Public Document Pack
SOUTH LAKELAND DISTRICT COUNCIL South Lakeland House Kendal, Cumbria LA9 4UQ www.southlakeland.gov.uk
You are requested to attend a meeting of the Council on Thursday, 26 July 2012, at 6.30 pm in the District Council Chamber, South Lakeland House, Kendal Note – A briefing session entitled “South Lakes Housing – the first 100 days” will be held in the Assembly Room at the Town Hall, Kendal, commencing at 4.00 p.m. The session will comprise a presentation on the work of South Lakes Housing, following the transfer of the housing stock and will include an opportunity for Members to ask questions on progress in delivering the promises made to tenants through the Council’s ‘Offer Document’. A buffet will be served at 5.30 p.m. for those Members who were present at the session. For those who wish to attend, Prayers will be said in the District Council Chamber at 6.20 p.m.
Membership
Councillors
Caroline Airey David Evans Mary Orr James Airey Clare Feeney-Johnson Bharath Rajan Giles Archibald David Fletcher Vivienne Rees Ben Berry Andrew Gardiner Amanda Rigg Roger Bingham Gill Gardner David Ryder Rob Boden Clive Graham Sue Sanderson Jonathan Brook Brenda Gray Andy Shine John Clough Anne Hall Hilary Stephenson Stephen Coleman Heidi Halliday Jo Stephenson (Chairman) Stan Collins Tom Harvey Ian Stewart Brian Cooper Chris Holland Peter Thornton Nick Cotton John Holmes Graham Vincent Joss Curwen Helen Irving Evelyn Westwood (Vice-Chairman) Julie Dawson Janette Jenkinson David Williams Philip Dixon Pru Jupe Janet Willis Sheila Eccles Sonia Lawson Mark Wilson Sylvia Emmott Ian McPherson Mary Wilson
Wednesday, 18 July 2012
Debbie Storr, Director of Policy and Resources (Monitoring Officer)
For all enquiries, please contact:- Committee Administrator: Chris Woods Telephone: 01539 717440 e-mail: [email protected] Roll Call : Apologies
AGENDA
Page Nos. PART I
1 MINUTES 1 - 6 To authorise the Chairman to sign, as a correct record, the minutes of the meeting of the Council held on 19 June 2012 (copy attached). 2 PUBLIC PARTICIPATION Any member of the public who wishes to ask a question, make representations or present a deputation or petition at this meeting should apply to do so before the commencement of the meeting. Information on how to make the application can be obtained by viewing the Council’s Website www.southlakeland.gov.uk or by contacting the Democratic and Electoral Services Manager on 01539 717440.
(1) Questions and Representations
To receive any questions or representations which have been received from members of the public.
(2) Deputations and Petitions
To receive any deputations or petitions which have been received from members of the public. 3 DECLARATIONS OF INTEREST To receive declarations by Members and/or co-optees of interests in respect of items on this Agenda.
Members are reminded that, in accordance with the revised Code of Conduct, they are required to declare any disclosable pecuniary interests or other registrable interests which have not already been declared in the Council’s Register of Interests. (It is a criminal offence not to declare a disclosable pecuniary interest either in the Register or at the meeting.)
Members may, however, also decide, in the interests of clarity and transparency, to declare at this point in the meeting, any such disclosable pecuniary interests which they have already declared in the Register, as well as any other registrable or other interests.
If a Member requires advice on any item involving a possible declaration of interest which could affect his/her ability to speak and/or vote, he/she is advised to contact the Monitoring Officer at least 24 hours in advance of the meeting. 4 LOCAL GOVERNMENT ACT 1972 - EXCLUDED ITEMS To consider whether the items, if any, in Part II of the Agenda should be considered in the presence of the press and public. 5 CHAIRMAN'S ANNOUNCEMENTS To receive announcements by the Chairman. 6 REVIEW OF CONSTITUTION 7 - 52 To seek Council’s approval to proposed amendments to the Financial Procedure Rules and the Contract Procedure Rules within the Council’s Constitution. 7 CORPORATE POLICIES UPDATE 53 - 72 To consider updates to two corporate policies (the Equality Scheme 2012 – 2015 and the Community Engagement Strategy 2012). 8 2011/12 REVENUE AND CAPITAL BUDGET CARRY FORWARD 73 - 84 REQUESTS (PD12/001/Sev) To consider the requests that have been made to carry forward revenue and capital budgets which were not expended in 2011/12, to the current financial year (2012/13), and to consider contributions to and from reserves and the write-off of irrecoverable income. 9 WHOLE COUNCIL ELECTIONS 85 - 90 Further to Minute C/082 (2011/12), to consider a report on the issue of whole-council elections. 10 OVERVIEW AND SCRUTINY ANNUAL REPORT 91 - 110 To receive the Overview and Scrutiny Annual Report for the period May 2011 to April 2012. 11 MINUTES OF MEETINGS To receive Chairmen’s comments (if any notified) in respect of the minutes of Committee meetings held between 23 April and 13 July 2012. If Members wish to raise questions with regard to any minutes of the Regulatory or Overview and Scrutiny Committee meetings held since the Agenda was issued for the last Council meeting, then notice should be provided in line with Rule 10 of the Council Procedural Rules. 12 EXECUTIVE REPORTS, DECISIONS AND CABINET QUESTION TIME To receive the Executive Report from the Leader and to deal with any questions to the Leader and/or Portfolio Holders on any topic which is within the jurisdiction or influence of the Council, and is relevant to their Portfolio. Any Member who poses a question will be entitled to one supplementary question on the same topic. Members are encouraged to give Portfolio Holders 24 hours’ notice of questions. If no notice is received, then the Portfolio Holder can reserve the right to give a written answer. Where notice of questions has been given, these will be taken first. Where a Member wishes to ask more than one question, please submit questions in order of priority. If more than one Member sends in a question, these will be taken in alphabetical order of Members’ names. The question time will be limited to 30 minutes. a Leader and Promoting South Lakeland Portfolio Holder 111 - 112 b Deputy Leader and Environment and Sustainability Portfolio 113 - 122 Holder c Central Services Port folio Holder 123 - 126 d Communities and Wellbeing Portfolio Holder 127 - 130 e Economy and Enterprise Portfolio Holder 131 - 134 f Housing and Development Portfolio Holder 135 - 136 g Policy, Performance and Resources Portfolio Holder 137 - 138 13 QUESTIONS To deal with any questions under Rule 10 of the Council’s Procedural Rules, of which due notice has been given and/or the Chairman allows as a matter of urgent business. 14 NOTICE OF MOTION 139 - 140 The following Notice of Motion has been given in accordance with Paragraph 11.1 of the Council’s Rules of Procedure:-
“That Council continues to register its concern with regard to the draft First TransPennine May 2014 timetable proposals, and that it supports efforts to ensure there are regular through train services between the district, Manchester and Manchester Airport as they are key to the wellbeing of our communities and our prospects for economic growth.”
(signed by Councillor Ben Berry)
(Background information attached.) PART II
Private Section (exempt reasons under Schedule 12A of the Local Government Act 1972, as amended by the Local Government (Access to Information) (Variation) Order 2006, specified by way of paragraph number)
There are no items in this Part of the Agenda. 17 Item No.1 19.06.2012 Council
SOUTH LAKELAND DISTRICT COUNCIL
Minutes of the proceedings at a meeting of the Council held in the District Council Chamber, South Lakeland House, Kendal, on Tuesday, 19 June 2012, at 6.30 pm.
Present
Councillors
Jo Stephenson (Chairman) Evelyn Westwood (Vice-Chairman)
James Airey David Evans Ian McPherson Giles Archibald Clare Feeney-Johnson Mary Orr Ben Berry David Fletcher Bharath Rajan Roger Bingham Andrew Gardiner David Ryder Rob Boden Gill Gardner Sue Sanderson Jonathan Brook Brenda Gray Andy Shine John Clough Anne Hall Ian Stewart Brian Cooper Tom Harvey Peter Thornton Nick Cotton Chris Holland Graham Vincent Joss Curwen John Holmes David Williams Julie Dawson Helen Irving Janet Willis Philip Dixon Janette Jenkinson Mary Wilson Sheila Eccles Pru Jupe Sylvia Emmott Sonia Lawson
Apologies for absence were received from Councillors Caroline Airey, Stephen Coleman, Stan Collins, Clive Graham, Heidi Halliday, Vivienne Rees, Amanda Rigg, Hilary Stephenson and Mark Wilson.
Also in attendance at the meeting was Jim Morrison, Chairman of the Standards Committee.
Officers
Lawrence Conway Chief Executive Shelagh McGregor Assistant Director Resources (Section 151 Officer) Debbie Storr Director of Policy and Resources (Monitoring Officer) David Sykes Director of People and Places Chris Woods Democratic and Electoral Services Manager
C/21 MINUTES
RESOLVED – That the Chairman be authorised to sign, as correct records, the minutes of the meetings of the Council held on 16 May 2012.
Page 1 18 19.06.2012 Council
C/22 PUBLIC PARTICIPATION
RESOLVED – That it be noted that there were no questions, representations, deputations or petitions.
C/23 DECLARATIONS OF INTEREST
RESOLVED – That it be noted that no declarations of interest were declared in respect of items on this Agenda.
C/24 LOCAL GOVERNMENT ACT 1972 - EXCLUDED ITEMS
RESOLVED – That, should discussion be necessary, the items in Part ll of the Agenda be dealt with following the exclusion of the press and public.
C/25 CHAIRMAN'S ANNOUNCEMENTS
The Chairman had circulated to Members a list of engagements he had attended since his appointment. In addition, he reported that he had attended a Civic Sunday event on the 10 June at the invitation of Ulverston Town Council.
C/26 STANDARDS COMMITTEE - ANNUAL REPORT
The Chairman of the Standards Committee presented the final Annual Report of the 2000 Act Committee which covered the period May 2011 to May 2012. In presenting the report he reflected on the impact that the Standards Committees had had on standards in public life.
Councillor Jonathan Brook, in proposing that the Report was received, thanked the outgoing Chairman, Mr Jim Morrison, for the experience and wisdom that he had brought to the role. This was seconded by Councillor Janette Jenkinson who also expressed tribute to everyone who had played a role over the last twelve years, particularly the two Chairmen, Peter Smith and Jim Morrison.
RESOLVED – That the Report be received.
C/27 CODE OF CONDUCT, DISCLOSABLE PECUNIARY INTERESTS, DISPENSATIONS AND STANDARDS ARRANGEMENTS
The Director of Policy and Resources (Monitoring Officer) presented a report which sought approval to a revised Code of Conduct and arrangements for dealing with standards matters following implementation of the relevant provisions of the Localism Act 2011.
She advised that Monitoring Officers across Cumbria had been working together to seek agreement to a common Code of Conduct. In addition, CALC had been involved throughout the process and had indicated that they would be happy to recommend Parish/Town Councils to adopt the same Code. Guidance was also being prepared to assist Members in understanding the new requirements.
Page 2 19 19.06.2012 Council
The Monitoring Officer drew attention to the legislation with regard to Disclosable Pecuniary Interests, and requirements to register the same. Failure to declare would now be a criminal offence.
In proposing the recommendations as presented, Councillor Ian Stewart thanked the Monitoring Officer and her colleagues across the county for their work. This was seconded by Councillor James Airey.
RESOLVED – That
(1) the revised Code of Conduct for Members and Co-opted Members of the Council as attached at Appendix 2 to the report be adopted with effect from 1 July 2012;
(2) Parish/Town Councils within South Lakeland be encouraged to adopt the District Council’s Code of Conduct;
(3) the Disclosable Pecuniary Interests as detailed in Appendix 3 of the report, which will be required to be disclosed in the Council’s register, be noted and taken account of;
(4) Council agrees the addition of the other registrable interests as provided for in the template Register of Members Interests as shown at Appendix 3 of the report and the requirements for completion be noted;
(5) it be noted that the Monitoring Officer will prepare and maintain a new Register of Members interests to take effect from 1 July 2012 to comply with the requirements of the Act and of the Council’s Code of Conduct, once adopted, and ensure that it is available for inspection as required by the Act;
(6) it be noted that the Monitoring Officer will prepare and maintain new registers of members interests for each Parish/Town Council and ensure that it available for inspection as required by the Act;
(7) the addition to the Council Rules of Procedure with regard to Disclosable Pecuniary Interests as set out in Paragraph 5.10 of the report to take effect from 1 July 2012 be agreed;
(8) the draft Arrangements for Standards as shown in Appendix 4 of the report under which allegations can be investigated on or after 1 July 2012 be approved and that the Standards Committee be given delegated responsibility to make any future amendments to the arrangements;
(9) approval be given to the delegations with regard to dispensations as detailed in Paragraph 5.13 and Appendix 5 of the report to take effect from 1 July 2012;
(10) it be noted that the Monitoring Officer will arrange training for District Members and Parish/Town Councils on the new registration arrangements;
Page 3 20 19.06.2012 Council
(11) the existing Standards Committee be dis-established with effect from 30 June 2012, and that the new Standards Committee be established and operate with effect from 1 July 2012, and it be noted that after 1 July any existing complaints not resolved by that date will be resolved using the new arrangements; and
(12) the new Standards Committee be requested to incorporate within its work programme a review of the new proceedings, and to advise in its annual report the effectiveness or otherwise of these new arrangements.
C/28 ALLOCATION TO COMMITTEE PLACES
Further to Minute C/8 (2012/13), Council was reminded of the revised allocation of Committee places with effect from 1 July. An updated Committee membership list was circulated and a verbal update provided of the Conservative Group changes to Resources and Partnership Overview and Scrutiny Committee and the new Standards Committee.
Councillor Andy Shine proposed and Councillor Graham Vincent seconded and it was subsequently
RESOLVED – That the following be noted:–
(1) as approved by Council on 16 May 2012, the revised allocation of Committee places, incorporating the new Standards Committee, to political groups with effect from 1 July; and
(2) the updated nominations of Councillors to serve on each Committee.
C/29 INDEPENDENT PERSON APPOINTMENT - LOCALISM ACT 2011
A report was presented which sought approval for the appointment of an Independent Person and potential reserve Independent Person in accordance with the Localism Act 2011.
Following interviews held as part of the selection process, revised recommendations and an appendix containing details in relation to the interviewees had been circulated to Members.
Note – The appendix circulated at the meeting contained details in relation to the interviewees and was excluded from inspection by members of the public in accordance with Section 100 (B) of the Local Government Act 1972, as amended by the Local Government (Access to Information) (Variation) Order 2006, and , in all the circumstances of the case, it was considered that the public interest in maintaining the exception outweighed the public interest in disclosing it. Copies of the document were excluded, as it contained information as described in Schedule 12A of the Act as follows:-
- Information relating to any individual. (Paragraph 1)
Page 4 21 19.06.2012 Council
It was proposed by Councillor Janette Jenkinson and seconded by Councillor Ian Stewart that the recommendations as presented were approved.
RESOLVED – That
(1) Mr David Tweddle be appointed as the Council’s Independent Person for a term of office of four years with effect from 1 July 2012;
(2) Mrs Pat Ford be appointed as the Council’s Reserve Independent Person for a four year term with effect from 1 July 2012; and
(3) nominal allowances be payable as follows:-
(a) £250 per annum to the Independent Person; and
(b) £125 per annum to the reserve Independent Person.
C/30 CUMBRIA POLICE AND CRIME PANEL
Note – during the debate on this item, Councillors Peter Thornton and Brenda Gray declared personal interests as they were members of the Police Authority.
The Chief Executive presented a report which outlined the role of Police and Crime Panels and the main considerations when establishing a Cumbria Police and Crime Panel to publicly scrutinise the new Police and Crime Commissioners.
Councillor Peter Thornton proposed that the Portfolio Holder for Communities and Wellbeing, Councillor Graham Vincent, be nominated to be the Council’s representative on the Panel. This was seconded by Councillor Clare Feeney- Johnson.
RESOLVED – That
(1) Councillor Graham Vincent be nominated as the Council’s representative to serve on the Police and Crime Panel until May 2013; and
(2) it be agreed to continue to appoint a Member representative to the Cumbria Police and Crime Panel on an annual basis from May 2013.
C/31 INDEPENDENT REMUNERATION PANEL APPOINTMENTS
Council was asked to approve appointments to the Independent Remuneration Panel.
Page 5 22 19.06.2012 Council
Note – Details in relation to the interviewees were provided in an appendix at Part ll of the Agenda which was excluded from inspection by members of the public in accordance with Section 100 (B) of the Local Government Act 1972, as amended by the Local Government (Access to Information) (Variation) Order 2006, and , in all the circumstances of the case, it was considered that the public interest in maintaining the exception outweighed the public interest in disclosing it. Copies of the document were excluded, as it contained information as described in Schedule 12A of the Act as follows:-
- Information relating to any individual. (Paragraph 1)
Councillor Ian Stewart proposed that the recommended appointments be approved and this was seconded by Councillor Tom Harvey.
RESOLVED – That, with effect from 2 July 2012:-
(1) Mr Andrew Hampshire be appointed as a member of the Independent Remuneration Panel for a term of office of three years; and
(2) Ms Janice Wilson be re-appointed as a member of the Independent Remuneration Panel for a term of office of three years.
C/32 EXECUTIVE REPORTS, DECISIONS AND CABINET QUESTION TIME
Councillor Janette Jenkinson asked Councillor Ian Stewart, the Economy and Enterprise Portfolio Holder, if the Council was on target for implementing the Parking Pilot project. Councillor Ian Stewart agreed to circulate a written response.
RESOLVED – That the question raised be noted.
C/33 QUESTIONS
RESOLVED – That it be noted that no questions have been received under Paragraph 10 of the Council’s Rules of Procedure.
The meeting ended at 7.15 pm
Page 6 Item No.6
PART I
South Lakeland District Council COUNCIL Meeting Date: 26 July 2012 Report Author: Helen Smith, Strategic Finance Manager Portfolio: Not applicable Report from: Assistant Director (Resources) and Section 151 Officer Wards affected: Not applicable Key Decision: Not applicable Forward Plan: Not applicable REVIEW OF CONSTITUTION 1.0 PURPOSE OF REPORT 1.1 This report is presented to seek Council’s approval to proposed amendments to the Financial Procedure Rules and the Contract Procedure Rules within the Council’s Constitution. 2.0 RECOMMENDATIONS It is recommended that Council: (1) considers and approves the proposed amendments to the Council’s Constitution. 3.0 BACKGROUND 3.1 An annual review is carried out to ensure the Council’s Constitution continues to provide an effective system of internal control. This report recommends changes to the Financial Procedure Rules and the Contract Procedure Rules within the Constitution. 3.2 There have been a number of organisation changes since the last review of the Constitution, including the transfer of the housing stock and Council approval of a management structure, both in March 2012. The Constitution has been amended to remove references to the Housing Revenue Account and to update job titles. 4.0 RESEARCH AND CONSULTATION 4.1 Officers have been asked to suggest amendments where the Constitution is not clear. Internal Audit and Finance officers have considered areas of the Constitution which have been misinterpreted. Audit Committee have considered most of the proposed changes, with the exception of the proposal to amend the
Page 7
treatment of unspent grants and the carryforward of unspent estimates which were identified as unclear during the 2011/12 final accounts process. 5.0 PROPOSAL 5.1 Appendices 1 and 2 show the proposed amendments to the constitution. The main amendments are: a) Contract procedure rules have been changed to clarify procedures where individual orders are under £2,500 but annual spend with an individual supplier is likely to be over £25,000. b) Financial procedure rules have been re-written with the assumption that all orders will be placed electronically on integra, the Council’s financial management and information system; c) The financial limits in the Financial procedure rules are proposed to rise from £20,000 and £50,000 to £25,000 and £60,000 to match the limits in the Contract procedure rules and to align with the limits for Key Decisions; d) Virement rules have been amended to propose that those under £25,000 shouldn’t need portfolio holder approval; e) It is also clarified that virement rules should apply where there is additional income; f) Supplementary revenue estimate rules have been re-written to reflect the deletion of the contingency provision from the budget so all Supplementary revenue estimates will be from the Council’s working balance; g) A new section has been added for unspent grants to be carried forward. This results from a change in accounting rules that requires grants and other income to be accounted for in the year they are received if there are no conditions to be met. This may result in income being accounted for in one year but the corresponding spending of the grant falling into a later year. h) The section on carry forwards has also been amended to reflect responsibilities of Assistant Directors. i) A new section has been added to cross reference to the External Arrangements section of the constitution. This gives added guidance on how new partnerships should be set up, when grants should be accepted and when the Council should be carrying out works for third parties. j) The rules on write-off of income have been amended to give delegated powers to write-off irrecoverable debts in relation to bankruptcies / liquidations. 6.0 ALTERNATIVE OPTIONS 6.1 Council can challenge and alter the detail of the proposals providing effective internal control is maintained. 7.0 NEXT STEPS 7.1 The proposals, if approved, will be incorporated into the Council’s Constitution. 8.0 IMPLICATIONS 8.1 Financial and Resources 8.1.1 No financial implications.
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8.2 Human Resources 8.2.1 Not Applicable. 8.3 Legal 8.3.1 Secondary legislation requires the Council to maintain effective systems of internal control. 8.4 Social, Economic and Environmental Impact 8.4.1 Has a sustainability impact assessment been carried out? No This is a corporate governance issue with no social, economic or environmental impact. 8.4.2 This proposal is considered to have a neutral impact on sustainability. 9.0 RISK ASSESSMENT Risk Consequence Controls required The review is not carried Failure to recognise any A thorough review and out to appropriate failings of the internal assessment based on standards. controls contained within CIPFA guidance. the Constitution. 10.0 EQUALITY AND DIVERSITY 10.1 An equality and diversity impact assessment has not been carried out. 10.2 This is a corporate governance issue with no social, economic or environmental impact. 11.0 LINKS TO THE CORPORATE PLAN AND PERFORMANCE INDICATORS 11.1 The proposals are not linked to the objectives of the Corporate Plan. 11.2 No Performance Indicators relate to the proposals. 12.0 CONCLUSION AND EXPECTED OUTCOMES 12.1 The review concludes that the Council’s Constitution requires some minor changes to ensure an effective system of internal control. APPENDICES ATTACHED TO THIS REPORT Appendix No. 1 Proposed Financial Procedure Rules 2 Proposed Contract Procedure Rules CONTACT OFFICERS Helen Smith, Strategic Finance Manager, telephone: 01539 717217; [email protected]
BACKGROUND DOCUMENTS AVAILABLE CIPFA Financial Regulations – A Good Practice Guide TRACKING
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Assistant Portfolio Solicitor to the CMT Scrutiny Director Holder Council Committee 4/4/12 Not applicable 4/4/12 4/4/12 Not applicable Executive Committee Council Section 151 Mo nitoring (Cabinet) Officer Officer Not applicable 19 April 2011 Not applicable 4/4/12 4/4/12 Human Resource Services Manager Not applicable
Page 10 Appendix 1
FINANCIAL PROCEDURE RULES
STATUS
These Financial Procedure Rules provide a framework for managing the Council’s financial affairs. They apply to every Officer and Member of the Council and anyone acting on its behalf.
The Assistant Director (Resources) is responsible for issuing advice and guidance to underpin the Financial Procedure Rules that Officers and Members of the Council and anyone acting on its behalf are required to follow.
Failure to comply with the requirements of the Financial Procedure Rules may, if appropriate, lead to action being taken against officers under the Council’s Disciplinary Procedure and against Members by the Council’s Standards Committee.
1. GENERAL
Statutory References
1.1 Under Section 151 of the Local Government Act 1972, the Assistant Director (Resources) is responsible for the financial affairs of the Council and is particularly responsible for:
(a) Supervising arrangements for the receipt of income due to the Council and expenditure incurred by the Council.
(b) The preparation and presentation of final accounts.
(c) The maintenance of a continuous and effective internal audit of the Council’s activities.
1.2 Under Section 114 of the Local Government Finance Act 1988 the Assistant Director (Resources) or in her/his absence a designated member of his staff has a duty to make a report if it appears to him that the Council, a Committee, a Member or Officer of the Council or joint committee on which the Council is represented:
(a) has made or is about to make a decision which involves or would involve the Council incurring expenditure which is unlawful;
(b) has taken or is about to take a course of action which, if pursued to its conclusion, would be unlawful or likely to cause a loss or deficiency on the part of the Council; or
(c) is about to enter an item of account, the entry of which is unlawful.
The Assistant Director (Resources) must make a report under Section 114 if it appears to her/h im that the Council’s expenditure (including commitments) in a financial year is likely to exceed the resources (including sums borrowed) available to meet them.
Any Officer of the Council who is or should be aware of the circumstances specified at (a), (b) and (c) above or any expenditure which is likely to exceed the amounts allocated in the Council’s Budgets shall notify the Assistant Director (Resources) to enable her/him to carry out their statutory duty.
General
1.3 Reference in these Rules to Portfolio Holders refer equally to Committees which manage budgets.
SLDC Constitution – PART 4 – December 2011July 2012 Page 11 References to Directors include the twothree Corporate Directors, the Chief Executive and the six Assistant Directors.
References to Departments refer to the accompanying administrative organisations.
1.4 Each Director shall consult the Assistant Director (Resources) with respect to any matter within his control which is liable materially to affect the finances of the Council before any provisional or other commitment is incurred or before reporting thereon to Members.
1.5 In allocating the duties of officers within their Departments, each Director shall arrange for internal checks to ensure that
(a) The duty of keeping records relating to income shall not be carried out by officers who are also responsible for the collection of income.
(b) The duties of issuing orders, certifying the receipt of goods or the completion of work, and approving accounts for payment shall be carried out by different officers.
1.6 It is the duty of all officers appointing consultants to carry out work on behalf of the Council to bring these Rules to the attention of those consultants and instruct them to follow such procedures as are relevant.
2. ACCOUNTING
2.1 All accounting procedures and records of the Council and its officers shall be in a form approved by the Assistant Director (Resources). Where such procedures and records are maintained in an Assistant Directorate other than that of the Assistant Director (Resources) the Director or Assistant shall, before giving approval, gain the Assistant Director’s (Resources) approv al to any proposed changes.
2.2 No accounting procedure or financial records shall be amended or discontinued without the prior approval of the Assistant Director (Resources).
2.3 All accounts and accounting records of the Council shall be compiled by the Assistant Director (Resources) or under her/his direction.
2.4 The Assistant Director (Resources) shall ensure that all accounts, accounting records, balance sheets, etc of the Council are properly completed, presented to the Members and submitted to external audit in accordance with statutory requirements.
3. BUDGETS - GENERAL
3.1 Budget Preparation – will cover the forthcoming five year period and be subject to a timetable prepared by the Assistant Director (Resources) and approved by Cabinet. The Assistant Director (Resources) will produce the Five Year Medium Term Financial Plan on an annual basis in consultation with Cabinet Members and Management Team for approval by the Council. Regular updates of the strategic financial position will be provided to the Cabinet and Council.
3.2 The detailed form of capital and revenue estimates shall be determined by the Assistant Director (Resources) in accordance with any general directions of the Cabinet and after consultation with the Management Team.
3.3 Revenue Budgets – Staffing budgets shall be prepared by the Assistant Director (Resources) in consultation with the relevant Director. All other estimates of revenue income and expenditure shall be prepared by appropriate Directors in consultation with the Assistant Director (Resources) and submitted to Members for approval. The Assistant Director (Resources) shall collate the estimates and submit them to the Cabinet with a report setting out how this compares to the Council’s existing Medium Term Financial Plan.
SLDC Constitution – PART 4 – December 2011July 2012 Page 12 3.4 Capital budgets shall be prepared in the form of a rolling five-year Capital Programme. The Assistant Director (Resources) shall review and estimate the capital resources available to the Council over the five year period. Bids for the use of capital resources shall be made in a form agreed by the Cabinet, to include an appropriate level of project appraisal and an assessment of the revenue consequences of the capital scheme. The Cabinet shall be responsible for the allocation of resources within a viable Capital Programme for submission to the Council for approval.
4. BUDGETARY CONTROL
4.1 It is the duty of the Cabinet and/or every Committee to monitor and regulate the Council’s performance against the targets set out in the Corporate and Service Pl ans and how resources have been utilized against the approved Budget during each budget period.
Financial sustainability of the Council is paramount and projected variations to approved budgets and service delivery must be properly managed within a robust control system. Directors and other Budget holders responsible for budgets shall maintain an effective system of budgetary control. Budgets are the reflection of service plans and variations in either must be matched to the other in performance and other reports.
All budgets will be assigned to a budget holder who is responsible and accountable for spending and generating income in accordance with the approved budget and associated service plan. Budget holders are responsible for the underlying reliability of the financial data and service performance. The responsibility of Officers for budgets will be clearly defined and determined by the Chief Executive and Directors, who shall determine relevant procedures to be followed by those officers. (See 4.2)
The Assistant Director (Resources) shall make available to all budget holders information on commitments, receipts and payments to enable them to carry out these duties and to allow them to monitor performance and make proposal/take decisions on changes. Budget holders will be provided with training to assist them (provided by the Assistant Director (Resources)). Each Director/budget holder shall utilize the Council’s corporate financial management system to maintain records of orders raised and other commitments, recording their effect on budgeted expenditure.
4.2 The Assistant Director (Resources) has overall responsibility for the Budget Framework including the Budget Timetable, Budgetary Control reporting arrangements and preparation of the Year End Statement of Accounts. Each Budget will have a single named Manager, determined by Management Team. The Assistant Director (Resources) is responsible for ensuring that the Budget and Council Tax Setting is carried out in accordance with the statutory deadlines.
Finance Section responsibilities: The Assistant Director (Resources) is responsible for the following areas of budget setting and budgetary control: assisting Assistant Directors and budget holders in the preparation of draft budgets provision of timely, accurate, relevant financial information to budget holders to enable effective budgetary control to be carried out budgetary control reporting arrangements provision of financial advice and training to budget holders to actively use information from Directors on service trends that may have a impact on budgets.
Responsibilities of Directors:
SLDC Constitution – PART 4 – December 2011July 2012 Page 13 preparation of detailed revenue budgets, including the compilation of information produced centrally, to the standards and timescales set by the Assistant Director (Resources). liaison with Accountancy and other staff in the provision of budgets identification of areas in which budget savings and/or efficiencies can be made assistance in the preparation of service reviews and the implementation of these and other approved changes to budgets. identification of development proposals and implementation if approved ensuring that budgets are consistent with approved service plans identification and subsequent review of meaningful profiles for budgets “signing off” detaile d budgets and profiles to indicate that managers accept their content and accuracy and believe that they are sufficient to deliver the service monitoring budgets using monthly budgetary control reports and managing the service within budget Where overspends are identified, or projected, to alert Directors or Management Team as appropriate and to propose actions to correct the overspending notifying Directors and/or Management Team of potential underspendings/ increased income that could be of corporate benefit to the Council compliance with the Council’s Financial Procedure Rules provision of timely, relevant and accurate explanations for budget variances as required by the Assistant Director (Resources), Management Team and Members update Finance staff on service trends that may have a impact on budgets. developing performance information to complement budgetary control processes
Responsibilities of Members:
Members generally are responsible for taking an overview of the Council’s finances and its performance against budgets. In particular:
Full Council is required to review periodically the adequacy of the Council’s overall budget. Portfolio holders are required, in conjunction with budget holders, to monitor and manage budgets for the services under their control.
Budget monitoring reports shall be produced by the Assistant Director (Resources) on the first working day of each month. The Service Accountants are responsible for checking the reports prior to their distribution. Each Director and Portfolio Holder will receive budget monitoring reports for their services. A summary report will be produced for publication electronically for Members and officers.
Reports will be submitted to the Assistant Directors’ Team, Management Team, Corporate Strategy & Performance Group, Cabinet and Council quarterly on the Authority’s project ed Income and Expenditure compared with the budget.
4.3 The inclusion of items in approved budgets represents the authority to incur expenditure except where the Cabinet has a reservation on such items.
4.4 The Cabinet shall not approve a supplementary revenue estimate or amend a capital budget without Directors first having consulted with the Assistant Director (Resources) on the financial implications. A comment will be sought from the Assistant Director (Resources) to be incorporated to the Report on the proposal made to Council to approve a supplementary revenue or capital estimate.
4.5 Nothing in these regulations shall prevent a Director from incurring expenditure which is essential to meet any immediate needs created by an emergency subject to their action being reported forthwith to the Cabinet.
SLDC Constitution – PART 4 – December 2011July 2012 Page 14
5. SUPPLEMENTARY REVENUE ESTIMATES
General
5.1 Prior to any request for a supplementary revenue estimate being made Portfolio Holders and Directors should consider whether the expenditure can be accommodated within existing budgets by the use of virement. All requests for supplementary revenue estimates must be discussed with the Assistant Director (Resources) prior to being considered by Cabinet.
5.2 No supplementary estimates below £ 2025 ,000 should be granted; instead virement should be identified to accommodate the expenditure;
5.3 The Cabinet is able to grant supplementary revenue estimates up to a value of £5060 ,000 from the budgeted contingency provisions for the General Fund or Housing Revenue Account . Supplementary revenue estimates above that limit or those which would exhaust the contingency provision (and so require allocations from working balances) can only be approved by full Council.
General Fund
5.4 Supplementary revenue estimates shall only be granted where suitable virement cannot be identified. Such supplementary estimates shall be restricted to the following genuinely exceptional and inescapable items of expenditure:
(a) contractual claims, court and litigation costs;
(b) health and safety items constituting a risk to “life and limb”;
(c) additional expenditure arising from tenders following competitive tendering of services (conversely, savings on such tendering should be returned to contingencies);
(d) additional legislative responsibilities.
5.5 Supplementary revenue estimates may be allowed for income-generating schemes where expenditure in the year will result in increased net income in subsequent years which will, at least, cover the amount of the supplementary estimate;
5.6 No supplementary revenue estimates should be granted that have an ongoing financial implication for subsequent years.
Housing Revenue Account
5.7 All requests from the Housing Portfolio holder for supplementary revenue estimates will be considered on their merits, as they have no corporate implications.
Reporting
5.8 Regular reports to the Cabinet shall clearly state the ongoing implications of proposed expenditure, identify the source of finance being used for supplementary estimates and the balance available within the general contingency provisions Working Balance .
SLDC Constitution – PART 4 – December 2011July 2012 Page 15 6. UNSPENT GRANTS
6.1 Where (a) a grant or contribution has been received in a financial year for which there are no conditions; and (b) the grant is unspent at the end of the financial year the relevant Assistant Director can request that the grant be carried forward to the following financial year.
6.2 The mechanism for the carry forward is the granting of a supplementary revenue estimate for the income. Items up to a value of £60,000 can be approved by Cabinet with larger requests to be considered by full Council.
6.3 All requests for the carry forward of unspent grants should be discussed with the Assistant Director (Resources) prior to submission to Cabinet for approval.
6. UNDERSPENT BUDGETS
General
6.1 All requests for the carry forward of unspent budgets should be discussed with the Assistant Director (Resources) and submitted to Cabinet for consideration.
6.2 The mechanism, for the carry forward is the granting of a supplementary revenue estimate, on the strength of an underspending in the previous year. Items up to a value of £ 5060 ,000 can be approved by Cabinet with larger requests to be considered by full Council.
6.3 Carry forwards are limited to 10% of the total gross expenditure budget for that service. Requests for carry forwards must be submitted to the Assistant Director (Resources) by the 28 February each year and be accompanied by an explanation of the service need and implications. Carry forward requests due to unplanned underspends e.g. staff vacancies will not be allowed. Only specific planned items can be carried forward.
6.4 In many cases, requests for carry forward of budgets will be made before the final expenditure for the financial year is known. Approvals can be made in these instances but will be subject to possible withdrawal if the Portfolio, Assistant Directorate, Department or Council budget is subsequently found to be overspent.
General Fund
6.5 Savings:
10% of an unspent budget arising from savings will be considered for carrying forward for use on specific items of expenditure which have no on-going cost implications for subsequent years.
A minimum limit of £10,000 per item will usually apply to the gross value of savings considered for carry forward.
The Portfolio Holder Assistant Director will be required to identify and explain the reasons for his opinion that underspendings have arisen from savings.
In the context of this policy, savings are defined as underspending of expenditure budgets or additional income against income budgets, where the variations are due to conscious decisions of service managers to
(a) provide the same level of service more economically; or
(b) generate more income from a Council service
provided that those savings have not been anticipated for corporate use.
SLDC Constitution – PART 4 – December 2011July 2012 Page 16
Limitations
6.6 An Assistant Director Portfolio Holder will not be allowed to carry forward any unspent budget where the overall net expenditure for the year exceeds the Assistant Directorportfolio ’s revenue budget. In these circumstances the Assistant Director Portfolio Holder may be required to deduct the overspending from its budget for the following year. Individual cases will be considered on their merits, taking into account the degree to which external factors are responsible for the overspending.
The amount of any unspent estimates to be carried forward will be limited to the Portfolio’s Assistant Dir ector’s overall net underspending for the year, where this is a smaller amount.
6.3 Where a budget is approved for a Council year, rather than a financial year (for example the Chairman’s Allowance) any underspend will be automatically carried forward if requested.
6.7 Subject to these limitations, approval to the carry forward of qualifying unspent budgets will not normally be withheld. However, corporate considerations, particularly budgetary constraints, may cause individual provisions to be over-ridden or the whole policy to be suspended in the overall interests of the Council.
7. TRANSFER OF BUDGETS (VIREMENT)
7.1 Virement is intended to enable the Cabinet, Directors and their staff to manage budgets with a degree of flexibility within the overall Budget and Policy Framework to optimise the use of resources. However, it may be appropriate to suspend these provisions and apply more restrictive procedures if required by the Council’s financial position.
Virements are administered by the Assistant Director (Resources).
7.2 The overall Revenue and Capital Budget is approved by Council and published in the Annual Budget book. Assistant Directors are authorised to spend in accordance with the estimates that make up the Budget. Virement will be required if resources are to be moved between the lines set out in the Budget Book.
Virement must not create additional overall budget Commitment. Assistant Directors are expected to exercise discretion in managing their budgets responsibly and prudently, for example by avoiding future commitments for which they have not identified resources.
7.3 Virement can only be applied to direct expenditure. It cannot be applied to the budget headings such as Capital Charges, Deferred Charges, Recharged Employees, Central Support Recharges, Departmental Recharges or Indirect Income. In general, virement will not be allowed from employee budgets.
Following consultation with the Assistant Director (Resources), the responsible Assistant Director in association with the appropriate Portfolio Holder shall be entitled to transfer resources between budgets of a single Budget Service up to a maximum of £ 2025 ,000.
Following advice from the Assistant Director (Resources) and the responsible Director , an individual Assistant Director Portfolio Holder shall be entitled to transfer estimates from one service to another within that Department Portfolio , with a limit per individual transfer of £ 2025 ,000.
The Cabinet shall be entitled to transfer estimates from any one service to another up to a limit of £ 5060 ,000 per transfer.
SLDC Constitution – PART 4 – December 2011July 2012 Page 17 Beyond these limits, approval to transfers can only be given by full Council.
Delegated Executive Decisions should be used for approval where appropriate.
7.4 Virements will only be allowed where they are within these rules and generally in accordance with the policies of the Council and there will be no overall effect on the Budgets of either the General Fund or the Housing Revenue Account .
7.5 These virement rules must also be applied where additional income is received above levels included in the approved budget.
7.6 Where an approved budget is a lump-sum budget or contingency intended for allocation during the year, its allocation will not be treated as a virement, provided that the amount is used in accordance with the purposes for which it has been established and there is an approved basis and terms, including financial limits, on which it will be allocated.
7. 57 The Assistant Director (Resources) is able to transfer budgets to correct allocations, to reflect restructures and in the case of ‘housekeeping’ where budgets could be held under more appropriate headings.
8. CAPITAL EXPENDITURE
8.1 Capital expenditure shall not be incurred unless it forms part of the approved Capital Programme and has been allocated an expenditure account by the Assistant Director (Resources).
8.2 The Cabinet may adjust the phasing of expenditure, by deferment or advancement, of existing approved schemes in the Capital Programme.
8.3 The Cabinet may transfer Capital Programme provisions from one approved scheme to another approved scheme, subject to a limit of £ 5060 ,000 per individual transfer.
8.4 The Cabinet may allocate available capital resources within the Programme to new schemes which are urgent, necessary and generally in accordance with Council priorities, subject to a limit of £5060 ,000 per individual allocation, provided in all cases the Assistant Director (Resources) is consulted and is satisfied with the affordability and advisability of the proposed use of resources.
Beyond these limits, amendments to the Programme can only be made by Council.
9. FINANCING OF CAPITAL EXPENDITURE
9.1 The Assistant Director (Resources) may adjust the planned method of financing capital expenditure within the aggregate resources available to the Council, provided that such ‘switching’ of financing is in the Council’s interest and in accordance with the Prudential Framework and Treasury Management Policy and Statement. Factors to be taken into account in such adjustments shall include prudence, affordability, financial advantage, flexibility and risk considerations.
10. RESERVES AND WORKING BALANCES
10.1 The power to establish financial reserves is restricted to full Council except that Cabinet is able to set aside minor amounts (up to £5060 ,000 in aggregate) where this would assist in the efficient operation of the Council’s activities. The Assistant Director (Resources) must be consulted and be satisfied with the proposed setting aside of resources.
10.2 The purpose and limits on the operation of each significant reserve should be set out in the annual Medium Term Financial Plan.
10.3 Unless determined otherwise by Council, the use of resources held in reserves and the Council’s working balances shall be determined by full Council ( as agreed in the
SLDC Constitution – PART 4 – December 2011July 2012 Page 18 annual Revenue Budget, Capital Programme or otherwise) except that Cabinet is able to make or adjust transfers from reserves not exceeding £ 5060 ,000 after consultation with the Assistant Director (Resources) where these would assist in the financial management of the Council.
10.4 The Assistant Director (Resources) is required, as part of the annual budget process, to carry out a formal review of balances and reserves and to advise the Council on their adequacy. In particular she/he is responsible for:
(a) preparing a statement for Council showing the estimated opening working balance for the year ahead, the addition to/withdrawal from balances, and the estimated end of year balance, including reference to the extent to which such reserves are to be used to finance recurrent expenditure. (b) reporting on the annual review of earmarked reserves, listing the various earmarked reserves, the purposes for which they are held, showing the estimated opening balances for the year, planned addition/withdrawals and the estimated closing balances, and advising on their appropriate levels. (c) making a statement on the adequacy of the general reserves and provisions in respect of the forthcoming financial year and the Council’s Medium Term Financial Plan, taking into account the strategic, operational and financial risks facing the authority.
The advice given by the Assistant Director (Resources) should be recorded formally in the minutes of the Council meeting, including whether or not that advice has been accepted.
10.5 Following the closure of the accounts for a financial year, the Assistant Director (Resources) will report to Cabinet and Accounts Audit Committee on the transfers to and the use of reserves and working balances for that year and seek approval of those transactions by full Council.
11. MEDIUM TERM FINANCIAL PLAN
11.1 The Assistant Director (Resources) is required to produce and seek approval from Council for a Medium Term Financial Plan, detailing the Council’s projected financial position for a period of five years ahead. The Plan should be drawn up by reference to the Council’s Corporate Plan and include the financial implications of that Plan. As a minimum the Medium Term Financial Plan should contain
current and projected revenue budgets, including the revenue effects of capital and other investments;
projections of council tax levels to finance those budgets;
an indication of identifiable budgetary pressures and an action plan to deal with those pressures;
capital expenditure plans and resource projections;
projections of reserves and working balances; and
an assessment of the adequacy of reserves and the risks attaching to the assumptions in the Plan.
11.2 The Plan should be updated at regular intervals during the year and form part of the Annual Budget Process. All significant proposals with financial implications should be assessed against the Medium Term Financial Plan and the effects of those proposals reported at the time of making a decision.
12. EXTERNAL AUDIT
12.1 The Council’s a ctivities will be audited by the External Auditor approved appointed by the Audit Commission. The Assistant Director (Resources) will notify the Council of
SLDC Constitution – PART 4 – December 2011July 2012 Page 19 the impact of the changes arising from the Government’s decision to abolish the Audit Commission as this becomes clearer. The current practice will remain for the audit of the 2011/12 Accounts.
13. INTERNAL AUDIT
13.1 Regulation 6 of the Accounts and Audit Regulations 2003 2011 requires the Council to maintain an adequate and effective Internal Audit. Arrangements for that audit will be approved by the Audit Committee.
13.2 The Internal Audit Strategic Plan and Annual Plan s will be submitted for approval by the Audit Committee. An Annual Report of the activities of Internal Audit and the completion of the Audit Plan are to be submitted to the Assistant Director (Resources) within three months of the end of each financial year and subsequently reported to the Committee.
13.3 A continuous risk based internal audit, under the independent control and direction of the Assistant Director (Resources), shall be arranged to carry out an examination of accounting, financial and other operations of the Council.
13.4 For the purpose of Internal Audit, the Assistant Director (Resources) or her/his authorised representative shall have authority to:
(a) enter at all reasonable times on any Council premises or land
(b) have access to all records, documents and correspondence relating to any financial or other transaction of the Council
(c) require and receive such explanations as are necessary concerning any matter under examination, and
(d) require any employee of the Council to produce cash, stores or any other Council property under his control.
13.5 The Internal Auditor shall have the right to report any concerns directly to the Chief Executive, appropriate Councillors and the District Auditor.
14. BANKING ARRANGEMENTS, CHEQUES AND BACS
14.1 All arrangements with the Council’s bankers shall be made or approved by the Assistant Director (Resources), who shall be authorised to operate such banking accounts as they may consider necessary.
14.2 All cheques, or other payment instruments/stationery excluding those drawn on authorised imprest accounts, shall be ordered only on the authority of the Assistant Director (Resources), who shall make proper arrangements for their safe custody.
14.3 Cheques on the Council’s main banking accounts shall bear the facsimile signature of the Assistant Director (Resources) or be signed by the Assistant Director (Resources) or other officer authorised to do so in accordance with the Council’s banking arrangements.
14.4 Payments made by BACS shall be authorised by the Assistant Director (Resources) or his/her representative in accordance with the Council’s banking arrangements.
15. IMPREST ACCOUNTS
15.1 The Assistant Director (Resources) shall provide such petty cash and advance accounts as he/she considers appropriate for such officers of the Council as may need them for the purposes of defraying petty cash and other expenses. Such accounts shall be maintained on the imprest system.
SLDC Constitution – PART 4 – December 2011July 2012 Page 20 15.2 Where he/she considers it appropriate, the Assistant Director (Resources) shall open an account with the Council’s bankers for use by the imprest holder who shall not allow such account to be overdrawn. It shall be a standing instruction to the Council’s bankers that the amount of any overdrawn balance on an imprest holder’s banking account shall forthwith be reported to the Assistant Director (Resources).
15.3 No income received on behalf of the Council may be paid into an imprest account but must be banked or paid to the authority as provided elsewhere in these regulations.
15.4 Payments shall be limited to minor items of expenditure and to such other items as the Assistant Director (Resources) may approve and shall be supported by a receipted voucher to the extent that the Assistant Director (Resources) may require.
15.5 An officer responsible for an imprest account shall carry out periodic reconciliations of his/her account and give the Assistant Director (Resources) a certificate as to the state of his/her imprest advance.
15.6 On leaving the employment of the Council, or otherwise ceasing to be entitled to hold an imprest advance, an officer shall account to the Assistant Director (Resources) for the amount advanced to him/her.
15.7 All cash floats held are to be confirmed to the Assistant Director (Resources) in writing at the end of each financial year.
15.8 Every transfer of official money from one member of staff to another shall be evidenced in the records of the Departments concerned by the signature of the receiving officer, or by an official receipt.
16. CONTRACTS
16.1 The Contract Procedure Rules deal with the regulation and control of contracts for the execution of work and the supply of goods, materials and services awarded by the Council. These Rules should be followed in conjunction with those Rules.
16.2 In the paragraphs under this section reference to the “relevant person” shall mean the appropriate Director, an officer nominated by him/her in writing for that contract or a private architect, engineer or other consultant engaged by the Council for the purpose of that contract.
The Assistant Director (Resources) shall be consulted as to any Performance Bonds to be obtained or given in respect of a proposed contract.
16.3 Each Director responsible for the awarding of contracts, which provide for payment to be made by instalments, shall arrange for the keeping of a register, to the satisfaction of the Assistant Director (Resources), to show the state of account on each contract between the Council and a contractor, together with any other payments and related professional fees.
16.4 Payments to contractors on account of contracts shall be made only on a certificate issued by the relevant person.
16.5 Subject to the provision of the contract in each case, every variation shall be authorised in writing by the relevant person. Each variation shall include an estimate of the increase or reduction in cost arising from that variation of the contract.
16.6 When the net effect of such variations exceeds the following limits, this shall be reported as soon as possible to the Cabinet or relevant Committee of the Council:
for contracts up to £100,000 (in amount or budgetary provision) – 3% of the contract sum or budgetary provision (but not less than £1,000)
SLDC Constitution – PART 4 – December 2011July 2012 Page 21 for contracts in excess of £100,000 (in amount or budgetary provision) - £3,000 + 1.5% of the excess of the contract sum or budgetary provision over £100,000.
Provided that it shall not be necessary to report such net effect in the case of contracts undertaken under agency or contractual arrangements on behalf of another local or public authority where that authority has approved the cost of the variation.
16.7 Where the relevant person issues a certificate and the amount to be paid on that certificate, when added to amounts previously certified for payment, would result in the contract sum or budgetary provision being exceeded, then the certificate shall be accompanied by a report fully explaining the position from the relevant person to the Assistant Director (Resources).
16.8 The final certificate of completion of any contract shall not be issued until the relevant person has produced to the Assistant Director (Resources) a detailed final statement of account and all relevant documents, if required.
16.9 The Assistant Director (Resources) shall, to the extent that is considered necessary, examine final accounts for contracts and shall be entitled to make all such enquiries and receive such information and explanations as may be required in order to be satisfied as to the accuracy of the accounts.
16.10 Every works contract and every other contract which is estimated to exceed £60,000 in value or amount shall include provision for liquidated damages, except where the contract is a partnering contract entered into under the Council’s procurement policy. Where there has been a delay in the completion of a contract and an extension of time is not appropriate to be authorised, the relevant person shall impose the liquidated damages clause in all instances, unless, after consultation with the Corporate Director (Monitoring Officer), it is decided it is inappropriate to do so.
16.11 A report as to final costs under each contract shall, after agreement of the final account, be incorporated into the Post Implementation Review submitted to the Corporate Senior Management Team, Cabinet or relevant Committee by the appropriate Director after consultation with the Assistant Director (Resources).
16.12 Claims from contractors in respect of matters not clearly within the term of any existing contract shall be referred to the Corporate Director (Monitoring Officer) for consideration of the Council’s legal liability and, where necessary, to the Assistant Director (Resources) for financial consideration, before a settlement is reached.
16.13 Where a contractor enters into liquidation or receivers are appointed or the contractor makes arrangement or composition with his/her creditors, the relevant person shall report the full circumstances in writing to the Cabinet or relevant Committee of the Council as soon as they are known to him/her.
16.14 Every Officer and Member of the Council has a responsibility to declare any links or personal interests that they may have with purchasers, suppliers and /or contractors if they are engaged in contractual or purchasing decisions on behalf of the Council, in accordance with established Codes of Conduct.
17. ORDERS FOR WORK, GOODS AND SERVICES
17.1 The following procedures and those in Rule 18 relate primarily to the electronic entry and authorisation of purchase orders and to the manual certification and processing of orders and accountsof creditor invoices using the Integra financial information system. . The same principles apply to the non-purchase order invoices electronic certification process and to purchases using procurement (purchasing) cards.
17.2 Official orders shall be issued in advance for all work, goods or services to be supplied to the council , except for : contracts under seal ;, supplies of public utility services , or other services, where paid by direct debit;, for
SLDC Constitution – PART 4 – December 2011July 2012 Page 22 periodical payments such as rent or rates, for petty cash purposes ; works on Council properties that fall within the planned maintenance contract administered by Norfolk Property Services (NPS); and such other exceptions as the Assistant Director (Resources) may approve .
Orders for works arranged with NPS that fall outside the planned maintenance schedule should follow the specific procedures arranged with NPS for this purpose. Initially a work request form, appropriately authorised, should be submitted to NPS and once a suitable contractor has been arranged to carry out the work, an official order should be raised direct to that contractor. Full details of the procedure are available on the Intranet.
In exceptional circumstances where an order cannot be dispatched at the time of making the commitment, the supplier should be given an order number and the Confirmation Order issued not later than the next working day.
17.3 Official orders shall be in the form approved by the Assistant Director (Resources) and are to be approved only by officers authorised by the appropriate Director who shall be responsible for official orders issued from his department. The Director shall ensure that : value for money is obtained in all cases, primarily by obtaining and recording alternative quotations for the supply ; and also the order is allocated to the correct accounting code and that the relevant budget is not exceeded
17.4 Each order should record the agreed price for the supply or the estimated cost of the supply, delivery and invoicing addresses.
17.5 Each order shall conform with the directions of the Council with respect to central purchasing and the standardisation of supplies and materials.
17.6 Orders must never be split to avoid authorisation limits.
17.7 When the work, goods or services to which the order relates has been received or carried out, appropriate confirmation of this must be obtained (normally in the form of a delivery note, advice note or works schedule) - only then should the receipt be recorded by means of the entry of a Goods Received Note (GRN) in Integra.
17. 78 Procurement cards will be issued to Officers based on an assessment of needs. Cardholders must follow procedures laid down by the Assistant Director (Resources): cards will be withdrawn if the facility is misused.
18. PAYMENT OF ACCOUNTS
18.1 Apart from Credit Card, petty cash and other payments from imprest accounts, the payment of monies due from the Council shall be by BACS payment or other instrument drawn on the Council’s banking account by the Assistant Dire ctor (Resources).
All requests for payment submitted to the Assistant Director (Resources) must be in the form prescribed by him/her.
18.2 The Director issuing an order is responsible for examining, verifying and certifying the related invoice(s) and similarly for any other payment vouchers or accounts arising from sources in his department. Such certification shall normally be electronically through the integra purchase ordering system. A list of officers authorised to approve such records shall be sent to the Assistant Director (Resources) by each Director together with specimen signatures and shall be amended on the occasion of any changes to signatories. The Director shall ensure that adequate separation of duties exists by arranging that the officer certifying an account for payment is a different person to the one who ordered the supply.
SLDC Constitution – PART 4 – December 2011July 2012 Page 23 The Director issuing an order is responsible for ensuring that the work, goods or services to which an account relates has been carried out or supplied as requested to a satisfactory standard. Normally this is evidenced on Integra by entry of a Goods Received Note, or for a non-purchase order invoice by completion of the appropriate boxes on the certification voucher.
18.3 Any significant price variation between the purchase order and the resulting invoice will require certification by an appropriate officer. Non-purchase order invoices will require manual certification by signature. Before certifying an account, the certifying officer shall, save to the extent that the Assistant Director (Resources) may otherwise determine, satisfy himself that:
(a) the work, goods or services to which the account relates have been received, carried out, examined and approved.
(b) the quantities, prices, extension, calculations, discounts, other allowances, credits and tax are correct
(c) the relevant expenditure has been properly incurred, is allocated to the correct accounting code and is within the relevant budget provision
(d) appropriate entries have been made in inventories, stores records or stock books as required, and
(e) the account has not been previously passed for payment and is a proper liability of the Council
(e) a proper VAT invoice is obtained where appropriate. 18.4 Periodically a list of officers authorised to approve such records shall be circulated by the Assistant Director (Resources) to each Director together with specimen signatures for confirmation by that Director. The Director shall ensure that this list be amended on the occasion of any changes to signatories. The Director shall ensure that adequate separation of duties exists by arranging that the officer certifying an account for payment is a different person to the one who ordered the supply.
18.4 Properly certified accounts (either by electronic means, in terms of purchase order price variations, or by manual signature) shall be passed without delay to the Assistant Director (Resources) who shall examine them to the extent that he considers necessary, for which purpose he shall be entitled to make such enquiries and to receive such information and explanations as he /she may require.
18.518.4 18.5 Amendments should not normally be made to an invoice. Where an amendment is required or where an invoice is received that does not quote a purchase order number and that invoice falls within the ordering criteria, the invoice shall be returned to the supplier for replacement.
18.6 Accrual of expenditure is normally dealt with by entry of Goods Received Notes in the Integra system. For any expenditure that falls outside the purchase ordering system, Eeach Director shall, as soon as possible after 31 March, and not later than a date specified by the Assistant Director (Resources) in each year, notify the Assistant Director (Resources) of all outstanding expenditure relating to the previous financial year which has not been paid at that date.
19. PAYROLL
19.1 The payment of all salaries, pensions, compensation and other emoluments to all employees or former employees of the Council shall be made by the Assistant Director (Resources) or under arrangements approved and controlled by him/her.
19.2 Each Director shall notify the Assistant Director ( Policy & PerformanceResources) as soon as possible and in the form prescribed by him/her, of all matters affecting the payment of such emoluments, and in particular:
SLDC Constitution – PART 4 – December 2011July 2012 Page 24
(a) appointments, resignations, dismissals, retirements, suspensions, secondments and transfers
(b) absences from duty for sickness or other reason, apart from approved leave
(c) changes in remuneration, other than normal increments and pay awards and agreements of general application
(d) information necessary to maintain records of service for superannuation, income tax, national insurance, etc.
19.3 Appointments of all employees shall be made in accordance with the regulations of the Council and the approved establishments, grades and rates of pay.
19.4 All time records or other pay documents shall be in a form prescribed or approved by the Assistant Director ( Policy & PerformanceResources ) and shall be certified in manuscript by or on behalf of the appropriate Director. The names of officers authorised to certify such records shall be sent to the Assistant Director ( Policy and PerformanceResources ) by each Director together with specimen signatures and shall be amended on the occasion of any change.
20. TRAVELLING, SUBSISTENCE AND ATTENDANCE ALLOWANCES
20.1 All claims for payment of car allowances, subsistence allowances, travelling and incidental expenses shall be submitted to the Assistant Director (Resources), duly certified in a form approved by him, made up to a specified day of each month, within a prescribed period. The names of officers authorised to certify such records shall be sent to the Assistant Director (Resources) by each Director together with specimen signatures and shall be amended on the occasion of any change.
20.2 The certification by or on behalf of the Director shall be taken to mean that the certifying officer is satisfied that the journeys were authorised, the expenses properly and necessarily incurred and that the allowances are properly payable by the Council.
20.3 Officers shall normally submit claims for expenses at monthly intervals. Any claims submitted more than two months after the expenses were incurred will be paid only with the express approval of the Assistant Director (Resources). All claims for a financial year are to be submitted within one month of 31 March.
20.4 Payments to Members, including co-opted members of the Council or its Cabinet, Committees or Sub-Committees, Panels and Working Parties, who are entitled to claim travelling or other allowances will be made by the Assistant Director (Resources) upon receipt of the prescribed form duly completed. Any claims submitted more than two months after the expenses were incurred will be paid only with the express approval of the Monitoring Officer. All claims for a financial year are to be submitted within one month of 31 March.
21. INCOME
21.1 The collection of all money due to the Council shall be under the supervision of the Assistant Director (Resources) and all systems, procedures and documentation involved in the assessment, collection, receipt and recovery of all income due to the Council shall be approved by him/her. All account forms shall require remittances to be sent in accordance with instructions issued by the Assistant Director (Resources). 21.2 Subject to arrangements made by the Assistant Director (Resources), each Director shall either furnish him/her with such particulars in connection with work done, goods supplied or services rendered and of all other amounts due as may be required to record correctly all sums due to the Council and to ensure the prompt rendering of accounts for the recovery of income due, or shall arrange to record those transactions and details in the appropriate system within his Department.
SLDC Constitution – PART 4 – December 2011July 2012 Page 25 21.3 The Assistant Director (Resources) shall be notified promptly of all money due to the Council including contracts, leases and other agreements and arrangements entered into which involve the receipt of income by the Council and the Assistant Director (Resources) shall have the right to inspect any documents or other evidence in this connection as may be decided. 21.4 All receipt forms, books, tickets and other such items shall be ordered and supplied to Departments by the Assistant Director (Resources), who shall be satisfied with the arrangements for their control. 21.5 All amounts received by an authorised officer of the Council shall be immediately acknowledged by the issue of an official receipt, ticket or similar voucher.
21.6 All income received by an officer on behalf of the Council shall without delay be paid to the Assistant Director (Resources), or, as directed, to the Council’s banking account or transmitted directly to any other body or person entitled thereto. No deduction may be made from such income save to the extent that the Assistant Director (Resources) may specifically authorise. Each officer who so banks income shall enter on the paying-in slip a reference to the related debt (such as the receipt number or the name of the debtor) or otherwise indicate the origin of the cheque. On the reverse of each cheque, the officer shall enter the name of his/her Assistant Directorate, office or locationestablishment , or otherwise identify the cashier. When a receipt is issued the receipt number should be indicated on the reverse of the cheque. Where the banking covers a range of income sources the officer making the banking must ensure a return analysing the income and agreeing to the amount of the banking is forwarded to the Assistant Director (Resources) at the time of the banking.
21.7 Personal cheques shall not be cashed out of money held on behalf of the Council.
21.8 Every transfer of official money from one member of staff to another shall be evidenced in the records of the Departments concerned by the signature of the receiving officer, or by an official receipt.
21.9 Each Director shall as soon as possible after 31 March, and not later than a date specified by the Assistant Director (Resources) in each year, notify the Assistant Director (Resources) of all outstanding income due relating to the previous year which has not previously been notified.
21.10 At least Not less frequently than once per year, each Director shall, in consultation with the Assistant Director (Resources), review scales of charges or fees relating to his Directorate in accordance with the Corporate Charging Polciy, budget timetable and budget strategy . Consultation shall be carried out in accordance with the Corporate Charging Policy . Proposals should be approved by Cabinet, or Committee as appropriate.
22 External Arrangements (Partnerships, External Funding Arrangements and Work for Third Parties)
22.1 Partnerships are likely to play a key role in delivering community strategies and in helping to promote and improve the well-being of the area. Local authorities are working in partnership with others – public agencies, private communities, community groups and voluntary organisations. On other occasions the Council may agree to provide services funded by outside bodies, sometimes acting as an accountable body. There may be occasions when the Council is requested to provide services on behalf of other bodies, often provided under a Service Level Agreement. The External Arrangements Rules deal with the regulation and control of such arrangements. These Rules should be followed in conjunction with those Rules.
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22.2 In particular, the key controls for Assistant Directors are:
Partnerships:
a) If appropriate, to be aware of their responsibilities under the Council’s Financial Procedure Rules and the Contract Procedure Rules b) To ensure that risk management processes are in place to identify and assess all known risks c) To ensure that project appraisal processes are in place to assess the viability of the project in terms of resources, staffing and expertise d) To agree and accept formally the roles and responsibilities of each of the partners involved in the project before the project commences e) To communicate regularly with other partners throughout the project so that problems can be identified and shared to achieve their successful resolution. External Funding Arrangements:
f) To ensure that key conditions of funding and any statutory requirements are complied with and that the responsibilities of the Accountable Body are clearly understood g) To ensure that funds are acquired only to meet the priorities approved in the policy framework by the Council h) To ensure that any match-finding requirements are given due consideration prior to entering into long-term agreements and that future revenue budgets reflect these requirements i) To ensure that the consequences for the Council, or for any partners for whom the Council may be acting as Agent, of exceeding the funding or expenditure requirements are clearly set out and understood.
Work for Third Parties: j) To ensure that proposals are costed properly in accordance with guidance provided by the Assistant Director (Resources)
k) To ensure that contracts are drawn up using guidance provided by the Assistant Director (Resources) and that the formal approvals process is adhere to l) To issue guidance with regard to the financial aspects of third party contracts and the maintenance of the contract register.
2223 . PRUDENTIAL FRAMEWORK
2223 .1 The Council is obliged to adhere to the requirements of the CIPFA Code on a Prudential Framework for Local Authority Capital Finance. The Assistant Director (Resources) is responsible for preparing the indicators stipulated by the Code and reporting them to Council for approval. The indicators are to be reviewed at least annually and on major amendments to the Capital Programme.
22.2 The Prudential Indicators are to be taken into account in managing the Council’s finances, particularly its projections of future expenditure and resources.
22.3 The Council is required to approve and keep up to date a Treasury Management Policy Statement and agree an annual Strategy Statement to direct its treasury activities.
22.4 Capital financing decisions are to be made in accordance with the Council’s Treasury Management Policy and Strategy and the Prudential Code.
22.5 The Council’s performance against its prudential indicators should be monitored regularly by the Assistant Director (Resources) and reported to Council and Resources & Partnerships O&S Committee at least once during each year and at the end of each year.
SLDC Constitution – PART 4 – December 2011July 2012 Page 27
23. INVESTMENTS, BORROWINGS, LEASING AND TRUST FUNDS
23.1 All investments and borrowing of money and leasing arrangements shall be made in the name of the Council.
23.2 All investment and borrowing transactions shall be carried out in accordance with the Council’s approved Treasury Management Policy and Strategy Statements.
23.3 All securities the property of or in the name of the Council and the title deeds of all property in its ownership shall be kept in the custody of the Corporate Director (Monitoring Officer).
23.4 The Assistant Director (Resources) shall be the Council’s registrar of stocks, bonds and mortgages and shall maintain records of all leasings and borrowing of money by the Council.
23.5 All trust funds shall wherever possible be in the name of the Council.
23.6 All officers acting as trustees by virtue of their official position shall deposit all securities etc relating to the trust with the Assistant Director (Resources) unless the deed otherwise provides.
23.7 The Assistant Director (Resources) shall seek and accept tenders for leasing facilities for the acquisition of assets where this is an appropriate method of financing subject to consultation with the relevant Portfolio Holder(s) and Director(s).
24. LAND AND BUILDINGS
24.1 The Corporate Director (Monitoring Officer) shall maintain a terrier or register of all Land and Buildings (excluding Housing Revenue Account properties) owned by the Council and a register of leases recording the responsible Assistant Director, purpose for which held, location, extent and plan reference, purchase details, particulars of nature of interest and rents payable and particulars of tenancies granted.
24.2 All contracts for the acquisition or disposal of land/buildings shall be signed or sealed and the Corporate Director (Monitoring Officer) shall arrange for the secure custody of all title deeds.
24.3 The Corporate Director (Monitoring Officer) shall be responsible for instituting routine inspection of all Council Land and Buildings (excluding Housing Revenue Account properties) and ensuring that schedules of maintenance are prepared and work instigated and supervised on behalf of the Council as advised.
24.4 The Corporate Director (Communities) shall maintain a terrier or register of all Housing Revenue Account properties. The terrier or register to include location, property type, rent payable and particulars of tenancies granted.
24.5 The Corporate Director (Communities) shall be responsible for instituting routine inspection of all Housing Revenue Account properties and ensuring that schedules of maintenance are prepared and work instigated and supervised on behalf of the Council as advised.
25. INVENTORIES
25.1 Inventories recording furniture, fittings and equipment, plant and machinery held by each Directorate shall be maintained by the Assistant Director concerned. The form of the inventories shall be settled by the appropriate Assistant Director after consultation with the Assistant Director (Resources). All items contained therein shall, as far as possible, be suitably marked as council property.
25.2 Each Assistant Director shall be responsible for maintaining at least an annual physical check of all items on the inventory, for taking action in relation to surpluses
SLDC Constitution – PART 4 – December 2011July 2012 Page 28 or deficiencies and revising the inventory accordingly. In some areas, more frequent spot-checks may be appropriate in addition. The Assistant Director (Resources) must be informed of any significant discrepancies discovered on checking inventories.
25.3 A copy of each inventory should be submitted to the Assistant Director (Resources) when requested.
Where assets are to be disposed of the relevant Assistant Director shall be required to keep comprehensive records of the disposal.
25.4 The Council’s pr operty shall not be removed otherwise than in accordance with the ordinary course of the Council’s business or used otherwise than for the Council’s purposes except in accordance with specific directions issued by the Assistant Director concerned.
26. STOCKS AND STORES
26.1 Each Assistant Director shall be responsible for the care and custody of the stocks and stores in his/her Department and for the maintenance of appropriate records in a form approved by the Assistant Director (Resources).
26.2 Stocks shall not be in excess of normal requirements except in special circumstances with the approval of the Assistant Director concerned.
26.3 Assistant Directors shall arrange for periodical test examinations of stocks by persons other than storekeepers and shall ensure that all stocks are checked at least once in every year.
26.4 The Assistant Director (Resources) shall be entitled to receive from each Assistant Director such information as he/she requires in relation to stores for the accounting, costing and financial records. Surplus materials, stores or equipment shall be disposed of by competitive tender or public auction unless the Cabinet decides otherwise in a particular case. Where the aggregate value of surplus materials, stores or equipment etc to be disposed of does not exceed £5,000 in any one financial year, the appropriate Assistant Director, in conjunction with the Assistant Director (Resources), shall be authorised to make the appropriate arrangements for disposal.
27. AMOUNTS TO BE WRITTEN-OFF
27.1 The Assistant Director (Resources) is authorised to write-off debts which for individual accounts or individual amounts do not exceed £5,000. 27.2 The Assistant Director (Resources) is authorised to write-off stocks and stores up to £5,000 for any one item in any one financial year. 27.3 The Assistant Director (Resources), in consultation with the Portfolio Holder responsible for financial matters, be authorised to write-off irrecoverable business rate debts in excess of £5,000 in cases where further recovery action is impossible because the debtor is subject to bankruptcy, liquidation or an administration order. In such cases to comply with requirements of the Official Receiver and other similar bodies the debt may be written-off on Council records prior to formal approval by the Assistant Director Resources providing that approval is given within 14 days.
27.4 The Assistant Director (Resources) shall be supplied with such information with regard to write-offs as is considered necessary. 27.5 The Corporate Director ( People & PlacesMonitoring Officer ) is authorised to write-off debts relating to penalty charge notices. 27.6 For debts which fall outside these stated categories below £35,000 Cabinet approval will be required. Above £35,000 Council approval will be required.
SLDC Constitution – PART 4 – December 2011July 2012 Page 29
28. SECURITY
28.1 Each Assistant Director is responsible for maintaining proper security at all times for all buildings, stocks, stores, furniture, equipment, cash etc, under his/her control.
28.2 Maximum limits for cash holdings shall be agreed with the Assistant Director (Resources) and shall not be exceeded without his/her express permission.
28.3 Persons responsible for keys to safes and similar containers shall make arrangements to ensure the safe custody of the keys at all times; the loss of any such keys must be reported to the Assistant Director (Resources) immediately.
28.4 Each Assistant Director shall maintain a register of key holders in a secure place.
28.5 The Assistant Director ( Policy & PerformanceCustomer Focus ) shall be responsible for maintaining proper security and privacy as respects information held in the computer installation.
28.6 The responsibility for all hardware, software, information held and ensuring that the standards as set by the Assistant Director ( Policy & PerformanceCustomer Focus ) within each Directorate rests with the appropriate Director.
28.7 The security of personal possessions in the work environment is the responsibility of the owner and the Council will accept no responsibility for the security of any items not necessary for the service of the Council.
29. INSURANCES
29.1 The Assistant Director (Resources) shall effect all insurance cover, where appropriate by competitive tendering, and negotiate all claims in consultation with appropriate Assistant Directors where necessary.
29.2 Assistant Directors shall notify the Assistant Director (Resources) immediately of all new risks, properties or vehicles which may require to be insured and of any alterations affecting existing insurances.
29.3 Assistant Directors shall forthwith notify the Assistant Director (Resources) in writing of any loss, liability or damage or any event likely to lead to any claim against the Council.
29.4 All appropriate employees of the Council shall be included in a suitable fidelity guarantee insurance.
29.5 The Assistant Director (Resources) shall annually, or at such other period as is considered necessary, review the level of risk and external insurance in consultation with the appropriate Assistant Director.
30. FINANCIAL STATIONERY
30.1 All official receipt forms, cheques, tickets, stores requisition notes, order books and other documents representing money shall be ordered, controlled and issued by and be in the custody of the Assistant Director (Resources), who shall supply the requirements of all Directorates. A register shall be kept by him of all receipts and issues of such documents, and each issue shall be acknowledged by the signature of the officer to whom the issue is made, the quantity issued to be determined by ascertained needs. The officer responsible for the stationery shall ensure that it is stored in a secure place and that unauthorised access is prevented.
31. INDEMNITIES
SLDC Constitution – PART 4 – December 2011July 2012 Page 30 31.1 Directors should consult with the Assistant Director (Resources) and Corporate Director (Monitoring Officer) regarding the terms of any indemnity which the Council is requested to give.
32. IRREGULARITIES
32.1 Whenever any matter arises which involves, or is thought to involve, financial irregularities concerning cash, stores or other property of the Council, or any suspected irregularity in the exercise of its functions the Director concerned shall immediately notify the Assistant Director (Resources) who shall take such steps as he/she considers necessary by way of investigation and report as detailed in the Anti- Fraud, Theft and Corruption Strategy. Directors should, meanwhile, take any appropriate action to prevent further loss and secure records and documents against removal or alteration.
32.2 The Assistant Director (Resources) should decide whether to involve the Police in matters of serious irregularities and inform the Leader or appropriate Chairman accordingly.
32.3 Full details of procedures for dealing with suspected irregularities are given in the Anti-Fraud, Theft and Corruption Strategy.
Definitions of principal irregularities are:
Fraud is ‘the intentional distortion of financial statements or other records by persons internal or external to the Authority which is carried out to conceal the misappropriation of assets or otherwise for gain’.
Theft is ’dishonestly appropriating property belonging to another with the intention of permanently depriving them’.
Corruption is ‘the offering, giving, soliciting or acceptance of an inducement or reward which may influence the action of any person’
Bribery is the offer, promise or giving of a financial or other advantage to another person, intending to induce them to perform improperly a relevant function or activity, or to reward a person for such improper performance..
33. DEPARTURES TO FINANCIAL PROCEDURE RULES
33.1 In the event of it being impracticable to apply any of these rules in any particular case, the Assistant Director (Resources) is authorised to waive compliance, subject to reporting any major departures to the next following Cabinet.
SLDC Constitution – PART 4 – December 2011July 2012 Page 31 This page is intentionally left blank
Page 32
Appendix 2
CONTRACT PROCEDURE RULES
CONTENTS
1 Purpose 2 Requirements 3 Compliance with Rules 4 Consortia 5 Exceptions & Waivers 6 Financial Limits 7 Transfer of Undertakings Protection of Employees (TUPE) 8 Non Commercial Considerations, Equalities, Community Benefit 9 Procedures 10 Framework Agreements 11 Electronic Tendering (e-tendering) 12 Invitations to Tender 13 Requests For Quotation 14 Transparency – Equality of treatment during Procurement exercises. 15 Receipt and Custody of Tenders and Quotations 16 Opening of Tenders and Quotations 17 Alterations of Tenders and Quotations 18 Acceptance 19 Award Criteria 20 Contracts to be in Writing 21 Contract Extensions 22 Performance Bond 23 Termination/Failure to Execute Contract 24 Standards 25 Engagement of Consultants 26 Partnerships 27 Accountable Body 28 Retention of Records/Documents 29 Freedom of Information 30 Statistics 31 Adoption, Review and Amendment of Contract Procedure Rules 32 Glossary
Appendix 1 – Financial Limits & Thresholds
SLDC Constitution – PART 4 – December 2011 Page 33
1. Purpose
1.1 The purpose of these Rules is to ensure that all Contracts, for the purchase of supplies (goods) , services or works, (including consultancy and advisory services) are procured
(i) In compliance with all relevant European and United Kingdom Legislation; (ii) In compliance with the Authority’s Constitution, including these Contract Procedure Rules, Council Procedure and other Rules of Procedure, Codes of Conduct, Scheme of Delegation; Forward Plan together with the Corporate Procurement Strategy and Code of Practice (iii) In a transparent, impartial and proportionate manner that leads to genuine competition by suppliers; (iv) To ensure Best Value for Money is obtained; (v) To assist development of a Procurement Plan setting out the Council’s current contracts and future contracts to be procured for the forthcoming 12 months.
1.2 These Rules apply equally to Tender exercises and Requests for Quotations
2. Requirements
2.1 All procurement exercises must be undertaken in a professional and ethical manner, to ensure the highest standards of integrity, probity and accountability are achieved.
2.2 Councillors and officers engaged in procurement exercises must abide by their respective Codes of Conduct detailed in the Council’s Constitution and declare any personal and/or prejudicial interest.
2.3 Consultants and contractors appointed by the Council must abide by these Rules.
2.4 Prior to commencing any tender or request for quotation exercise, the officer undertaking the exercise shall utilise the procurement toolkit which can be found on the Intranet. If for any reason this is not available the officer shall calculate a written estimate of the total contract value including any extension option(s) where applicable, and place such written record on the Tender or Quotation file held by the Relevant Director and/or Assistant Directors.
2.5 Where the estimated total spend for a single commodity (goods, works or services) in any 12 month period is likely to be over £25,000 then the procurement procedures are to be followed and a contract is to be awarded. Where the contract value is £25,000 contract value is £25,000(this will be automatic if the procurement toolkit is used) or more, the Contracts and Procurement ManagerProcurement team must be consulted and his/her comments obtained. This requirement is to enable the Council to collect appropriate data, required by the European Union, Department of Communities and Local Government (DCLG), and to support the identification of strategic and/or collaborative sourcing opportunities .
2.6 Whenever practicable at the beginning of each financial year the Council shall publish a Prior Information notice (PIN) in the Official Journal of the European Union (OJEU) listing the contracts for supplies or services above the relevant EU value thresholds that it expects to procure during that financial year. In relation to contracts for works, the Council shall publish a PIN as above when the works have been approved.
2.7 Tenders and Requests for Quotation shall wherever practicable be widely and appropriately advertised (in accordance with the table below) to ensure equality of opportunity for potential suppliers to compete if they so choose.
SLDC Constitution – PART 4 – December 2011 Page 34
Value Media SLDC Website and / or £2,500 - £25,000 Approved e-tendering portal SLDC Website and / or Approved e-tendering portal £25,000 - £59,999 consider advertising in Local Newspaper circulating in the area and/or Specialist Press SLDC Website £60,000 but
2.8 Tender Notices must describe (i) The nature of the proposed contract (ii) Relevant dates (commencement, termination and duration) (iii) Accepted method of submission and point of document return (iv) Return Deadline (v) Contact details (vi) Award Criteria (vii) Place of delivery (viii) A Statement that ‘ The Council does not bind itself to accept the lowest, or any tender ; or
The Council does not bind itself to accept the highest, or any tender (in circumstances where any payment is to be made to the Council)
2.9 The Corporate Director (Monitoring Officer) shall keep and maintain a register (the Contract Register) for contracts and other arrangements having a total value in excess of £25,000. The Register shall be reviewed at least annually by the Corporate Director (Monitoring Officer) and/or the Contracts & Procurement Manager.
2.10 Where contracts and/or arrangements are exempt from these contract procedure rules, full documentation of procurement procedures and any post tender negotiations shall be maintained, and the Corporate Director (Monitoring Officer) shall keep a register of all such departures.
Extension of an Invitation to Communities DirectoratePeople and Places
2.11 Where the Rules provide for a tender or quotation to be invited for works or the provision of services, in addition to these requirements, the Corporate Director (CommunitiesPeople and Places ) shall be notified of the details of the invitation and given an opportunity to submit a tender or quotation. In the event that a tender or quotation from Customer ServicesPeople and Places Directorate is accepted, these Rules shall apply (with the exception of Rules 20 and 22), to the relationship between that Directorate and the Client Directorate/Group as if a formal contract was in existence. I.e. A definitive split must be in evidence between the client and contractor roles.
3. Compliance with Rules
3.1 Every contract made by the Council shall comply with (i) These Rules, (ii) EU Treaty and any relevant Procurement Directives of the EU being in force in the UK for the time being (iii) National legislation and guidance (iv) Th e Council’s Procurement & Commissioning Strategy and Procurement Code and Toolkit; and
SLDC Constitution – PART 4 – December 2011 Page 35 (v) The requirement to identify and secure appropriate budget funding to the satisfaction of the Assistant Director (Resources)
3.2 The Council recognises the potential benefits to be gained by the use of ‘E - Technologies including E-Procurement’. For the purposes of these Rules the term ‘contract’ refers to both paper/hard copy documents and process and their replication by electronic media
4. Consortia
4.1 Where the Council joins one or more bodies/contracting authorities in a consortium or partnership and the contract is being tendered and awarded by that consortium or partnership, the Council shall not be required to invite further tenders, provided that these Rules have been followed to the extent that they are not inconsistent with the procedure(s) adopted by that consortium or partnership for awarding contracts.
5. Exceptions and Waiving the Rules
5.1 Nothing in these Rules shall require written quotations or tenders to be invited if: - 5.1.1 The total estimated value is less than £2,500.
5.1.2 In the case of contracts for the supply of goods and materials
o The goods or materials are proprietary articles of such a specialised nature that they can only be obtained from one particular supplier; or are sold only at a fixed price and no reasonably satisfactory alternative is available; o The prices of the goods or materials are wholly controlled by trade organisations or Government Order and no reasonably satisfactory alternative is available; or o For other reasons certified by the relevant Director there would be no genuine competition, such certificate being reported to the next meeting of the Cabinet, or relevant Committee of the Council.
5.1.3 The contract is for the execution of work, the supply of goods, materials or services certified by the relevant Director as being required so urgently as not to permit the invitation of quotations or tenders, such certificate being reported to the next meeting of the Cabinet, or relevant Committee of the Council;
5.1.4 The work to be executed or the goods, materials or service to be supplied consists of repairs to or the supply of parts of existing proprietary machinery or plant;
5.1.5 A purchase is being or to be made at a public auction, provided that the person bidding is satisfied that the cost of the purchase is reasonable compared to the cost of alternative methods of purchase;
5.1.6 The purchase is through suppliers from an existing list or Framework, which has been put together as a result of a lawfully tendered competition, or purchases through a consortium of Contracting Authorities in accordance with Rule 4 above.
5.1.7 The contract is with professional persons for the provision of services where the personal skill of those persons is of primary importance; or
5.1.8 The contract concerns the appointment of consultants pursuant to delegated authority.
5.2 The work to be executed, or the goods, materials or services to be supplied/delivered constitute an extension of an existing contract, such an
SLDC Constitution – PART 4 – December 2011 Page 36 extension to be reported to the next meeting of the Cabinet or relevant Committee of the Council subject to the provisions of Rule 21 – Extensions
Waiving the Rules
5.3 Any of these Rules may be waived by the Council, the Cabinet, a Committee or an officer acting under delegated powers where it is satisfied that to do so is justified in special circumstances (other than delay/tardiness by the Council itself) and those special circumstances are identified in the minute of the decision. In these circumstances the report of the Relevant Director to the Council, the Cabinet, Committee or Officer must set out the special circumstances involved and the advantages and/or disadvantages of the alternative options.
6. Financial Limits
6.1 All requests for quotations, tendering and contracting, other than detailed in Rule 5, shall be subject to the procedures detailed in the table - Appendix 1 – of these Rules
6.2 The Council acting as a n ‘Accountable Body’ may be subject to lower financial thresholds than specified in Appendix 1 as stipulated by the funding body
6.3 The Council will regularly review and if appropriate revise the Financial thresholds listed in Appendix 1
7. Transfer of Undertakings Protection of Employees (TUPE)
7.1 In all cases where a request for Quotation or Invitation to Tender for services may result in a transfer of employees to or from the Council the Council will: - 7.1.1 Issue a statement on the application of the Acquired Rights Directive(s) and The Transfer of Undertakings Regulations 1981 and 2006; 7.1.2 Consult staff who may be impacted, and generally conduct the exercise in accordance with ODPM Circular 02/2003 -‘Code of Practice on Workforce Matters in relation to Local Author ity Service Contracts’
8. Non- Commercial Considerations, Equalities & Community Benefit
8.1 Only non-commercial considerations that have a direct impact on the goods, works or services being procured can be incorporated as part of any quotation or tender evaluation.
8.2 Inclusion of such criteria in specifications must only be undertaken in accordance with The Council’s Corporate Procurement Strategy and Procurement Code and Toolkit.
9. Procedures
9.1 For the purposes of this rule, all estimates of contract values shall be in accordance with the procurement toolkit. If for any reason this is not available the estimates are to be in writing and prepared by the relevant Director , Head of Service or a competent member of his/her staff .
Quotations
9.2 No contract for goods, services, or works having an estimated value not exceeding £59,999 in value shall be made unless: -
9.2.1 For contracts having an estimated value between £2,500 and £25,000 not less than 3 written quotations are obtained from competent contractors identified and selected by the relevant Assistant Director;
SLDC Constitution – PART 4 – December 2011 Page 37 9.2.2 For contracts having an estimated value of £25,000 but not exceeding £59,999 not less than 4 written quotations are obtained from competent contractors identified and selected by the relevant Director or his representative. Tenders (Below EU Threshold Values)
9.3 No contract having an estimated value in excess of £59,999 but below EU Threshold values applicable at the time shall be made unless either of the procedures below is undertaken: - Ad Hoc Tenders 9.3.1 At least seven (7) days public notice has been given in accordance with rule 2.6, stating o The nature and purpose of the contract; o Inviting tenders for its execution; o Details of the award criterion; and o The last date for when tenders will be accepted.
Standing Approved List
Section deleted.
Framework Agreement 9.3.2 In accordance with Rule 10 Pre-Qualification 9.3.3 Where application has been invited by Public Notice in accordance with the Rules above, the invitation may require a pre-tender assessment (Pre- Qualification Questionnaire) to be undertaken and for the invitation to submit a tender to be limited to those persons who satisfactorily meet the requirements of that assessment. 9.3.4 Where this applies the public notice must clearly and unambiguously state this fact. 9.3.5 The relevant Director shall select not less than 4 persons (5 in the case of the EU restricted Tender Procedure) from the list who have satisfactorily met the pre-tender assessment to submit a tender, unless only three or two have satisfactorily met the pre-tender assessment in which case that number must be invited to submit a tender. 9.3.6 The Council shall only enter into a contract with a potential supplier if it is satisfied as to the suppliers o Eligibility that he/she is not disbarred from tendering o Financial standing o Technical capacity –including relevant quality management systems relevant to the performance of the contract under consideration 9.3.7 Tenders above EU threshold values All supplies, services or works having an estimated contract value in excess of the values stipulated in the EU Consolidated Procurement Directive and Public Contracts Regulations 2006 shall be undertaken strictly in accordance with the requirements of that legislation. 9.3.8 All public notices for such contracts must be in the prescribed form and appear in the Official Journal of the European Union (OJEU), electronically transmitted to their Luxembourg office wherever practicable. 9.3.9 Placement of additional local/national or other public notices must only be made after the date of despatch to OJEU and must contain no more information than the OJEU version. 9.3.10 The advice and assistance of the Contracts and Procurement Manager must be sought prior to the despatch of any OJEU Notice.
10. Framework Agreements
10.1 Where the Council identifies and adopts suitable Framework Agreement(s) that have been tendered and awarded by central or local government or other approved agency the Council may benefit from using those agreements without entering into a separate procurement, provided 10.1.1 There are one or more suitable suppliers who are party to the framework
SLDC Constitution – PART 4 – December 2011 Page 38 10.1.2 Where more than one supplier is identified a competitive exercise is conducted between the suitable suppliers;
10.1.3 The duration of any call off contract that results is predetermined to take account of the nature and volatility of market for the goods, works or services to being procured; and 10.1.4 In any event not more that 4 years duration
11. Electronic Tendering (e-Tendering)
11.1 All officers undertaking Requests for Quotations (RFQs) and Invitations to Tender (ITTs), will conduct the exercise by electronic means (preparation, transmission and receipt) once the Council has fully adopted and implemented an approved e-tendering portal that: -
o Provides an in-depth audit trail detailing the transmission, submission, related correspondence etc; o Quotations and Tender submissions are retained in a secure electronic folder under the control of the Corporate Director (Monitoring Officer) and the relevant Strategic Directo r or their representatives and remains ‘locked and closed’ until after the deadline has passed for receipt of quotations and tender submissions.
11.2 During adoption and implementation of the approved e-tendering portal electronic tendering should be considered by all Officers undertaking Requests for Quotations (RFQs) and Invitations to Tender (ITTs) though the procurement exercise should not be conducted by this means without prior consultation with the Procurement & Contracts Manager.
12. Invitation to Tender
12.1 Any Invitation to Tender issued by the Council shall include details of the Council’s requirements for that particular contract including: -
12.1.1 A description of the supplies, services or works being procured; 12.1.2 The procurement timetable including tender return date and time. Such date must allow a reasonable period for potential suppliers to prepare and submit their tender; 12.1.3 A specification and instructions on whether variants are permissible; 12.1.4 The Council’s terms and conditions of contract; 12.1.5 A statement on the Council’s anti Fraud and Corruption Policy including reference to the Whistle-blowing Policy (Confidential Reporting Code) and the Bribery Act 2010. 12.1.6 The evaluation criteria and any weightings considered appropriate 12.1.7 The pricing mechanism and instructions for completion; 12.1.8 The form and content of any method statements etc to be submitted; 12.1.9 A statement that the Council does not bind itself to accept the lowest or any tender; 12.1.10 A statement that late tenders, incomplete tenders, tenders returned not using the means indicated, or where applicable, not returned in the envelope provided or bearing distinguishing marks that would identify the sender, or those containing an unauthorised alteration will be disqualified; 12.1.11 Whether the Council is of the view that the Transfer of Undertakings (Protection of Employees) Regulations 2006 and 1981 may apply; 12.1.12 A list of documents to be returned, and the rules for their submission; 12.1.13 Any further information that will inform and assist those invited to tender to prepare and submit tenders; 12.1.14 A Non-collusive tendering Certificate for completion and return by the tenderer; and 12.1.15 For tenders in excess of £60,000 a copy of the Performance Bond or other guarantee/surety to be completed and returned by the tenderer.
SLDC Constitution – PART 4 – December 2011 Page 39 12.2 Tenders invited in pursuance of Rule 9.3.1 and the ‘Open EU Procedure’ shall be returned electronically where the process has taken place via the e-tendering portal.
12.3 Where a paper-based exercise is followed Tenders invited in pursuance of Rule 9.3.1 and the ‘Open EU Procedure’ shall be returned impersonally addr essed to the Corporate Director (Monitoring Officer) 12.4 In all other cases, where a paper-based exercise is the preferred procurement option they shall be addressed impersonally to the relevant Director. 12.5 Where a paper-based exercise is followed as opposed to use of the e-tendering portal, the tender return envelopes/labels shall be a plain colour. They shall bear the word ‘Tender’ followed by the tender subject, and clearly state the deadline for receipt of tenders in the top left hand corner.
13. Request For Quotation
13.1 Any Request for Quotation (RFQ) issued by the Council shall include such details of the Council’s requirements as the relevant Director and/or Assistant Director deem necessary having regard to the requirements of Rule 12 above to enable a transparent award decision in accordance with Rule 19. 13.2 Where an electronic tendering portal has been approved, adopted and implemented all Requests for Quotations shall be invited electronically and returned by the same means. 13.3 All Requests for Quotations invited in writing shall be addressed impersonally to the relevant Director. 13.4 Where a paper-based exercise is followed RFQ return envelopes shall be a plain colour, bear the word ‘Quotation’ followed by the subject matter and the deadline for the receipt of Quotations in the top left hand corner.
14. Transparency – Treatment of Queries during Procurement Exercise
14.1 Any question points of clarification raised by a potential supplier shall be answered in writing. The same information must also be individually communicated in writing to all other potential tenderers to ensure transparency and equality of treatment.
15. Receipt and Custody
15.1 Electronic tenders and tender envelopes returned must only be opened after expiry of the closing date in accordance with the provisions of Clause 16 below. Any opening of tenders, (electronic or hard copy), prior to the tender return deadline will render the tender exercise invalid
15.2 Where the preferred method of the approved e-tendering portal is followed all tender responses shall be returned via the portal where they will be sealed until after the deadline for return has passed when only an appointed verifier can release them.
15.3 Where a paper-based exercise is followed tender envelopes on their return shall be date stamped on the outside with the date of their return by Reception/post room staff who will initial them and insert the time of their return. Envelopes will then be placed in the locked Tender Box where they will remain unopened until after the deadline for return has passed.
15.4 Where the preferred method of the approved e-tendering portal is followed all quotations shall be returned via the portal where they will remain locked until after the final deadline for receipt of all quotations when only an appointed verifier can release them.
15.5 Where a paper-based exercise is followed, quotation envelopes on their return shall be date stamped, the time of their return inserted and initialled by the staff who first receives them. They will be forwarded to the relevant Director who will
SLDC Constitution – PART 4 – December 2011 Page 40 store them in a secure locked place where they will remain unopened until after the final deadline for receipt of all quotations.
Paragraph removed
16. Opening of Tenders & Quotations
16.1 Tenders and Quotations shall be opened at a single time.
16.2 All Tenders having an estimated value in excess of £60,000 shall be opened by a minimum of 3 persons as described in clause 16.3, and in all other cases by a minimum of two people as more fully described below or where the preferred method of the approved e-tendering portal is followed all quotations shall be returned via the portal where they will remain locked until after the final deadline for receipt of tenders when only an appointed verifier can release them.
16.3 Tenders having an estimated contract value in excess of £60,000 shall only be opened by, or in the presence of the relevant Portfolio holder or his nominated member representative, the Corporate Director (Monitoring Officer) and the relevant director or their designated representatives or in the case of using the e-tendering portal an appointed verifier can release them.
16.4 Tenders received by the tender deadline under Rule 9.3.1(Ad-Hoc) or the subject of the EU ‘Open Procedure’ shall all be opened at one time and ONLY by, or in the presence of, the Corporate Director (Monitoring Officer) and the relevant Director or their designated representatives or in the case of using the e-tendering portal an appointed verifier can release them.
16.5 The relevant Director and a designated member of his/her staff or two designated members of his/her staff shall open tenders and written quotations received under any other procedure or in the case of using the e-tendering portal an appointed verifier can release them.
16.6 Where a paper-based exercise has been followed the Form of Tender/Quotation; Non-collusive certificates, form of bond and any priced documents submitted by the potential supplier shall be date stamped and those persons present shall insert their initials within the stamp.
16.7 A Tender Opening Register bearing a unique reference number and the title of the tender/quotation of all submissions received shall be completed, recording the tender/quotation sums submitted. All those persons present at the opening shall sign the register. The original signed document shall be forwarded to and retained by the Corporate Director (Monitoring Officer). The relevant Director shall each maintain a copy in a register of tenders/quotations received. A further copy shall be forwarded (by the officer conducting the tender/quotation exercise) to the Head of Corporate Legal Services as a precursor to entering the Contract onto the Councils Statutory Register of Contracts. In the case of using an e-tendering portal the Tender Opening Register will not be required.
16.8 Any Tender/Quotation received after the appointed time for receipt of tenders/quotations for a particular contract shall be disqualified and shall not be opened save to ascertain the name of the tenderer/potential supplier to whom it shall be returned immediately.
16.9 Where this is carried out as a paper-based activity the Tender and Quotation return envelopes, or photocopies thereof indicating the date and time of receipt shall be retained as part of the tender file.
17. Alterations (Tenders and Quotations)
17.1 Where during the tender evaluation process, examination of the most favourable tender or quotation (as set out in Rule 19) reveals errors or discrepancies, which affect the tender/quotation figure the following process shall be followed: -
SLDC Constitution – PART 4 – December 2011 Page 41
17.1.1 If the errors or discrepancies are of an arithmetic nature that results in the tender figure being reduced from that submitted, the tenderer etc will be informed of the errors or discrepancies involved and that the Council intends to treat the tender figure as reduced to reflect the true arithmetic value of the tender/quotation; 17.1.2 If the errors or discrepancies are of an arithmetic nature that results in the tender figure being increased from that submitted, the tenderer etc will be informed of the errors or discrepancies involved and afforded the opportunity to confirm the tender/quotation figure at the original submitted price or to withdraw the tender/quotation offer; 17.1.3 In all other circumstances, the tenderer etc. is to be given details of the errors or discrepancies and afforded the opportunity to confirm the tender/quotation figure or withdraw the offer. 17.1.4 If a tenderer etc withdraws an offer as a result of 17.1.2 or 17.1.3 above the next most favourable tender shall be examined and treated in the same manner.
17.2 Where procurement is conducted pursuant to the Regulations through either an open or restricted procedure no post tender negotiations are permitted.
17.3 The Council may seek clarification from potential suppliers in respect of their offer where appropriate. However the same opportunity must be afforded to all potential suppliers to ensure a transparent, non-discriminatory process that affords equality of opportunity.
18. Acceptance (Tenders & Quotations)
18.1 The most favourable tender or quotation may only be accepted where there is adequate provision in the Revenues estimates approved by the Council or an approved Capital Estimate.
18.2 Where the most favourable tender received is unacceptable, exceeds the budget provision, despite any adjustments that may be permitted under the Invitation to Tender and these Rules a report on all tenders for that particular contract, and the options available shall be made to the Cabinet or relevant Council Committee for consideration and decision.
18.3 Where the most favourable quotation received is unacceptable, exceeds the budget provision, despite any adjustments that may be permitted under the Request for Quotation and these Rules, a report on all quotations and the options available shall be prepared by the Assistant Director for consideration and decision by the relevant Director.
18.4 Where a payment is proposed to be made to the Council, and the most favourable tender/quotation is unacceptable, or it is proposed to accept other than the most favourable tender/quotation a report shall be made on all tenders or quotation as described in Rule 18.2 and 18.3 respectively.
18.5 At the conclusion of the tender exercise, having an estimated value above EU threshold values, and prior to any award being made, there shall be a minimum 10-day standstill period during which unsuccessful suppliers shall be debriefed on the intended outcome, appraised of the evaluation results (including scores – and those of competitors with names removed). If formal objections to the intended award are raised the Corporate Director (Monitoring Officer) and the Contracts & Procurement Manager shall be consulted.
18.6 For below EU threshold procurement exercises suppliers shall be debriefed as to the outcome of the exercise
19. Award Criteria
19.1 The basis of tender acceptance and award must be made clear in the tender documentation. Either
SLDC Constitution – PART 4 – December 2011 Page 42 a) Best Value for Money/Most Economically Advantageous Tender, or b) Lowest Price As more fully described hereunder
19.2 Contracts shall primarily all be awarded on the basis of ‘Best Value for Money’ by a robust assessment of cost and quality.
19.3 For contracts having a value in excess of £25,000, or identified as likely to have significant environmental impacts(s) the evaluation of cost and quality shall include an assessment of ‘whole life costs’
19.4 For tenders and contracts having an estimated value above EU threshold value the award criterion shall be ‘the most economically advantageous in Terms of …’. There shall follow a list of the factors identified in decreasing order of importance and where practicable the relative weightings of each.
19.5 Unless there are exceptional reasons, the weighting given to price shall be between 60% and 85%. A lower figure than 60% will require the written approval of the Assistant Director (Resources)
19.6 An award on the basis of lowest price should be reserved for sectors where it is possible to precisely specify the goods or supplies to be procured or the items are otherwise identical. For example basic gas and electricity supply prices but not where an element of the supply is to be from renewable or carbon neutral processes)
20. Contracts to be in Writing
20.1 All contracts having an estimated total value of £25,000 and above, and any other case where the Corporate Director (Monitoring Officer) so decides shall be in writing.
20.2 Every such contract entered into on behalf of the Council shall be in a form approved by the said Executive Director and shall be signed by at least two officers of the Council or made under the common seal of the Council attested by at least one office r in accordance with the Council’s Constitution.
20.3 Every such contract shall include
20.3.1 The supplies, services or works to be furnished/delivered, had or done [including appropriate technical specification(s];
20.3.2 The price to be paid with a statement of any discounts or other deductions;
20.3.3 The time or times within which the contract is to be performed/undertaken;
20.3.4 Valid copies of the minimum appropriate insurance to be held by the contractor at the commencement of the contract and on each subsequent anniversary;
20.3.5 Clauses(s) for the way in which any arbitration is to proceed under the contract;
20.3.6 A clause prohibiting the contractor from transferring, assigning (directly or indirectly) to any person whatsoever, any portion of the contract without the prior written permission of the Council, or from subletting any portion of the contract without such permission other than may be customary in the trade concerned;
20.3.7 In every contract for the execution of works or the supply of goods and materials and in every contract where the estimated value exceeds £60,000 (except where the contract is entered into under partnering arrangements there shall be a provision for liquidated damages. The amount of such provision shall be
SLDC Constitution – PART 4 – December 2011 Page 43 determined in consultation with the Assistant Director (Resources) and the computation recoded and filed with the contract documents;
20.3.8 A clause stating the retention of any appropriate amount determined following consultation with the Corporate Director (Monitoring Officer) that will be withheld until clearance of the Final Account.
20.3.9 That all goods, materials and workmanship must be at least to the standard specified having regard to the relevant European, British or equivalent body, and must otherwise be fit for purpose;
20.3.10 A clause empowering the Council to cancel the contract and to recover from the contractor the amount of any loss resulting from such cancellation, if the contractor shall have offered or given or agreed to give any person any gift, consideration or any kind of inducement or reward for doing or forbearing to do or to have done any action in relation to obtaining or execution of the contract with the Council;
20.3.11 A clause empowering the Council to cancel the contract and recover from the contractor the amount of any loss resulting from such cancellation if the contractor or any person employed by him/her or acting on his behalf shall have committed any offence under the Prevention of Corruption Acts 1889 to 1916, the Bribery Act 2010 or shall have given any fee or reward, the receipt of which is an offence under Section 117(2) of the Local Government Act 1972.
20.3.12 A clause prohibiting the Contractor from transferring or assigning, directly or indirectly, any portion of the contract to any person or organisation without the express written consent of the Council.
20.3.13 A clause that the contractor, his staff, agents and any sub-contractors are required to comply with the Council’s Anti Fraud and Corruption procedures and the Whistle-blowing Policy (Confidential Reporting Code) for reporting any such events. A copy of the Whistle-blowing policy currently applicable shall be included in the schedule of documents under clauses 20.1 and 20.2 above.
20.3.14 A clause that the contractor will comply with the provisions of: -
o The Council ’s Equality and Diversity Policy including requirements of the The Sex Discrimination Act 1975, the Race Relations Act 1976 and Race Relations (Amendment) Act 2000, the Disability Discrimination Act 1995 and any amendments or re-enactment of those Acts and any Codes of Practice issued under those Acts;
o All obligations of the Council under the Human Rights legislations;
o All restrictions and requirements of the Council under Data Protection legislations;
o All restrictions and requirements that may be imposed on the Council under the Freedom of Information Act; and
o The Health and Safety at Work etc Act 1974 and any other legislation made thereunder or relevant to the health and safety of employees.
Sub Contractors 20.4 Where any sub-contractor or supplier is to be nominated to a main contractor/supplier for the execution of a contract with the Council, these Contract Procedure Rules shall apply as if the Council was entering into a direct contract with the sub-contractor or supplier.
21. Contract Extension
SLDC Constitution – PART 4 – December 2011 Page 44
21.1 A contract for supplies, services or works shall only be extended where the contract terms and conditions expressly provide for an option for extension.
21.2 Any such extension shall only considered where the contract has been successful in demonstrating: - o Performance targets identified in the original contract were met and exceeded; o Demonstrating Continuous Improvement or innovative service delivery processes; AND o Is able to demonstrate that such extension will deliver Best Value for Money in accordance with Rule 19.
21.3 Any such extension shall be subject to: - o Adequate budget provision; and o The extension being priced at the original contract rates subject to any adjustment mechanism set out in the contract;
21.4 Any proposed contract extension shall be the subject of an Executive Report for consideration and decision.
22. Performance Bonds
22.1 The Council shall require and take sufficient security for the due performance of all contracts exceeding £60,000. Except, as set out in Rule 21.2 the amount of security shall be the retention of 10% of the contract sum during the life of the contract, such retention to be released on issue of the certificate of practical completion of the contract.
22.2 In any particular contract or class of contract the Corporate Director (Monitoring Officer) may decide that the Council’s interest in the proper performance of the contract can be appropriately protected by specifying and taking a different form of security
23. Standards
23.1 Where an appropriate International Standard, European Standard, British Standard Specification or British Standard Code of Practice issued by the British Standards Institutions is current at the date of tender/request for quotation, the specification and contract shall require that all goods, materials used or supplied and all workmanship shall be in accordance with that standard or of a higher standard. Where any such standard is quoted the phrase ‘or equivalent’ must be inserted.
24. Termination/Failure to Execute Contract
24.1 In every contract for the execution of work, supply of goods, materials or services having an estimated value of £25,000 and above a clause shall be inserted to secure that, should the contractor fail to deliver the goods, materials or execute the service or works or any part or portion thereof within the time or times specified in the contract, the Council, may without prejudice to any other remedy for breach of contract, either wholly or in part, or to the extent of such default, and to provide for the execution of the work or service by other means, or to purchase other goods or materials, as the case may be make good
o Such default; or o In the event of the contracts being wholly determined, the unexecuted work or service or the goods or materials to be delivered
The clause shall further secure that the amount by which the cost of providing for the execution of the work or service by other means, or the purchasing of other
SLDC Constitution – PART 4 – December 2011 Page 45 goods or materials, exceeds the amount which would have been payable to the contractor had he executed the contract, or portion thereof, within the time or times specified therein, shall be payable by the contractor.
25. Engagement of Consultants
25.1 It shall be a condition of the appointment and engagement of the services of any consultant, not being an officer of the Council, who is to be responsible to the Council for the supervision of a contract, or design of any scheme etc on behalf of the Council that: -
25.1.1 The appointment will be undertaken in accordance with these Rules;
25.1.2 The consultant will be prohibited from bidding for the work, service etc and any subsequent stage unless this was the specific purpose of their appointment;
25.1.3 That in supervising any contract on behalf of the Council the Consultant shall comply with these Rules as though he/she was a Director of the Council, subject to the modification that the procedure to be followed in inviting and opening tenders shall be approved in advance by the relevant Director;
25.1.4 That at any time during the period of carrying out the contract procedure during his/her appointment, the Consultant shall produce to the Assistant Director (Resources) or his authorised representative, on request, all the records maintained by him/her in relation to the contract; and
25.1.5 On completion of the appointment/contract he/she shall without delay transmit all records in relation to any contract to the relevant Director.
26. Partnerships
26.1 Whenever the Council enters into a formal partnership the Council will ensure Governance arrangements are agreed in writing and include tendering responsibilities and arrangements.
26.2 Where the Council acts as Lead Authority in the partnership these Contract Procedure Rules shall whenever practicable be followed.
26.3 Before entering into contracts, written agreements shall be made with funding partners regarding the level of and conditions attached to any funding.
26.4 Where the Council is not the lead partner, the tendering procedure rules agreed by the partnership shall be followed.
27. Accountable Body
27.1 Tendering arrangements must conform with this Council’s and any appointed partner(s) Contract Procedure Rules, and be capable of providing evidence of this to the Council, its agents any inspection body e.g. Audit Commission.
N.B. Failure to follow the funding body’s tendering rule is likely to result in funds being clawed back, leading to a potential budget deficit to be financed by the Council
28. Retention of Records /Documents
28.1 All contractual documents associated with Requests for Quotations and Tenders from successful and unsuccessful suppliers must be retained in accordance with the clauses below. Documents to be retained include: - 28.1.1 Copies of Public Notices 28.1.2 Quotations returned
SLDC Constitution – PART 4 – December 2011 Page 46 28.1.3 Requisition for Supplies/goods 28.1.4 Copy orders 28.1.5 Delivery Notes 28.1.6 Invoices, credit notes etc 28.1.7 Price Advices 28.1.8 Contract Variations 28.1.9 Write off Approvals
28.1.10 All tender/quotation documents returned by suppliers
28.1.11 Any post tender interviews and clarifications including written notes of any interviews.
28.1.12 All other such information relevant to the procurement exercise undertaken e.g. Award Decision minutes etc.
28.2 For contracts below £60,000 in total estimated value – 3 years or the lifetime of the contract
28.3 For contracts £60,000 and above – six years after the expiry of the contract
28.4 Below £60,000 £60,000 and above Successful Tenders & 6 years after contract 3 years Quotations expiry Unsuccessful Tenders & 6 years after contract 3 years Quotations expiry
28.5 A complete set of the original contract and tender documents must also be retained, including contract terms and conditions, specification, pricing schedule, evaluation models, correspondence and award decision and letter as either electronic or hard copies.
29. Freedom of Information
29.1 The Council shall fulfil its obligations under the Freedom of Information Act 2000 (as amended) in respect of any application made under the Act in relation to the contracts it has entered into and the manner in which the contract was procured.
30. Statistics
30.1 The Contracts and Procurement Manager or such other officer nominated by the Monitoring Officer shall be responsible for collecting, collating and submitting the annual statistical return on procurement activity subject to EU Rules required by the Department of Communities and Local Government.
30.2 Directors and Assistant Directors shall upon request of the nominated officer provide the details and any information necessary to complete these returns with the minimum of delay.
31. Adoption, Review and Amendment of Contract Procedure Rules
31.1 These Contract Procedure Rules shall be reviewed and updated on a regular basis not less than bi-annually. These Rules and Amendments to them shall be agreed and approved by the full Council.
32. Glossary
Annual Procurement Plan A plan identifying the major projects and contracts that are expected to be procured during the financial year.
SLDC Constitution – PART 4 – December 2011 Page 47 Where possible the APP should also identify the lead officer and an outline timetable.
Best Value for Money The optimum combination of quality and cost taking into account ‘whole life costs’ for procurements valued at £25,000 or above.
Contract Period The period over which a contract is delivered. The period determined must comply with European and National legislation, allow for continuous improvement, enable appropriate exit strategies, and enable the contract to be packaged to encourage delivery in the most cost effective manner
Contracts Register The register held by the Council containing of all written contracts entered into by the Council above a financial threshold value of £25,000
Council In these Rules, the expression ‘the council’ shall be deemed to include reference to the Cabinet, a Committee, or Sub-Committee, a Portfolio Holder or an Officer acting in accordance with delegated authority on behalf of the Council as detailed elsewhere in the Council’s Constitution.
EU Procurement Directives The Legislation setting out the defined mandatory procurement procedures that must be followed when procuring supplies, services or works above the pre- determined threshold values in force for the time being.
Framework Agreement Contracts awarded following a compliant tender exercise that provides for the ‘call -off’ of supplies, services or works against a supplier. The Framework provides a non-binding offer without obligation; a binding contract coming into effect once the Council initiates a ‘call -off’
ITT Invitation to Tender
OJEU Official Journal of the European Union. The advertising medium for tenders above EU procurement threshold values
Performance Bond Applicable to contracts over £60,000 in value where there are potentially high levels of risk. The Council seeks security to mitigate such risk, and this is normally in the form of a parent company guarantee or a Performance Bond.
Procurement The mechanism and processes by which the Council acquires the supplies (goods), services and works necessary to achieve delivery of its objectives. It will include all associated performance measurement, monitoring and other controls necessary to complete such delivery.
Procurement/E-procurement Use of electronic systems to undertake procurement activity and may include use of – Procurement Cards, E Solutions
SLDC Constitution – PART 4 – December 2011 Page 48 Procurement Cards Approved purchasing cards generally used as a mechanism for ordering and invoicing low value goods and services. Purchasing Cards are not credit cards.
E-Procurement / e-tendering An electronic procurement process using proprietary software or media to enable the tender/quotation process to be undertaken electronically. It provides all the controls applicable to manual tendering as required by these rules.
Regulations The UK regulations implementing the EU public procurement directives.
RFQ Request for Quotation
Risk Management Risks associated with procurement exercises shall be identified, assessed and managed
Supplier Any person, firm, organisation or body providing or potentially providing supplies (goods) services or works to the Council.
Whole Life Costs The costs associated with a procurement form the initial definition of need, to the actual procurement of the supplies, services or works, their delivery and operation through to the end of the useful life and/or disposal.
SLDC Constitution – PART 4 – December 2011 Page 49 Appendix 1 – Financial Thresholds for the time being in force.
Who Form & Estimated Invitation Who may issues/seeks method of Value Method accept the Invitation Acceptance
Written Minimum of 2 Authorised Officer acceptance and quotations purchase order Up to £2,500 from Authorised Officer Administrative competent Decisio n to Including contractors relevant Director ‘Electronic Purchase Order’
Minimum of 3 Relevant Written written & Assistant Director acceptance and sealed – Administrat ive purchase order £2,500 to Relevant quotations Decision with £25,000 Assistant Director from copy to Contracts Including competent & Purchasing ‘Electronic contractors Manager Purchase Order’
Minimum of 4 Written written and Relevant Director acceptance and sealed £25,000 to Delegated agreement under quotations Relevant Director £59,999 Director’s Council seal after form Executive expiry of any call competent Decision in. contractor
Relevant Director Delegated Director’s Written Executive acceptance and Decision in agreement under consultation with Council seal for the supplies, Formal the relevant Relevant Director services or works Invitation to Portfolio – return to after expiry of £60,000 up Tender In holder Key Corporate any call in. to EU accordance decision, follow Director Thresholds with procedure for Terms & (Monitoring procedures in Key decision Conditions to Officer) Rule 9 including the include forward plan. consideration of Possible DED, Liquidated consult with the Damages and Corpor ate Performance Director retention/bond (Monitoring Officer)
SLDC Constitution – PART 4 – December 2011 Page 50 191
Who Form & Estimated Invitation Who may issues/seeks method of Value Method accept the Invitation Acceptance
Written acceptance and agreement under Council seal for Above EU Formal the supplies, thresholds Invitation to services or works Tender in after expiry of as stated in Corporate accordance Portfolio Holder any call in. the Director with recommendation Corporate (Monitoring Consolidated to the Cabinet Procurement Officer) Terms & Code and EU Conditions to Toolkit Procurement include Directive consideration of Liquidated Damages and Performance retention/bond
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Page 52 Item No.7
PART I
South Lakeland District Council Council Meeting Date: 26th July 2012 Report Author: John Davies – Performance and Risk Officer Portfolio: David Evans - Policy, Performance and Resources Report from: Simon McVey - Assistant Director Policy and Performance Wards affected: Not applicable Key Decision: Not applicable Forward Plan: Not applicable Corporate Policies Update 1.0 PURPOSE OF REPORT 1.1 This report presents the updates to two corporate policies associated with the Performance Management Framework (the Equality Scheme 2012 – 2015 and the Community Engagement Strategy 2012) - good policies bring about good performance with Corporate Plan Priorities. 2.0 RECOMMENDATIONS It is recommended that Council approves the updated Equality Scheme 2012- 2015 and Community Engagement Strategy 3.0 BACKGROUND As part of the annual refresh of policies a number of updates have been made. 3.1 Community Engagement Strategy: The strategy has seen a significant review, been updated to include the Localism Act 2011 and is now both concise and written in plain English. 3.2 Equality Scheme: The scheme has been updated to meet legislation in the Equality Act 2010. 4.0 RESEARCH AND CONSULTATION 4.1 Equality Scheme 2012-2015: The Council has consulted directly with Cumbria Disability Network, AWAZ, Age UK and OutREACH Cumbria. A copy has been emailed to all our equality contacts in South Lakeland and Cumbrian equality officers have been consulted. A 12 week public consultation on the website has also been completed.
Page 53 5.0 PROPOSAL 5.1 That the updated policies are approved, published and implemented. 6.0 ALTERNATIVE OPTIONS 6.1 No credible options. The consequences of not approving updates to policies are to weaken corporate governance arrangements and risk reduction in value for money services. 7.0 NEXT STEPS 7.1 If the updates gain full approval they will be published on the intranet and website and implemented. They will be reviewed again in March 2013 as part of their annual refresh. 8.0 IMPLICATIONS 8.1 Financial and Resources 8.1.1 No financial implications are associated with the updated policies. 8.2 Human Resources 8.2.1 No human resources implications are associated with the updated policies. 8.3 Legal 8.3.1 The Solicitor to the Council has been consulted and is content with the proposals set out in this report 8.4 Social, Economic and Environmental Impact 8.4.1 Has a sustainability impact assessment been carried out? No 8.4.2 This proposal is considered to have a positive impact on sustainability. 9.0 RISK ASSESSMENT Risk Consequence Controls required Not to update corporate The consequences of not Policies are updated and policies updating policies are to approvals sought prior to weaken corporate implementation governance arrangements and to reduce the value of services. 10.0 EQUALITY AND DIVERSITY 10.1 Consultation on the Equality Scheme 2012-2015 amongst equality groups was carried out between September 2011 and February 2012. 10.2 The Community Engagement Strategy encourages engagement with all communities in South Lakeland. 11.0 LINKS TO THE CORPORATE PLAN AND PERFORMANCE INDICATORS 11.1 These policy updates are key organisational controls that support good performance with the Corporate Plan.
Page 54 12.0 CONCLUSION AND EXPECTED OUTCOMES 12.1 That the revised policies are approved and adopted. By updating corporate policies the Council will be on the front foot with regard to good performance and will see success with customer’s priorities within the Corporate Plan. APPENDICES ATTACHED TO THIS REPORT Appendix No. 1 Community Engagement Strategy 2 Equality Scheme
CONTACT OFFICERS E Nichols, S Blyth, J Davies: 01539 797768 BACKGROUND DOCUMENTS AVAILABLE None TRACKING Assistant Portfolio Holder Solicitor to CMT Scrutiny Director Council Committee 01/05/12 22/05/12 09/05/12 10/05/12 Executive Committee Council Section 151 Monitoring (Cabinet) Officer Officer 27/06/12 26/07/12 09/05/12 01/05/12 HR Manager 09/05/12
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Page 56 2012 Community Engagement Strategy Update
www.southlakeland.gov.ukpage 1 Page 57 2012 Community Engagement Strategy Update
Contents pg
Introduction 2
What is happening now? 2
Empowering communities 2
Conclusion 3
Next steps 4
Appendix 1: Levels of Community Engagement Table 5
page 1 Page 58 Update 2012 Community Engagement Strategy
Introduction Empowering communities
The Community Engagement Strategy was There are significant opportunities offered to the produced in 2007. This update will summarise council by collaborating with and empowering the Community Engagement practices being communities. The Localism Act encourages undertaken by South Lakeland District Council at further ways for the public to work with the the moment. Council and be involved in the services we deliver. Effective engagement and partnership Community Engagement is defined by the working are essential and closely linked to Department of Communities and Local delivering localism. It is also clear that partners Government as ‘the process of working need to have a more practical focus on where collaboratively with and through groups of people working together can add value. affiliated by geographic proximity, special interest or similar situations to address issues affecting Localism is active in South Lakeland in many the well being of those people’. ways:
• The Local Area Partnerships (LAPs) identify What is happening now? priorities, deliver projects and lobby Work is continually undertaken to ensure that organisations on behalf of their engagement is carried out at the appropriate communities. level and the most appropriate methods are used • A growing number of communities are (Appendix 1: Levels of Engagement Table). taking steps to deliver services such as Annually a Community Engagement Programme toilets, tourist information centres and car is produced allowing for a complete picture of the parks. consultations, and other engagement activities. • There are two Localism pilot projects This programme: underway: • Avoids consultation clashes 1. The Neighbourhood Planning pilot is being • Reduces consultation fatigue, and undertaken by Heversham Parish Council and Hincaster Parish Meeting, who have • Allows officers to direct resources and just completed their initial community support appropriately. consultation. Neighbourhood planning is led by the local community, not the council, and is about building neighbourhoods not stopping growth. Neighbourhood Plans
Page 59 page 2 2012 Community Engagement Strategy Update
must be set within the context of national The Have Your Say Database holds information policies and the Local Development on consultations being carried out by the council Framework. and partner organisations. The database is a partnership resource for all councils in Cumbria 2. The Participatory Budgeting pilot is going to plus the Police and NHS Cumbria. Other be undertaken by both Ulverston and organisations both public, voluntary and Windermere Town Councils. Participatory community sector can add their consultations to budgeting will empower communities to the database and use the Quick Consult online influence decisions on general areas, make survey software which is included with the decisions about budget issues and place Database. By keeping all consultation some budgets under their direct control. information in one place, it is:
Community Led Plans are produced for the • Easier to monitor activity community, by the community. They set out the • Provide access to results, and vision for the future of an area based on wide spread engagement. Community Led Planning is • Reduce consultation fatigue. being encouraged by the council with officer support and a Service Level Agreement with Community Voice the counties citizens’ panel is Action for Communities in Cumbria (ACT) also managed by the partnership of local providing independent support and training for authorities. Surveys of the panel are carried out groups. This helps the communities produce regularly; the councils involvement is being plans based on robust local information and the reviewed in June 2012 to ensure it is still meeting Parish, Local Area Partnership and the council our needs. The partnership is also undertaking a use these to set priorities and plan services. Quality of Life Survey to fill the data gap left by the Place Survey.
Consultation The Research and Intelligence Unit continually improve the web mapping, local intelligence and In partnership with the One South Lakeland performance data. Making this information Partnership Community Engagement Task and transparent and available to partners and Finish Group, the councils Consultation Toolkit is communities will: being refreshed to produce a resource which can be used by all spectrums of the community. The • Help the public to be empowered to make council is also signed up to the Cumbria Compact choices about services delivered by the and its guidance for engagement with the council coluntary and community sector. • Ensure our data is useful, and • Available to those who need it.
page 3 Page 60 Update 2012 Community Engagement Strategy
Next Steps • Using South Lakeland News to inform the public of the work of the council and to The Community Engagement Officer will feedback the results of engagement and continue to support engagement, helping officers what has happened as a result of the to join up engagement to make it more effective engagement. and efficient across the council. Also the officer will continually develop the resources available • Producing a guide using consultation to help make engagement simpler to perform. results, and census data where available, The Community Engagement Officer will also summarising the demography and views of continue to provide support to communities the communities in the district. carrying out engagement, at Parish/ LAP level and in partnership with other organisations.
Specific support will be provided by:
• Continued work on the empowerment of communities through effective engagement, working with and supporting the localism pilots, community led plans and wider partnership work.
• Reviewing Community Voice and report to Senior Management Team following the next survey cycle.
• The continued development of the Consultation Toolkit and additional resources including Questionnaire Design, Guide and a Question Bank.
• Continuing to populate the Consultation and Community Engagement database with consultations including the results and next steps.
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Appendix 1: Levels of Community Engagement Table
Level of How to Engage Methods Used Engagement Informing Tell the public something, Newspapers, (South Lakeland News), Includes: make information transparent letter. posters, radio, leaflets, website, Communicating and easy to understand and social media, meetings, seminars, and early use using marketing, public events and exhibitions. engagement relations and or campaigns. Outcome - the public know what’s happening across South Lakeland.
High Involvement High Researching Investigating or finding out For example; census, joint strategic something new about an area assessments, steam data, Experian or population in order to data, peer reviews, mystery shoppers, improve service delivery ward surgeries with members, reports using quantitative and produced by other agencies, community qualitative processes. engagement database, Customer feedback blue box units, customer complaints & feedback.
Outcome - Better understanding of community needs. Consulting Seeking comments or Questionnaires, surveys, Community feedback on a question or a Voice, road shows, focus groups, ward proposal which can lead to surgeries, existing forums, conferences, change. referendums, simulators, public meetings, website, phone calls.
Outcome - Communities truly feel their views are listened to. Involving Include the public in decision- This can include direct involvement in (Idea collection) making processes. Show a the corporate planning, service planning, genuine interest in good development or improvements to a innovative ideas. community. Community Led Plans. Outcome - Communities feel they are involved in planning service delivery. Collaborating Empowering communities to The public takes part proactively in Includes: make decisions. Allow decisions, for example on budget Devolving decisions sufficient time for development or improvement to a from idea to “communities” to take part. community. Participatory Budgeting. detailed plans Outcome - Communities truly influence decision making. Empowering Power influence and This can include grants to improve their Supporting responsibility are given to local area, supporting to develop local community action communities (within law) to initiatives and or managing and running develop and improve their council services. Local Area Partnerships area. & Locality pilots
Outcome - Communities develop solutions / improvements to local
High Involvement issues and carry out or facilitate their delivery. page 5 Page 62 Update 2012 Community Engagement Strategy
Notes
Page 63 page 6 Page 64 South Lakeland District Council Equality Scheme 2012-2015
www.southlakeland.gov.ukpage 1 Page 65 South Lakeland District Council Equality Scheme 2012-2015
Equality Scheme 2012 – 2015
South Lakeland District Council aims to treat all its citizens, customers, employees and job applicants fairly and with respect. To achieve this, the council considers the different needs of people when designing services to be accessible.
SLDC provide equality training for councillors and employees so they can promote equality in the council’s day to day business.
The council publishes equality information on its website and this scheme is available in hard copy at council reception points.
This Scheme applies to: • Users of our services and visitors to our sites • Councillors • Employees • Volunteers • Contractors, sub-contractors and partners
Section 1
1.0 South Lakeland District Council’s key equality objectives are to:
• Introduce equality monitoring and assessment into the development of the next full revision of the Corporate Plan, to improve the quality and range of data. • Examine 2012 Corporate Plan work in terms of equality outcomes and identify equality objectives.
page 1 Page 66 Equality Scheme 2012-2015 South Lakeland District Council
1.1 To continually improve in integrating equality and fairness into our business, and to comply with the Equality Act and the Public Sector Equality Duty , the council’s Policy & Performance department has the following equality objectives:
Objective Date Councillor/ Officer and Completed Notes Councillor and senior officer March Portfolio Holder equality lead in place. 2012 (Communities and (Responsibilities include fostering Wellbeing), Assistant good relations in the community Director, Policy and and integrating equality work into Performance partnerships) Information Unit (IU) to annually October P. Mountford As part of new review local demographics, 2012 Information used to transparency page. disseminate to service managers improve service to Details to be published and publish on the website. equality groups where on website. appropriate. IU to monitor and publish survey March P. Mountford “Community Voice” responses (including breakdown 2012 Aim to evidence details and service of minority groups) and show improved participation specific surveys response what has changed as a result. rates. Work with AWAZ, breakdown provided. Published on the Community CDN, OutREACH, Age Details are shared with engagement pages on the UK to improve services. Details to be website. participation. made available through community engagement pages and transparency pages of SLDC website. IU to identify and address March P. Mountford/E. Nichols As part of transparency consultation information gaps. 2012 IU to publish SLDC and community contact details for engagement pages, external bodies to feed external bodies will have information into the opportunity to feed their organisation. information into SLDC
Community Engagement March Senior officer Strategy fully implemented in 2013 champion/E. Nichols/ Corporate Plan development. JR. Davies/S. Blyth Equality peer review network set March S. Blyth Member of the “Achieving up in Cumbria. 2012 To share and develop Equality in Cumbria” good practice group. collectively. Annual service plans to highlight March Service Assistant Completed – Information key equality issues for their 2012 Directors available to view on the service Corporate Plan equality assessment on the website. Review this scheme annually November S. Blyth/ Senior 2012 Management Team/Cabinet
1.2 These objectives (and the equality objectives listed in our equality impact assessments ) will be reviewed and updates published annually.
Page 67 page 2 South Lakeland District Council Equality Scheme 2012-2015
Section 2 • Corporate Plan 2011-2015 - The council’s plan concerning its priorities. Progress 2.0 To illustrate how we are meeting the on targets, priorities and risks. requirements of the Equality Duty please follow • Customer Charter (SLDC customer the links below. The information shows details of service standards) the analysis we have undertaken (and supporting information used) to improve our policies and • Forward Plan (list of key decisions the services in 2011 – 2012. There are links to our council’s Executive will make over the 3 community engagement and consultations that month period) support our decision making. We also publish • Overview and Scrutiny meetings information highlighting the effects of our policies on different equality groups, for example through • Performance management framework our complaints and surveys. (how the council manages and reports on its performance) 2.1 Equality analysis and information • Procurement Strategy (purchasing goods, works and services) The council manages equality through its annual • Service Plans - from council programme of equality impact assessments departments (EIA’s). EIA’s enable officers and councillors to assess the fairness of our services and policies before they are implemented. They are reviewed 2.3 Employee and member annually. information
• Census statistics The council employs 408 staff (389 full time • Complaints, comments and equivalent – as at April 2012), and has 51 compliments councillors. The documents below highlight the employee profile of the council compared with • Complaints - summary reports South Lakeland as a district. We have also • Customer satisfaction surveys summarised the training we provide for employees and details on our recruitment and • Equality Impact Assessments bullying and harassment policies. • Equality information online • Councillors code of conduct • Have your Say - including SLDC • Human Resources at SLDC (Recruitment consultations and selection, officers code of conduct, staff • Local area profiles profile, equality and employment policy) • SLDC Data 2.4 Our Partners: • South Lakeland equality profile • South Lakeland profile The council works with partners in the local area and abides by and promotes its equality • South Lakeland News commitments. Partners also advise us on our equality impact assessments. 2.2 Plans, Reports and Meetings • Age UK South Lakeland (services are for The documents below provide details of the anyone in South Lakeland who is aged 50 council’s activities and procedures. They show or above) where the council’s focus lies and how decisions • AWAZ (an independent voluntary are made. organisation providing a voice for Black and • Accessibility and council buildings minority ethnic people) • Annual Report 2011 - 12 • Cumbria County Council • Cabinet members and meetings • Cumbria Equality member and officer meetings • Calendar of council meetings page 3 Page 68 Equality Scheme 2012-2015 South Lakeland District Council
• Cumbria Disability Network (representing Section 3 the needs of disabled people in Cumbria) • One South Lakeland (SLDC partnerships 3.0 This Scheme has been developed in and communities website) consultation with local groups and organisations as well as our employees. We welcome • OutREACH Cumbria (works with the comments on the Scheme and these will be statutory and voluntary sector providing taken into account for future versions. equality advice and consultation on lesbian, gay, bisexual and transgender issues) We have an equality page on our website: • Reporting Hate Crime (downloadable form www.southlakeland.gov.uk to report race, disability, faith/ belief and sexual orientation hate crime ) We publish all our equality impact assessments (on specific projects) on the website - these can • South Lakeland Equality and Diversity be viewed here . Partnership
Page 69 page 4 South Lakeland District Council Equality Scheme 2012-2015
Section 4
4.0 Contact details:
Policy Officer: [email protected] Senior Officer Equality Champion: Assistant Director Policy and Performance Councillor Portfolio Holder for Equality: Graham Vincent, Portfolio Holder Communities and Well Being
Date Ratified Senior Management Team: 24 May 2012 Policy Author Simon Blyth Assistant Director Simon McVey Document V0.11 Reference Date For Review March 2013 Contact Details policy@southlakeland .gov.uk
page 5 Page 70 Equality Scheme 2012-2015 South Lakeland District Council
Appendix 1 Appendix 2
The Equality Act (2010) requires public bodies The Equality Act 2010 (Specific Duties) to: Regulations 2011
• Eliminate unlawful discrimination, The specific duties require public bodies to harassment and victimisation and other publish: conduct prohibited by the Act. • Advance equality of opportunity • information to demonstrate their between people who share a protected compliance with the Equality Duty, by characteristic and those who do not. 31 January 2012 and then at least • Foster good relations between people annually, and who share a protected characteristic • equality objectives (which are specific and those who do not. and measurable), by 6 April 2012 and then at least every four years. DEFINITION: “ Protected characteristics ” - These are the grounds upon which discrimination The information a public authority publishes must is unlawful. The characteristics are: age, include, in particular, information relating to disability, gender reassignment, marriage and persons who share a relevant protected civil partnership, pregnancy and maternity, race, characteristic who are: religion or belief, sex and sexual orientation. • its employees; The Equality Act involves: • Other persons affected by its policies 1. Removing or minimizing disadvantages and practices. suffered by people due to their protected characteristics 2. Taking steps to meet the needs of people from protected groups where these are different from the needs of other people 3. Encouraging people from protected groups to participate in public life or in other activities where their participation is disproportionately low
Page 71 page 6 Page 72 Item No.8
PART I
South Lakeland District Council COUNCIL
Meeting Date: 26 July 2012 Report Author: Shelagh McGregor, Chief Finance Officer Portfolio: David Evans, Policy, Performance & Resources Report from: Shelagh McGregor, Assistant Director Resources S151/CFO Wards affected: All Key Decision: PD12/001/Sev Forward Plan: 1 August to 30 November 2012
2011/12 REVENUE AND CAPITAL BUDGET CARRY FORWARD REQUESTS 1.0 PURPOSE OF REPORT 1.1 This report sets out the requests that have been made to carry forward revenue and capital budgets which were not expended in 2011/12, to the current financial year (2012/13). The report is a referral to Council of Cabinet’s recommendations as presented on the 30 May 2012 That report set out the provisional overall financial position of the Council for 2011/12, showing the reasons for the variances between the provisional actual and annual budget for that year. The requests for carry forwards in this report are to enable services that could not be delivered during 2011/12 to be delivered during 2012/13. 1.2 In addition the opportunity has been taken in this report to approve the contributions to and from reserves as incorporated into the Accounts and for the write off of unrecoverable income. 2.0 RECOMMENDATIONS It is recommended that:- (1) The total carry forwards as set out in paragraphs 3.3 and 3.5 are approved; (2) The schedule of contributions to and from earmarked reserves, as set out in paragraph 3.6 is approved;
1 Page 73 (3) Council note that the final position and issues arising from the preparation of the 2011/12 Statement of Accounts will be reported to the Cabinet and Council meetings of the 29 August and 27 September consecutively. (4) Council approve the write off of irrecoverable income relating to the Lake annual encroachment rents (section 3.7) and housing rents (section 3.8) 3.0 BACKGROUND LINKS TO THE MEDIUM TERM FINANCIAL PLAN 3.1 The Council approved the 2011/12 Budget in February 2011. The actual position against the planned budgets and service levels were then monitored and reported to Council throughout the year. The considerations from the third quarter financial monitoring report were incorporated into the latest budget position for 2011/12 and 2012/13 as part of the budget process. This formed the basis for the budget and service levels planned from 2012/13 to 2015/16 as part of the Medium Term Financial Plan approved by Council on the 29 March 2012. 2011/12 PROVISIONAL REVENUE OUTTURN POSITION 3.2 The provisional underspend before carry forwards as reported to the 30 May Cabinet meeting totalled £845k as set out below:
Provisional Financial position £000 Net Budget 17,589 Statement of Accounts adjustments 1,664 Net Provisional Outturn 15,080 Net underspend before carry forwards (845)
The requests for carry forwards totalled £442k leaving a contribution to the General Fund Balance of £403k. Cabinet approved that recommendations on the eventual level of carry forwards would be referred to Council after a final review which this report incorporates. The pre audit final outturn shows a final increase in the General Fund Balance of £1.7m that includes the £845k underspends previously reported. It does not however change the position regarding individual carry forward requests or the ability to approve them. 3.3 The review of the carry forward requests has resulted in the withdrawal of a small amount (£1.2k) relating to Street Cleansing. There is no change to any of the remaining requests although the release of part of the £38.2k in Corporate Vision in 2012/13 is dependent on further consideration by the Council of the live-streaming of Council meetings.
2 Page 74 The detailed carry forwards are provided at Appendix 1 , in summary the final position following the planned review is as follows: £000 Increase in General Fund Balance (1,748) Carry Forward Requests 441 Net Increase in Balance (1,307)
The increase in the General Fund Balance will be considered at the Cabinet and Council meetings on 29 August and 27 September respectively and its impact will feed into the review of the Medium Term Financial Plan. 2011/12 PROVISIONAL CAPITAL OUTTURN POSITION 3.4 As reported to the 30 May Cabinet, the provisional outturn was £5.883m against the annual budget of £6.353m resulting in an underspend of £470k, before any carry forwarded budgets are taken account of. The requests for carry forward total £564k and there is funding available to support these projects from underspends on them. As set out in the original report to Cabinet, the difference of £94k is in the main due to projects which will attract future funding. 3.5 There is no change to the original reports recommendation to carry forward the £564k requested. The detailed projects and funding are set out in Appendix 2 . EARMARKED RESERVES 3.6 Appendix 3 sets out the requirements for contributions to and from revenue and capital based earmarked reserves during the year. Most of the reserve movements in Appendix 3 are in accordance with the approvals given as part of the budget setting for 2011/12. However some additional movements have been required during the year and to allow an overall picture of these transactions to be considered approval is being sought for all movements. The Appendix now reflects the pre audit final outturn including its impact on 2012/13. There have been four new reserves set up during 2011/12 and included in the appendix; the New Homes Bonus Reserve, the Land Charges Reserve, the Local Arts Strategic Partnership Reserve and the HRA Environmental Warranty Reserve. IRRECOVERABLE INCOME 3.7 Lake Administration Committee at its meeting on 30 March 2012 agreed that for 2011/12 the charging mechanism and rates applicable for annual encroachment rents for 2010/11 should apply. As a result the charges for 2011/12 will reduce by £75k. This reduced income has been reflected in the 2011/12 outturn figures. 3.8 As part of the transfer of the housing stock in March 2012 all housing tenant arrears were transferred to South Lakes Housing (SLH) but at a value that reflects the probable collectability of those arrears. The difference between the payment due to SLH and the actual arrears amounted to £199.9k. Sums to be written-off above £35k require Council approval. The write-off has been reflected in the 2011/12 HRA. 4.0 RESEARCH AND CONSULTATION 4.1 Research carried out has been around the reasons for the variances to the budgets for 2011/12. Various groups internal and external to the Council were
3 Page 75 consulted about the proposed 2011/12 and future years’ revenue budgets as part of the budget process. 5.0 ALTERNATIVE OPTIONS 5.1 There are no alternative options for the outturn performance as although provisional this is a matter of historical fact. Any changes to the outturn that may be identified during the remainder of the closedown process will be reported as part of the final Statement of Accounts in September 2012. 5.2 The proposed carried forward budgets comply with Council policy. 6.0 NEXT STEPS 6.1 The final outturn position has been included in the Statement of Accounts that was signed off by the Chief Financial Officer on 30 June 2012. In accordance with good practice the Chief Finance Officer will provide a briefing to Members on the Accounts which are signed off and will then be subject to an external Audit. The outcome of the Audit will be reported to the Audit Committee in September 2012 as is usual practice. 6.2 Subject to approval of the carry forward requests, with the exception of £12k in Corporate Vision, the budget in 2012/13 will increase by the amounts of the carry forward. 7.0 IMPLICATIONS 7.1 Financial and Resources 7.1.1 Included in the report. 7.2 Human Resources 7.2.1 There are no direct human resource implications arising from the outturn report itself. 7.3 Legal 7.3.1 There are no direct legal implications arising from the outturn report. The Statement of Accounts however must be signed off for audit by 30 June 2012 (audited accounts to be authorised by 30 September 2012). 7.4 Social, Economic and Environmental Impact 7.4.1 A detailed sustainability assessment has not been carried out as the majority of the report is of an historical nature. However the recommendations on the carry forward of budgets aims to achieve both financial sustainability and improved service level performance. Financial resources will only be called on where absolutely necessary to meet essential service delivery. 7.4.2 This proposal is considered to have a positive impact on sustainability through safeguarding existing approved service levels and protecting the financial status of the Council. 8.0 RISK ASSESSMENT Risk Consequence Controls required Not recommending carry Insufficient resources to Cabinet refer carry forwards enable the planned forwards to Council for service to be delivered approval and improve the
4 Page 76 per the Corporate Plan financial management objectives. skills of budget managers to reduce the need to carry forward in future years.
9.0 EQUALITY AND DIVERSITY 9.1 An assessment has not been carried out as the report is a record of historical events with the recommendations not changing previous approvals 10.0 LINKS TO THE CORPORATE PLAN AND PERFORMANCE INDICATORS 10.1 The outturn report indicates how the Council has performed against its financial plans (and by association its service plans) for the 2011/12 year. These plans support the Corporate Plan and were approved within its overall remit. 11.0 CONCLUSION AND EXPECTED OUTCOMES 11.1 General Fund - The pre audit Statement of Accounts shows an increase in the General Fund Balance of £1,748k that includes the provisional outturn of £845k reported to Cabinet on 30 May 2012. Further review has been undertaken of the carry forward requests resulting in the withdrawal of one request and a requirement for more Council consideration of the live-streaming of Council meetings before release of monies in the future. The final outturn does not change the position regarding individual carry forward requests or the ability to approve them. APPENDICES ATTACHED TO THIS REPORT Appendix No. 1 Revenue Carry Forwards 2 Capital Carry Forwards 3 Movement on Reserves
CONTACT OFFICERS Shelagh McGregor 01539 717420 BACKGROUND DOCUMENTS AVAILABLE 30 May Cabinet Revenue and Capital Provisional Outturn Reports Pre Audit Statement of Accounts 2011/12 TRACKING Assistant Portfolio Solicitor to the SMT Scrutiny Director Holder Council Committee My Report 25/06/2012 25/06/2012 28/06/2012 N/A Executive Committee Council Section 151 Monitoring (Cabinet) Officer Officer N/A N/A 26/07/2012 My Report 28/06/2012
5 Page 77 Human Resource Services Manager N/A
6 Page 78 APPENDIX 1
Requested Revenue Carry forwards for outturn report 2011/12
Code Service Area Area (AD) £k Revised Outturn Comment
Consultancy underspend LDF; C/F to fund Land Allocations GLP Local Plans CID (DF) 22.4 Inquiry. Grant underspend mild winter resulting in reduced demand GSH Second Homes Discounts CID (DF) 10.0 from vulnerable households; C/F to fund handyperson scheme. The underspend will be used for homeless prevention work in GHM Homelessness CS (SR) 20.0 2012/13. This saving has been made in addition to the underspend required to fund the overspend on capital GHT Housing Standards CS (SR) 10.0 C/F to pay for part of the stock condition survey Software 12/13 prepayment accrual and Organisational Re- engineering underspend; C/F to fund software prepayment, EXS Corporate Vision CV (DF) 38.2 Fleetmatic tracking devices, Local Link signage, livestreaming of Council meetings. External (DWP grant) income underspend; C/F fund GOP Older People Programme CV (DF) 81.0 completion of programme. External income and software underspend; C/F to fund ERB Revenues and Benefits CF (SMcV) 45.3 website improvements, migration to single platform with Eden, Prarie Fyre software required for new telephony system. Software underspend; C/F to fund replacement telephony ERI Information Services CF (SMcV) 60.1 system. C/F will allow Community Services to connect the Flare EUN Business Support Comm Services CS (SR) 12.9 system to Information at Work which will streamline the handling of documentation and contribute ot ongoing savings. Olympiad approved growth bid underspend; C/F to fund Torch GEV Events CID (DF) 8.4 Relay event. Migration from "Scores On Doors" Food Hygiene Rating GFD Food Safety CS (SR) 3.2 System to "National Food Hygiene System" work commenced but not completed. Additional grant awarded in March 2012 by CLG for preventing GHM Homelessness CS (SR) 30.0 repossession. Will be used in 2012/13 for preventing homelessness. Additional grant funding from CLG awarded in February 2012. GHM Homelessness CS (SR) 18.5 Will be used for the provision of court legal advice for vunerable adults. CCC external income underspend; C/F to fund Kendal Futures GRM Kendal Regeneration Consultancy CID (DF) 2.6 project consultant. Budget underspend and external income underspend (CCC GRP Kendal Regeneration CID (DF) 27.2 and KTC); C/F to fund BIDS study, Welcome Host, Kendal website, New Road de-registation, finger posts. Unspent allowance to be used to fund Chair's dinner in GVR Chair's / Vice Chair's Allowances RES (SMcg) 5.7 2012/13 ECH Human Resources RES (SMcg) 45.0 Corporate training courses postponed during 2011/12 440.5 Revised total for outturn report
Summary £k Community Investment & Development CID 70.6 Community Services CS 94.6 Corporate Vision CV 119.2 Customer Focus CF 105.4 Resources RES 50.7 Social Enterprise SE 0.0 Total 440.5
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Page 80 Capital Outturn 2011/12 including Carry Forward requests APPENDIX 2
Full Year Full Year Variance Over Carry Forward Budget Explanation of major variances Actual / (Under) Requested 2011/12 £ £ £ £ Community Investment & Devt JDW41 Decency Contract 0 1,960 1,960 0 JNA90 Aids and Adaptations 515,000 290,000 (225,000) 0 Funded by Major Repairs Allowance, offset by HRA planned maintenance overspend (below) JNM50 HRA Planned Maintenance 2,120,900 2,355,044 234,144 0 Funded by Major Repairs Allowance, offset by Aids and Adaptations underspend (above) JNM51 Housing Play Areas 20,000 19,956 (45) 0 Budget re-profiled at quarter 3, year end projection overestimated, adjustment requested to carry KGT20 Site Assembly for Affordable Housing 300,000 221,800 (78,200) 78,200 forward KMR22 Castle Dairy 123,750 148,740 24,990 0 £25k spend over the budget was funded by English Heritage Grant KPE11 Environmental Partnerships 0 55 55 0 KPE16 Greenside Limekiln Project 0 3,340 3,340 0 Project completed, final expenditure on project after final HLF grant claim submitted Budget re-profiled at quarter 3, year end projection overestimated, adjustment requested to carry KPG01 Historic Building Grants 10,000 4,467 (5,533) 5,500 forward Budget re-profiled at quarter 3, year end projection overestimated, adjustment requested to carry KRE04 Grange Regeneration Programme 6,700 (497) (7,197) 7,200 forward Budget re-profiled at quarter 3, year end projection overestimated, adjustment requested to carry KRE55 New Road Common - Design 29,431 28,361 (1,070) 1,100 forward
Page 81 Projected to be fully spent by 31 March at quarter 3 based on information from CCC at that time KRE59 Highgate project 260,000 0 (260,000) 260,000 (was reliant on the highways authority for delivery). Latest information from CCC suggests that this will be delivered by September 2012. Total Community Investment & Devt 3,385,781 3,073,225 (312,556) 352,000
Community Services KEG33 Stock Beck Flood Scheme 0 16,544 16,544 0 Compensation payments now complete, no budget in capital programme KEG34 Flood Protection - S Ulv & Burneside 87,900 87,900 0 0 KGT22 Energy Efficiencies 0 (298) (298) 0 Budget re-profiled at quarter 3, year end projection slightly underestimated, adjustment to reduce KGD21 Disabled Facilities Grants 336,000 339,758 3,758 (3,700) 2012/13 budget Empty Dwellings Management Order - 12 No budget for this in Capital programme. Amount spent will be recovered from rent over a number KGM01 0 23,851 23,851 0 Mintsfeet Road of years Budget re-profiled at quarter 3, year end projection overestimated, adjustment requested to carry KGS01 Afford Housing Grants (AHRG) 529,800 493,302 (36,498) 36,500 forward KGX17 TownViewFields Cap Cont Paymt 2,600 37,877 35,277 0 Overspend covered by revenue contribution from savings made in revenue budget Budget re-profiled at quarter 3, year end spend of £1k projected but not spent, adjustment KLR31 Nobles Rest Park Improvements 1,000 0 (1,000) 1,000 requested to carry forward KLR50 Play South Lakeland / Croftlands Play 57,710 64,508 6,798 0 Overspend on Big Lottery funded project Amount paid to contractor to compensate for their capital investment when they first provided the KLR55 Glebe / White Platts crazy golf 0 30,800 30,800 0 service Funding from insurance claim a number of years ago, to go back in capital programme when plans KLS21 Indoor Tennis Centre Ulverston 45,900 0 (45,900) 0 in place to spend it KRE58 Kirkby Lonsdale Rugby Club 7,500 7,500 0 0 KRE99 Lightburn Skatepark 3,050 3,046 (4) 0 KSC91 Vehicle Purchase 231,000 237,127 6,127 (6,000) Projected spend exceeded, carry forward is the adjustment to 2012/13 budget Total Community Services 1,302,460 1,341,916 39,456 27,800
1 Capital Outturn 2011/12 including Carry Forward requests APPENDIX 2
Full Year Full Year Variance Over Carry Forward Budget Explanation of major variances Actual / (Under) Requested 2011/12 £ £ £ £
Corporate Vision Budget re-profiled at quarter 3, year end projection overestimated, adjustment requested to carry KXF51 Access To Services 10,000 5,006 (4,994) 5,000 forward KXF52 Equality 6,900 6,850 (50) 0 Budget re-profiled at quarter 3, year end projection overestimated, adjustment requested to carry KXW21 Climate Change Programme 55,200 40,061 (15,139) 15,000 forward to be spent quarter 1 2012/13 KXX01 Community Allocation 23,700 26,419 2,719 0 £19k saving projected at quarter 3, actual saving £16k Total Corporate Vision 95,800 78,335 (17,465) 20,000
Customer Focus KIT19 Replacement Revs and Bens System 5,000 9,775 4,775 0 £20k saving projected at quarter 3, actual saving £15k KIT90 IT Replacement Fund 50,000 44,954 (5,046) 0 Underspend on budget, funded from reserve so no carry forward required KOS01 One Stop Shop Ulverston 0 2,826 2,826 0 Final retention payments on Ulverston One Stop Shop Total Customer Focus 55,000 57,555 2,555 0 Page 82 Social Enterprise Budget re-profiled at quarter 3, year end projection overestimated, adjustment requested to carry KEP51 Public Conveniences 500,000 429,277 (70,723) 70,700 forward Budget re-profiled at quarter 3, year end projection to spend in full not realised, adjustment KLL16 Rayrigg Meadow Public Jetties 18,000 0 (18,000) 18,000 requested to carry forward KMR01 Clare House Lane Bridge, Grange 273,950 265,711 (8,239) 8,200 Project essentially complete KPY34 Peppercorn Lane Car Park 0 6,710 6,710 0 Final retention payment on old project Budget re-profiled at quarter 3, year end projection overestimated, adjustment requested to carry KPY38 WSC Car Park Pay on Foot 598,500 555,143 (43,357) 43,400 forward Budget re-profiled at quarter 3, year end projection overestimated, adjustment requested to carry KPY41 DDA Works Various Car Parks 115,950 92,122 (23,828) 23,800 forward KXB25 Disabled Access Council Properties 0 3,518 3,518 0 Final retention payment on old project KXB26 SL House Heat Chiller Unit 8,000 (20,450) (28,450) 0 Saving on budget due to overstated accrual from 2010/11. Project complete. Total Social Enterprise 1,514,400 1,332,031 (182,369) 164,100
GRAND TOTAL 6,353,441 5,883,063 (470,378) 563,900
JSL01 SLH Development Agreement 0 135,946,487 135,946,487 0 Housing Stock transfer costs not in capital programme and funded from capital receipt generated
2 Earmarked Reserves Summary 2011/12 Outturn APPENDIX 3
Balance2011/12 Balance 2012/13 Balance Actual Proposed SUMMARY 1 April 2011 Actual Use 31 March 2012 Proposed Use 31 March 2013 PURPOSE OF EARMARKED RESERVE Contribution Contribution £000 £000 £000 £000 £000 £000 £000 GENERAL RESERVES Buffer against future financial risks: superannuation rates, government grant, investment income, administrative recharges, contract review factors (target £1,400,000). This reserve includes £400,000 that was earmarked for the one-off General Reserve 2,323.0 200.0 (872.2) 1,650.8 200.0 - 1,850.8 costs of service reviews. Assistance towards the costs of risk management (target £100,000).
Appropriate non-recurring initiatives that contribute directly to one or more of the LABGI Reserve 280.0 - (114.0) 166.0 - (17.1) 148.9 Council’s priority objectives, with a preference for economic regeneration.
GF Major Repairs Reserve 494.0 50.0 (258.0) 286.0 50.0 (58.8) 277.2 Major repairs and renewals of Council assets IT Replacement Reserve 129.0 45.0 (45.0) 129.0 40.0 (45.0) 124.0 Replacement of IT equipment Economic Development Fund 12.0 - - 12.0 - (4.6) 7.4 Encouraging economic development in the District
Monies provided by Planning Delivery Grant in 2009/10 carried forward for use in Planning Delivery Grant Reserve 127.0 34.4 (25.0) 136.4 - (35.0) 101.4 subsequent years & personal search grant contribution 2011/12. To be used to support one-off costs associated with Examination in Public.
Waste Contract Reserve 108.0 123.0 (48.0) 183.0 - - 183.0 Surplus on internal waste and streetcare contract Monies provided towards preparation of Arts Strategy and related activies carried Local Arts Strategic Partnership - 111.0 - 111.0 - (65.0) 46.0 Page 83 forward for use in subsequent years. New reserve to enable forward funding of schemes eligible for funding through the New Homes Bonus Reserve - 31.9 - 31.9 68.0 (20.0) 79.9 New Homes Bonus protocol; funding approved for Neighbourhood Planning (£20,000) Total: General Reserves 3,473.0 595.3 (1,362.2) 2,706.1 358.0 (245.5) 2,818.6
CAPITAL RESERVES Fund of Revenue Monies for Monies provided from revenue to support the Capital Programme & fund - 107.0 (107.0) - 100.0 (100.0) - Capital Purposes expenditure that may not be capitalisable
Second Homes Income Reserve 71.0 718.0 (581.0) 208.0 197.0 - 405.0 Initiatives to enable the provision of affordable housing
Capital Receipts Reserve - 157,783.0 (144,254.5) 13,528.5 - - 13,528.5 Proceeds of non-current asset sales available to meet future capital investment
Total: Capital Reserves 71.0 158,608.0 (144,942.5) 13,736.5 297.0 (100.0) 13,933.5
OTHER RESERVES Kendal Employment Development 67.0 - (15.7) 51.3 - - 51.3 Assistance to eligible developing firms in the Kendal area Fund
Building Control Fee Income Statutory ring fenced reserve to record surpluses and losses on the trading (6.0) - (154.1) (160.1) - - (160.1) Reserve activities of Building Control, requirement to break even over 3 year period
Land Charges Reserve - 72.7 - 72.7 - - 72.7 New ring fenced reserve to record surpluses and losses on land charges activities
Total: Other Reserves 61.0 72.7 (169.8) (36.1) - - (36.1)
TOTAL GENERAL FUND 3,605.0 159,276.0 (146,474.5) 16,406.5 655.0 (345.5) 16,716.0 EARMARKED RESERVES
1 Earmarked Reserves Summary 2011/12 Outturn APPENDIX 3
Balance2011/12 Balance 2012/13 Balance Actual Proposed SUMMARY 1 April 2011 Actual Use 31 March 2012 Proposed Use 31 March 2013 PURPOSE OF EARMARKED RESERVE Contribution Contribution £000 £000 £000 £000 £000 £000 £000
HOUSING REVENUE ACCOUNT RESERVES Statutory ring fenced reserve to record income from Government's Major Repairs HRA Major Repairs Reserve 875.3 4,562.1 (5,170.4) 267.0 - - 267.0 Allowance and expenditure. HRA Environmental Warranty New reserve to fund environmental insurance in 2022 relating to warranties given - 341.0 - 341.0 - - 341.0 Reserve as part of the housing transfer. TOTAL HRA EARMARKED 875.3 4,903.1 (5,170.4) 608.0 - - 608.0 RESERVES
2012/13 reserve movements not already approved as part of the 2012/13 budget process are highlighted in the table above. Page 84
1 Item No.9
PART I
South Lakeland District Council COUNCIL Meeting Date: 26 July 2012 Report Author: Chris Woods, Democratic and Electoral Services Manager Portfolio: Not applicable Report from: Policy and Resources Director (Monitoring Officer) Wards affected: All Key Decision: Not applicable Forward Plan: Not applicable WHOLE COUNCIL ELECTIONS 1.0 PURPOSE OF REPORT 1.1 Further to Minute C/082 (2011/12), Council asked for a further report on the issue of whole-council elections. This report sets out what needs to be considered should Council decide to agree, in principle at this stage, to this move.
2.0 RECOMMENDATIONS Council is asked to consider following options:- (1) Whether it wishes in principle to move forward with whole council elections and for the consultation process to commence with a report back for a final decision to be taken at a special Council meeting; or (2) Not to consider whole council elections at this stage. 3.0 BACKGROUND 3.1 At present District Councillors are elected in thirds and, if there were to be no change in the current election process, the following election scheme would apply – 2013 – no District Council elections this year but whole-council elections for the County Council are held then, and thereafter every fourth year; 2014 – one-third elected and every fourth year afterwards; and 2015 – one-third elected and every fourth year afterwards.
Page 85 3.2 Arising out of consideration of the Cost of Democracy Task and Finish Group report presented to Council on 15 December 2011, it was agreed that a further report would be brought back to Council on moving to “all out elections”. 3.3 As background, Members should be aware that the Electoral Commission published a report - ‘The Cycle of Local Government Elections in England: Report and Recommendations’ in January 2004. 3.4 The Commission identified the arguments expressed by supporters of partial elections as follows: • More frequent opportunities for electors to exercise their right to vote; • May facilitate more immediate political accountability; • May tend to produce less drastic changes in political direction, and provide greater political continuity; • Can ensure that the political composition of authorities more accurately reflects the current political complexion of local areas; and • May reduce the likelihood that the timing of important or controversial decisions are distorted by the timing of elections. 3.5 In addition, the Commission identified the arguments expressed by supporters of whole elections as follows: • Greater possibility of wholesale change in control may encourage participation; • Too frequent elections may dilute public interest; • Opportunity for all electors in the area to influence the composition of the authority at the same time; and • May tend to encourage greater long-term planning by authorities, and discourage continuous election campaigning. 3.6 The view of the Electoral Commission in the above report was that all local authorities should hold whole-council elections once every four years. 4.0 RESEARCH AND CONSULTATION 4.1 Before being able to make a resolution to change to whole-council elections every four years, the Council must :- • Take reasonable steps to consult such persons as it thinks appropriate on the proposed change; • Convene a special meeting to consider the proposed change; • Have at least two-thirds of those voting at the meeting vote in favour of the proposed change; and • Ensure that the year for the first ordinary whole-council election is specified in the resolution (this cannot be the same year(s) as whole- council elections for the County Council). 4.2 Following appropriate consultation on the proposal, the Council could decide to change to a whole-council election scheme, but the earliest this could take place would be in May 2015, to fit in with other authorities whole council election years. The Council would be required to use its current election scheme (by thirds) in the intervening period.
Page 86 4.3 If such a change was approved by Council then elections for all 51 District Councillors would take place at the same time. On the fourth day after the first whole-council election, the newly elected Councillors elected would come into office and any unelected sitting Councillors would retire. 4.4 If whole-council elections were introduced, Council would need to consider making an order to alter the years of the ordinary election of Towns and Parish Councils so that they coincide with the District Council elections. The Order could make transitional provisions for the retirement of Town and Parish Councillors at different times than would otherwise apply during that transitional period. This would mean that where the Town and Parish Councils shared the same ordinary election dates that the election costs could continue to be shared as they are now. 4.6 In reaching a decision on the principle of moving to whole-council elections, Members may wish to consider whether it would lead to: - • More effective political management; • Stronger leadership without the annual election campaigning every year; • Better corporate planning over a four-year term; • Better planning and delivery of Member development; • Greater political stability without interruptions for other elections; • Some savings, due to less need for annual election days, could be made on the hire of a venue.; • Greater likelihood of contested elections although parties may experience some difficulties with identifying the necessary number of candidates to contest all seats; • Potentially higher electoral turnout due to the more decisive nature of four-yearly elections; and • The risk that significant numbers of new Council Members with little or no experience may be elected. 5.0 PROPOSAL 5.1 The proposal detailed in this report is that Council considers whether it wishes to agree in principle to whole-council elections and thereby carry out a consultation on the issue prior to coming to a decision at a special meeting of the Council. 6.0 ALTERNATIVE OPTIONS 6.1 The alternative option is not to consider the matter further at this time. 7.0 NEXT STEPS 7.1 Should Members decide to move to whole-council elections, there will be more detailed work required in drawing up a new scheme of electoral arrangements for the District Wards. Following consultation with appropriate persons, a special meeting of the Council will need to be held to consider passing a resolution to change to whole-council elections, with a requirement for two-thirds of the Members present to vote in favour for it to be approved.
Page 87 7.2 If Council subsequently resolves to move to whole-council elections, the following prescribed procedure will need to be followed :- • As soon as practicable, an explanatory document has to be produced setting out details of the new electoral arrangements; • The Electoral Commission has to be notified that the resolution has been passed to move to whole-council elections’; and • The passing of any resolution and the availability of the explanatory leaflet would have to be publicised . 8.0 IMPLICATIONS 8.1 Financial and Resources 8.1.1 There would be some additional cost for printing, postage and officer time in carrying out the consultation, and in terms of setting up any exhibitions or public meetings, if required. Such costs would need to be met from within current budgets. 8.1.2 If the Council resolves in due course to proceed with whole-council elections, there would be further transitional costs, but these would be mainly restricted to officer time in formulating the detailed arrangements. 8.1.3 It is likely that savings in the region of £7,000, averaged out per annum, may be achieved if the election scheme was changed to whole-council elections. The main savings would result in those cases where a Ward has 2 or 3 Councillors who would all be elected at the same time instead of running an election in that Ward in each of 2 or 3 years. 8.1.4 There would also be some economies of scale from having induction training for new Members carried out once every four years (barring by-elections). 8.2 Human Resources 8.2.1 There are no Human Resources implications from the proposal. 8.3 Legal 8.3.1 In accordance with Section 31A of the Local Government and Public Involvement in Health Act 2007 (as amended) , should the Council pass a resolution for whole-council elections it may not pass another such resolution until five years later. In addition, Section 53 of the Local Government and Public Involvement in Health Act 2007 makes provision empowering the Council to make an Order to alter the year of ordinary elections for Parish and Towns to coincide with the dates of District elections, should the District Council resolve to move to whole-council elections. 8.4 Social, Economic and Environmental Impact 8.4.1 A sustainability impact assessment has not been carried out. 8.4.2 This proposal is considered to have a neutral impact on sustainability.
Page 88 9.0 RISK ASSESSMENT Risk Consequence Controls required If Members wish to Little extra evidence Clear explanation of the proceed to a consultation upon which to base a purpose of the process that the process final decision. consultation. does not produce any meaningful responses. 10.0 EQUALITY AND DIVERSITY 10.1 An equality and diversity impact assessment has not been carried at this stage. Should Council decide in principle that it wishes to progress with consultation on whole council election, an equality and diversity impact assessment will form part of the consultation process. 11.0 LINKS TO THE CORPORATE PLAN AND PERFORMANCE INDICATORS 11.1 This links with Corporate Plan objective of change which enables the council to work within the resources available. 12.0 CONCLUSION AND EXPECTED OUTCOMES 12.1 The anticipated outcomes are as set out in paragraph 3.6 above, as well as anticipated savings as set out in paragraph 8.1 above. APPENDICES ATTACHED TO THIS REPORT Appendix No. None CONTACT OFFICERS Chris Woods, Democratic and Electoral Services Manager, 01539 717440 [email protected] BACKGROUND DOCUMENTS AVAILABLE The Cycle of Local Government Elections in England – Consultation Pape r, by the Electoral Commission (July 2003) The Cycle of Local Government Elections in England, by the Electoral Commission (January 2004) Local Government and Public Involvement in Health Act 2007 Localism Act 2011 TRACKING Assistant Portfolio Solicitor to the CMT Scrutiny Director Holder Council Committee 13/7/12 n/a 10/7/12 n/a Executive Committee Council Section 151 Monitoring (Cabinet) Officer Officer n/a n/a 26/7/12 18/2/12 13/7/12 Human Resource Services Manager n/a
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Page 90 Item No.10
PART I
South Lakeland District Council COUNCIL Meeting Date: 26 July 2012 Report Author: Emma Ludlam, Scrutiny Officer Portfolio: N/A Report from: Director, Policy and Resources (Monitoring Officer) Wards affected: N/A Key Decision: N/A Forwa rd Plan: N/A OVERVIEW AND SCRUTINY ANNUAL REPORT 1.0 PURPOSE OF REPORT 1.1 This report is presented to summarise the work of Overview and Scrutiny during 2011/12. 2.0 RECOMMENDATIONS It is recommended that the report be received. 3.0 BACKGROUND 3.1 As set out in the Council’s Constitution, ‘Overview and Scrutiny committees must report annually to full Council on their workings.’ 3.2 Included with this Agenda is the Annual Report of Overview and Scrutiny for the period May 2011 – April 2012. 4.0 RESEARCH AND CONSULTATION 4.1 The Report covers the work of the Overview and Scrutiny Committees and their associated Task and Finish Groups over the last twelve months. The report is due to be considered and finalised at the Overview and Scrutiny Coordination Board meeting on 25 July. 5.0 PROPOSAL 5.1 In accordance with the Constitution, Council is asked to receive the Annual Report 2011/12. 6.0 ALTERNATIVE OPTIONS 6.1 None
Page 91 7.0 NEXT STEPS 7.1 It is proposed that once received by Council, the report will be published on the Council’s website and circulated to key partners. 8.0 IMPLICATIONS 8.1 Financial and Resources 8.1.1 There are no direct financial implications. 8.2 Human Resources 8.2.1 There are no human resource implications. 8.3 Legal 8.3.1 Not applicable. 8.4 Social, Economic and Environmental Impact 8.4.1 Has a sustainability impact assessment been carried out? No. Not applicable. 8.4.2 This proposal is considered to have a neutral impact on sustainability. 9.0 RISK ASSESSMENT Risk Consequence Controls req uired None associated with the N/A N/A production of this report. 10.0 EQUALITY AND DIVERSITY Not applicable. 11.0 LINKS TO THE CORPORATE PLAN AND PERFORMANCE INDICATORS 11.1 There are no specific links to the Corporate Plan but the work of Overview and Scrutiny generally aims to be conducive with the objectives of the Plan and to feed into this. 12.0 CONCLUSION AND EXPECTED OUTCOMES 12.1 Council is asked to note and receive the report. APPENDICES ATTACHED TO THIS REPORT Appendix No. 1 Overview and Scrutiny Annual Report 2011/12 CONTACT OFFICERS Emma Ludlam, Scrutiny Officer, ext 7437 BACKGROUND DOCUMENTS AVAILABLE None
Page 92 TRACKING Assistant Portfolio Solicitor to the CMT Scrutiny Director Holder Council Committee 16.7.12 16.7.12 Board 25.7.12 Execu tive Committee Council Section 151 Monitoring (Cabinet) Officer Officer 26.7.12 16.7.12 Human Resource Services Manager
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Page 94 South Lakeland District Council Annual Scrutiny Report 2011/12
www.southlakeland.gov.ukpage 1 Page 95 South Lakeland District Council Annual Scrutiny Report 2011/12
Contents pg
1. Introduction 1
2. Chairmen’s Forewords
Communities Overview and Scrutiny Committee 2
Resources and Partnerships Overview & Scrutiny Committee 3
3. Who is involved with scrutiny? 4
4. 2011/12 Activity in Overview and Scrutiny 5
5. Looking Ahead to 2012/13 9
6. Scrutiny Contact Details 10
Scrutiny Suggestion Form 11
A meeting of the Car Parking Task and Finish Group
Page 96 Annual Scrutiny Report 2011/12 South Lakeland District Council
1. Introduction Another, and arguably more important aspect of the work of Overview and Scrutiny is in the area Welcome to the Annual report of the Overview of policy review, formulation and development. and Scrutiny function at South Lakeland District The council’s Forward Plan (setting out its key Council, which sets out the work of the two decisions for the next four months) includes a Scrutiny Committees and their respective Task consultation timetable for all of the council’s and Finish Groups over the course of the last Policy Framework strategies which are being twelve months. developed, and the relevant Overview & Scrutiny Committee can decide whether it wishes to Scrutiny is a key mechanism for promoting the comment on the policy. In addition the best interests and wellbeing of the District, and Committees can decide to carry out their own ensuring that local people receive high quality investigations into services provided by the services that are relevant to their needs. An council and other public bodies on any matter important role for Overview and Scrutiny is to affecting the area and its residents, provided that assist the council in realising its aim: the proposed outcomes are in line with the council’s Corporate Plan. ‘To make South Lakeland the best place to live, work, and visit’ - Corporate Plan 2012-16 A work programme is approved by each Overview & Scrutiny Committee at the start of the Scrutiny adds value to the council’s decision- year and small Task and Finish Groups are set making process by acting as a ‘critical friend’ and up to carry out work on discrete reviews. These providing challenge when necessary The Groups, supported by officers, carry out diagram below sets out the various roles for the research, interview officers and stakeholders and Committees. consult on specific issues, as appropriate, before presenting a report with recommendations to Overview and Scrutiny has a key role in holding their parent Committee in due course. Cabinet (The Executive) to account. It is able to ‘call in’ Executive Decisions made by Cabinet or Suggestions for topics for reviews are always officers, and can request that Portfolio Holders welcome and if you have an issue that you feel and officers attend Committee meetings to would be suitable, we would like to hear from explain their actions. you. Suggestions can be made using the form at the back of this report.
Provide a ‘critical Reflect the voice friend’ challenge and concerns of to Cabinet, as the public well as to external agencies Basic principles of effective scrutiny Should take the Should make an lead and own the impact on the Scrutiny process delivery of public on behalf of the services public
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2. Chairmen’s Comments Communities Overview and Scrutiny Committee Membership: Councillor Mary Wilson, Communities Overview and Scrutiny Committee Brian Cooper Joss Curwen This year the Communities Overview and Colin Davies Scrutiny Committee has had another busy year. Andrew Gardiner We were able to hold two meetings in Grange- Chris Holland over-Sands as the agenda items were of particular interest to that community. John Holmes Mary Orr Items the Committee has reviewed have included Vivienne Rees the Cumbrian Housing Strategy, the council’s Evelyn Westwood Equality Scheme, the Cultural Strategy and Choice Based Lettings. Janet Willis (Vice-Chairman) Mark Wilson Portfolio holders have reported on their work in Mary Wilson (Chairman) Environment and Sustainability, Housing and Development and Communities and Wellbeing. Issues such as air quality, dog fouling, food hygiene standards, the provision of affordable Co-opted Members housing, street trading and the Community Charles Howarth Safety Partnership were all examined. Robin Martakies Work has continued with Task and Finish Groups on Car Parking, Waste Collection, and a number of service reviews. The Committee met on seven occasions during We have received regular reports from our 2011/12, including two meetings held in the representative on the Cumbria Health and Victoria Hall, Grange Over Sands. Wellbeing Scrutiny Committee.
Once again the Committee has been ably supported by the scrutiny team and our thanks go to them.
Chairman Councillor Mary Wilson
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Councillor Jonathan Brook, Resources and Partnerships Overview & Scrutiny Resources and Partnerships Committee Overview and Scrutiny Committee Membership: This year the Resources and Partnerships Caroline Airey Overview and Scrutiny Committee has looked at Ben Berry a number of issues including the council’s Norman Bishop-Rowe Corporate Financial monitoring, the Forward Plan and the Corporate Plan. Rob Boden Jonathan Brook (Chairman) Several high profile matters have been Stan Collins investigated including the Housing Stock Gill Gardner Transfer and car parking fees and charges. Heidi Halliday A number of reviews have been undertaken to Ian McPherson look into Performance Management and the Cost Andy Shine (Vice-Chairman) of Democracy within the council. Other work has Brian Wilkinson included reviews of the council’s Transformation Mark Wilson Programme, its website and its procurement and complaints handling processes.
The Committee has also interviewed and challenged Cabinet members regarding work Co-opted Members carried on in their Portfolio’s. David Peters John Short Finally, scrutiny has played an important role in the council’s Service Review Programme. As Chairman of the Resources and Partnerships Overview & Scrutiny Committee I have been a The Committee met on seven occasions during member of the Service Review Programme 2011/12, including a meeting in December 2011 Board and various Task and Finish Groups have to hear a call-in on car parking fees and charges. been set up to look at specific aspects of the council’s work that have required further investigation and member involvement.
Once again, it has been an interesting and challenging year for Overview and Scrutiny and the council and local democracy is better for it!
Chairman Councillor Jonathon Brook
Page 99 page 3 South Lakeland District Council Annual Scrutiny Report 2011/12
3. Who is involved with scrutiny?
Councillors Co-optees
Scrutiny is member-led and the process Voluntary Co-optees are members of the public empowers councillors to review the work of who sit with councillors on the Overview and Cabinet, to help enhance and improve the Scrutiny Committees. Currently there are Co- delivery of services to local residents and optees from the Cumbria Association of Local provides a forum for councillors to review Councils (CALC) and the South Lakes Housing performance and provide input into and Tenants’ Committee. Co-opted members influence of policy development. can bring a fresh perspective to the Their role in Scrutiny is to seek review of policies and decisions. improvement in a constructive manner and to act as ‘critical friends’ to the decision- Who is makers. involved in Scrutiny Team Others
The Scrutiny function is scrutiny? To carry out their supported by a number Scrutiny work, of officers who provide councillors liaise with a independent large number and information-gathering, variety of people and analysis, advice and organisations. governance assistance The Public Evidence is typically to those involved in submitted by council Scrutiny. We are always striving to engage with local officers, Cabinet communities and to encourage more public Members, the voluntary involvement in the scrutiny process. Where the sector, other local opportunity presents itself we hold meetings in authorities and the different parts of the District to reach a wider general public. audience, and the public’s views are sought as part of the work programme scoping each year.
page 4 Page 100 Annual Scrutiny Report 2011/12 South Lakeland District Council
4. 2011/12 Activity in Overview (5) There were problems with collecting domestic waste from blocks of flats or and Scrutiny apartments. The Task and Finish Group recommended requesting landlords to Waste Collection provide bin parks and also to provide help for those tenants who needed assistance Although the Review is still underway, the Task in getting their bins to the parks (e.g. the and Finish Group were able to make a number elderly or less mobile). of interim recommendations to the Cabinet in May 2011. (6) In spite of the assisted collections, the design of the blue boxes was still (1) The Task and Finish Group felt that unsatisfactory for many who lacked the communications between the Contact strength or had a distance to carry them. Centre and both staff in the field and the This resulted in the boxes being dragged customers were generally good but could and weakened. The Task and Finish Group be improved. recommended reconsideration of their design. Wheels or a strengthened runner (2) The Group supported strongly the idea of a like a sledge might be considered. mobile communication system which it felt should produce significant savings in time (7) The Group heard that at present some and energy (and money). The Task and people had multiple bins (in one case, Finish Group also recommended that three green bins for a household of two requests for assisted collections should people). The Task and Finish Group include a clear indication of whether this recommended charging for the extra bins, was needed for a limited period (e.g. due since there was an additional cost in to illness) or was permanent. collecting them and in processing the waste. (3) The Group suggested that customers who lodged a query with the Contact Centre (8) Access to some properties had proved should be given the reference number difficult in some areas due to parked cars, assigned to their particular case, to enable often on yellow lines. The Task and Finish it to be tracked both internally and by the Group recommended liaison on this issue customer. with the police, who had the responsibility for removing obstructions from the road. (4) Although commercial waste would no longer be a District Council responsibility (9) The Task and Finish Group supported come April, the Group heard that there strongly the investigation into the collection were continuing problems with second of other types of waste, particularly those homes and holiday lets. Second home likely to generate income, such as textiles. owners frequently let or lent their homes to others. The Task and Finish Group (10) During investigations, the pride which the recommended they be reminded to put operatives took in their work came out notices regarding the arrangements for clearly. The Task and Finish Group collections in a prominent position. It also recommended that the Council took recommended sending a letter to all advantage of this and of their expertise by owners of holiday lets, as well as the consulting them more on the suitability of organisations dealing with letting, clothing and the gear which they used in requesting that they made clear to those their work. In particular, it would seem who occupied the house on a temporary sensible to have at least two of the drivers basis their arrangements about waste of the current vehicles trying out any collection and the regulations concerning replacements which were being considered fly-tipping. for purchase.
Page 101 page 5 South Lakeland District Council Annual Scrutiny Report 2011/12
(11) The Task and Finish Group also supported (7) The Accounts Committee should be the procurement of more efficient vehicles disbanded and the role that the Committee and wanted to emphasise the importance had carried out should be undertaken by of consulting those who drove and loaded the Audit Committee or delegated to the them at an early stage so their expertise relevant Officer as appropriate; contributed to choosing those most suitable to the Council’s circumstances. (8) The council should give consideration to switching to ‘all out elections’; and Cabinet accepted all of the recommendations, and progress is being made, and monitored by (9) The council should give consideration to Scrutiny, in the implementation of these. The reducing the number of Councillors. Portfolio Holder is liaising closely with Members to bring about further changes to improve the Recommendation nine was not taken forward waste collection service delivered to the and further consideration is ongoing in relation to residents of the District. recommendations contained within five and eight. A review of the Scrutiny function will be The Cost of Democracy undertaken later in 2012.
The Cost of Democracy review had been Car Parking established with the remit of looking at how the Authority could make £50,000 worth of savings The Car Parking Task and Finish Group is to the cost of democracy; this was the figure ongoing with an anticipated finish date in identified in the Five Year Savings Options, September 2012, in order to influence next year’s agreed in the 2010/2011 budget process. Budget. Initially, the remit was set as follows: To determine, review and report on the processes The review was completed in November 2011, followed and data used by South Lakeland and the following recommendations District Council in determining its proposals for subsequently put forward by the Scrutiny change in the operation and use of car parks in Committees. the District.’
(1) The budget for Member training needs be An interim report was presented to the reduced from £20,000 to £13,000; Communities Overview and Scrutiny Committee in November 2010, which stated: (2) The Members Contract Hire budget and the Public Transport budget be combined “Whilst there was a hope and anticipation that the and their cumulative budgets be reduced Group would feed into the budget process this from £4,200 to £3,700; year, the findings to date have revealed that further work is required in order for the authority (3) Consideration be given to the Members’ IT to fully benefit from the review. It is considered suite in the Town Hall being made available that a final report will not be produced in time to for external hire; feed into the 2011/12 budget process, but Members of the Group are confident that the final (4) The Scrutiny Expense Budget be reduced outcome of this piece of work will enable the from £3,500 to £1,000; organisation to provide a better service to the (5) The Overview and Scrutiny function be residents of South Lakeland and will allow restricted to a ‘commissioning’ style of Members a fuller understanding of some areas scrutiny, consisting of one main Overview of the operation which will help further inform the and Scrutiny Committee; decisions to be made. In order to meet the key aim of the Corporate Plan – to make South (6) Time to be diarised for Licensing Sub- Lakeland the best place to live, work and visit – Committee meetings to be held on the the impact of car parking policy on residents, rising of full Licensing Committee tourists and businesses alike warrants thorough meetings; consideration.” page 6 Page 102 Annual Scrutiny Report 2011/12 South Lakeland District Council
Since then, the membership of the Group Call-in of Decisions changed following elections in May this year, and the focus has also moved following the call-in of Any decision made by the Cabinet or a Cabinet a decision made last year on car parking fees Members may be ‘called-in’ by other Members and charges. The Group has proposed that a set prior to it being implemented. The called-in of car parking charges trials to be run over the decision is then considered by one of the summer of 2012, to assess the use of individual Overview and Scrutiny Committees as car parks and whether efficiencies can be made appropriate. and the service improved for residents and visitors alike. In addition, the Group will be The Committee may accept the decision, in which case it can be implemented immediately, looking at issues surrounding enforcement and or refer it back to the decision-maker for the impact of the evening charges introduced reconsideration. In some cases the Committee earlier this year. may also decide to refer the decision on to a meeting of the Full Council, particularly if it Monitoring the Implementation of concerns the policy framework. Recommendations During the last twelve months, one Executive Task Group recommendations which are Decision has been called in. This was the call-in accepted by the Cabinet are followed up by the of the decision in relation to car parking fees and Overview and Scrutiny Committees within twelve charges (EX/149 2011/12). The Resources and months to assess the success with which they Partnerships Overview and Scrutiny Committee have been implemented. met in December 2011 to examine the decision, and felt that the matter should be referred to Full Service Review Work Council for consideration. Council subsequently decided to ask Cabinet to consider the matter The council has worked through a again, taking account its representations. comprehensive programme of service reviews over the last twelve months in order to identify As a result, Cabinet revised its original decision. areas for potential improvement of delivery and to maximise value for money. Overview and Another outcome of the call-in of this decision Scrutiny Members were invited to select those was that it has influenced the ongoing Car services which were of greatest interest to them Parking Task and Finish Group review and as a in order to contribute to the reviews from a result the Group recommended carrying out a set councillor perspective. of fees and charges trials across the District over the summer of 2012. Ten service reviews were chosen for consideration: Coronation Hall, Asset Management, Markets, Environmental Protection and Public Health, Recreation Grounds, Kendal Town Hall, Leisure Services, Grants, Homelessness and Grounds Maintenance. To date, all but three of these reviews have been addressed by Scrutiny, and Members’ recommendations have been submitted to the Service Review Board, which is a Member/Officer group, to form part of the final reports to Cabinet. The subsequent Cabinet decisions on these will be made in due course.
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Some thoughts from the last year in ‘On a personal level I have found that being Scrutiny involved with this review and other similar ones has given me an insight into the day to day Below are some views expressed by elected operations of the council which has been Members and Co-optees into the Scrutiny invaluable. I would also like to record my thanks process to my fellow Councillors and our Officers for their wholehearted and frank contribution to this ‘It is important that policies adopted and actions process.’ taken by SLDC are made in the best interests of Councillor John Holmes, Chairman of the the electorate. In this respect the independent Public Health (Service Review) Task and voice of a co-opted member, free from party Finish Group political influence, benefits the scrutiny process and provides a positive and moderating effect on the actions of the council.’ Robin Martakies Co-optee, Communities Overview and Scrutiny Committee
‘Car parking is a very important issue to all of the residents of South Lakeland. I was delighted to get involved in this Task and Finish Group because I have noticed the steady decline of use of the car parks in Ulverston. From talking to residents in my ward cost is clearly an issue and many of them happily admit to parking in residential areas to avoid paying charges, when visiting or going to work in Ulverston. This is obviously not going to be popular with the residents of Ulverston. I am sure the same is happening in other towns across the District.’ Councillor Janet Willis, member of Car Parking Task and Finish Group
‘As Chairman of the review which focused on Recreation Grounds, I can relay some of the findings of the Group. Members heard from various officers, as well as the Portfolio Holder for the service. The Group’s considerations were set against the localism agenda backdrop, with Members discussing whether communities could or should take ownership of their recreation facilities, as well as how adequate the existing facilities were.
The group decided that there is no definitive answer to these questions – however, where there is community will, the council ought to promote this. Where there is interest we should be reactive, and where no interest exists we should be proactive.’ Councillor Chris Holland, Chairman of the Recreation Grounds (Service Review) Task and Finish Group page 8 Page 104 Annual Scrutiny Report 2011/12 South Lakeland District Council
5. Looking Ahead to 2012/13 Upcoming Scrutiny Review Work In June 2012 the Overview and Scrutiny New Legislation and Government Committees agreed their programme of work for Guidance 2012/13. The topics selected for review by task and finish groups are: Police and Crime Panels (PCPs) • Members’ Use of Information Technology The Police Reform and Social Responsibility Act 2011 will replace police authorities across • Street Trading/Licensing England with Police and Crime Commissioners, following an election in November 2012. In • Localism: Devolution, Progress Made and tandem with this, each police area in the country the Means of Delivery (apart from the metropolitan police district) will be required to set up a Police and Crime Panel • The Allocation of Resources to Service (PCP). These are intended to be scrutinising Areas bodies which will exist to hold the new Police and Crime Commissioner to account for how crime is • A Review of the Scrutiny Function tackled their area and to promote transparency in how police business is carried out. Membership of these groups and timeframes for completion have yet to be confirmed. PCPs will be joint committees including elected Members from each area’s local authorities. In In addition, as mentioned earlier in this report Cumbria, the County Council will be there is ongoing work in two existing review administering the PCP, although it won’t be areas – Waste Collection and Car Parking. leading it. Meetings of the Cumbria PCP will be held around the county on rotation.
The progress and effectiveness of the new PCP in Cumbria will no doubt be monitored with interest by elected Members and the public alike.
The Communities Overview and Scrutiny Committee at South Lakeland District Council will continue to undertake scrutiny of community safety issues across the District as part of its remit.
A meeting of the Resources and Partnerships Overview and Members discuss the work programme Scrutiny Committee
Page 105 page 9 South Lakeland District Council Annual Scrutiny Report 2011/12
6. Scrutiny Contact Details
Emma Ludlam Scrutiny Officer 01539 733333 Ext. 7347
Lee Teasdale Democratic Services and Scrutiny Assistant Ext. 7428
More information on the Scrutiny function, including agenda, minutes, ongoing review work and councillor details can be found on the council’s website: www.southlakeland.gov.uk
page 10 Page 106 Annual Scrutiny Report 2011/12 South Lakeland District Council
Get Involved – Have Your Say
Scrutiny Suggestion Form
The Overview and Scrutiny Committees welcome suggestions from members of the public who may wish to suggest an issue for review. Suggestions will be assessed against criteria which the Committees use to decide if a topic should be included in their work programme.
Please let us know of your suggestions via email to [email protected] , or via our website at www.southlakeland.gov.uk//services/council-and-democracy/yourcouncil/committees/ scrutiny.aspx
Alternatively, complete and detach this form and return to: The Scrutiny Officer , South Lakeland District Council, South Lakeland House, Lowther Street, Kendal, Cumbria LA9 4UQ.
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Please note: Overview and Scrutiny can have a significant impact on council policy and decision-making. There are however times when other procedures are more appropriate.
Overview and Scrutiny cannot help in the following areas:
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Page 107 page 11 South Lakeland District Council Annual Scrutiny Report 2011/12
page 12 Page 108 Annual Scrutiny Report 2011/12 South Lakeland District Council
Page 109 page 13 Page 110 Item No.12a
SOUTH LAKELAND DISTRICT COUNCIL
Council
Date of Meeting: 26 July 2012 Part I Report From: Councillor Peter Thornton Leader of the Council Report Title: Executive Report – Promoting South Lakeland Portfolio
Current Issues The following matters have arisen with the Portfolio: Work is commencing on a refresh of the Corporate Plan. An Away Day is planned in August to take this forward. Although the four key priorities are likely to remain the same consideration will be given to the next set of projects to deliver community needs. The Council’s activity is also being proofed against the themes of Greener, Fairer and More Devolved. An update report went to the last Cabinet on the Performance Management Framework and the associated revised Community Engagement Strategy and Equalities Scheme were approved. Resources Overview and Scrutiny Committee are monitoring progress on the Corporate Plan through scrutiny of the performance data produced each quarter. Membership of One South Lakeland (OSC) has been enhanced with representatives from public, private and voluntary sectors and in particular from education and the Local Enterprise Partnership. OSL is looking to ensure there are effective links with new Health & Well-being activity. It is taking an overview of activity on younger people, older people and housing. Focus is needed on higher paid jobs and also Broadband. OSL feel they can influence on these issues. LAPs are rapidly maturing in influencing and shaping service delivery in their areas. There is also effective working together at LAP Chairs meeting on key issues i.e. highways, broadband and affordable housing The journey of the Olympic torch through the district on 21/22 June was a great success. The organisation and effort of many people ensured it was an enjoyable and trouble free event. Thanks go to all staff who organised the event and acted as marshals on the two days. A meeting was held in London on 3 July with Andrew Stunell, the Local Government Minister, Lake District National Park and 5 Cumbrian MPs. SLDC were supporting the LDNP request that Government consider the possibility of using the planning system to control the amount of second homes at no more than 30% in any parish.
Meetings/Training attended 25 May Joint Districts Cumbria Leaders Board 29 May Meeting with Clark’s
Page 111 1 June Centenary of Allen Tech 19 June CHEG Community Planning for developers 20 June Policy Away Day 25 June DCLG Visit 26 June Meeting with Mike Smith, Brewery arts Centre 27 June Royal visit – Kendal Leisure Centre 3 July London 6 July CHEG 9 July Meeting with Graham Wilkinson, Kendal College
Looking Forward (Diari sed events at the time of agenda deadline) 13 July Partnership Day 25 July Cabinet 7 August Cabinet - Policy Away Day
In the coming weeks, work will include:- A meeting is to be held with Cumbria County Council and the district councils to discuss the potential for progressing unitary proposals.
Page 112 Item No.12b SOUTH LAKELAND DISTRICT COUNCIL
Council
Date of Meeting: 26 July 2012 Part I Report From: Councillor Clare Feeney-Johnson Environment and Sustainability Portfolio Holder Report Title: Executive Report
Client Issues
The following matters have arisen with my Portfolio:- • Following a competitive tendering process the stray dog collection and kennelling contract has been let for a three year period from the 1 April 2012. This single contract of collection, acceptance and kennelling of stray dogs is providing a more effective and efficient service and has achieved budget savings of £19,000 for 2012/13 compared with 2011/12. The early indications are that the contractor is providing an improved service that is beneficial to both the public and the Council, which of course will be monitored and reviewed. • Our air quality Updating & Screening Assessment for this year, including an update on the action plan, was submitted to Defra last week. We have yet to hear their comments, I will update you as and when they arrive. Excellent news however, fewer sites are failing the objective figure this year than last. If you would like a closer look at the report and or the figures collected go to the air quality pages on the SLDC web site. • We have just submitted an application for further air quality grant funding to extend / build on the ‘Go Easy on Kendal’s Fresh Air’ behavioural change programme starting soon in Kendal to maintain the momentum. The current campaign launches 14 th July. Website due to go live imminently again when this happens I will alert you when this happens. • Cumbria Crystal has recently submitted an application to vary their environmental permit in order to install an extra furnace for additional production of lead crystal. This will be more efficient, cleaner as well as increasing their production. SLDC regulates them via a permit controlling emissions in to the air. • The transition of the gypsy’s & travellers through the district was again a success, with a few minor problems which will be corrected/addressed ready for next year. This is the result of all partners working well together with a single aim. • I have recently gained Homelessness to my portfolio and would like share with you some excellent initiatives our teams are working/leading on:
The Housing Advice team are responsible for the prevention of homelessness and in addition providing accommodation to certain categories of homeless households for whom prevention has not been possible. The team deal with a diverse range of clients that include clients with a range of issues that might include substance abuse, mental health, and physical disabilities. However the majority of clients are ordinary members of the public who have fallen on hard times due to a range of circumstances that might include loss of employment or income and relationship breakdown.
Page 113 The three main reasons for homelessness which affect the whole spectrum of clients from all walks of life, and mirror the national trend are as follows:-
• End of private sector tenancy – at present anyone losing their accommodation in the private rented sector through no fault of their own will have a right to make a homeless application and be owed a “full housing duty”. This means that although suitable private rented accommodation may be available, those clients are at liberty to refuse that accommodation in preference of social housing, which is in very short supply. Later this year (date to be confirmed) and amendment to the homeless legislation, through the Localism Act, will allow Council’s to discharge the full homeless duty by offering a suitable private sector property
• Parents or other relatives no longer being willing to occupy – the team regularly visit clients at home to clarify circumstances and to provide a “reality check” as to what can and cannot be expected, often this is sufficient to be able to buy the team sufficient time to be able to prevent homelessness.
• Domestic violence – this remains one of the biggest reasons for homelessness in the country, SLDC have a number of Domestic Violence Champions, and the Housing Advice team have a Housing Adviser who is a Domestic Violence Champion, Helen Pearson.
SLDC Private Housing Scheme Pilot
The Housing Advice team are piloting a Private Sector Housing Scheme to help to meet the shortfall in Social Housing. The scheme is such that the Council are the tenants of the private landlord, and sub-let the accommodation on a licence to clients who are homeless or at risk of homelessness. The current pilot is budgeted for 5 properties to include flats and houses. The pilot has only been running since May of this year and there are currently 4 properties comprising two 1 bed roomed flats and two 2 bed roomed houses. The properties are leased from the landlord at rates slightly below current Local Housing Allowance, and the rent charged to the client is higher as it takes into consideration the cost of managing the property and future dilapidations. Landlords are attracted to the fact that they do not need to deal with the tenant, and that their income is guaranteed and the property will be returned in good condition to them. The tenants are visited by the Council at least once a week and support where it is needed is provided by other agencies as a condition of occupation. The plan is to assess the success of the scheme through the pilot, and if successful roll out the scheme on a larger scale later in the year.
Cumbria Single Homelessness and No Second Night Out Project Group
SLDC are leading the above group which was set up in April of this year following an allocation of £176K for the County by DCLG to be spent on initiatives around resolving homelessness amongst single people (single people are only owed the full housing duty if they are especially vulnerable). The No Second Night Out initiative was set up initially in London to ensure that no person spending a night on the street need spend another night on the street once the local authority has become aware of them. The project has been a huge success in London, and has been rolled out across the rest of the country – the aim of the project group is to develop county wide initiatives that will be sustainable, to reduce the incidence of single homelessness and rough sleeping across the whole county. The group are currently engaged in a mapping and needs analysis exercise to determine priorities for spending the grant. Progress will be reported through the Cumbria Housing Executive Group and Cumbria Housing Offices Group.
Public Health and Licensing As always the Public Health and Licensing group are working hard to ensure public health is maintained to a high level across the District. A snap shot of some of their most recent case work shows the diverse range of work they do:
Date: 17/07/2012 Version No: Amended by: 2 Page 114 - An E coli O157 case in a petting farm has resulted in improvement notices being served to reduce infection risks. - The closure of a restaurant in Kendal due to sewage contamination to the dining area and no electrical supply. - A court hearing for a fatal accident at Station Road Car Park has been set for 14 th August 2012 Kendal Magistrates Court. - Licensing to propose greater controls for taxi drivers working in our District, regarding competency tests and conditions to mainly work in our area. To try and reduce insurance scams such as where Hackney Carriage drivers claim they are working only in SLDC area to enable them to get cheaper motor insurance and operate as private hire elsewhere.
I have attached the Public Health and Licensing group plan for 2012/13. This contains a wealth of information, work that is absolutely necessary but mostly unseen. If you have any questions or would like to know more, let me know and I will be more than happy to help. Meetings/Training attended since my last full Council report Kendal College, small business apprenticeship opportunities Informal Cabinet Energy Efficiency pre meet agenda/progress meeting Community Energy planning meeting with As, Director and media officer Clean streets planning meetings Kendal LAP T&F group meeting re Young People needs London 2012 Torch Relay Steering Group As. Director Meetings – budget update/review, CSWP future role, planning for change. Dog Control Orders – questionnaire preparation meeting Litter pick on Sandylands Official Press launch, Torch Relay in South Lakeland & Lakeland Radio interview Launch of Clean Street Campaign to Officers and Members Policy Away Day Media interview – Westmorland Gazette, and MJ re community energy. NWEM - recycling, kerbside and future. Also community energy Kendal Torch Relay – Kendal Judo Club, mini Olympics and Mayors welcome Informal Cabinet Children and Young People Board planning meeting – cross portfolio working Planning for sustainability – cross portfolio working Energy Efficiency board meeting Interview with Border TV, BBC North West, radio Cumbria– re flash flooding Public launch of Clean Street Campaign and consultation on dog control orders/urinating in public. TV interview with Border and photo shoot with Windermere Cllrs and Gazette. Radio Cumbria interview re clean streets and DCO’s As. Director meeting: planning.
Date: 17/07/2012 Version No: Amended by: 3 Page 115 As. Director, media officer and officer planning meeting re community energy, progress on contract and media plan. Cumbria Youth Launch – Keswick LAP chairs meeting re Clean Street/DCO’s and Community Energy Homeless dept update and Kendal Hostel visit Olympic Torch Relay, flag winner’s presentation Action with Communities in Cumbria – Far Sawrey re community energy Future of waste collections Partnership event – South Lakeland Numerous meetings with the Leader and fellow Cabinet members. Looking Forward In the coming weeks, work will include:- • The launch of the Clean Street campaign – on the road. All Members have been emailed the road show dates and venues. I am hoping that as many of you as can, do get involved and help with this consultation process. After all, 81% of residents see dog fouling and littering as an issue in their area. This is our opportunity to help readdress that problem. The Enforcement Officer will also be hitting known hot spots with questionnaires at varying times to capture dog walker’s opinions. If you would like to have a number of questionnaires for your community groups/parish councillors etc please let me know and I can arrange this for you. Mustn’t forget the consultation includes the urination in Public bye-law, which the local community Police will help with on the road show unit when available to do so. If you have any questions or need clarification on either issue let me know as I’m more than happy to answer any questions. • Community Energy scheme launch on the 1 st of August. The contact centre staff training is underway; media planning in place; all forms of communication are now being produced. Information will be included on all the road shows across the district and public events; I will also be having stints at the Bird Cage in Kendal giving out information. Various groups across the District will be informed what to do and how to do it. If you would like to help out in your area, sharing the information please let me know, I’ll ensure you have the information and knowledge of the scheme to help. • Planning has started for the trial introduction of Plastic and Cardboard kerbside collections with a view to a full scheme proposal going to the September Cabinet and starting after the relevant call in and effective communication period. The trial needs to be in an urban area to allow for necessary tonnage predictions to be made and operational details fine tuned. At this stage we are aiming for round one which will include 6500 households across Kendal. • Full review of waste/recycling and how it is collected is being planned in view of the Mechanical Biological Treatment (MBT) plant in Barrow coming on line and the needs that creates to function properly which then diverts all waste from landfill. When the plant is operational, I would like to organise and visit for members to see how it works and what it produces.
Date: 17/07/2012 Version No: Amended by: 4 Page 116 APPENDIX - GROUP PLAN 2012/13 - PUBLIC HEALTH & LICENSING GROUP
GENERAL Action Target/Timescales Lead responsibility Service review action plans Carry out service review actions Completion: December 2012 Tracy Howard - Re-alignment of roles and responsibilities in (TH) structure dependent on outcome of management restructure - Comparison of licensing software and business case for preferred option - Joint procurement with partners Enforcing standards and Meet statutory requirements of the Group and provide On-going – March 2013 ALL maintaining competent team competency training where appropriate. Procedures and web Review/update procedures and web pages for Group On-going – March 2013 TH/AS Communications and publicity Report on outcomes/successes of the Group Quarterly reports to Portfolio holder TH and elected members Provide Licensing Committee Members Licensing
Page 117 training
Management/Team Meetings/Media ALL Corporate Health & Safety Review and update all risk assessments for the Group to Complete October 2012 TH/AS ensure they are up to date and relevant
FOOD SAFETY Action Target/Timescales Lead responsibility Intervention programme Ensure intervention and official control is applied at the March 2012 All food appropriate level linked to risk. 100% A & B officers 100% Unrated Target worst compliers 0-2 rated where applicable and all 80% C others not falling into rating scheme. 75% D & E (Visit or AES using Officer Business assessment and local knowledge) Support Unit Particular focus on working with businesses on compliance with the Food Standards Agency’s Cross-Contamination Guidance. Enforcement Formal action for worst compliers where appropriate e.g. 0-2 Premises tagged for intervention or All food rated businesses handling or preparing high-risk foods. official control during 2012/3 officers These also includes businesses not in rating scheme, but have repeated non-compliance.
Reactive work relative to risk, type of premises and specific Decision based with reference to All food processes that may warrant further action e.g. dual-use enforcement policy and FSA officers vacuum packers, unsafe methods and sous vide in catering. COP/Practice Guidance
Proactive illegal deer poaching monitoring Work with partner agencies/monitoring All food officers Proactive monitoring of fraudulent shellfish registration Work with partner agencies and apply documents for fighting fund if necessary to help All food prevent food fraud officers
Food Hygiene Rating Scheme Issue ratings for Cat ‘E’ businesses and outstanding 100% visits by Area EHO by 31st AS and all ‘unrated’ businesses October 2012 food officers Food and premises complaints Respond in line with procedures and officer assessment of On-going case reviews with PEHO All food risk Review March 2013 officers
Page 118 Infectious disease and outbreaks Respond in line with procedures and HPA guidance On-going case reviews with PEHO All food Review March 2013 officers Shellfish classification sampling Maintain classification status with CEFAS On-going JL Review sampling costs Active partner at NW Shellfish Liaison Group September 2012/March 2013
Food sampling High risk foods/premises only. Local impacts priority. Quarterly plan JL Food/environmental/water Review March 2013 Develop mobile working project On-going development of mobile working system. Live target August 2012 TH/AS for food and other interventions Liaise with potential partner local authorities. On-going March 2013 All food officers
HEALTH & SAFETY Action Target/Tim escales/Review Lead responsibilities Cumbria Work Plan 2012-13 Focus interventions on On-going March 2013 All food and priority areas detailed safety officers within plan Intervention Programme Prioritise highest risk 100% A inspections JGB/HJF businesses, incidents 100% Intervention at B1 and worst compliers 100% Response to incident notifications following major injury
75% Cat C Surveillance AES Caravan sites Scoping exercise to Develop intervention regime and seek partnership i.e. Cumbria Fire and HJF/DCC assess workload and Rescue, Planning and Licensing. Target key tourism area and pilot priority by risk. Inspection interventions for this area by March 2013 follow-up advice/enforcement/licen sing Page 119 Riding schools Inspection of all premises All existing and new premises. JGB/AS in District. Consistent approach to ensure legal standards and BHS guidance followed. Beauty sector Promote safety pack with Target 100% of businesses. Focus on prevention of infection and JL hairdressers, nail-bars dermatitis. and treatment centres Animal Petting Farms Deliver public health Target 100% businesses. Offer guidance and enforcement action if Allocated education to operators on necessary to meet industry guidance. amongst food infectious disease and safety prevention officers LPG Focus on high risk On-going March 2013 JGB premises reported via LLARD database Combined food/health & safety Priority topics gas On-going March 2013 All H & S/ Food interventions safety/LPG and slips and Case reviews by PEHO officers trips. Promote ‘Caterers pack’
Preventing asbestosis and Work with Kendal Develop lessons plans with college staff for construction, trade and shop- AS mesothelioma College to deliver health fitters courses/training prevention education on the risks associated with working with asbestos Swimming Pool Safety Inspection and follow-up Complete remaining inspections and follow-up visits. HJF/BJC with advice/enforcement where necessary.
LICENSING Action Target/Timescales Lead responsibility Person al and premises licences Licence duty holders within statutory timescales On-going. Review March 2013 DS – Page 120 & local targets Implement changes to the Suspensions Licensing Act 2003 by The Police Reform and Social KP/AW – Responsibilities Act 2011. Administration, First tranche of changes April website and 2012. Second tranche expected forms October 2012. Tony Houlihan (TAH)-TENS Produce Licensing Sub-Committee and Licensing On-going DS/TAH/AS/TH Committee Reports where appropriate Review March 2013 Tax is (Hackney, Private Hire and Operators) Licence duty holders within statutory timescales On-going March 2013 ALL and local targets Organise a Taxi Discussion Forum for October August 2012 TAH 2012 Draft Taxi Policy Licensing Committee Report TAH/TH January 2013 Introduce knowledge tests for new or lapsed Sept 2012 TH/TAH drivers Audit and review MOT failures in Hackney Oct 2012 DS Carriage vehicles Review and compare existing ‘convictions policy’ November 2012 DS with other local authorities to benchmark approach Gambling & Lottery Renewals Licence duty holders within statutory timescales On-going ALL Miscellaneous Licences and local targets Review March 2012
Review Gambling Policy Consultation due Sept 2012
Mailshot letter to public houses without a gaming August 2012 KP and AW licence. Amnesty approach to target non-payers. Street Trading Report and policy to Licensing Committee Consultation January 2013 AS and TH Implementation 1 st April 2013 Animal Boarding Establishments & Licence/renew all known operators and Officers proactively seek out DS and TAH Miscellaneous Licensing franchisees unlicensed businesses and activities and regulate as appropriate MALT Engage with partners on problem licensed Quarterly meetings DS and TAH premises and personal licence holders Review ‘listed’ premises
Community Safety Partnership Engage with partners on crime and disorder Assess action plans of Task & ALL Page 121 issues/Work with Task & Finish Groups Finish Groups and identify partnership working opportunities Enforcement Priority driven – high risk businesses and On-going DS and TAH individuals identified through MALT, complaints Review March 2013 and high-risk/welfare driven activities.
Proactive enforcement monitoring of taxis. Licensing Consultati ons Review and update the Environmental Protection Complete Sept 2013 AS/Sean Hall and Licensing protocol. Where necessary provide Include a new procedure to aid relevant and enforceable comments to licensing decisions for objections to TENS applications
Training Deliver member training during 2012/13 on new Complete September 2012 DS/TH/NH changes to the Licensing Act 2003
PUBLIC HEALTH Action Target/Timescales Lead responsibility Diet Roll out healthier menus On-going target that 120 premises to have attained JL/PH award to all caterers the award by March 2013
Formulate shared delivery Sept 2012 TH with Trading Standards Alcohol reduction in young people Participate in Cumbria Alcohol On-going TH Strategy Group and Facilitate communications to reach children and associated Task & Finish young people Groups Tobacco control and protecting children’s Work with partners on Signpost suspect illicit tobacco sales to Trading ALL health reducing smoking, protecting Standards children from smoking and the use of illicit tobacco in South Work with partners to deliver a voluntary ban of TH
Page 122 Lakeland smoking in children’s playgrounds
Monitor smoking and signage offences in workplaces ALL and vehicles
Item No.12c SOUTH LAKELAND DISTRICT COUNCIL
Council
Date of Meeting: 26 July 2012 Part I Report From: Councillor Janet Willis Central Services Portfolio Holder Report Title: Executive Report
Introduction Since becoming portfolio holder for Central Services I have been meeting with the Managers of Customer Services, Legal, Democratic Services, IT and Human Resources. I have also spent time in the Contact Centre listening in to telephone calls. We have established the Member Steering Support Group which will hold its first meeting very soon. We welcome the views of all members, particularly new members, on induction, IT, support, training and communication. I have a particular interest in member and workforce training, particularly in the style of delivery. I am also keen to develop a customer focus through our training and IT. These will be two areas I hope to personally focus on going forward. I hope there will also be opportunities for further efficiencies to be made through shared services and workforce flexibility. Client Issues The following matters have arisen with my Portfolio:- Member Services As a new portfolio holder for Member Services, I have taken a key interest in this area, particularly in how we carry out induction for newly elected Councillors. I have spent some time attending induction events this year to get an overview of what is available. I will be working with the Member Support Steering Group to refine what is on offer to new Members. The Steering Group is an all party group which not only recommends future way forward for our development programme, but also enables two-way communication regarding Member Services and training between the political groups. The Members of the Steering Group are Councillors – Mark Wilson Janette Jenkinson Ian McPherson Gill Gardner John Holmes
Implementation the new modgov system - this has improved the way in which committee agendas are produced and has been live since April 2012. Further enhancements can be expected in the coming months.
Page 123 Human Resources I have reviewed several reports in preparation for JCP and the Human Resources Committee. I have been impressed with the work we are progressing with regards to workforce development, including the submission to be assessed for the bronze award in Investors In People. I am the representative for North West Employers and have attended one meeting in Salford. This meeting covered the challenges we face with regards to pay awards in the current financial climate. In addition to the regular HR workload, the team are currently working on a number of key projects which are summarised below :- • Introduction of ITrent – the implementation of an upgrade to the Payroll/HR computer system to make it compatible with Microsoft Office 2010. The Payroll module is on target for completion by September. • Learning and Development - development of a new strategy, revision of policy and associated documentation in readiness for HR Committee on 19 th July. Preparation is also underway for the Investors in People Award Assessment at Bronze Level. Also the annual Corporate Training Handbook and associated course programme has now been completed. • Restructuring and Service Reviews – work to support these reviews has included the Senior Management Team, Financial Services, Human Resources, Car Parking, IT shared services and various TUPE transfers. • Policy & Procedures - amendments to key policies including Early Retirement, Voluntary Redundancy and Redeployment have been completed. These policies were also considered by the HR committee on 19 th July. • Health, Safety & Wellbeing – there has been a review and implementation of a new health and safety policy and procedures, facilitating cultural change within the Council. There has also been consideration of assessment for the Health and Wellbeing Award linked to IIP accreditation. • Sickness Absence – the set targets for sickness reduction during the year and implementation of a range of monitoring arrangements to reduce absence have been on-going with a significant improvement of the outturn figure for 2011/2012 (8.95 days compared to 10.28 days the previous year.) Customer Services I have reviewed the revised Complaints, Comments and Compliments Policy which was approved by Cabinet on 27 th June. I am confident we have robust procedures in place for dealing with customer complaints and noted that as the new policy has been trialled, the time taken to deal with complaints has reduced. Work is ongoing to bring new services into the contact centre and these include :- • Planning advice – this was brought in during January and has now settled in well.
• Licence applications - all licence applications are being checked and accepted by reception staff. In addition all initial calls are now being taken for licensing. Also part of the licensing renewal process is being carried out by staff in the contact centre.
• Tell Us Once - although small volumes, the number of Tell us Once interviews are increasing with staff at Kendal, Ulverston and Windermere offices having carried out interviews. These follow on from notification of death to the registrar and have been much appreciated by the families concerned.
Date: 17/07/2012 Version No: Amended by: 2 Page 124
IT Services The shared IT service with Eden officially commenced on 1 st April 2012 and this appears to be working very well. In addition to the regular IT, the team are currently working on a range of projects :- • Remote working – a remote working solution has been implemented for Revenues and Benefits staff, this is to ensure better security of data. We are looking at widening the solution to give staff with laptops the ability to work remotely from any location which has an internet connection. The solution securely connects the laptop to the corporate network and allows it to be used as if it were directly connected.
• CRM system (Contact Centre) - working with the CRM supplier to resolve the problems of speed being experienced at both South Lakeland and Eden. We will end up with a CRM implementation at both Councils running on Microsoft platforms making it easier for IT staff to support and also giving much improved response times.
Meetings/Training attended I have attended a range of meetings with Managers/Directors/Assistant Directors and Chief Executive in connection with my new portfolio. Member Induction North West Employers Joint Consultative Panel Human Resources Committee Numerous meetings with the Leader and fellow Cabinet members.
Regional/National/Other Issues None at this time.
Looking Forward In the coming weeks, work will include:- Member Services Unfortunately, we had to cancel the first meeting of the Member Support Steering Group but this will be rescheduled as soon as possible. Some of the issues we will be looking at then will include – Member Induction, IT for Members, Webcasting pilot and the Member Development Charter Award. We are also undertaking a review of the Member Support Strategy to ensure that it reflects the current challenges we face and how we will meet them over the next three years.
Human Resources The assessment for the Investors in People Award Assessment at Bronze Level will have taken place within the next few weeks and I hope to report a positive outcome in my next report. Work will continue with the upgrade of the ITrent system particularly the recruitment and selection module which will allow on line recruitment and automated communication and correspondence.
Date: 17/07/2012 Version No: Amended by: 3 Page 125 The tender for Occupational Health Services in conjunction with Cumbrian Authorities will be completed and the outstanding actions on the 2009/12 Workforce Action Plan will be completed. Following the Management Team Restructure work on the development of a new Workforce Development Plan 2012/15 will recommence.
Customer Services The team are in the final stage of testing for the new web forms that will enable customers to access services from the SLDC web site. This has included external accessibility testing and these forms will be live at the end of July.
In addition, the team are in the process of setting up Food Safety information packs that will be sent out in response to new business enquiries. They have also started designing processes to be used with the homeless team so that the contact centre and reception desk can respond to initial enquiries and take initial details for people who are homeless. This will be live in the contact centre in July/August.
The contact centre staff will be assisting with collating results and responding to enquiries for the Clean Streets project and will also be assisting with the 2012 Register of Electors canvass.
IT The new Microsoft Telephone System design is progressing which will enable us to replace the existing systems and standardise on Lync. We are now planning to replace the contact centre functionality provided by Barrow with a system hosted by SLDC. We are going to share the existing SLDC Internet Connection with Eden as stage 1 of the process of implementing the final shared internet access solution
Date: 17/07/2012 Version No: Amended by: 4 Page 126 Item No.12d SOUTH LAKELAND DISTRICT COUNCIL
Council
Date of Meeting: 26 July 2012 Part I Report From: Councillor Graham Vincent Communities and Well Being Portfolio Holder Report Title: Executive Report
Client Issues The following matters have arisen with my Portfolio:- Older People Programme Kate Kelly, Older People Programme (OPP) Manager attended the One South Lakeland Board on the 15th June and gave a short presentation about the Older People Programme which detailed the work of the Programme, how it complemented One South Lakeland. The Board agreed for the OPP to report as a discrete task and finish group. A workshop will take place on 17th July where partners will discuss the programmes ambition in relation to the remaining year of the programme. It is hoped that the workshop will identify outcomes that can be delivered in the final year. Young People The South Lakeland Young People’s Board has three nominated Task Groups. The Transport Group is due to meet for the first time on 17th July when it will decide exactly what it can reasonably achieve; the object is to use input from young people to try and shape transport services to meet their needs. The Partnerships and Communications Group has met twice and is working towards two goals: promoting a positive image of our young people and enabling better communication between professionals, officers and providers to share news and information. The Adult Support Group was an already established Group which has now come under the umbrella of the Board and supports the development of the Lakeland Youth Council. Youth Council representatives sit on all three Task Groups. Community Engagement The Community Engagement Strategy Update was approved by Cabinet on 27 June 2012. The Clean Streets Consultation covering both Dog Control Orders and the Public Urination in the Street Byelaw launched on 2 July and will run for 12 weeks. The Community Voice Spring Survey results have been released. The results are available on the Consultation section of the website and will be reported in the summer issue of South Lakeland News. Arts & Events The passing of the ‘Olympic Flame’ through our district has been The Event. Arriving in Grasmere, the flame passed through the town, onto Waterhead where it boarded a Windermere Lakes Cruises Steamer and with a flotilla of smaller craft, journeyed along the Lake to Bowness on Windermere.
Page 127 A major event was presented on the Glebe to announce the start of the official countdown to the Olympic Opening Ceremony. Despite adverse weather, a crowd of residents and visitors peaking at about 15,000 enjoyed a spectacular evening, with entertainment from a choir formed for the event by singers from the Brewery Arts Centre and Kendal College performing arts students. They were supported by internationally known music group British Sea Power. This is a popular band with significant local connections. The final event was the premier performance of ‘On The Nightshift’ from the famous Commandos Percu troupe. Early on the following morning, the flame departed from Kendal Castle, travelling through the town, and onto Milnthorpe, from where it left the district. Large crowds of residents of all ages had lined the streets to cheer the Torch Bearers on their way through our district. Schools in particular had strongly supported the event, making flags, and running events to bring the Olympic Games closer to South Lakeland. Cultural Olympiad Projects Wordsworth Trust The Dorothy Wordsworth Festival of Women’s Poetry took place in Grasmere during April. South Lakeland supported this festival which was spearheaded by The Poet Laureate, Carol Ann Duffy. Lakeland Arts Trust This year the trust also celebrates its 50 th anniversary. The headline exhibition is ‘Bacon to Rego’ which shows works by significant 20 th century artists ,including Francis Bacon, Lucian Freud, Michael Andrews, Kitaj ,David Hockney, and Paula Rego. Many of these works are on loan from the Tate, Arts Council and British Council collections. Brewery Arts Centre The Brewery Arts Centre is also celebrating its 40 th anniversary. To celebrate these events, an exciting festival of Japanese culture has taken place, called Bunkasai the event contained animation, food, workshops, exhibitions, and ceramics.
Meetings/Training attended
May 2012 16 th Council 17 th Museum Advisory Board 21 st Events briefing 24 th Local Committee 29 th Highgate Partnership 30 th Cabinet 31 st Portfolio Update Cabinet meets new Members June 2010 6th Public meeting Police Desk Closures Bowness 7th Discuss Portfolio with Director Date: 18/07/2012 Version No: Amended by: 2 Page 128 8th Lake Administration Committee 12th Corporate Vision-next month’s Programme 19 th Council 20 th Cabinet/Management Team Policy Day 26 th Brewery Arts Centre - Forward look 27 th Cabinet Monthly Director meeting 28 th NHS Engagement Manager
July 2012 3rd Safer Stronger Event-Barrow 4th Grants Panel 9th Prepare Partnership Event 10 th Windermere Waterfronts-Brockhole
Regional/National/Other Issues Partnership Working The Partnership Event at Kendal College that took place on 13 th July demonstrated the vast number of partnerships that work together across the district all with the aim of providing better services for our customers and communities. The morning session covered key partnerships working together from Community Safety and Young People to Local Enterprise. The afternoon showcased a number of excellent examples where communities are helping themselves with support from their ward Members and officers across key organisations. The day was supported by 18 exhibition stands from various partners and attended by 160 delegates. Equality The Council’s new Equality Scheme was approved at Cabinet on the 27 June and it’s available to view on the website. Equality training has been delivered to new employees. Looking Forward In the coming weeks, work will include:- Equality A one minute read will be distributed to Members and officers on the Equality Act and SLDC’s Equality Scheme. Equality training is available – contact Member Services for further information.
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Page 130 Item No.12e SOUTH LAKELAND DISTRICT COUNCIL
Council
Date of Meeting: 26 July 2012 Part I Report From: Councillor Ian Stewart Economy and Enterprise Portfolio Holder Report Title: Executive Report
Client Issues The following matters have arisen with my Portfolio:- Coronation Hall Ulverston International Music Festival, 26 th June/1 st July, was another great success and this annual event goes from strength to strength. There were more tickets sold this year than in previous years which is an indication of the growing reputation of the festival. Markets Kirkby Lonsdale Market transferred to Kirkby Lonsdale Town Council on the 1 st April without problems. The other outdoor markets have struggled with the wet weather with reduced stalls visiting on most trading days. Public sector funding for economic growth
The Regional Growth Fund has had a third bidding round, closing in Mid June. The Council has assisted and supported a number of initiatives from South Lakeland based businesses.
Through the Local Enterprise Partnership, Cumbria was awarded Rural Growth Network status and will receive Department for Environment, Food and Rural Affairs (Defa) funding for a number of initiatives to stimulate growth in the rural economy. Sites and buildings in Kirkby Lonsdale, Ulverston and Ambleside have been identified for development as key employment sites / Growth Hubs and Sedbergh will be designated a Growth Hub. Hubs will act as networks for business development advice, support and access to business services.
Meetings/Training attended Attended a variety of meetings.
Regional/National/Other Issues
Glaxo Smith Kline On 22 March GSK announced that the location for its new state-of the art biopharmaceutical manufacturing facility would be in Ulverston, Cumbria. Detailed planning and design of the new facility would now begin, with an anticipated start date for construction of 2014/15. The building of the new biopharmaceutical facility would create at least 350 jobs.
Page 131 Officers are fully engaged with the local GSK site management team, preparing the process for securing planning approval and wider consideration of how supply chain opportunities may be realised and the necessary skills will be delivered in the local labour market. The GSK investment represents one of the most significant inward investments in Cumbria. Within Barrow, BAE have also announced similar scale investment. Together this represents huge opportunity and one in which dialogue is required between businesses, employers, skills providers and local authorities. South Lakeland District Council is active in developing this dialogue
Looking Forward In the coming weeks, work will include:- Car Parks Work continues on the installation of the new pay and display machines. The web based machine control system is working well and is leading to reduced machine outage as alleged problems by users are resolved very quickly. Staff have undergone training in the use of the electronic system and engineer training is expected to take place during the next few weeks. The works to have all the area around the pay machine sites prepared to BS8300 is currently out to tender with responses due by the 11 th July 2012. On street car parking enforcement transferred to Cumbria County Council on the 1 st July. A total of 7 staff have been transferred under TUPE. Cumbria County Council are now responsible for all on street parking enforcement including dispensations, loading and unloading bays and those associated with schools. All Residents Parking areas on street are now also dealt with by the County Council. The District Council will continue to enforce car parks including those where a contractual arrangement exists such as with Booths Supermarket.
Public consultation on car parking tariffs On Saturday 14 July, a three month trial started to test different car parking tariffs at four car parks across the district to see if usage increases. A public consultation last year showed that the people wanted tariffs starting from half an hour rather than an hour. A separate study showed that car parking usage was dropping as charges rose. The Council’s Communities Overview and Scrutiny Committee task group gave careful consideration to this and requested if variations to tariffs in selected car parks could be introduced for a trial period of three months. The trial started on Saturday 14 July and will finish on Sunday 14 October 2012. Four car parks are taking part in Ulverston, Grange over Sands, Kirkby Lonsdale and Kendal and all offer an opportunity to park for half an hour with Stockbridge Lane in Ulverston offering car park users a number of different options.
Stockbridge Lane Car Park, Ulverston 20p per hour 40p for 2 hours 60p for 3 hours 80p for 4 hours £1 for over 4 hours up to 24 hours
Date: 18/07/2012 Version No: Amended by: 2 Page 132
Kents Bank Road Car Park, Grange over Sands 20p for the first half hour New Road 1 Car Park, Kirkby Lonsdale 20p for the first half hour Blackhall Road Car Park, Kendal 50p for the first half hour
The Council is encouraging car park users and residents to give feedback on the new tariffs by emailing [email protected]. Once the trial has finished, the figures and the views of the public will be analysed to assess the impact the trial has had and a report will be sent to Cabinet for a final decision.
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Page 134 Item No.12f SOUTH LAKELAND DISTRICT COUNCIL
Council
Date of Meeting: 26 July 2012 Part I Report From: Councillor Jonathan Brook Housing and Development Portfolio Holder Report Title: Executive Report
Client Issues The following matters have arisen with my Portfolio:-
Local Development Framework • The Land allocations document was submitted on 31 st May; • The period for representations on Local Development Framework compliance with the National Planning Policy Framework ended on July 15th; • The Inspector is currently carrying out initial scrutiny of documents and representations • We have appointed Gillian Dobson as Programme Officer – she is installed in the former TIC. All communication with the Inspector should be through her. She also looks after the examination library.
Affordable Housing • The Council has received five bids for grant funding for affordable housing. This includes four bids from housing associations for a total of 43 new affordable homes and one bid from a Community Land Trust for one affordable home. The bids were due to be considered by Cabinet on 25 July.
Meetings/Training attended
Various meetings of Cabinet and Informal Cabinet Meetings with Parish Councillors and Members re Land Allocations Development Plan Document Housing Advisory Group Eden and South Lakeland Housing Market Partnership Meeting with South Lakes Housing
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Looking Forward In the coming weeks, work will include:-
Local Development Framework • The Secretary of State has appointed an Inspector, Mr Simon Berkeley. He will be carrying out the examination and will set dates and timetables for the oral hearings and the submission of additional evidence;
Date: 18/07/2012 Version No: Amended by: 2 Page 136 Item No.12g SOUTH LAKELAND DISTRICT COUNCIL
Council
Date of Meeting: 26 July 2012 Part I Report From: Councillor David Evans Policy, Performance and Resources Portfolio Holder Report Title: Executive Report
Client Issues The following matters have arisen with my Portfolio:- Policy The policies linked to performance management have been updated – these policies include: • Risk Process: This describes how the Council manages its risks, and was subject to a significant review during 2011 and requires no further updates. Approved by Cabinet. • Performance Management Framework: The framework describes how the Council monitors its performance with priority work. The schedule has been updated to reflect process timescales for 2012 onwards. Approved by Cabinet. • Sustainability Strategy: This new strategy describes the Council’s approach to sustainable use of resources - it is short and written in everyday language. Approved by Cabinet. • Community Engagement Strategy: The strategy has seen a significant review and is now both concise and written in plain English. • Equality Scheme: The scheme has been updated to comply with the Equality Act 2010. • The Community Engagement Strategy and the Equality Scheme have been recommended for approval at Full Council. All approved policies will be published on the website. Revenues and Benefits We have been closely monitoring the Finance Bill currently before parliament which will introduce a Council Tax Reduction Scheme as the replacement for Council Tax Benefit from April 2013. Timescales for agreeing the new scheme are very short as the Council must have it resolved by January 2013 as it has implications for setting the Council Taxbase and on the budget. It is timetabled for a scheme to come before Full Council on 18 th December 2012. At the same time some technical reforms to Council Tax will be available including the possible removal of the 10% discount on second homes which could be used to meet the extra costs of the new Reduction Scheme. The main costs of the scheme are a 10% reduction in Government funding between the current Council Tax Benefit grant and that likely to be paid under the new scheme. In any case it is essential we allow adequate time for consultation with all stakeholders. Installing new or amended software is a key task in this project and our Revenues & Benefits staff have been liaising closely with our suppliers who are confident in meeting the tight deadlines. Significant changes to the Housing Benefit Scheme have been introduced to reflect changes in government rules regarding single persons under 35 years old and the reduced rental levels for certain other claimants. Those affected were informed well in advance so they could prepare and this seems to have been successful. There have been fewer than anticipated aggrieved individuals and less demand than anticipated on the Discretionary Housing Payments budget. This will need to constantly monitored as further changes continue to be phased in throughout this year.
Page 137 Collection levels for Council Tax and Business rates at 30th June are encouraging with both levels being ahead of targets and collection levels at the same point last year. Finance The Council’s Statement of Accounts must be approved by the Council’s s151 officer by the 30 th June each year. This year the accounts were approved by the Assistant Director (Resources) on 29 th June and will be considered by Audit Committee on 19 th July. The Audit Commission will start their audit on 18 th July. The auditor’s report, and any changes required as a result of the audit process, will be reported to the Audit Committee on 26 th September. The production of the accounts is an important element of the financial stewardship of the Council. This year, the transfer of the Housing Stock to South Lakes Housing has a substantial impact on the substance of the accounts, as the amounts involved dwarf the normal business of the Council. A training session explaining the format of the accounts and the role of the Audit Committee in their consideration will take place on 12 th July 2012. Meetings/Training attended Key meetings attended include: • 30 th May – Cabinet • 31 st May – Participatory Budgeting Meeting – Ulverston • 1st June – Cabinet meeting with new councillors • 6th June – South Lakeland Credit Union Study Group AGM • 8th June – Lakes Admin • 14 th June – Castle St Centre AGM • 20 th June – Cabinet Away Day • 25 th June – Communities O&S • 27 th June – Cabinet Looking Forward In the coming weeks, work will include:- Policy The six 2012/13 service plans are being reviewed and adjusted to fit the four new directorates. This will provide a proper structure for performance reporting in quarter two. Revenues and Benefits In the coming months we will be working on replacing the Council Tax Benefit Scheme in response to the government’s proposals for benefit reform. This is a very tight timetable and will take significant officer time to complete. In addition, we will also examine whether changes need to be made to the way in which the Council recovers overpayments of housing benefit. This may be coupled with a tendering exercise for bailiff services. In all these tasks we will try where possible to work closely with Eden DC under the joint service currently in place for Revenues and Benefits services. Finance Finance staff are now concentrating on supporting the budget monitoring process. In addition, an analysis of budgets has started to support the Participatory Budgeting trial. The potential implications of the Local Government Resources Review are starting to become clearer and the latest projections will be incorporated into the update of the Medium Term Financial Plan projections during July.
Date: 18/07/2012 Version No: Amended by: 2 Page 138 Item No.14
Background Information to the Notice of Motion.
1. First TransPennine Express (TPE) have undertaken consultation on their rail timetable proposals for May 2014.
2. TPE are designing their services to provide an electric service between Manchester and Scotland, using the newly electrified route via Wigan. TPE state that this will enable them to increase capacity on the Anglo Scottish route by over 80%, providing benefit to Oxenholme, Penrith and Carlisle.
3. With the change in rolling stock, there will be fundamental change in how TPE operates. Operation of the current number of ‘portion trains’ will no longer be possible, the impact being that Anglo-Scottish services no longer convey portions for Barrow and Windermere, thereby reducing the number of through services to and from Manchester.
4. Users, Community Rail Partnerships and local organisations, including this Council, have made representations, raising concern at the reduction in number of through services. TPE are engaging with representors to develop and refine their timetable proposals.
5. TPE state that they are at the start of their engagement plans. It is expected that TPE will meet with stakeholders. Timetables are expected to be finalised by February 2013.
6. A further consideration is the change in rail franchise in 2014 and the setting of specification for services in the franchise. Cumbria County Council is in discussion with the Department for Transport and Transport for Greater Manchester on this matter.
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