Evaluation
4.4.1 Job evaluation is a systematic way of determining the value/worth of a job in relation to other jobs within an organisation. It aims to make a systematic comparison between jobs to assess their relative worth for the purpose of establishing a rational pay structure and pay equity between jobs.
Page 155 4.4.2 The Council is currently working towards achieving Single Status for all staff in terms of Pay & Grading and Terms & Conditions. The aim is to achieve this in the first half of 2013/14. The concept of equality is central to this work and our Equality Impact Assessment (EIA) process has been utilised throughout. It has already informed the Council’s negotiating position in relation to a number of Terms and Conditions. The Council has also engaged Northgate to assist us to carry out an EIA in respect of our proposed pay model.
4.4.3 This Policy is being drafted at a time when the Council is nearing the conclusion of its negotiations with the Joint Trade Unions in respect of implementing Single Status in Swansea. This will include a revised Pay & Grading Model, harmonised financial terms & conditions and a revised suite of HR Policies. Therefore, some information, including the Employee Pay Scales in Appendix A of the Policy will be subject to change during 2013/14.
4.5 Living Wage
4.5.1 The concept of a Living Wage is used to describe an acceptable hourly rate deemed ‘fair’ for the work done which is enough to allow the individual or household to live an acceptable life. Outside of London, this has been set at £7.45 per hour.
4.5.2 Cabinet on 19th December 2012 agreed to adopt the Living Wage at £7.45 with effect from 1st April 2013. For administrative purposes, this will be implemented at the same time as the new Pay & Grading structure with a backdated payment made to 1st April 2013.
4.5.3 Whilst the Council will not become an ‘Accredited Living Wage Employer’ there is a commitment to review this on an annual basis.
4.6 Chief Officer Job Evaluation
4.6.1 Director and Head of Service level posts were job evaluated in 2009 using the GLEA Job Evaluation Scheme for Chief Officers in Local Government (1993).
4.7 Market Supplements
4.7.1 Job evaluation will enable the council to set appropriate remuneration levels based on internal job size relativities within the council. However, from time to time it may be necessary to take account of the external pay market in order to attract and retain employees with particular experience, skills and capacity.
4.7.2 Therefore, the Council has drafted a Market Supplements Policy to ensure that the requirement for such is objectively justified by reference to clear and transparent evidence of relevant market comparators, using appropriate data sources available from within and outside the local government sector. It is the Council’s policy that any such additional payments be kept to a minimum and be reviewed on a regular basis so that they can be withdrawn where no longer considered necessary.
4.8 Honoraria
4.8.1 There may be occasions when an employee is asked to carry out additional duties to those of their substantivePage 156 post for a period of time. In such circumstances an additional payment may be made in line with the Council’s policy on Payment of Honoraria.
4.9 Pay and Performance
4.9.1 The Council expects high levels of performance from all employees and has an Annual Appraisal Scheme in place to monitor, evaluate and manage performance on an ongoing basis.
For Chief Officers, the annual increment (if not already at top of scale) is only awarded once the Annual Appraisal has been deemed as satisfactory.
5. CHIEF OFFICER REMUNERATION
5.1 Definitions of Chief Officer & Pay Levels
5.1.1 For the purposes of this statement, ‘Chief Officers’ are as defined within S43 of the Localism Act. The posts falling within the statutory definition of S43 of the Localism Act are set out below: (details of the salary of each are included at Appendix B):
a) Chief Executive b) Corporate Directors c) Heads of Service
5.1.2 No bonus or performance related pay mechanism is applicable to Chief Officers’ pay; although the annual increment (if not already at top of scale) is only awarded once the Annual Appraisal has been deemed as satisfactory.
5.1.3 In respect of the nationally agreed JNC Pay Award for the Chief Executive’s salary, half is afforded automatically with the other half subject to the performance rating at the Annual Performance Appraisal. It should be noted that there has been no JNC national Pay Award since 2008 and that the current Chief Executive has been appointed on a spot salary of £140,000 p.a.
5.2 Recruitment of Chief Officers
5.2.1 The Council’s Policy and Procedures with regard to recruitment of Chief Officers is contained within the Officer Employment Procedure Rules as set out in Part 4 of the Constitution. The determination of the remuneration to be offered to any newly appointed Chief Officer will be in accordance with the pay structure and relevant policies in place at the time of recruitment.
5.2.2 Where the Council remains unable to recruit Chief Officers under a contract of service, or there is a need for interim support to provide cover for a vacant substantive Chief Officer post, the Council will, where necessary, consider and utilise engaging individuals under ‘contracts for service’. These will be sourced through a relevant procurement process ensuring the Council is able to demonstrate the maximum value for money benefits from competition in securing the relevant service. The Council does not currently have any Chief Officers engaged under such arrangements.
Page 157 5.3 Additions to Salary of Chief Officers
5.3.1 The Council does not apply any bonuses or performance related pay to its Chief Officers. However, the annual increment (if not already at top of scale) is only awarded once the annual appraisal has been deemed as satisfactory.
5.3.2 The Council does pay all reasonable travel and subsistence expenses on production of receipts and in accordance with JNC conditions and other local conditions.
5.3.3 The cost of membership of one professional body is met by the Authority.
5.3.4 The Chief Executive’s salary and Job Description include his role as Returning Officer for Local Government Elections. All other Elections and referenda are not included and are covered by the JNC Terms and Conditions of Employment.
5.4 Payments on Termination
5.4.1 The Council’s approach to statutory and discretionary payments on termination of employment of Chief Officers (and all other employees), prior to reaching normal retirement age, is set out within its Early Retirement & Redundancy Policy in accordance with Regulations 5 and 6 of the Local Government (Early Termination of Employment) (Discretionary Compensation) Regulations 2006. This is in respect of a redundancy payment being based on actual weekly earnings (Regulation 5) and when an enhanced redundancy payment of up to 45 weeks pay would be granted (Regulation 6). Regulations 12 and 13 of the Local Government Pension Scheme (Benefits, Membership and Contribution) Regulations 2007 do not apply as the Authority does not increase the total membership of active members (Regulation 12) or award additional pension (Regulation 13).
5.4.2 Any other payments falling outside the provisions or the relevant periods of contractual notice shall be subject to a formal decision made by the Chief Executive and Leader of the Council or relevant Elected Members, Committee or Panel of Elected Members with delegated authority to approve such payments.
6. PUBLICATION
6.1 Upon approval by the full Council, this statement will be published on the Council’s Website. In addition, for posts where the full time equivalent salary is at least £60,000, as required under the Accounts and Audit (Wales) (Amendment) Regulations 2010, the Councils Annual Statement of Accounts will include a note setting out the total amount of:
a) salary, fees or allowances paid to or receivable by the person in the current and previous year; b) any bonuses so paid or receivable by the person in the current and previous year; c) any sums payable by way of expenses allowance that are chargeable to UK income tax; d) any compensation for loss of employment and any other payments connected with termination;Page 158 e) any benefits received that do not fall within the above
7. PAY RELATIVITIES WITHIN THE AUTHORITY
7.1 The lowest paid persons employed under a Contract of Employment with the Council are employed on full time [37 hours] equivalent salaries in accordance with the minimum spinal column point currently in use within the Council’s grading structure. As at 1st January 2013, this is £12,145 per annum. The Council employs Apprentices [and other such Trainees] who are not included within the definition of ‘lowest paid employees’ as they are not employed under Contracts of Employment.
7.2 The relationship between the rate of pay for the lowest paid and Chief Officers is determined by the processes used for determining pay and grading structures as set out earlier in this Policy Statement.
7.3 The statutory guidance under the Localism Act recommends the use of pay multiples as a means of measuring the relationship between pay rates across the workforce and that of senior managers, as included within the Hutton ‘Review of Fair Pay in the Public Sector’ (2010). The Hutton Report was asked by Government to explore the case for a fixed limit on dispersion of pay through a requirement that no public sector manager can earn more than 20 times the lowest paid person in the organisation. The report concluded that the relationship to median earnings was a more relevant measure and the Government’s Code of Recommended Practice on Data Transparency recommends the publication of the ratio between highest paid salary and the median average salary of the whole of the Authority’s workforce.
7.4 The current pay levels within the Council define the multiple between the lowest paid (full time equivalent) employee and the Chief Executive as 1:12 and between the lowest paid employee and average Chief Officer as 1:7.
7.5 The multiple between the median (average) full time equivalent earnings and the Chief Executive is 1:5 and between the median (average) full time equivalent earnings and average Chief Officer is 1:3.
7.6 As part of its overall and ongoing monitoring of alignment with external pay markets, both within and outside the sector, the Council will use available benchmark information as appropriate.
8. ACCOUNTABILITY AND DECISION MAKING
8.1 In accordance with the Constitution of the Council, the Cabinet is responsible for decision making in relation to the recruitment, pay, terms and conditions and severance arrangements in relation to employees of the Council.
9. RE-EMPLOYMENT
9.1 No Chief Officer who was previously made redundant or granted early retirement from the Council will be later re-employed or re-engaged either as an employee (Contract of Service), as a Consultant (Contract for Service) or through an external contractor commissioned to work on behalf of the Council. Page 159
10. REVIEWING THE POLICY
10.1 This Policy outlines the current position in respect of pay and reward within the Council and it will be reviewed over the next year to ensure that it meets the principles of fairness, equality, accountability and value for money for citizens of Swansea. The Policy will be reviewed annually and reported to Council.
Page 160 APPENDIX A
PAY SCALES FOR NJC EMPLOYEES.
NJC GRADE SCP ANNUAL SALARY 4 £12,145 5 £12,312 6 £12,489 Scale 1 7 £12,787 8 £ 13,189 9 £13,589 10 £13,874 11 £14,733 Scale 2 11 £14,733 12 £15,039 13 £15,444 Scale 3 14 £15,725 15 £16,054 16 £16,440 17 £16,830 Scale 4 18 £17,161 19 £17,802 20 £18,453 21 £19,126 Scale 5 22 £19,621 23 £20,198 24 £20,585 25 £21,519 Scale 6 26 £22,221 27 £22,985 28 £23,708 SO1 29 £24,646 30 £25,472 31 £26,276 SO2 32 £27,052 33 £27,849 34 £28,636 PO RANGE 35 £29,236 36 £30,011 37 £30,851 38 £31,754 39 £ 32,800 40 £33,661 41 £34,549 42 £35,430 43 £36,313 44 £37,206 45 £38,042 46 £38,961 47 £39,855 48 £40,741 49 £41,616 50 £42,522 51 £43,413 52 £44,313 53 £45,237 54 £46,179 55 £47,412
Page 161 APPENDIX B
CHIEF OFFICERS PAY SCALES
CHIEF EXECUTIVE PAY RANGE
£145,508 to £155,901*
(*Current Chief Executive appointed on a fixed salary of £140,000)
DIRECTORS’ PAY SCALES £95,000 to £110,000
Point 1 Point 2 Point 3 Point 4 Point 5 Point 6 Point 7
£95,000 £97,500 £100,000 £102,500 £105,000 £107,500 £110,000
HEADS OF SERVICE BAND 1 - £65,000 to £80,000
Point 1 Point 2 Point 3 Point 4 Point 5 Point 6 Point 7
£65,000 £67,500 £70,000 £72,500 £75,000 £77,500 £80,000
HEADS OF SERVICE BAND 2 - £55,000 to £70,000
Point 1 Point 2 Point 3 Point 4 Point 5 Point 6 Point 7
£55,000 £57,500 £60,000 £62,500 £65,000 £67,500 £70,000
HEADS OF SERVICE BAND 3 - £50,000 to £60,000
Point 1 Point 2 Point 3 Point 4 Point 5
£50,000 £52,500 £55,000 £57,500 £60,000
Page 162 APPENDIX C
NATIONAL PAY GRADES – SOULBURY
EDUCATIONAL PSYCHOLOGISTS - SCALE A SPINE POINT Pay – with effect from 01.09.2009 1. £33,934 2. £35,656 3. £37,378 4. £39,100 5. £40,822 6. £42,544 7. £44,165 8. £45,786 9. £47,305 10. £48,825 11. £50,243
Notes: 1. Pay scales to consist of 6 consecutive points, based on the duties and responsibilities attaching to posts and the need to recruit, retain and motivate staff. 2. Extension to scale to accommodate structured professional assessment points.
SENIOR & PRINCIPAL EDUCATIONAL PSYCHOLOGISTS - SCALE B SPINE POINT Pay – with effect from 01.09.2009 1. £42,544 2. £44,165 3. £45,786 * 4. £47,305 5. £48,825 6. £50,243 7. £50,825 8. £51,912 9. £52,989 10. £54,085 11. £55,159 12. £56,255 13. £57,370 14. £58,447 ** 15. £59,575 ** 16. £60,693 ** 17. £61,618 ** 18. £62,942 **
Notes: 1. Pay scales to consist of not more than four consecutive points, based on the duties and responsibilities attaching to posts and the need to recruit, retain and motivate staff. 2. * Normal minimum point for the Principal Educational Psychologist undertaking the full range of duties at this level. 3. ** Extension to range to accommodate discretionary scale points and structured professional assessments 4. Principals are paid on a 4 point scale 8 - 14 (this includes 3 spa points)
Page 163
TRAINEE EDUCATIONAL PSYCHOLOGISTS SPINE POINT Pay – with effect from 01.09.2009 1 £21,801 2 £23,397 3 £24,991 4 £26,587 5 £28,182 6 £29,777
ASSISTANT EDUCATIONAL PSYCHOLOGISTS SPINE POINT Pay – with effect from 01.09.2009 1 £26,799 2 £27,893 3 £28,988 4 £30,076
YOUNG PEOPLE’S / COMMUNITY SERVICE MANAGERS SPINE POINT Pay – with effect from 01.09.2009 1 £33,555 2 £34,653 3 £35,751 4 £36,871 * 5 £38,009 6 £39,120 7 £40,256 ** 8 £41,547 9 £42,258 10 £43,357 11 £44,450 12 £45,546 13 £46,633 14 £47,731 15 £48,831 16 £49,933 17 £51,042 18 £52,142 19 £53,237 20 £54,355 *** 21 £55,496 *** 22 £56,661 *** 23 £57,851 *** 24 £59,066 ***
Notes: The minimum Youth and Community Service Officers’ scale is 4 points. Other salary scales to consist of not more than four consecutive points based on duties and responsibilities attaching to posts and the need to recruit retain and motivate staff. * normal minimum point for senior youth and community officers undertaking the full range of duties at this level ** normal minimum point for principal youth and community service officer undertaking the full range of duties at this level *** extension to range to accommodate discretionary scale points and structured professional assessments.
Page 164
EDUCATIONAL IMPROVEMENT PROFESSIONALS (EIPs) SPINE POINT Pay – with effect from 01.09.2009 1 £32,353 2 £33,512 3 £34,606 4 £35,714 5 £36,817 6 £37,920 7 £39,079 8 £40,192 * 9 £41,491 10 £42,649 11 £43,792 12 £44,899 13 £46,152 ** 14 £47,269 15 £48,503 16 £49,620 17 £50,739 18 £51,837 19 £52,969 20 £53,554 *** 21 £54,679 22 £55,658 23 £56,738 24 £57,705 25 £58,741 26 £59,749 27 £60,781 28 £61,827 29 £62,876 30 £63,924 31 £64,961 32 £66,016 33 £67,071 34 £68,151 35 £69,228 36 £70,337 37 £71,427 38 £72,529 39 £73,616 40 £74,702 41 £75,795 42 £76,885 43 £77,975 44 £79,071 45 £80,164 46 £81,257 47 £82,356 48 £83,446 **** 49 £84,539 **** 50 £85,632 Notes: Salary scales to consist of not more than four consecutive points, based on the duties and responsibilities attaching to posts and the need to recruit and motivate staff. * normal minimum point for EIP undertaking the full range of duties at this level ** normal minimum point for senior EIP undertaking the full range of duties at this level *** normal minimum point for leading EIP undertaking the full range of duties at this level **** extension to range to accommodate structured professional assessments.
Page 165 APPENDIX D
NATIONAL PAY GRADES – JNC YOUTH AND COMMUNITY WORKERS
YOUTH AND COMMUNITY SUPPORT WORKER RANGE SPINE POINT Pay – with effect from 01.09.2009 1 £14,143 2 £14,733 3 £15,324 4 £15,917 5 £16,509 6 £17,100 7 £17,697 8 £18,291 9 £19,047 10 £19,636 11 £20,591 12 £21,525 13 £22,489 14 £23,485 15 £24,166 16 £24,875 17 £25,574
PROFESSIONAL RANGE SPINE POINT Pay – with effect from 01.09.2009 13 £22,489 14 £23,485 15 £24,166 16 £24,875 17 £25,574 18 £26,279 19 £26,975 20 £27,673 21 £28,461 22 £29,352 23 £30,219 24 £31,091 25 £31,968 26 £32,847 27 £33,726 28 £34,613 29 £35,496 30 £36,377 31 £36,971 32 £37,951
Page 166 Agenda Item 14a
Report of the Cabinet Member for Citizen and Community Engagement and Democracy
Cabinet – 28 February 2013
CORPORATE HEALTH AND SAFETY ANNUAL REPORT 2011/12
Purpose: For information to support Cabinet members to fulfil their responsibilities in health and safety leadership by ensuring the Authority has the right health and safety policy and strategy, that objectives are set and delivered, and that they are informed of issues.
Policy Framework: Report required under the Corporate Health and Safety Policy.
Reason for Decision: For information.
Consultation: Finance and Legal.
Recommendation(s): It is recommended that:
1) The content of the Corporate Health and Safety Annual report be noted and accepted.
Report Author: Heather Swinnerton
Finance Officer: Carl Billingsley
Legal Officer: Sharon Heys
1.0 Introduction
1.1 Under the provisions of the Health and Safety at Work etc Act 1974, and the Management of Health and Safety at Work Regulations 1999, the Authority, as employer, has the duty to ensure, as far as reasonably practicable the health, safety and welfare of all its employees and safeguard the public who come into contact with its work activities.
1.2 The Corporate Health, Safety and Wellbeing Service led by the Health, Safety and Wellbeing Manager delivers competent person advice to the Authority to facilitate effective health and safety management throughout the organisation. The requirement for the Authority to obtain competent advice is a legal requirement.
1.3 The Authority’s Corporate Health and Safety Policy requires an annual report to be produced on its health and safety activities and performance during the preceding year for presentation to Corporate Management
Page 167 Team, Cabinet and Council. Presentation of such information to the decision makers of an organisation is in accordance with best practice recommended by the Health and Safety Executive (HSE).
2.0 Report summary
2.1 This Corporate Health and Safety Annual Report (attached) looks back over 2011-12 providing some examples of work streams delivered by the Service throughout the year to improve employee health, safety and wellbeing and introduces the work plan for the following year.
2.2 The report indicates progress against the ‘Corporate Health, Safety and Wellbeing Action Plan’, introduced last year. The evidence based reasons why priority objectives for health and safety across the Authority have been selected, are explained.
2.3 Conclusions are drawn about the Authority’s health and safety performance over the year which shows generally a small increase in the number of accidents and incidents to employees compared with last year, though a substantial decrease in the number of the more serious accidents. Interpretation of this data must be made with caution as throughout the year, the Service has focussed on increasing the reporting of incidents, and this could account for the increased numbers being referred to the Team. However, it is of concern that 41% of the reported accidents/incidents are as a result of violence and aggression against employees. Though this is a slightly lower figure than last year.
2.4 Data shows that the number of long term sickness days has decreased by 8% compared with last year and this reduction will be reflected in the publicised Welsh Assembly performance indicator comparing sickness absence between Local authorities.
2.5 The resultant findings and recommendations contained within the report have been incorporated into the Authority’s first Corporate Health, Safety and Wellbeing Action Plan to be delivered over the following year, (2012/13). Key activities include supporting all employees to deliver on their health and safety responsibilities and improving employee health and well being.
3.0 Financial Implications
3.1 There are no financial implications associated with this report.
4.0 Legal Implications
4.1 There are no legal implications associated with this report.
Background Papers: None.
Appendices: Corporate Health and Safety Annual Report 2011/12.
Page 168 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
Corporate Health, Safety and Wellbeing Service
Annual report
2011/12
Page 169 1 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
Foreword
As the Council is fully committed to the health, safety and wellbeing of its employees, I am pleased to present the City and County of Swansea Health, Safety and Wellbeing Annual Report for 2011 - 2012. This last year has seen us deliver a substantial programme of work against our Corporate Health, Safety and Wellbeing Action Plan. This has been achieved through working collaboratively across Service Units and with Trade Unions to a greater extent than before to progress our health, safety and wellbeing agenda. It has demonstrated how a strategic and practical approach to occupational health and workplace safety helps enable effective public service delivery.
The body of work recorded in this report stands us in good stead to further develop health and safety communications and risk management strategies across the organisation in the coming year, resulting in a safer and healthier workforce.
Cllr Christine Richards Councillor Health, Safety and Wellbeing Champion
Page 170 2 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
Foreword
As Health, Safety and Wellbeing Champion I am pleased to present the latest annual report on City and County of Swansea’s own health and safety performance.
The reduction in the number of serious accidents this year compared with last year is encouraging and is an indicator that our Corporate Health and Safety Action Plan is ‘fit for purpose’, and has the ability to deliver significant improvements in employee health, safety and wellbeing.
However, this is just the start and we must all continue to strive to achieve health and safety compliance, continue to deliver good practice and maintain our commitment to promoting health, safety and wellbeing.
Our Action Plan for the coming year is ambitious and challenging, and difficult issues will need to be addressed and decisions made. However, I know you will agree that working together to improve our health and safety must be the way forward.
I look forward to your support throughout the coming year.
Reena Owen Health, Safety and Wellbeing Champion
Page 171 3 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
Corporate Health, Safety and Wellbeing Service Annual Report 2011 – 2012
Contents
1. Executive Summary 2. Introduction 3. Delivery of H&S Service against objectives for 2011/12 4. Corporate Health, Safety and Wellbeing Action Plan for 2012/13 5. Conclusions 6. Appendices 6.1 Analysis of employee accident data per Directorate 2011/12 6.2 Analysis of reported employee accidents by type 2011/12 6.3 DMT/H&S meetings regularly supported 6.4 Health and Safety Training delivered 2011/12
1.0 Executive Summary 1.1 This Corporate Health, Safety and Wellbeing Annual Report reflects the progress the Authority has made in improving its health and safety culture over the past year since the introduction of the Corporate Health, Safety and Wellbeing Action Plan. The first part of the report looks back over 2011-12 providing some examples of work streams delivered by the Service throughout the year to contribute to the delivery of the six Service objectives. 1.2 A number of good practice examples of health and safety are reported from across Service Units making them available for sharing by managers across the Authority. 1.3 The report introduces the Corporate Health and Safety Audit and Inspection Programme and the framework for mandatory health, safety and wellbeing training for all employees. 1.4 Conclusions are drawn about the Authority’s health and safety performance over the year which shows generally a small increase in the number of accidents and incidents to employees compared with last year, though a substantial decrease in the number of the more serious accidents involving the employees. This year, data for public accidents is not available, however it is planned that this information will be available again next year.
Page 172 4 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
Interpretation of the report data must be made with caution as throughout the year, the Service has continued to focus on increasing the reporting of incidents, and this could account for the increased numbers being referred to the Team. 1.5 The available evidence indicates that the Plan is delivering an improvement in safety culture. However, it remains of concern that 41% of the reported accidents/incidents are as a result of violence and aggression against employees from both the public generally and from service users, with numbers of incidents reported involving service users showing an increase on last year. 1.6 Data shows that the number of long term sickness days has decreased by 8% compared with last year and this reduction will be reflected in the publicised Welsh Assembly performance indicator comparing sickness absence between Local Authorities.
2.0 Introduction 2.1 The past year has been exceptionally busy embedding health, safety and wellbeing as ‘the way the Authority does business.’ The Corporate Health, Safety and Wellbeing Action Plan1 (the Plan), which was approved by Corporate Management Team (CMT), in September 2011 has had a significant impact on this process. Through the Plan, the Authority is demonstrating its commitment to and recognition that effective management is essential to secure the wellbeing of its employees, the safety of the public and service users; and the protection of its assets which will ensure the continued quality of service provided.
Through the Plan’s key priorities, the Authority states its full commitment to it’s responsibilities under the Health and Safety at Work etc. Act 1974 and all other relevant statutory provisions. It has also recognised that it is essential that employees are aware of their responsibilities and obligations under this legislation, and to take all reasonable precautions to ensure the safety of themselves and others who may be affected by their work.
1 The Plan is included as Appendix 1.
Page 173 5 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
2.2 All managers and employees have their part to play and must ensure they are aware of their health and safety duties, responsibilities and obligations which are outlined in the Corporate Health and Safety Policy2 and deliver on them. The purpose behind the review of all the Authority’s health, safety and wellbeing policies is to provide clarity about roles and responsibilities which was requested by managers during last years Service review. 2.3 The proposed mandatory health and safety training programme will provide all employees with training commensurate with their work activities. The additional two temporary Senior Health and Safety Officer posts were created to support managers by the provision of additional advice and support for a two year period to support them to deliver the ‘embedding’ of health, safety and wellbeing across the Authority.
2.4 Terms of Reference The Authority’s current Corporate Health and Safety Policy requires an annual report to be produced on its health, safety and wellbeing activities and performance during the preceding year for presentation to CMT, Cabinet and Council. Presentation of such information to the decision makers of an organisation is in accordance with best practice recommended by the Health and Safety Executive (HSE).
2.5 Report Content This Annual Report focuses on the Authority’s achievements against its key priorities contained in the Corporate Health, Safety and Wellbeing Action Plan. Actions to deliver the Plan commenced when it was finalised by CMT in September 2011 and so details actions taken over the past six months. 2.6 The Corporate Health, Safety and Wellbeing Service supports the Authority in its delivery of the Plan and this report also records this activity and proposals for the Service for next year. The Service performs the following functions for the Authority;
2.6.1 The core functions of the Corporate Health and Safety Team are; • Strategy / Policy development
2 The Corporate Health and Safety Policy is currently under review and consultation is ongoing.
Page 174 6 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
• Monitoring / audit / review • Provision of advice, information and support • Liaison with external bodies • Servicing employee consultation machinery • Accident reporting / investigation / analysis • Training • Proactive accident prevention work / workplace inspections • Health and Safety Campaigns • Contract Management • Project Work
2.6.2 The core functions of the Occupational Health and Wellbeing Unit are; • Provision of medical reports on employees at the request and referral of managers so managers can decide how to proceed with employees whose long term or persistent sickness absence is causing them concern. • Identification of adjustments required by new employees and existing employees with a disability to deliver their work role. The manager must decide whether these adjustments are ‘reasonable’ and take action. • Provision of confidential counselling to employees through self referral, referral by manager or HR. • Provision of referral of employees to a Physician where determined necessary by the OHA. • Provision of an Independent Physician as required. • Provisions of a ‘pensions’ doctor. • Delivery of stress management workshops on the request of managers. • Provision of monthly health fairs to increase awareness of health amongst employees to encourage them to take action to improve their own health and wellbeing.
Page 175 7 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
2.7 For each Action Plan key objective a summary of work streams undertaken by the Corporate Health, Safety and Wellbeing Service is listed. Throughout the year a number of good health and safety practices by managers, teams and individuals have been identified across the Authority and a selection of these are illustrated. It is important that compliant and effective, proportionate approaches to health and safety are shared throughout the Authority for the benefit of all.
2.8 The report also includes work plans for the year ahead which focus on supporting the delivery of the Corporate Health, Safety and Wellbeing Action Plan for the Authority and how the Corporate Health, Safety and Wellbeing Service will provide advice, support and training during 2012/13.
2.9 Resources The Corporate Health, Safety and Wellbeing Service are part of HR/OD under Resources Directorate. The Service is led by the Corporate Health, Safety and Wellbeing Manager and is constructed of two Teams as follows; 2.9.1 Corporate Health and Safety Team - 4 x Principal Health and Safety Officers3 - 2 x Senior Health and Safety Officer4 - 3.9 x Health and Safety Officers - 1 x Senior Health and Safety Training Officer - 1.9 x Health and Safety Training Officers - 1 x People-handling Training Officer - 1 x Health and Safety Assistant - 1.5 x Health and Safety Administrative Assistants - 2 x data inputters5
2.9.2 Occupational Health and Wellbeing Unit - 2 x Occupational Health Advisors - 2 x Stress Management Advisors/Counsellors - 1 x Health and Wellbeing Officer - 1 x Appointments Officer - 2 x Administrative Support Officers
In September 2011, CMT determined that the Service needed to be ‘front loaded’ to have capacity to support managers to deliver their health and
3 From 1st June 2012 there will be 3 Principal Health and Safety Officer posts 4 From 1st June 2012 there will be 3 Senior Health and Safety Officer posts, 2 temporary, 1 permanent 5 Data inputters work 1 day/week each
Page 176 8 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012 safety responsibilities. This resulted in the creation of two new Senior Officer posts for a period of two years. Last years re-organisation has also enabled the Service to become more proactive and focus on the highest health and safety risks across the Authority. This is an important benefit of centralisation of the Service increasing its consistency, capacity and effectiveness.
2.10 Performance indicators 2.10.1 The Authority currently has no performance indicators for health and safety. One of the challenges for next year is to develop a suite of relevant performance indicators for health and safety across the Authority which will be informed by the identification of health and safety risks in the business plan of each Service Unit. This requirement to include health and safety risks in each business plan is new for 2012/13. 2.10.2 Monitoring the Plan and reporting are vital parts of a good health and safety culture, and this is being undertaken six weekly by the Corporate Health, Safety and Wellbeing Monitoring Group. Members are representatives from each Directorate and their terms of reference include communicating the need for action across their Directorates; • Reena Owen, Corporate Health, Safety and Wellbeing Champion (Chair) • Heather Swinnerton, Corporate Health, Safety and Wellbeing Manager • Martin Nichols, HoS CB&PS • Deborah Driffield, HoS Adult Social Services • Brian Roles, HoS Education • Linda Anthony, Divisional Officer Licensing and Food Safety • Steve Rees, Acting HoS HR/OD This Monitoring Group will enable CMT to effectively monitor their progress against the Plan and to demonstrate the delivery of health and safety outcomes. 2.10.3 Performance indicators will also be used by the Corporate Health, Safety and Wellbeing Manager to recommend the future priority areas for action for the Authority.
Page 177 9 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
2.10.4 The Corporate Health, Safety and Wellbeing Service will also be developing a number of internal procedures and process performance indicators in the coming year. This will ensure that Service delivery continuously improves and provides advice and support to the Authority of the necessary quality, is timely and consistent.
2.11 Partnership working Throughout the year the Service has been working with HSE inspectors in relation to various investigations, to provide additional information and data when required. The Service have also worked in partnership with Mid and West Wales Fire Authority to carry out fire audits of various premises across the Authority producing action plans for implementation by managers. As technical expert on the Project Team, the Service Manager is delivering the Welsh Purchasing Consortium contractual framework for Occupational Health Services across 16 Welsh public service organisations. The Service continues to develop its links with local health care providers and is currently delivering employee services in partnership with Swansea Metropolitan University, Remploy, Wellbeing through Work, Create Solutions, etc 2.12 Recognition and awards In December 2011, the Authority received a ‘mock’ assessment for the Gold Corporate Health Standard by the Welsh Assembly. The Health and Wellbeing Working Group were able to demonstrate that the Authority had achieved the standard required for improving employee health, safety and wellbeing. It is planned, that the Authority will receive its full assessment for Gold next year. In March 2012, the City and County of Swansea was presented with a certificate award from the Swansea and West Wales Occupational Safety Group certificate for outstanding safety performance, innovation in safety training and excellence in occupational health and wellbeing provision in 2011/12. The Award was achieved after submission of examples of excellent health and safety initiatives by the Corporate Health, Safety and Wellbeing Service.
Page 178 10 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
3.0 Delivery against Corporate Health, Safety and Wellbeing Action Plan key objectives for 2011/12 3.1 This section specifies the key objectives of the Corporate Health, Safety and Wellbeing Action Plan, the legal requirements the objective supports, and gives examples of the work delivered by the Corporate Health, Safety and Wellbeing Service against the objective. The good practice examples are a sample of the excellent work ongoing throughout the Authority which improves health and safety culture, reducing accidents and ill health; and compensation claims against the Authority by employees and the public.
3.2 Introduce the delivery of proactive work streams to reduce accidents, ill health & long term sickness absence across the Authority; improving the health and wellbeing of employees and their families.
Main legal requirements; Good practice example 1 • HSWA 1974 • The Management of Health and After a successful trial in Housing and Safety at Work Regulations 1999 Community Regeneration Directorate, – Regulation 5, 6 a unified snow and ice plan was rolled • The Reporting of Injuries, out to all City & County of Swansea Diseases and Dangerous Leisure Centres by the Corporate Occurrences Regulations 1995 – Health, Safety and Wellbeing Service. Regulation 3, 5 The plan of areas to be gritted and where signage should be displayed Sample work streams delivered; was clearly communicated to employees. • In 2010/11 1253 employee accidents/incidents were reported The purpose of this initiative was to to the Corporate Health, Safety reduce accidents to employees, public and Wellbeing Service for and service users, and is an example investigation compared with 1324 of good health and safety practice. This for 2011/12. process has also assisted in protecting the Authority against civil litigation, and • In 2010/11, the Service dispelling myths and concerns over investigated and reported 138 liability for managers. employee accidents/incidents to the Health and Safety Executive due to their serious nature. This year 102 were reported.
• Health and Safety Officers regularly attended 15 Safety meetings/SMTs to provide support, advice and guidance.
• An expert patient programme was delivered which supports employees with chronic illnesses to effectively manage their symptoms.
Page 179 11 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
• All accidents/incidents reportable to the HSE were investigated.
• 411 employees accessed the counselling service this year. This equates to an average 49.9 new referrals being assessed and counselled each month.
• A research pilot undertaken in partnership with Swansea Metropolitan University has secured immediate Osteopathy treatment for up to 60 employees.
• A programme of fire safety audits of school kitchens was undertaken.
• 137 health and safety visits/inspections and 11 audits were undertaken across the Authority by the Health and Safety Team.
3.3 To embed health & safety as the ‘way we do business’ thereby further developing the positive health, safety and wellbeing culture throughout CCoS.
Main legal requirements; • HSWA 1974 • The Management of Health and Safety at Work Regulations 1999 – Regulation 5
Good practice example 2 Sample work streams delivered; Due to a successful pilot last year, the Stress Management Advice and • Reena Owen, Director of Counselling Service has designed a Environment was the tailored stress management workshop, Champion for Health, which includes applying the principles Safety and Wellbeing for and philosophy of Rational Emotive the year 2011/12. Behaviour Therapy enabling employees to use the techniques as a • 14 health fairs have been prevention coping mechanism against delivered this year at a stress. range of council premises including Workshops have been delivered to the schools and residential Legal Team, Adult Services and Child care homes. In addition & Family Services. All the employees to the health fairs, 2 involved have agreed to pilot and blood pressure check practise the techniques for a period of events were also held. 6-8 weeks, and will feedback their results in the form of a questionnaire • The CCoS received a designed to allow evaluation of the ‘mock’ assessment for effectiveness of the techniques the Welsh Assembly’s introduced against stress. Corporate Health Standard, and was deemed to be ready to apply for Gold award.
Page 180 12 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
• Employee and manager’s health and safety responsibilities have been included as part of the new competency framework.
• The waiting times to see an Occupational Health Advisor or Counsellor has been reduced from 4 months in previous years to on average 4 weeks. Priority appointments, within a week of referral, are also now available. The Unit delivers over 200 appointments a month, a 100% increase on the number delivered when it was set up 2 years ago.
• The Corporate Health and Safety Risk Log have ensured high risks arising within the Authority are reported to and monitored by the Chief Executive, CMT and HoS.
• The Corporate Health, Safety and Wellbeing Action Plan Monitoring Group introduced Managers Action Notes advising managers on actions they needed to take to contribute to the delivery of the Plan.
• Health and Safety Officers and Occupational Health Advisors have on request attended safety committees and DMTs to provide advice and support to managers.
• The Occupational Health and Wellbeing Unit started to work towards achieving professional accreditation by the General Medical Council.
3.4 Devise and deliver a programme of mandatory health, safety & wellbeing training
Main legal requirements; • HSWA 1974 • The Management of Health and Safety at Work Regulations 1999 – Regulation 5, 10 , 11, 13
Sample work streams delivered;
• 1,693 employees received health and safety training commensurate with their work activities during 2011/12.
• Health and Safety Officers and Occupational Health Advisors have on request attended safety committees and DMTs to provide advice and support to managers.
• 227 health and safety training courses were delivered to managers and employees covering 18 different topics ranging from risk assessment to food safety.
Page 181 13 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
Good practice example 3
The Corporate Health, Safety & Wellbeing Service have supported residential and day care managers, to address the increasing risk relating to service users having oxygen therapy equipment in their homes. Homecare staff and management had little or no experience with oxygen therapy and were therefore unaware of the risks of explosion and fire.
Following meetings with relevant stakeholders the ABM Health Board have agreed to supply oxygen awareness training, free of charge, to City & County of Swansea managers and supervisors. Our managers will then be able to train employees, enabling them to work safely and confidently with oxygen therapy users.
• The Premises Managers training course was revised and 6 sessions have been delivered to date resulting in training of 110 employees from the Education Directorate.
• The Occupational Health Advisors have attended 13 DMT to provide information on their role and advise managers on their responsibilities under the Equality Act 2012.
• 37 managers received IOSH Managing Safely, and NEBOSH certificate training this year.
3.5 To clarify, promote & monitor Good practice example 4 health and safety and wellbeing responsibilities An employee was suffering from chronic back pain, and his manager referred to the Main legal requirements; Occupational Health & Wellbeing Unit for • HSWA 1974 advice on how to support the employee at • The Management of Health work. Having watched his working routines, and Safety at Work issues accessing the first floor office and Regulations 1999 – moving heavy equipment were identified. Regulation 5, 13 Advice and guidance was offered on Sample work streams delivered; suitable alterations and adjustments including a workstation assessment. Also • On request, representatives recommendations were offered on a suitable from the Service have trolley to move equipment. The employee attended health and safety has reported being healthier/happier and management meetings, and more productive at work following the induction courses to advise adjustments made, and is grateful to his on such issues as reducing manager for making the referral. the risk from violence and aggression or how to support phased returns to work.
Page 182 14 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
• The Health & Wellbeing Working Group consisting of representatives from across the Authority is working towards the Gold Corporate Health Standard Award.
• Guidelines for managers on the new Fit Note have been provided on the intranet.
• 19 managers were funded to achieve the Nebosh General Certificate health and safety qualification.
• 12 of the Authority’s Health, Safety and Wellbeing Policies have been reviewed though consultation.
• Where requested, managers have been provided with accident/incident data relative to their service area for both employees and the public.
• The Corporate Health, Safety and Wellbeing Service have continued to build a positive relationship with the Fire Safety and Health and Safety Regulators.
• Approximately 1949 medical reports were sent to managers on the health of their employees
• Where emergency incidents have occurred in the workplace, the Stress Management & Counselling Service has delivered immediate appointments to support the managers and their employees.
• Audits of the Authority’s 7 care homes were undertaken by Health and Safety Officers.
• 34 inspections of Education premises, including school kitchens, were undertaken by Health and Safety Officers
Good practice example 5 3.6 Improve health, safety & A newly appointed Headteacher of a wellbeing communications primary school conducted her own throughout the Authority Safety Inspection of the school which identified a number of safety concerns, Main legal requirements; • including a number of broken corridor HSWA 1974 • fire doors. She asked a Corporate The Management of Health & Safety Officer for advice in Health and Safety at relation to her Fire Risk Assessment. Work Regulations 1999 – Regulation 5, 13 Following a health and safety inspection at the school, it revealed the Sample work streams need for replacement of all cross- delivered; corridor fire doors, installation of an L3 • Automatic Fire Detection System, Via the Health fairs, 718 suitable fire safety signage, etc. All employees were given works have now been completed leaving the school compliant with The Regulatory Reform (Fire Safety)Page Order 183 15 of 38 2005. Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
healthy lifestyle advice and mini health check (blood pressure, blood sugar and cholesterol) by the Occupational Health Advisors.
• Communication with employees and managers have increased through the following methods; o Health Fairs o Newsletters o Guidance emails to managers o Intranet/Edunet
• The health, safety and wellbeing pages of the intranet are under review to include an A to Z quick reference search tool.
• Both managers and employees receiving health surveillance were consulted on how the programme should be delivered and their views used to inform the process.
• The Stress Management Advisors/Counsellors have delivered 4 Stress Management Workshops at the request of managers. The sessions included providing employees with specific skills and tools to reduce their stress levels.
• All health and safety guidance and templates are being streamlined and updated to reflect good practice.
• Partnership working with the Fire Authority delivered an effective programme of Fire Risk Assessment Audits focussed on higher risk premises such as schools, and residential buildings.
4.0 Delivery plans for 2012/13 4.1 Corporate Health, Safety & Wellbeing Action Plan The Action Plan for next year identifies the key health and safety priorities for the Authority based on accident/incident data; the comments gathered from managers and employees via the Service Review consultation process; inspections and queries raised throughout the year by managers; risk assessment, and advice and information from the regulatory agencies. The Plan was only introduced in June 2012, and therefore the majority of actions will be carried over to 2013/14. However, the updated Plan below demonstrates substantial progress has been made with its implementation over the past 6 months.
Page 184 16 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
Left blank
Page 185 17 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
Corporate Health and Safety Action Plan 2012/13
Service review Delivery arrangements Timescale recommendations and delivery objectives
1.0 To embed health & safety as the Action Responsible person Target Progress to ‘way we do business’ completion date date 1.1 Appoint Health, Safety & Wellbeing 1.11Health, Safety & Wellbeing CX Completed 31/3/11 Champion for 2011/12 Champion to be confirmed 1/4/11 1.12Action plan for Champion Champion/H&SM/ 2012/13 to be developed and Health & Wellbeing 30/6/12 Ongoing Page 186 delivered Working Group (HWWG) 1.2 Managers to receive the following 1.21To organise & secure delivery of H&SM information; presentations; Proposal 31/8/11 • IOSH for senior executives • Top Managers developed 31/8/12 (bespoke course to include • Senior Managers guidance on corporate 1.22 Managers to attend event; manslaughter) • Top Managers Top Managers 31/3/12 Training proposal to be • Senior Managers Senior Managers 31/12/12 accepted
1.3 Review of Corporate H&S Policies and 1.32 12 Corporate H&S Policy and Policies going arrangements arrangements to be reviewed and through included in new employee Handbook H&SM 31/3/12 consultation and placed on intranet process 1.33Where appropriate HOS release employees to contribute to Policy 31/3/12 Completed review working groups and support HOS the employee consultation process
18 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
1.34 To clarify the process of Brian Roles communication and implementation of 30/9/11 Ongoing health and safety policies and arrangements in schools 1.35To communicate new policies/arrangements to all Policy review 31/3/12 employees and ensure HOS not completed implementation in their Service areas 1.4 Health and safety risks are to be 1.41 Business Plan template to be Jeremy 31/7/11 Completed included as part of the Business Plan amended Stephens/H&SM template for all Service Units 1.42 Key H&S risks to be addressed HOS 31/3/12 Completed in Business Plans for 2012/13
1.5 Undertake survey to measure the 1.51Approval of survey approach to Champion
Page 187 perception of the workforce on health assessing where Authority is now in 31/7/11 Not achieved &safety issues within the Authority relation to its health and safety culture
1.52 Application of survey approach H&SM 31/3/12 Analysis and interpretation of baseline for Authority. Report on findings to Not achieved CMT
1.53 Reapplication of survey to H&SM determine any change in H&S climate 30/9/13 Not achieved 1.6 Develop a suite of health, safety and 1.61 CMT to identify outcome based CMT/HoS/H&SM wellbeing outcome based corporate PI’s corporate PI’s that will inform the and targets for each high risk service area direction of travel in relation to supported by action plans for delivery improving employee and public health, safety and well being. HoS to 30/12/11 Ongoing identify targets for improving health and safety particularly high risk service areas
19 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
1.62 PI’s to be introduced into HOS Business Plans for delivery 2012/13 ( see 1.4 above) 31/3/12 Completed
1.7 Develop and support a health and 1.71Development of audit and H&SM safety audit & inspection programme inspection framework, protocol and 31/10/11 Ongoing focussed on high risk areas and lines of reporting. themes 1.72Development of audit & H&SM inspection programme for year (Jan 2011 to Mar 2012) 31/10/11 Ongoing
1.73 Delivery of audit & inspection H&SM 31/3/12 In progress programme Page 188 1.73 Ensure legal/policy non- HOS compliances identified by audits relevant to their service areas are 31/3/12 Ongoing addressed such that H&S risks are controlled.
1.8 Secure Gold Corporate Health 1.81Health and Wellbeing Working HWWG Ongoing Standard Award Group to deliver actions required to (separate CHS achieve Gold Award standard action plan in 31/3/12 preparation owned by H&SM) 2.0 To clarify, promote & monitor health Action Responsible person Target Progress and safety and wellbeing completion responsibilities date
2.1 To promote the responsibilities of 2.11Managers to receive information Managers/H&SM Proposal employees and managers as stated in as indicated in 1.2 above 31/12/12 developed the H&S Policy
20 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
[focus on premises managers for 2.12 Relaunch of reviewed H&S Champion/H&SM Policy review 2011/12 see actions under point 5.4 Policy 31/11/11 not completed below] 2.13 Deliver of workshops to 10 H&SM Ongoing SMT’s to discuss H&S responsibilities 31/3/12 1completed 2.14 Occ Hlth Advisors to deliver H&SM presentations on health/wellbeing Ongoing 31/3/12 roles to 12 SMT’s 4 completed
2.15 Managers to implement the Managers/HR Carryl Evans provisions of the new sickness (HR) appointed 31/3/12 absence policy to support & monitor 2.2 Operational H&S issues to be an 2.21HOS to ensure managers agenda HOS/All managers
Page 189 agenda item at all team meetings H&S at all team meetings and ensure Completed 31/3/12 outstanding issues raised are elevated to and resolved at SMT/DMT meetings with advice from H&SM where necessary.
2.3 Health & safety responsibilities and risk 2.31 Examine feasibility of proposal HR/H&SM assessments are specified within all 31/3/12 Ongoing job descriptions
2.32 During induction for a new post, All managers all employees to be informed in writing of their specific health and safety responsibilities, provided with access to the Corporate Health & 31/09/11 Ongoing Safety Policy and the H&S risk assessment for the post discussed.
21 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
3.0 Devise and deliver a programme of Action Responsible person Target Progress mandatory health, safety & wellbeing completion training date
3.1 Identify essential health, safety & 3.11 Mandatory health, safety & H&SM 31/3/12 Proposal wellbeing training for all employee tiers wellbeing training proposal to be produced developed for implementation over next 3 years
3.2 Premises managers training course to 3.21 Working Group to be set up to H&SM/ HoSCB&PS 30/8/11 Completed be revised ( also see objective 5.4 review contents of course below)
3.3 E-learning courses to be used to 3.31E-learning courses to be devised H&SM 31/12/11 Courses under provide general H&S training to all to deliver basic mandatory health and development employees safety training to all employees. Page 190 (Traditional training methods for these courses will be reserved for employees without computer access)
3.32 HoS to ensure that all HoS 31/3/12 Proposal under employees receive designated consideration mandatory training 4.0 Improve health, safety & wellbeing Action Responsible person Target Progress communications throughout the completion Authority date
4.1Communication plan to be developed in 4.11 Champion to determine what CMT/Champion consultation with managers, employees, health, safety & wellbeing messages Plan under 31/10/11 Unions and employee reps. CMT intend to deliver over the coming development year
4.12 Authority-wide communication Champion/H&SM/All Plan under 31/12/11 plan to be produced & delivered over development the next 2 years
22 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
4.2 Introduce a single health and safety 4.21 Corporate H&S committee H&SM Proposal committee structure and governance structure proposal to be produced and 31/11/11 produced arrangements for the Authority via a review agreed by HoS of existing arrangements. 4.22 HoS to introduce the agreed committee structure into their service HoS Policy areas in line with the reviewed Health 31/3/12 undergoing & Safety Policy consultation
5.0 Delivery of proactive work streams Action Responsible person Target Progress to reduce accidents, ill health & completion sickness absence date Page 191 5.1 To deliver a robust, sustainable 5.11Business case for corporate H&SM corporate health surveillance programme health surveillance programme 31/8/11 Completed presented to CMT for approval 5.12Set up and deliver a corporate H&SM health surveillance programme 31/12/11 Ongoing including the provision of advice to managers 5.13Managers to ensure risk HOS/managers assessments are undertaken to Completed identify all employees requiring health Managers surveillance. Managers to deliver their 31/3/12 action note roles under the health surveillance sent out programme. January 2012
23 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
5.2 To reduce number of sickness 5.21Managers to contact all Completed absence days due to work related employees off sick with wrs in line All managers Managers stress(wrs) and to apply an intervention to with new sickness absence procedure 31/3/12 action note reduce stress levels in those areas to identify & where possible resolve sent out work issues. January 2012 5.22Managers to refer all employees All managers off sick with wrs to OHWU Procedure not immediately in line with new sickness 31/3/12 absence procedure yet confirmed
5.23Managers to complete an HS1 All managers Completed report form for all instances of wrs Managers and submit to Health & Safety Team 31/3/12 action note sent out
Page 192 January 2012 5.24Employees referred with wrs to H&SM be seen by OHA within 3 weeks of 31/3/12 Completed referral 5.25Counsellors to deliver wrs H&SM awareness presentation to Top 30/9/11 Ongoing Managers 5.26Managers of 5 service units with Managers/ H&SM highest levels of sickness absence due to wrs over past 6 months to undertake stress risk assessments 31/3/12 Ongoing supported by counsellors
5.27A stress risk assessment audit H&SM/ relevant HOS process will be developed and piloted 31/3/12 Ongoing for implementation next year 5.28 Review of stress policy to be H&SM undertaken 31/3/12 Ongoing
24 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
5.29 OHA’s to hold 3 case Managers/H&SM conferences per month to support 31/3/12 Ongoing managers to resolve complex long term sick cases including stress. 5.3 To implement a corporate approach to 5.31 Analysis of employees at risk, H&SM controlling the risk of violence and review of current control measures aggression (V&A) to all employees including risk register to be 31/8/11 Ongoing undertaken. Recommendations for improved controls to be made. 5.32All incidents are to be reported Managers via existing HS3 forms 1/8/11 Ongoing
5.33Risk assessments to be HoS/managers undertaken by managers to identify 30/09/11 Ongoing control measures for employees at
Page 193 risk 5.34Appropriate training to be H&SM identified for V&A across the Authority together with recommendations for a future cost effective approach to 30/9/11 Ongoing delivering this training based on a training need analysis
5.35 Managers to ensure that all Managers relevant employees receive appropriate training according to the 31/3/12 Ongoing control measures in the risk assessment
5.36Review of violence and H&SM aggression policy 31/3/12 Ongoing
25 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
5.37Audit of implementation of this H&SM initiative to control and reduce V&A to be undertaken 6 months after 31/7/12 implementation of control measures
5.38Employees referred as a result of H&SM work related V&A to be seen by OHA 31/3/12 Completed within 3 weeks of referral 5.4 To review the role of premises 5.41HOS to list all premises within HOS/H&SM managers to ensure effective delivery of their remit and identify the named this responsibility premises manager and H&SM to 30/7/11 Completed maintain a register
5.42Production of responsibilities H&SM checklist for premises managers to be 31/8/11 Completed produced and distributed. Page 194 5.43 Procedure for appointing and Brian Roles monitoring of premises managers of schools to be clarified and implemented. Any additional school 31/8/11 governor involvement to be included in the communication plan at point 4.1 above 5.44HOS to formally appoint premises HOS. (Responsibility managers and detail their for this process in 30/9/11 Ongoing responsibilities in writing and record schools will be clarified and update this on ISIS via 5.43 above) 5.45 Premises managers training H&SM Course course to be reviewed and sufficient reviewed. 30/9/11 events delivered over 2011and 2012 Training events ongoing 5.45HOS to ensure all premises HOS/premises managers they appoint have managers 31/03/12 Completed attended the premises managers
26 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
training course
5.46 Audit to ensure compliance H&SM which will enable confidence that premises managers are appropriately Managers/employees 31/9/12 informed.
5.5 To reduce long term sickness (LTS) 5.51 Managers to implement the Managers/HR Carryl Evans days lost by 10% compared with previous provisions of the new Sickness (HR) appointed 31/3/12 year 10/11 absence policy to support & monitor 5.52 Occ Hlth Advisors to support Managers/H&SM managers with numbers of complex Ongoing LTS cases through case conferences 31/3/12 – 36 planned for the year 3/36completed Page 195
5.53 Occ Hlth Advisors to deliver Managers/H&SM presentations on health/wellbeing Ongoing 31/3/12 roles to 12 SMT’s 3 completed
5.54 Target reducing and controlling H&SM/HoS/managers stress and V&A within the Authority Investigations (see action points above, particularly 31/3/12 ongoing 5.2 and 5.3 above )
27 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
4.2 Health and Safety Team training plan 2012/13 An analysis of the training delivered during 2011/12 is included in the Appendix at 6.4. The training plan for 2012/13 focuses on core health and safety training that is relevant to employees and managers across the Authority. This secures consistency and equality of access for all Service Units. Courses are being reviewed and updated continuously, and this year two new e-learning courses will be developed increasing the availability and range of training and the capacity of the Training Team. A mandatory training matrix for all employees will also be proposed to ensure that those with health and safety responsibilities throughout the Authority receive necessary training.
Key Internal Courses to be delivered No of Courses DSE-A Display Screen Equipment Awareness 6 DSE-M Display Screen Equipment for Managers 4 BHS Basic Health and Safety 12 Chartered Institute for Environmental Health - Level CIEH 2 Foundation in Health and Safety 6 RA Risk Assessment 48 W @ H Working at Heights 6 Asb - Aw Asbestos Awareness 12 COSHH Control of Substances Hazardous to Health 5 Con Sp Confined Spaces 6 Fire awareness 12 Sh Aw Sharps Awareness 6 FS1 Food Safety Level 1 12 FS2 Food Safety Level 2 12 EFAW Emergency First Aid at Work 12 FAAW First Aid At Work 4 FAAW -R First Aid at Work Refresher 12 LH Inanimate Load Handling 12 MHF Manual Handling Foundation in People Handling 36 Manual Handling Foundation in People Handling MH-R Refresher 44 PM Premises Managers 12 MH 4 Workshop Manual Handling Workshop New Premises Managers CourseNew Accident TBC PMAI Investigation AI Accident investigation for managers TBC Key External Courses to be delivered No of Courses PAT Portable Appliance Testing 1 Institute of Safety and Health - Managing Safety 1 IOSH Course
Page 196 28 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
Action Action Commencement Completion Courses to be Developed Date Date Basic Health and Safety – E-Learning Course 1/5/11 30/6/11 Accident Investigation 1/5/11 30/6/11 Fire Safety Awareness – E-Learning Course 1/6/11 31/7/11 Fire Warden Training 1/6/11 31/7/11 Fire Risk Assessment 1/6/11 31/7/11 Premises Managers 1/5/11 31/8/11 Intermediate Food Safety Level 3 1/10/11 31/1/12 HACCP 1/10/11 31/1/12
4.3 Corporate Health and Safety Audit/inspection programme 2012/14 4.3.1 Health and safety doesn’t fit into a neat box. It’s relevant in every Directorate and to every activity that’s carried out by the Authority. It doesn’t only apply to employees, but for service users and members of the public too.
4.3.2 Corporate Health and Safety action plans and Business planning is important as it helps the Authority to identify risks, evaluate what we do and what we may need to do. It also informs and highlights barriers to improving services. The Corporate Health, Safety and Wellbeing ‘Audit and Inspection’ programme supports the need for monitoring and measuring the Authority’s health and safety arrangements. The following tables illustrate the current audit and inspection programme agreed by CMT, and the areas of risk they are focusing on: • Fire Risk in Public Buildings especially sleeping risk • Asbestos management in category 1 type buildings and or CLASP buildings • Client compliance under CDM Regulations • Premises Management • Stress • Violence • Construction and Refurbishment activities • Highway and Landscape maintenance • Waste Management • Fuel and LPG management
See following Audit (Table 1) and Inspection (Table 2) details:
Page 197 29 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
Corporate Health, Safety and Wellbeing Service Health and Safety Audit Programme 2012 / 2014 (Table 1) Risk Audit Area of Focus Directorate Target Priority Start Date High Fire Safety in Authority owned or run Residential Care Social 31/12/11 Homes Services High Fire Safety in Authority owned or run Residential Education 31/12/11 Educational Venues High Fire Safety in Authority owned or run Respite Residential Social 31/06/12 Service Services High Fire Safety in Authority owned or run Mental Health Social 31/06/12 Residential Service Services High Fire Safety in Authority owned or run Disability Residential Social 31/12/11 Service Services High Fire Safety in Authority owned or run Child and Family Social 31/08/12 Residential Service Services High Asbestos Management in CLASP buildings (Asbestos Education 31/12/12 Register Red and CLASP Blue buildings) Social Services High Project Management (CDM Client Role Compliance) (This Chief Ex’ April 2013 will not look at CDM PC Role) Regen and Housing High Premise Managers All Mar 2014 High Stress Management All Mar 2014 High Violence and Aggression All Dec 2014
Health and Safety Inspection Programme 2012 / 2014 (Table2) Risk Area of Focus Directorate Target Start Priority Date High Corporate Building and Property Services – Principal Regen/ Within date Contractor Activities (CDM PC role and site safety) Housing of notifiable work High Corporate Building and Property Services – (Public Buildings) Regen/ 31/03/2012 – Supervisor and Site Activities Housing High Corporate Building and Property Services – (Housing) – Regen/ 31/03/2012 Supervisor and Site Activities Housing High Street Scene – Principal Contractor Activities (CDM PC role Environment Within date and site safety) of notifiable work High Street Scene – Highways Construction Supervisor and Site Environment 31/03/2012 Activities High Street Scene – Highways Neighbourhood Supervisor and Site Environment 31/03/2012 Activities High Street Scene – Highways Public Lighting Supervisor and Site Environment 31/03/2012 Activities High Street Scene – Waste Management Supervisor and Site Environment 31/03/2012 Activities High Culture & Tourism – Development and Support – Parks Regen/ 31/03/2012 Services Housing Moderate All premises owned or occupied by the Authority – Large All 31/03/2012 places of assembly (Public or Employee) Moderate All premises owned or occupied by the Authority – Depots / All 31/03/2012 fuel store areas / Transport Depots / Manned Stores Moderate All premises owned or occupied by the Authority – Schools All 31/03/2013 Moderate All premises owned or occupied by the Authority - Care Sites All 31/03/2013 Moderate All premises owned or occupied by the Authority - Catering All 31/03/2013 Low All premises owned or occupied by the Authority – Libraries All 31/03/2013
Page 198 30 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
5.0 Conclusions
Good progress has been made by the Authority in delivering the Corporate Health, Safety and Wellbeing Action Plan in the latter 6 months of this year. The Plan will be taken forward to 2012/13 as work against the Plan only commenced in September. The purpose of the plan is to deliver an improved health and safety culture. The accident data shows a small, 6%, increase in the number of accidents involving employees over the year, and a substantial decrease of 26%, in the number of more serious accidents that must be reported to the Health and Safety Executive (HSE). This small increase in general incidents is comparable with last years increase and is likely to be a feature of the changing reporting culture whereby managers are being encouraged to report accidents and incidents. The decrease in the number of the more serious and visible accidents despite the increase in incidents as a whole could indicate that safer working practices are being adopted and that there is an improvement in safety culture in the Authority. To demonstrate any improvement in health and safety culture, an indicator tool consultation exercise with employees would need to be undertaken. Whereas the introduction of a measurement tool was considered early this year, unfortunately progression was not possible due to incompatibility with existing IT systems. Of particular concern again this year is the high number of reported accidents/incidents that relate to violence and aggression against employees. There is a 6.5% increase in incidents reported compared with the previous year. This may be due to an increase in incidents, though a proportion of this is likely to be due to increased reporting. The Corporate Health, Safety and Wellbeing Service investigation report is due to be completed this year and will make recommendations on how the Authority can impact on the number of such incidents. Whilst the Authority has received a number of visits and investigations by the regulatory bodies in the year, no statutory Notices have been served. The HSE completed its investigation into the unauthorised release of asbestos that occurred in 2009, and no formal action was taken. On a positive note, the Authority underwent a mock assessment for Gold Corporate Health Standard Award, and was advised that the organisation had
Page 199 31 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012 progressed to the required standard and should make a submission for Gold Award. The Authority received an Award from SWWOHG6 this year for its innovation in safety training and excellence in health and wellbeing provision and outstanding safety performance.
Finally, 2011/12 has seen substantial changes in the reorganisation and provision of the Corporate Health, Safety and Wellbeing Service. The Service is continually striving to improve the way in which it provides advice and support to managers and employees. The reorganisation has been successful in facilitating a proactive approach enabling the more complex, high risk work activities to be the focus, thereby starting to reduce the risk profile of the Authority. Health and safety resource is now being focussed on reducing the highest risks across the Authority and there is an equality of access to health and safety advice, support and training, based on risk, for all Service Units.
6 Swansea and West Wales Occupational Health Group
Page 200 32 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
6.0 Appendices 6.1 Analysis of employee accident data per Directorate
Number of employee accidents reported (per Department) (plus number reportable via RIDDOR) 2011/12
Quarter 1 Quarter 2 Quarter 3 Quarter 4 Department Totals
Total Total Total Total Total Of Which Of Which Of Which Of Which Of Which Number Number Number Number Number Department were were were were were of of of of of RIDDOR RIDDOR RIDDOR RIDDOR RIDDOR Incidents Incidents Incidents Incidents Incidents Total for Chief Executive's 1 1 0 0 1 0 0 0 2 1
Page 201 Total for Education 90 5 71 6 107 4 85 5 353 20 Total for Environment 74 5 59 6 52 8 46 6 231 25 Total for Regeneration and Housing 70 11 102 5 76 9 99 14 347 39 Total for Resources 4 0 4 0 5 0 4 0 17 0 Total for Social Services 122 7 91 4 91 3 70 3 374 17 Quarter Totals 361 29 327 21 332 24 304 28 1324 102
33 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
6.2 Analysis of reported employee accidents by type 2011/12
Number of employee accidents reported by incident type (plus number reportable via RIDDOR) 2011/12
Quarter 1 Quarter 2 Quarter 3 Quarter 4 Incident Type Totals Total Total Total Total Total Of Which Of Which Of Which Of Which Of Which Number Number Number Number Number Incident Type were were were were were of of of of of RIDDOR RIDDOR RIDDOR RIDDOR RIDDOR Incidents Incidents Incidents Incidents Incidents Contact with Electricity 0 0 1 0 1 0 2 0 4 0 Contact with Moving Machinery 2 1 1 0 1 0 0 0 4 1 Contact with Harmful Substance 2 0 4 0 0 0 2 0 8 0 Dangerous Occurrence 1 0 2 0 0 0 1 0 4 0 Exposed to Fire 0 0 0 0 0 0 0 0 0 0 Page 202 Exposed to Hot Water/ Surface 3 0 3 0 4 1 6 1 16 2 Fell from Height 8 1 4 4 3 2 1 0 16 7 Hit by Moving, Flying, Falling Object 33 4 37 2 32 2 29 0 131 8 Hit by Moving Vehicle 3 1 1 0 6 3 7 3 17 7 Hit Something Fixed or Stationary 14 0 17 3 19 1 15 2 65 6 Injured by an Animal 3 0 13 0 3 0 3 0 22 0 Injured while Handling, Lifting or Carrying 38 9 41 5 50 7 58 10 187 31 Industrial Injury (Disease) 0 0 0 0 1 0 0 0 1 0 Non Injury Event 0 0 2 0 5 0 23 0 30 0 Slip, Trip, Fall- same level 44 8 57 6 60 7 55 11 216 32 Another Type of Accident 11 0 11 1 1 0 2 1 25 2 Violence- Actual Assault 86 5 53 0 44 1 44 0 227 6 Violence- Aggressive 100 0 47 0 65 0 35 0 247 0 Violence- Foul Language 9 0 28 0 32 0 13 0 82 0 Violence- Threat Of 4 0 5 0 5 0 8 0 22 0 Quarter Totals 361 29 327 21 332 24 304 28 1324 102
34 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
6.3 DMT/Health and Safety meetings regularly supported
Name of meeting Name and designation of Chair Frequency of meetings Corporate Building Health & Safety Meeting Hywel Thomas, Group Leader Six Weekly
Housing Health & Safety Meeting Dave Donne, Six Weekly Senior Finance Officer Health & Safety Forum – Social Services Attendee’s alternate each Quarterly meeting – Principle Officers Parks Health & Safety Committee Mark Russ, Manager Every 8 weeks Page 203 In-door Leisure Health & Safety Meeting Dave Osborne, Manager Every 6 weeks
Accommodation Health & Safety Group Michelle Dene Every 6/8 weeks
Design Print Anthony Evans Quarterly
Finance Gareth Parry Every 6 weeks
Director / Trade Union Health and Safety Director of Environment 3 monthly meeting SMT - Environment Protection Service Unit Martin Saville, Monthly Head of Service (H &S is an agenda item) SMT - Waste Managers meeting Carl Humphreys / Ian Whettleton, Monthly Head of Service / Waste & (H &S is an agenda Recycling Manager item) Environment Department Safety Group Head of Food and Safety Section 3 monthly Waste Management / Trade Union Safety Ian Whettleton, 3 monthly 35 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
meeting Waste and Recycling Manager SMT - Transportation Service Unit Chris Vinestock, 3 monthly Head of Service (H &S is an agenda item) SMT - Streetscene Service Unit Carl Humphreys, 3 monthly Head of Service (H &S is an agenda item) Page 204
36 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
6.4 Health and Safety Training Delivered 2011-12
Numbers of job related health and safety courses delivered
No of Courses No of Staff Key Title of Internal Courses Delivered Trained DSE-A Display Screen Equipment Awareness 3 13 BHS Basic Health and Safety 21 120 Chartered Institute for Environmental Health - 5 31 CIEH Level 2 Foundation in Health and Safety RA Risk Assessment 14 96 W @ H Working at Heights 5 36 Asb - Aw Asbestos Awareness 12 79 COSHH Control of Substances Hazardous to Health 4 25 Con Sp Confined Spaces 2 9 Sh Aw Sharps Awareness 8 48 Evac Chair Evacuation Chair 1 8 FS1 Food Safety Level 1 15 92 FS2 Food Safety Level 2 17 191 EFAW Emergency First Aid at Work 19 169 FAAW First Aid At Work 4 33 FAAW -R First Aid at Work Refresher 13 91 LH Inanimate Load Handling 19 129 Manual Handling Foundation in People 8 64 MHF Handling Manual Handling Foundation in People 45 289 MH-R Handling Refresher PM Premises Managers Course 5 110 TOTAL 220 1633 No of Courses No of Staff Key Title of External Courses Delivered Trained PAT Portable Appliance Testing 2 23 National Examination Board in Occupational 2 19 NEBOSH Safety and Health Institute of Safety and Health - Managing 3 18 IOSH Safety Course TOTAL 7 60
Page 205 37 of 38 Corporate Health, Safety and Wellbeing Service - Annual Report 2011-2012
Page 206 38 of 38 Agenda Item 15
Report of the Head of Legal, Democratic Services & Procurement
Cabinet – 28 February 2013
EXCLUSION OF THE PUBLIC
Purpose: To consider whether the Public should be excluded from the following items of business. Policy Framework: None.
Reason for Decision: To comply with legislation.
Consultation: Legal.
Recommendation(s): It is recommended that: 1) The public be excluded from the meeting during consideration of the following item(s) of business on the grounds that it / they involve(s) the likely disclosure of exempt information as set out in the Paragraphs listed below of Schedule 12A of the Local Government Act 1972 as amended by the Local Government (Access to Information) (Variation) (Wales) Order 2007 subject to the Public Interest Test (where appropriate) being applied. Item No. Relevant Paragraphs in Schedule 12A 16a 14 and 16 16b 13 and 14 16c 14 and 16 Report Author: Democratic Services
Finance Officer: Not Applicable
Legal Officer: Patrick Arran – Head of Legal, Democratic Services and Procurement (Monitoring Officer)
1. Introduction
1.1 Section 100A (4) of the Local Government Act 1972 as amended by the Local Government (Access to Information) (Variation) (Wales) Order 2007, allows a Principal Council to pass a resolution excluding the public from a meeting during an item of business.
1.2 Such a resolution is dependant on whether it is likely, in view of the nature of the business to be transacted or the nature of the proceedings that if members of the public were present during that item there would be disclosure to them of exempt information, as defined in section 100I of the Local Government Act 1972.
2. Exclusion of the Public / Public Interest Test
2.1 In order to comply with the above mentioned legislation, Cabinet will be requested to exclude the public from the meeting during consideration of the item(s) of business identified in the recommendation(s) to the report on the
Page 207 grounds that it / they involve(s) the likely disclosure of exempt information as set out in the Exclusion Paragraphs of Schedule 12A of the Local Government Act 1972 as amended by the Local Government (Access to Information) (Variation) (Wales) Order 2007.
2.2 Information which falls within paragraphs 12 to 15, 17 and 18 of Schedule 12A of the Local Government Act 1972 as amended is exempt information if and so long as in all the circumstances of the case, the public interest in maintaining the exemption outweighs the public interest in disclosing the information.
2.3 The specific Exclusion Paragraphs and the Public Interest Tests to be applied are listed in Appendix A.
2.4 Where paragraph 16 of the Schedule 12A applies there is no public interest test. Councillors are able to consider whether they wish to waive their legal privilege in the information, however, given that this may place the Council in a position of risk, it is not something that should be done as a matter of routine.
3. Financial Implications
3.1 There are no financial implications associated with this report.
4. Legal Implications
4.1 The legislative provisions are set out in the report.
4.2 Councillors must consider with regard to each item of business set out in paragraph 2 of this report the following matters:
4.2.1 Whether in relation to that item of business the information is capable of being exempt information, because it falls into one of the paragraphs set out in Schedule 12A of the Local Government Act 1972 as amended and reproduced in Appendix A to this report.
4.2.2 If the information does fall within one or more of paragraphs 12 to 15, 17 and 18 of Schedule 12A of the Local Government Act 1972 as amended, the public interest test as set out in paragraph 2.2 of this report.
4.2.3 If the information falls within paragraph 16 of Schedule 12A of the Local Government Act 1972 in considering whether to exclude the public members are not required to apply the public interest test but must consider whether they wish to waive their privilege in relation to that item for any reason.
Background Papers: None. Appendices: Appendix A – Public Interest Test.
Page 208 Appendix A
Public Interest Test
No. Relevant Paragraphs in Schedule 12A
12 Information relating to a particular individual. The Proper Officer (Monitoring Officer) has determined in preparing this report that paragraph 12 should apply. His view on the public interest test was that to make this information public would disclose personal data relating to an individual in contravention of the principles of the Data Protection Act. Because of this and since there did not appear to be an overwhelming public interest in requiring the disclosure of personal data he felt that the public interest in maintaining the exemption outweighs the public interest in disclosing the information. Members are asked to consider this factor when determining the public interest test, which they must decide when considering excluding the public from this part of the meeting.
13 Information which is likely to reveal the identity of an individual. The Proper Officer (Monitoring Officer) has determined in preparing this report that paragraph 13 should apply. His view on the public interest test was that the individual involved was entitled to privacy and that there was no overriding public interest which required the disclosure of the individual’s identity. On that basis he felt that the public interest in maintaining the exemption outweighs the public interest in disclosing the information. Members are asked to consider this factor when determining the public interest test, which they must decide when considering excluding the public from this part of the meeting.
14 Information relating to the financial or business affairs of any particular person (including the authority holding that information). The Proper Officer (Monitoring Officer) has determined in preparing this report that paragraph 14 should apply. His view on the public interest test was that:
a) Whilst he was mindful of the need to ensure the transparency and accountability of public authority for decisions taken by them in relation to the spending of public money, the right of a third party to the privacy of their financial / business affairs outweighed the need for that information to be made public; or
b) Disclosure of the information would give an unfair advantage to tenderers for commercial contracts.
This information is not affected by any other statutory provision which requires the information to be publicly registered.
On that basis he felt that the public interest in maintaining the exemption outweighs the public interest in disclosing the information. Members are asked to consider this factor when determining the public interest test, which they must decide when considering excluding the public from this part of the meeting.
Page 209 No. Relevant Paragraphs in Schedule 12A
15 Information relating to any consultations or negotiations, or contemplated consultations or negotiations, in connection with any labour relations matter arising between the authority or a Minister of the Crown and employees of, or office holders under, the authority. The Proper Officer (Monitoring Officer) has determined in preparing this report that paragraph 15 should apply. His view on the public interest test was that whilst he is mindful of the need to ensure that transparency and accountability of public authority for decisions taken by them he was satisfied that in this case disclosure of the information would prejudice the discussion in relation to labour relations to the disadvantage of the authority and inhabitants of its area. On that basis he felt that the public interest in maintaining the exemption outweighs the public interest in disclosing the information. Members are asked to consider this factor when determining the public interest test, which they must decide when considering excluding the public from this part of the meeting.
16 Information in respect of which a claim to legal professional privilege could be maintained in legal proceedings. No public interest test.
17 Information which reveals that the authority proposes: (a) To give under any enactment a notice under or by virtue of which requirements are imposed on a person; or (b) To make an order or direction under any enactment. The Proper Officer (Monitoring Officer) has determined in preparing this report that paragraph 17 should apply. His view on the public interest test was that the authority’s statutory powers could be rendered ineffective or less effective were there to be advanced knowledge of its intention/the proper exercise of the Council’s statutory power could be prejudiced by the public discussion or speculation on the matter to the detriment of the authority and the inhabitants of its area. On that basis he felt that the public interest in maintaining the exemption outweighs the public interest in disclosing the information. Members are asked to consider this factor when determining the public interest test, which they must decide when considering excluding the public from this part of the meeting.
18 Information relating to any action taken or to be taken in connection with the prevention, investigation or prosecution of crime The Proper Officer (Monitoring Officer) has determined in preparing this report that paragraph 18 should apply. His view on the public interest test was that the authority’s statutory powers could be rendered ineffective or less effective were there to be advanced knowledge of its intention/the proper exercise of the Council’s statutory power could be prejudiced by public discussion or speculation on the matter to the detriment of the authority and the inhabitants of its area. On that basis he felt that the public interest in maintaining the exemption outweighs the public interest in disclosing the information. Members are asked to consider this factor when determining the public interest test, which they must decide when considering excluding the public from this part of the meeting.
Page 210 CABINET (10)
Labour Councillors:
Nicholas S Bradley William Evans June E Burtonshaw David Phillips (Leader) Mark C Child J Christine Richards (Deputy Leader) Sybil E Crouch Rob C Stewart C Ryland Doyle Mitchell Theaker
Officers: Jack Straw Chief Executive Phil Roberts Corporate Director (Regeneration & Housing) Reena Owen Corporate Director (Environment) Ian James Interim Corporate Director (Education) Phil Hodgson Corporate Director (Social Services) Mike Trubey Head of Finance Mike Hawes Finance Lee Wenham Head of Marketing, Communications & Scrutiny Steve Rees Acting Head of Human Resources Patrick Arran Head of Legal, Democratic Services & Procurement – Electronic and hard copy Rod Jones Deputy Head of Legal, Democratic Services & Procurement - Electronic and hard copy Huw G Evans Head of Democratic Services Democratic Services 1 Copy Patrick Fletcher Communications Scrutiny Team 1 Copy Archives 1 Copy Various Councillors 10 Copies All Other Councillors Via e mail
Total Copies Needed: 55 Full & 10 Public
Page 256