Dear Sir/Madam, a Meeting of the CABINET Will Be Held in The

Enquiries to:

Jackie Essex

Direct Dial: 024 7637 6561

Direct Email:

Date: 22nd November, 2016

Dear Sir/Madam,

A meeting of the CABINET will be held in the Committee Room A, Town Hall, Nuneaton on Wednesday, 30th November, 2016 at 6.00 p.m.

Please note that meetings may be recorded for future broadcast.

Yours faithfully,

ALAN FRANKS

Managing Director

To: Members of Cabinet

Councillor D. Harvey (Finance and Civic Affairs (Leader)) Councillor J.A. Jackson (Housing (Deputy Leader)) Councillor D. Aldington (Planning and Development) Councillor I.K. Lloyd (Arts and Leisure) Councillor G.D. Pomfrett (Central Services) Councillor B.J. Longden (Health and Environment)

Cabinet - 30th November, 2016 1

AGENDA

PART I

PUBLIC BUSINESS 1. EVACUATION PROCEDURE

A fire drill is not expected, so if the alarm sounds please evacuate the building quickly and calmly. Please use the stairs and do not use the lifts. Once out of the building, please gather outside the Yorkshire Bank on the opposite side of the road.

Exit by the door by which you entered the room or by the fire exits which are clearly indicated by the standard green fire exit signs.

If you need any assistance in evacuating the building, please make yourself known to a member of staff.

Please also make sure all your mobile phones are turned off or set to silent.

I would also advise you that the meeting if all or part of the meeting will be recorded for future broadcast.

2. APOLOGIES - To receive apologies for absence from the meeting.

3. DECLARATIONS OF INTEREST

To receive declarations of Disclosable Pecuniary and Other Interests, in accordance with the Members’ Code of Conduct.

Declaring interests at meetings

If there is any item of business to be discussed at the meeting in which you have a disclosable pecuniary interest or non- pecuniary interest (Other Interests), you must declare the interest appropriately at the start of the meeting or as soon as you become aware that you have an interest.

Arrangements have been made for interests that are declared regularly by members to be appended to the agenda (Page 6). Any interest noted in the Schedule at the back of the agenda papers will be deemed to have been declared and will be minuted as such by the Democratic Services Officer. As a general rule, there will, therefore, be no need for those Members to declare those interests as set out in the schedule.

There are, however, TWO EXCEPTIONS to the general rule:

1. When the interest amounts to a Disclosable Pecuniary Interest that is engaged in connection with any item on the agenda and the member feels that the interest is such that they must leave the room. Prior to leaving the room, the member must inform the meeting that they are doing so, to ensure that it is recorded in the minutes.

Cabinet - 30th November, 2016 2

2. Where a dispensation has been granted to vote and/or speak on an item where there is a Disclosable Pecuniary Interest, but it is not referred to in the Schedule (where for example, the dispensation was granted by the Monitoring Officer immediately prior to the meeting). The existence and nature of the dispensation needs to be recorded in the minutes and will, therefore, have to be disclosed at an appropriate time to the meeting.

Note: Following the adoption of the new Code of Conduct, Members are reminded that they should declare the existence and nature of their personal interests at the commencement of the relevant item (or as soon as the interest becomes apparent). If that interest is a Disclosable Pecuniary or a Deemed Disclosable Pecuniary Interest, the Member must withdraw from the room.

Where a Member has a Disclosable Pecuniary Interest but has received a dispensation from Standards Committee, that Member may vote and/or speak on the matter (as the case may be) and must disclose the existence of the dispensation and any restrictions placed on it at the time the interest is declared.

Where a Member has a Deemed Disclosable Interest as defined in the Code of Conduct, the Member may address the meeting as a member of the public as set out in the Code.

Note: Council Procedure Rules require Members with Disclosable Pecuniary Interests to withdraw from the meeting unless a dispensation allows them to remain to vote and/or speak on the business giving rise to the interest.

Where a Member has a Deemed Disclosable Interest, the Council’s Code of Conduct permits public speaking on the item, after which the Member is required by Council Procedure Rules to withdraw from the meeting.

4. MINUTES - To confirm the minutes of the Cabinet meeting held on the 2nd November, 2016 (Page 8)

5. PUBLIC CONSULTATION - Members of the public will be given the opportunity to speak on specific agenda items if notice has been received.

6. QUARTERLY REVIEW OF STRATEGIC PERFORMANCE REPORT (END OF SEPTEMBER 2016) - report from the Governance, Risk Management and Performance Officer attached (Page 14)

7. GENERAL FUND AND HOUSING REVENUE ACCOUNT QUARTERLY BUDGET MONITORING REPORT – QUARTER 2 2016/17 UPDATE – report from the Director – Finance and Procurement attached (Page 29)

8. TREASURY MANAGEMENT 2016/17 – MID YEAR REVIEW – report from the Director Finance and Procurement attached (Page 42)

9. LOCAL COUNCIL TAX SUPPORT 2017/18 – report from Head of Revenues and Benefits attached (Page 58)

Cabinet - 30th November, 2016 3

10. BOROUGH PLAN WORKING PARTY – report from Director – Regeneration and Public Protection attached (Page 78)

11. REGULATION OF INVESTIGATORY POWERS ACT 2000 – report of the Director – Governance and Recreation attached (Page 83)

12. REVIEW OF PARLIAMENTARY CONSTITUENCY BOUNDARIES IN ENGLAND - report of the Managing Director attached (Page 159)

13. RECOMMENDATIONS FROM OVERVIEW AND SCRUTINY PANELS

None

14. ANY OTHER ITEMS which in the opinion of the Chair of the meeting should be considered as a matter of urgency because of special circumstances (which must be specified).

15. EXCLUSION OF THE PUBLIC AND PRESS

RECOMMENDED that under section 100A(4) of the Local Government Act 1972, the public and press be excluded from the meeting during consideration of the following item, it being likely that there would be disclosure of exempt information of the description specified in paragraph (iii) of Part I of Schedule 12A to the Act.

PART II – EXEMPT ITEMS

16. GROUNDS MAINTENANCE CONTRACTS EXTENSION – report of the Director – Governance and Recreation attached (Page 181)

Cabinet - 30th November, 2016 4

CORPORATE PLAN AIMS AND PRIORITIES

Aim 1 - To improve the quality of life and social justice for residents so it is much closer to that enjoyed by the rest of Warwickshire.

Priority 1 - To provide a choice of housing to meet the needs of the residents of the Borough.

Priority 2 - To create a healthy, diverse and robust economy which provides employment opportunities for local people.

Priority 3 - To work in partnership to improve health and reduce health inequalities for residents in the Borough.

Priority 4 - To develop a confident, cohesive and diverse community.

Aim 2 - To work in partnership to reduce the level of crime and disorder so that the community is and feels safer.

Priority 1 - Dealing with anti-social behaviour by working in partnership and provide diversionary activities to engage with youngsters.

Priority 2 - Environmental improvements and support for selective CCTV to reduce fear of crime.

Priority 3 - Use of the Council's enforcement powers to support community safety initiatives.

Aim 3 - To provide a pleasant environment for those living, working and visiting the Borough.

Priority 1 - To create a greener and cleaner environment.

Priority 2 - To lead in environmental issues addressing climate change and protection of the environment.

Aim 4 - To provide quality services which represent value for money.

Priority 1 - To continue to improve the performance and quality of key services.

Priority 2 - To improve access arrangements for all Council services and the way that those who use them are treated.

Priority 3 - To use value for money procedures to test the way all services are delivered.

Cabinet - 30th November, 2016 5 Cabinet - Schedule of Declarations of Interests

Name of Disclosable Other Personal Dispensation Councillor Pecuniary Interest Interest

General Granted to all members dispensations of the Council in the granted to all areas of: members - Housing matters under s.33 of - Statutory sick pay the Localism under Part XI of Act 2011 the Social Security Contributions and Benefits Act 1992 - An allowance, payment given to members - An indemnity given to members - Any ceremonial honour given to members - Setting council tax or a precept under the Local Government Finance Act 1992 - Planning and Licensing matters - Allotments D. Harvey Non-Executive Director Dispensation to speak & with Nuneaton and vote Bedworth Community Enterprises Limited D. Harvey Director on the Pride of Camphill Board J. Jackson Any matter relating to Dispensation to speak the Employment and vote on matters that policies and do not relate specifically procedures of to her husband’s Nuneaton & contract of employment Bedworth Borough or the service unit in Council or SLM which he is employed Community Leisure (by reason of her husband’s employment with Nuneaton and

Cabinet - 30th November, 2016 6 Bedworth Borough Council and Sport and Leisure Management) J. Jackson Member of Warwickshire County Council J. Jackson Non-Executive Director Dispensation to speak & with Nuneaton and vote Bedworth Community Enterprises Limited

Cabinet - 30th November, 2016 7 - 24 -

NUNEATON AND BEDWORTH BOROUGH COUNCIL

CABINET 2nd November, 2016

A meeting of the Cabinet was held at the Town Hall, Nuneaton, on Wednesday, 2nd November, 2016. Present

Councillor D. Aldington (Planning and Development) Councillor D. Harvey (Finance and Civic Affairs (Leader)) Councillor J.A. Jackson (Housing and Communities (Deputy Leader)) Councillor I.K. Lloyd (Arts and Leisure) Councillor B.J. Longden (Health and Environment) Councillor G.D. Pomfrett (Central Services)

CB38 Minutes

RESOLVED that the minutes of the meeting held on the 28th September, 2016 be approved and signed by the Chair.

CB39 Declarations of Interest

The Declarations of Interest for this meeting are as set out in the Schedule attached to these minutes.

CB40 Draft General Budget 2017/18

A report from the Director - Finance and Procurement was submitted to Cabinet presenting the Draft General Fund budget position for 2017/18 along with a number of savings proposals. The draft budget was prepared based on estimates, pending the Spending Review on 23rd November 2016.

RESOLVED that

(a) The draft General Fund budget position for 2017/18 as set out at section 3.13 of the report be noted;

(b) The savings proposed for 2017/18 as set out at section 3.14 of the report be approved and the remaining budget deficit for 2017/18 be noted;

(c) Due to the budget implications and the timescales required to either implement the savings at 3.14 of the report or seek alternative savings, that this item be marked not for call in; and

(d) To comply with the Budget & Policy Framework procedure rules in Part 4 C of the Constitution, the chairs of the Overview and Scrutiny Panels be notified of the budget proposals, as set out in paragraph 3.19 of the report.

Cabinet - 30th November, 2016 8

- 25 -

Speakers:

Councillor K.A. Kondakor Michele Kondakor Councillor K. Wilson

Options:

1. To accept the report 2. To not accept the recommendations and propose alternative savings for 2017/18

Reasons:

The council must set and maintain a balanced budget each year.

CB41 Capital and Asset Strategy and Asset Management Action Plan for the period 2016 - 2018

A report from the Director – Assets and Street Services sought approval of the Capital and Asset Strategy and Asset Management Action Plan for the period 2016 – 2018

RESOLVED that the Capital and Asset Strategy and Asset Management Action Plan for the period 2016 – 2018, attached at Appendix 1 of the report be approved.

Speakers:

Councillor K.A. Kondakor

Options:

1. To accept the recommendations within the report 2. To not accept the recommendations within the report

Reasons:

To provide better value for money to the Council through excellent asset management

CB42 Review of Parliamentary Constituency Boundaries in England

A report from the Managing Director was submitted to Cabinet presenting the proposals published by the Boundary Commission for England (BCE) in respect of its initial proposals for the review of Parliamentary Constituency Boundaries in England.

RESOLVED that this item be deferred to a future meeting of Cabinet where a further report is to be submitted to include more information on the commission’s proposals and the details of the constituencies in which the 5 wards of Bedworth would lie.

Cabinet - 30th November, 2016 9

- 26 -

Speakers:

Councillor K.A Kondakor Councillor K.D. Wilson

Options:

1. To approve the recommendation 2. Do not approve the recommendation or amend the recommendation

Reasons:

To obtain further information on the Boundary Commission for England’s initial proposals for the review of Parliamentary Constituency Boundaries in England.

CB43 Recommendations from Overview and Scrutiny Panels

There were no recommendations from Overview and Scrutiny Panels.

CB44 Exclusion of Public and Press

RESOLVED that under section 100A(4) of the Local Government Act 1972, the public and press be excluded from the meeting during consideration of the following item, it being likely that there would be disclosure of exempt information of the description specified in paragraph (i) and (ii) of Part 1 of Schedule 12A to the Act.

CB45 Sheltered Housing Options

A report from the Director – Housing and Communities was submitted to Cabinet to request approval to commence consultation in relation to the creation of an Independent Living Service, to replace the existing Sheltered Housing Service.

RESOLVED that

(a) authority be given to commence consultation with Service Users, Staff and relevant Stakeholders regarding the proposal contained in the report;

(b) a report be brought back to a future Cabinet meeting with the outcome of the consultation process; and

(c) a letter to be written to the 3 MP’s asking them to attend a meeting with the Portfolio Holder for Housing and Communities and the Director – Housing and Communities to establish the precise implications of the Government policy for the residents of Nuneaton and Bedworth.

Speakers:

Councillor K.A. Kondakor

Cabinet - 30th November, 2016 10

- 27 -

Options:

1. To endorse the commencement of consultation on the basis of the proposal contained within this report. 2. To not accept this proposal and identify an alternative proposition for consultation/ to not accept this proposal and identify alternative options to reduce the Housing Revenue Account budget requirement.

Reasons:

To identify suitable future service provision for residents of Sheltered Housing and to obtain the views and suggestions of service users, staff and relevant Stakeholders in order to inform a future Cabinet key decision.

______

Chair

PUBLICATION DATE: 10th November, 2016

DECISIONS COME INTO FORCE: 18th November, 2016

Cabinet - 30th November, 2016 11 Cabinet - Schedule of Declarations of Interests

Name of Disclosable Other Personal Dispensation Councillor Pecuniary Interest Interest

Cabinet - 30th November, 2016 12 Bedworth Borough Council and Sport and Leisure Management) J. Jackson Member of Warwickshire County Council J. Jackson Non-Executive Director Dispensation to speak & with Nuneaton and vote Bedworth Community Enterprises Limited

Cabinet - 30th November, 2016 13 Agenda item: 6

Cabinet/Individual Cabinet Member Decision

Report Summary Sheet

Date: 30th November 2016

Subject: Quarterly review of Strategic Performance Report (End of September 2016)

Portfolio: Central Services (Councillor G.D Pomfrett)

From: Governance, Risk Management and Performance Officer

Summary: The Strategic Performance Report and Commentary provides an overview of the council’s position under the following key categories: • Finance and Resources • People and Service Delivery • Processes • Prospects for Improvement

In line with the Council’s Performance Management Framework, the report is reviewed monthly by Management Team and quarterly by Cabinet.

Recommendations: That Cabinet review the Strategic Performance Report to address issues arising and potential improvement actions.

Cabinet - 30th November, 2016 14 Options:

• Note the report

• Note the report and request feedback on action being taken to improve indicators

Reasons: Concern over under-performance

Consultation undertaken with Members/Officers/Stakeholders None

Subject to call-in: Yes

Ward relevance: None

Forward plan: No

Corporate Priorities: Aim 4, priority 1 - To continue to improve the performance and quality of key services

Relevant statutes or policy: Performance Management Framework

Cabinet - 30th November, 2016 15 Equalities Implications: None

Human resources implications: None

Financial implications: None

Health Inequalities Implications: None

Section 17 Crime & Disorder Implications: None

Risk management implications: None

Environmental implications: None

Legal implications: None

Contact details: Steve Gore, Tel: 02476 376155, e-mail [email protected]

Cabinet - 30th November, 2016 16 AGENDA ITEM NO. 6

NUNEATON AND BEDWORTH BOROUGH COUNCIL

Report to: Cabinet, 30th November 2016

From: Governance, Risk Management and Performance Officer

Subject: Quarterly Review of Strategic Performance Report – 2nd Quarter 2016/17

Portfolio: Central Services (Councillor G.D. Pomfrett)

1. Purpose of Report

The purpose of this report is to provide the Council’s Strategic Performance Report for quarterly review by Cabinet.

2. Recommendations

That Cabinet review the Strategic Performance Report to address issues arising and potential improvement actions.

3. Background

3.1 The Strategic Performance Report provides an overview of the Council’s position under the following key categories: • Finance and Resources • People and Service Delivery • Processes • Prospects for Improvement

3.2 The report uses a “trend system” comparing results over the latest three periods (month or quarter). Exception reporting of under-performing area(s) is the methodology applied and the report is supplemented by the “Commentary for Strategic Performance Report” to provide additional information.

3.3 The Council’s Performance Management Framework requires that the report is reviewed monthly by Management Team and by Cabinet on a quarterly basis. The latest report available is also provided quarterly for Overview and Scrutiny Panels.

Cabinet - 30th November, 2016 17 4. Latest Report – End of September 2016

4.1 At the end of the second quarter 2016, seven of the eleven key categories are showing a positive trend, two have stayed the same and two are showing a negative trend (compared to 4, 4 and 3, respectively in the first quarter).

Note: Two categories are not showing trend indicators: • Customer feedback by channel (overall) – a system is in development • CCTV incidents – trend indicator is not applicable

4.2 Negative trends:

• Council Tax collection is 57.65% (just below the profiled range of 57.90 – 61%), but within 0.5% tolerance

• The Corporate Plan Delivery Plan shows that 86% of actions are “green” (on target) at the end of the second quarter ( compared to 89% for the first quarter)

NOTE: Although working days lost to sickness absence shows an improved trend, the result is 7.07 days per full time equivalent against the profiled measure of 4 days (target of 8 days for the end of the year)

4.3 Exception Reporting:

Three measures are highlighted for exception reporting (below the benchmark for good performance):

• PEOPLE AND SERVICE DELIVERY – processing Housing Benefit changes of circumstances claims. Although a continued improved trend, currently 10.86 days is slightly over the 10 days benchmark

• PEOPLE AND SERVICE DELIVERY – the standard of grounds maintenance work (informal areas). Again a continued improved trend, but 59% currently against the 65% – 75% benchmark as there have been issues specifically with path overhangs and a lack of path edge spraying

• PROCESSES – quarterly health and safety assessment is 69% against the 80% benchmark. Areas not meeting the target relate to risk assessment / safe systems of work monitoring in Waste Management – resource issues are currently being addressed.

Cabinet - 30th November, 2016 18 5 Conclusion

An overall positive position at the end of September 2016 with 7 (64%) of the 11 showing an improved trend and only 2 (18%) showing a negative trend.

6. Appendices

Strategic Performance Report

Commentary for Strategic Performance Report

7. Background Papers

None.

Cabinet - 30th November, 2016 19 STRATEGIC PERFORMANCE REPORT SUMMARY:OCTOBER 2016 (data at the end of September 2016)

1. Finance and Resources Good Current Month - Comment Performance July August September Trend # = see commentary

£0 -(£150k) 62 1 37 Revenue Forecast Outturn (surplus)/deficit

£0 -(£250k) (217) (305) (372) HRA Revenue Outturn

£0 -(£150k) 0 0 0 GF Capital Programme Spend

£0 -(£250k) 0 0 0 HRA Capital Programme Spend Profiled measure is shown in 60.27% 64.28% 70.36% brackets. Trend compares Improvement (65 - 67%) (70 - 72%) (75 - 77%) performance against profiled target Sundry Debt Collection* for the latest two months. Profiled measure is shown in 38.98% 48.38% 57.65% brackets. Trend compares 97.10% - 100% (39.15 - (48.40 - (57.90 - performance against profiled target 42%) 51%) 61%) Council Tax Collection* for the latest two months.

Profiled measure is shown in 38.83% 47.75% 57.12% brackets. Trend compares 98.25% - 100% (39.40 - (48.20 - (57 - Business Rates Collection* performance against profiled target 41.20%) 50.75%) 58.13%) for the latest two months.

2. People and Service Delivery Good Current Month - Comment Performance July August September Trend # = see commentary

A new system is currently in Top quartile development. Customer feedback by channel (overall)* above 56% Top 10 councils 73 - 86%

One month in arrears of other indicators.Profiled measure is shown NI 192 – Percentage of total waste recycled 48.98% 46.00% in brackets. August data not available (43 - 45%) and composted* in time for this report (base data not available from the County Council).

CCTV – Number of incidents captured that Cumulative (year to date) data is Not applicable 138 156 191 Not Applicable lead to, or assist in police arrests* shown.

3. Processes Good Current Month - Comment Performance July August September Trend # = see commentary Trend is positive or negative performance comparing the current 4.68 5.99 7.07 individual month performance (1.08 8 days (2.68) (3.35) (4.00) days) against the previous month CELPI 14 - Working days lost to sickness (1.31 days). Profiled measure shown absence (in days per full time employee)* in brackets. # End of September 2016 half year 100% 83% update is shown. End of year 2015/16 Personal Development Reviews (annual)* was 79%.

4. Prospects for Improvement Good Current Quarter- Comment Performance 4th, 2015/16 1st, 2016/17 2nd, 2016/17 Trend # = see commentary Quarterly Corporate Plan Delivery Plan 80% 73% 89% 86% # monitoring process*

* = NOT exception reporting. Exception reporting is deviation between actual occurrence and expectation which warrants management investigation.

Cabinet - 30th November, 2016 20 STRATEGIC PERFORMANCE REPORT SUMMARY: OCTOBER 2016 (data at the end of September 2016)

Exception Reporting (deviation between actual occurrence and expectation which warrants management investigation) Good Comment Performance July August September Trend # = see commentary

PEOPLE AND SERVICE DELIVERY - 10 days (DWP CFLPI 12 - Housing Benefit Processing of national 12.98 days 11.71 days 10.86 days changes of circumstances claims average)

PEOPLE AND SERVICE DELIVERY - Main issues are path overhangs and lack of path PULPI 21b – Standard of Grounds 65 - 75% 57% 58% 59% edge spraying. Maintenance work (Informal areas)

Cabinet - 30th November, 2016 21 Sheet 1 of 7

Commentary for Strategic Performance Report

Month: October 2016 (Data at the end September 2016)

People and Service Delivery

September complaints by subject: Service Area No. No. No. No. Waiting to Received Completed Completed be accepted Or outside 10 acknowledged days in 10 days Housing* 14 7 5 1 Council Property 1 1 0 0 Waste Management # 9 0 1 1 Democracy 1 0 1 0 Customer Services 3 3 0 0 IT & C 2 2 0 0 Leisure and Culture* 6 4 1 0 Finance* 2 1 0 0 TOTAL 38 18 8 2 18/38 = 47.4%. * = 1 under investigation (not acknowledged), # = 7 under investigation (not acknowledged)

September Freedom of Information Requests 22 FOIs. Date of report 3 Oct 2016 Please note that all FOI’s are automatically acknowledged 10 Awaiting action – 1 outside 20 days: Finance 9 Awaiting allocation – 0 outside 20 days: 3 Reviewing Request – 0 outside 20 days

Website Development The website is designed for both desktop and mobile. Self-Serve website and mobile app is live, with more services in development.

Cabinet - 30th November, 2016 22 Sheet 2 of 7

Month: October 2016 (Data at the end September 2016)

Commentary for Strategic Performance Report

Processes

Absence Management

“Red” (below target) as the result for September 2016 is 1.08 days/FTE (1.31 days/FTE last month). The cumulative April – September 2016 is 7.07 days/FTE against the profiled target for September of 4.00 days/FTE. The target for 2016/17 is 8 days/FTE. By comparison, the September 2015 result was 0.85 days/FTE and the cumulative April – September 2015 was 4.40 days/FTE.

Summary for the month: Service Unit No. of FTE FTE Total Total Long Year FTE Short Long FTE Days term to Term Term Days Lost days Date Days Days Lost per lost Lost Lost FTE per Days (no. of (no. of FTE Lost cases) cases) per FTE Directorate 2.9 0 (0) 0 (0) 0 0.00 0.00 0.00 Assets and Street Services 133.76 59.01 (10) 90.29 (4) 149.3 1.12 0.68 7.92 Business Improvement 48.69 39.78 (6) 52.27 (4) 92.05 1.89 1.07 10.33 Finance and Procurement 65.14 1.62 (1) 23.62 (2) 25.24 0.39 0.36 2.04 Governance and Recreation 41.46 0 (0) 7.2 (1) 7.2 0.17 0.17 3.37 Housing and 195.27 Communities 214.26 98.26 (23) (13) 293.53 1.37 0.91 8.48 Regeneration and Public Protection 51.05 19.2 (5) 17.18 (2) 36.38 0.71 0.34 5.89 217.87 385.83 Total 557.26 (45) (26) 603.7 1.08 0.69 7.07

FTE = Full Time Equivalent Note: Directorate includes trade union reps.

The number of cases of short term and long term absences are shown in brackets.

Cabinet - 30th November, 2016 23 Sheet 3 of 7

Month: October 2016 (Data at the end September 2016)

Commentary for Strategic Performance Report

Processes (continued)

Health and safety

Areas not meeting the target relate to risk assessment / safe systems of work monitoring in Waste Management – resource issues are currently being addressed.

Strategic Risk Register

The total number of ‘live’ strategic risks is 24. Of these, the number of Gross Red risks (the “controllable significant risks") is 17. The number of these “controllable significant risks" considered as “satisfactorily managed” (Net Amber or Net Green) is 14. Therefore 82% (14) of the “controllable significant risks” (17) are deemed “satisfactorily managed”. Hence, the ‘traffic light’ report position is “Green” (see also notes below).

Notes: 1. The live Strategic Risk Register is located in HPRM (Records Manager) as document DOC15/25704

2. Currently there are no strategic risks deemed to be “outside the Council’s control because of external factors”.

3. All risks in the register have been reviewed within the last 12 months.

4. One risk has been deleted since the last quarterly report (R35 “Failure to secure appropriate additional cemetery space …”) which now appears in the Operational Risk Register (Governance & Recreation).

5. No risks have been added since the last quarterly report.

6. The current “not satisfactorily managed” Gross Red (“significant”) risks are: • R29 (Planning by Appeal), • R27 (Affordable Housing). • R38 (Impact of economic downturn on key contractors & suppliers).

A review of the Strategic Risk Register is currently in progress. The intention is to put forward proposals to Management Team to establish a concise register with a more practical / effective maintenance methodology.

Cabinet - 30th November, 2016 24 Sheet 4 of 7

Month: October 2016 (Data at the end September 2016)

Commentary for Strategic Performance Report

Processes (continued)

Personal Development Reviews

Summary at the end of September 2016:

Assets and Street Services * 81/147 (55%)

Business Improvement 45/57 (79%)

Governance and Recreation 38/43 (88%)

Finance and Procurement 65/65 (100%)

Housing and Communities 226/228 (99%)

Regeneration and Public Protection 38/51 (73%)

Total = 493/591 (83%)

* = Staffing issues and the operational difficulty of taking employees off high profile front line duties continue to be a significant challenge for the Waste and Transport Team ( these account for almost all of the “overdue” employee reviews in the A&SS Directorate). The Director Assets and Street Services and the Head of Waste and Transport are continuing to explore options for an ongoing workable solution.

Cabinet - 30th November, 2016 25 Sheet 5 of 7

Month: October 2016 (Data at the end September 2016)

Commentary for Strategic Performance Report

Prospects for Improvement

At the end of the second quarter 2016/17 the overall result is 86% as 48 of 56 actions are “Green” (89% at the end of the last quarter). Of the 8 remaining actions; 1 is classed as “Red” and 7 “Amber” (compared to 1 Red” and 5 “Amber” at the end of the last quarter).

1 “Red” action:

CPDP REF. DESCRIPTION ACTION(S) / COMMENTS

Aim 1, Priority 1 Establish investment Decision taken not to pursue partnerships / Housing this at the present time Communities Agency following Housing and funding to renovate and Planning Bill changes to lease properties at legislation affordable rent

Cabinet - 30th November, 2016 26 Sheet 6 of 7

Month: October 2016 (Data at the end September 2016)

Commentary for Strategic Performance Report

Prospects for Improvement (continued)

Breakdown of 7 “Amber” actions:

CPDP REF. DESCRIPTION ACTION(S) / COMMENTS

Aim 1, Priority 1 (2) Review new build strategy seeking clarification of the Housing and Planning Act regarding the implications of selling high value void properties Have procured and New fully integrated Housing implemented a permanent Management System replacement Choice Based contract signed…..work Letting (CBL) system to underway with Arbitas to manage the social housing deliver the CBL module register and allocate social (procured but not yet housing stock in the borough implemented) Aim 1, Priority 3 (3) Make Every Contact Count Evaluation considered and (MECC) sessions for an approach is being customer services explored to implement revised MECC training. Corporate Health champions consulted on MECC recommendations in September. Awaiting feedback

Increasing sporting activity levels: refurbishment of tennis courts at Pingles

Adoption of Sports and Leisure / Playing Pitch strategies

Cabinet - 30th November, 2016 27 Sheet 7 of 7

CPDP REF. DESCRIPTION ACTION(S) / COMMENTS

Aim 2, Priority 1 (1) Incorporate changes from the Work is required to embed ASB, Crime and Policing Act this into a wider enforcement in to service unit policies and group procedures

Aim 3, Priority 1 (1) Achieve 85% satisfaction for Issues relating with the Parks and Open Spaces effectiveness of the current measurement process and return rates

Cabinet - 30th November, 2016 28 Agenda item: 7

CABINET

Report Summary Sheet

Date: 30th November 2016

Subject: General Fund and Housing Revenue Account Quarterly budget monitoring report - Quarter 2 2016/17 Update

Portfolio: Finance and Civic Affairs (Councillor D Harvey)

From: Director - Finance & Procurement

Summary: The report details the forecast outturn position for 2016/17 as at the end of September 2016 for the General Fund and Housing Revenue Account budgets.

Recommendations: That the forecast outturn position for 2016/17 for the General Fund and HRA be noted, with regard to the key variances.

That it be recommended to Council that the updated General Fund capital budgets for 2016/17 as attached at Appendix C be approved.

Reasons: The Council must achieve a balanced budget each year

Options: To accept the report or request further information on the forecast outturn position.

Subject to call-in: Yes

Forward plan: Yes

Cabinet - 30th November, 2016 29 Corporate priorities: Aim 4

Relevant statutes or The Local Government Finance Act 1992 requires a policy: balanced budget to be achieved each year.

Equal opportunity implications: None

Human resources implications: None

Financial implications: Included throughout the report

Health Inequalities Implications: None

Section 17 - Crime and Disorder Implications: None

Risk management implications: The Council takes a risk based approach to setting its budget and the appropriate level of reserves held to fund projects.

Environmental implications: None

Legal implications: The authority must achieve a balanced budget each year

Contact details: Sara Ansell Financial Planning Manager 02476 376281

Cabinet - 30th November, 2016 30

AGENDA ITEM NO. 7

NUNEATON AND BEDWORTH BOROUGH COUNCIL

Report to: Cabinet - 30th November 2016

From: Director – Finance & Procurement

Subject: General Fund and Housing Revenue Account Quarterly budget monitoring report – Quarter 2 2016/17 Update

Portfolio: Finance and Civic Affairs (Councillor D Harvey)

1. Purpose of Report

1.1 To present the 2016/17 forecast outturn position as at 30th September 2016 for the General Fund and Housing Revenue Account budgets

2. Recommendations

2.1 That the forecast outturn position for 2016/17 for the General Fund and HRA be noted, with regard to the key variances.

2.2 That it be recommended to Council that the updated General Fund capital budget for 2016/17 as attached at Appendix C be approved.

3. Overview of the forecast outturn for 2016/17

3.1 Both the General Fund and Housing Revenue Account capital programmes were approved by the Cabinet and full Council on 17th February 2016. This report aims to update Cabinet on how the council is performing financially for both the General Fund and the HRA.

3.2 The key questions identified below are used as indicators of financial performance:

Revenue Monitoring:

• Are we on track to achieve the overall budget within a tolerance of between £0 - £150k for GF and between £0 and £250k for the HRA? • What spend pressures are emerging? • Are key income generators on track? • Are we achieving any key savings?

Cabinet - 30th November, 2016 31 4. Overall General Fund/HRA position – are we on track to achieve the budget?

4.1 The table shown at Appendix A sets out the Councils overall General Fund forecast outturn as at 30th September 2016. The original approved budget estimated a contribution to reserves of £23k. The forecast outturn for 16/17 at the end of the second quarter is a net transfer from reserves of £14k, a variance of £37k.

4.2 There are several significant under and overspends across Portfolio budgets that account for the vast majority of this net transfer from reserves, During the year budgets are monitored closely and it is hoped that additional underspending between now and the end of the year will assist in achieving a balanced budget at year end for 2016/17. Any savings that are identified are vired away from service budgets to the Central Provisions budget to protect the saving which is then used to offset the areas of overspending or under-recovery of income. A review of underspends, as part of the challenge meetings process for budget setting for 2017/18 is ongoing and these savings are also included where applicable in the forecast outturn for 2016/17.

4.3 Business rates are becoming an increasingly important source of funding since the introduction of Business Rates Retention in 2014/15, as Local Authorities keep a share of their growth. Nuneaton and Bedworth keeps 40% of the NNDR it collects, and continues to operate within the Coventry and Warwickshire pool. £2.9m is estimated to be received in business rates to support the budget in 2016/17. Due to the complex accounting treatment and timing of payments to central Government, it is expected that any shortfall against this budget due to appeals will be offset by a corresponding contribution from the volatility reserve so that the impact of such adjustments is not detrimental during the course of the year. There have already been some significant appeals which have reduced the RV in 2016/17, but these adjustments can be dealt with within the volatility reserve and appeals provision.

4.4 Nationally all business rates have been revalued as part of the cyclical process to maintain fairness in the system by reflecting changes in property values. This process, which usually takes place every five years, is a redistributive process and does not raise extra revenue nationally. The process should also be cost-neutral for individual Authorities based on estimated adjustments to their tariff or top-up payments. A draft revaluation list has been published, and from April 2017, the rateable values for properties will be based on the valuation date April 2015. The implications of the local changes are being worked through and will be included in the budget for 2017/18. However, the changes may result in increased appeals being lodged as businesses see changes in the business rates charged to them and it will therefore be prudent to review the business rates volatility reserve balances to minimise any additional risk this may bring.

Cabinet - 30th November, 2016 32 4.5 The table shown at Appendix B sets out the Housing Revenue Account forecast outturn as at 30th September 2016. The original approved budget estimated a surplus of £2,797k. The forecast outturn for 16/17 at the end of the second quarter is an increased surplus of £3,169k, a variance of £372k. Some significant changes are anticipated to impact on the HRA but the timing of some of the planned changes as a result of the Housing and Planning Act are still unclear, although these could still impact in the current financial year. At the time of writing very little information is known about the pay to stay initiative and the impact of high value voids, and nothing is included in the forecast outturn as a result. Clearly, this situation will be monitored over the coming months as more information is due to be released by central Government, but the impact of these may be felt in 2016/17 which could reduce this contribution to reserves quite substantially, the release of additional information from central government is therefore eagerly awaited.

5. What key spend pressures are emerging?

5.1 The forecast outturn summary shown at Appendix A outlines a slight overspend across the portfolios of £6k, however, this is after £17k has been vired to central provisions as ongoing savings, which are shown in part in the central provisions line. A number of key spend pressures are already emerging which will need careful monitoring during the course of the year to manage.

5.2 Health and Environment – There are a number of significant spend pressures within this portfolio for the refuse and recycling service. Increased salary costs are being incurred in refuse largely due to sickness and vacancies being covered by agency staff. A recent recruitment drive to fill vacant driver posts has been undertaken, whilst other staff are being offered driver training. Once this process has been undertaken successfully, costs should begin to reduce as we have a full compliment of trained staff, but in the meantime, staffing costs for the service will be higher. Any other underspending areas within the street cleansing, refuse and recycling services will be vired to offset this increased cost during the course of the year.

5.3 The trade refuse service is also reporting a significant overspend. The costs of the service have increased, with higher gate fees for the disposal of waste being incurred by Coventry City Council who operate the service on our behalf. These are being passed on to us through the partnership arrangement. The administrative costs of the service have also now transferred to Coventry, but there have been some salary costs incurred in 2016/17 already. It is anticipated that the transfer of the administration of the service to Coventry will deliver a more cost effective method of working in 2017/18 and beyond.

5.4 Returns on investment income are likely to be considerably less than originally budgeted, based on the latest interest rate forecasts from capita and the Treasury. Since the Brexit vote, interest rates have been

Cabinet - 30th November, 2016 33 lowered by the Bank of England, and may even fall again before the end of the year. The 2016/17 budget had been prepared on the basis of interest rates increasing during the second half of 2016/17 but the latest forecast from the treasury is that these may not now increase until 2018/19. This creates a spend pressure of £139k, which will be closely monitored in the event of interest rates being reduced again. The impact of this has had a significant effect not only in the current financial year, but also in our medium term financial planning, with reductions in income now anticipated to be around £200k per annum in 2017/18.

6. Are key income generators on track?

6.1 Even at this relatively early stage of the financial year income streams are showing mixed trends – some doing very much better against budget, whilst others are already showing some signs of deterioration. All income is shown within the Portfolio budgets at Appendix A but the main income generators are shown below along with key variances:

Income description Approved Q2 forecast Variance Budget £ £ £ Market stall rental income (360,970) (320,600) 40,370 Council Promotions income (net of (53,280) (39,610) 13,670 costs) – Civic Hall Private Show hire – Civic Hall (125,000) (134,030) (9,030) Catering & bar income – Civic Hall (168,500) (156,480) 12,020 Land Charges (104,950) (111,900) (6,950) Licensing (328,380) (325,520) 2,860 Commercial Property rents (1,261,640) (1,264,460) (2,820) Recycling Credits income (421,190) (402,830) 18,360 Building Control fee income (265,830) (287,120) (21,290) Planning Fee income (433,670) (533,000) (99,330) Car Parking metered income (2,169,670) (1,942,670) 227,000 Car Parking season ticket income (228,890) (222,990) 5,900 Cemeteries income (198,130) (178,340) 19,790

6.2 Arts and Leisure – Income for private show hire continues to be strong, although the net position of the council promoted show income is not performing so well. The income is offset by reduced payments to artists, based on levels of ticket sales for most shows. The pantomime is the main council promoted show, and its ticket sales in the coming months will have a significant impact on the outturn. To offset the income, running costs at the Civic Hall are being carefully managed and the latest indications are that these may be lower than budget by the end of the year.

6.3 Central Services – slightly increased income is anticipated from land charges based on current trends, partly due to increased demand for searches during the early part of the year.

Cabinet - 30th November, 2016 34

6.4 Health and Environment –Recycling credit income is received from WCC based on the tonnages of recycled material we collect. Increased contamination in bins which does not attract recycling credit income has created a reduction in our income.

6.5 Planning and Development – Building control income improved during 2015/16 and this trend appears to be continuing in 2016/17. There have been recent improvements to the way the section operates and the net increased income from fees is currently approximately £21k. Planning fee income levels are looking very positive and are forecast to exceed the budget by about £100k at year end based on income to date. Car parks metered and season ticket income received to date is not performing well and is showing an adverse variance of approximately £230k.

6.6 HRA - Rental income is anticipated to be lower than originally budgeted by £40k. This reduction in income is partly due to higher voids, and increased right to buys over the first half of the year. As more relets are undertaken during the year at target rents it is anticipated that rental income should improve. Voids are being actively managed to ensure that turnaround times are reduced where possible which should help to boost income streams.

7. Are we achieving any key savings?

7.1 A number of key savings are currently being achieved across all portfolios. Net salary savings are forecast of £83k due to vacancies across Revenues and Benefits. It has proved challenging to fill these vacancies with suitable staff either on a temporary or permanent basis, but this has now been largely overcome. There are also some staff vacancy savings anticipated in 2016/17 due to the current vacancy for the Head of Town Centres and Marketing, which has now been recruited too. £83k of salary savings are also anticipated from vacancy savings within Planning Policy and some shared service costs from North Warwickshire Borough Council not anticipated in 2016/17. These salary savings are being utilised to help achieve the 1.5% vacancy savings target, to offset savings through natural staff turnover which are included in the budgets.

7.2 The net position on the recovery of benefit overpayments against required levels of bad debt provision is also anticipated to deliver savings based on current activity levels. This will be closely monitored over the coming months to understand if this trend will continue throughout the remainder of the year, but the current forecast is a net gain of £55k.

7.3 The HRA is also realising savings in housing and repairs management salary costs due to vacancies anticipated to be around £109k. Significant

Cabinet - 30th November, 2016 35 savings are currently being forecast from repairs and maintenance - £61k savings are anticipated from asbestos survey related work, but this may decrease if access to more properties is achieved to undertake surveys, along with savings from the purchase of materials and other gas and drainage works. These savings will be preserved to finance future costs within the HRA.

8. General Fund Capital Budget 2016/17

8.1 The General Fund capital programme requires revision to include the addition of one new project and, following the urgent decision taken by the Managing Director on 25th October 2016, to reflect the increased budget for the new depot site at Gresham Road.

8.2 The sale of the Council house is progressing and an assessment of the best use of this future capital receipt has been undertaken. A financial assessment of a range of options have been considered to identify which will best benefit the General Fund in the medium to longer term (e.g. debt repayment, reduce revenue contributions for future capital spend, invest in money markets, acquire new assets). Following this assessment, it is proposed that the funds be allocated to a new capital scheme to purchase a block of investment properties for letting and therefore generating rental income to the Council. It is estimated that this will generate an ongoing return of approx. 6-8% per annum against the purchase cost and also provide the Council with an asset which has the potential to increase in capital value. The anticipated capital cost for this acquisition will be up to £950k and will include purchase price and stamp duty land tax.

8.3 The revised capital programme is proposed to be financed as follows:

Latest Additional Proposed Approved financing Revised Financing need Financing £ £ £ Grants & Contributions 3,353,060 - 3,353,060 Capital Receipts 1,450,650 920,000 2,370,650 Reserves & Revenue 4,357,790 830,000 5,187,790 Contributions Borrowing 610,000 590,000 1,200,000 Total Financing 9,771,500 2,340,000 12,111,500

8.4 The revised capital budgets are included in Appendix C and required approval by full Council.

9. Conclusion

9.1 The forecast outturn position for the General Fund as at 30th September shows an adverse position with a small transfer from

Cabinet - 30th November, 2016 36 reserves at year end, currently being forecast. However, there are some key services and cost drivers that will need to be closely monitored over the next quarter and mitigating actions identified where necessary. Key income streams are showing a mixed picture, some areas preforming very highly, whilst others less so, it is hoped that this trend can be reversed over the coming months.

9.2 The HRA is currently forecasting an increased surplus as at 30th September and this is largely due to salary savings arising from vacant posts. The HRA Business Plan needs updating to reflect some of the changes included within the Housing and Planning Act, but little detailed information is available to enable this piece of work to be undertaken. It is hoped that further information will be released very soon.

Simone Hines

Cabinet - 30th November, 2016 37

APPENDIX A GENERAL FUND REVENUE SUMMARY 2016/17

ORIGINAL FORECAST BUDGET OUTTURN VARIANCE PORTFOLIO ANALYSIS 2016/17 2016/17 2016/17 £’000 £’000 £’000 Arts & Leisure 5,595 5,595 0 Central Services 1,249 1,238 (11) Finance and Civic Affairs 1,699 1,509 (190) Health & Environment 4,418 4,622 204 Housing 762 726 (36) Planning & Development 642 604 (38) Support Services 0 77 77 Total Portfolio net expenditure 14,365 14,371 6

Central Provisions 392 345 0 Interest and Investment Income (385) (246) 139 External Interest Paid (GF Only) 444 444 0 Depreciation and Impairment (inc Gov (2,986) (2,986) 0 grants & developers contribs) Minimum Revenue Provision 464 464 0 PWLB Premiums and Discounts (GF 21 21 0 Only) Financing of Capital Expenditure 3,483 3,483 0 Transfers to/from Reserves (1,495) (1,556) 0 Total below the line/other items (62) (31) 31 2016/17 Total Council Net 14,303 14,340 37 Expenditure Financed by: NBBC precept (7,687) (7,687) 0 RSG Entitlement (1,577) (1,577) 0 New Home Bonus (2,033) (2,033) 0 NBBC share of surplus (100) (100) 0 Business Rates retention (2,929) (2,929) 0 2016/17 Total Financing available (14,326) (14,326) 0

2016/17 Transfer From/(To) General (23) 14 37 Fund Reserves

Cabinet - 30th November, 2016 38

APPENDIX B

HRA SUMMARY REPORT 2016/17

Forecast Forecast Current Budgets Outturn Variance 2016/17 2016/17 2016/17 Expenditure General Expenses 4,239 4,169 (70) Special Expenses 3,667 3,573 (94) Repairs and maintenance 5,920 5,614 (306) Depreciation 6,128 6,128 0 Capital Expenditure funded by HRA 722 722 0 Interest Payable 2,151 2,151 0 Central Support Services 0 26 26 22,827 22,383 (444) Income: General Income - H.R.A. (23,868) (23,828) 40 Non-Dwelling rents (589) (579) 10 Other income – services and facilities (1,842) (1,835) 7 Interest receivable (35) (20) 15 (26,334) (26,239) 95

Adjustments: Premiums and Discounts (2) (2) 0 Major repairs reserve contribution & reserve transfers 712 712 0

(2,797) (3,169) (372)

Cabinet - 30th November, 2016 39 APPENDIX C

Latest Proposed Approved Revised Budget Proposed Budget General Fund Capital Programme 2016/17 2016/17 Change 2016/17 £ £ £

Finance & Civic Affairs Purchase of Properties - Camp Hill (AWM) 10,000 10,000 Early Purchase - Camp Hill 1,285,650 1,285,650 Abbey Street Development 17,840 17,840 Purchase of Empty Properties to Lease 1,181,000 1,181,000 Purchase of Investment Properties - 950,000 950,000 Valley Farm Refurbishments 150,000 150,000 Units 1 & 2 Gresham Road 610,000 1,390,000 2,000,000 Oaston Road Cemetery Works 80,000 80,000 Town Centre Improvements 200,000 200,000 Arts & Leisure Miners Welfare Park Env. Imps & Green Gym 24,820 24,820 Cemetery Land 300,000 300,000 Parks & Open Space Lighting & Security - Netball Courts Pingles 8,000 8,000 Construction & Refurbishment of Footpaths 32,000 32,000 Bedworth CC 407,000 407,000 Skate Park - Dingle 84,000 84,000 Bailey Park - Green Gym & Zip Wire 65,500 65,500 Stockingford Rec -Replacement Tennis Courts 65,000 65,000 Central Services Computer Strategy 314,300 314,300 Audi Visual Equipment - Council Meetings 9,000 9,000 Major Repairs 352,650 352,650 Planning & Development Nuneaton Market Stall Replacement 13,100 13,100 Harefield Road MSCP - Pay on Foot 80,000 80,000 Bermuda Connectivity Project 500,000 500,000 Relocation of Nuneaton Market Operation 31,350 31,350 Pool Bank Road Garages/ Car Park Works 83,000 83,000 Health & Environment Vehicle & Plant Replacement 1,503,500 1,503,500 Housing (General Fund) Aids & Adaptations to Private Sector Dwellings: (HEART from 1st Oct) 1,344,000 1,344,000 Empty Homes & Works in Default 76,580 76,580 Warmer Safer Homes (HEART from 1st Oct) 150,000 150,000 LPSA2 - Empty Property Loans 148,400 148,400 DECC Scheme 558,810 558,810 DECC Scheme Contingency 20,000 20,000 Other Miscellaneous Schemes 66,000 66,000 Total General Fund Capital Budget 9,771,500 2,340,000 12,111,500

Cabinet - 30th November, 2016 40

Cabinet - 30th November, 2016 41 Agenda item: 8

Cabinet/Individual Cabinet Member Decision

Report Summary Sheet

Date:

30th November 2016

Subject:

Treasury Management 2016/17 – Mid Year Review

Portfolio:

Finance and Civic Affairs (Councillor D. Harvey)

From:

Director Finance & Procurement

Summary:

This Council is required through regulations issued under the Local Government Act 2003 to produce a mid-year review report on treasury management activities of the Council. This report meets the requirements of both the CIPFA Code of Practice on Treasury Management (the Code) and the CIPFA Prudential Code for Capital Finance in Local Authorities (the Prudential Code). Recommendations: The Cabinet is asked to recommend to full Council that the report be noted, and also to recommend approval of changes to the prudential indicators as detailed within the report and summarised at Appendix A.

Options: None – statutory requirement for treasury and prudential indicators to be approved by full council.

Reasons: To comply with the CIPFA Code of Treasury Management

Consultation undertaken with Members/Officers/Stakeholders

Cabinet - 30th November, 2016 42 None

Subject to call-in:

Yes

Ward relevance: All

Forward plan: Yes.

Corporate Priorities: Aim 4 - Priority 3

Relevant statutes or policy: CIPFA Code of Practice on Treasury Management

Equalities Implications:

None

Human resources implications:

None

Financial implications: As detailed within the report

Health Inequalities Implications: None

Section 17 Crime & Disorder Implications:

Cabinet - 30th November, 2016 43 None

Risk management implications: Any investment and borrowing decisions will be based on the approved strategy and with approved counterparties

Environmental implications: None

Legal implications: The CIPFA Code on Treasury Management requires Local Authorities to report to their full Council a mid-year review of their treasury management activities.

Contact details:

Craig Pugh – Treasury & Technical Manager [email protected] 024 7637 6104

Cabinet - 30th November, 2016 44

AGENDA ITEM NO. 8

NUNEATON AND BEDWORTH BOROUGH COUNCIL

Report to : Cabinet – 30th November 2016

From : Director – Finance and Procurement

Subject : Treasury Management 2016/17 – Mid Year Review

Portfolio : Finance and Civic Affairs (Councillor D Harvey )

1. Purpose

1.1 This Council is required through the Chartered Institute of Public Finance and Accountancy’s (CIPFA) Code of Practice on Treasury Management to report to full Council a mid-year review report. The requirements of the CIPFA Code of Practice on Treasury Management were adopted by this Council on 17th February 2016.

2. Recommendations

2.1 The Cabinet is asked to recommend to full Council that the report be noted, and also to recommend approval of changes to the prudential indicators as detailed within the report and summarised at Appendix A.

3. Background

3.1 The Council operates a balanced budget, which broadly means cash raised during the year will meet its cash expenditure. Part of the treasury management operations ensure this cash flow is adequately planned, with surplus monies being invested in low risk counterparties, providing adequate liquidity initially before considering optimised investment return.

3.2 The second main function of the treasury management service is the funding of the Council’s capital plans. These capital plans provide a guide to the borrowing need of the Council, essentially the longer term cash flow planning to ensure the Council can meet its capital spending operations. This management of longer term cash may involve arranging long or short term loans, or using longer term cash flow surpluses, and on occasion any debt previously drawn may be restructured to meet Council risk or cost objectives.

3.3 Accordingly treasury management is defined as: “The management of the local authority’s investments and cash flows, its banking, money market and capital market transactions; the effective

Cabinet - 30th November, 2016 45 control of the risks associated with those activities; and the pursuit of optimum performance consistent with those risks.”

3.4 The primary requirements of the CIPFA Code of Practice on Treasury Management are as follows: • Creation and maintenance of a Treasury Management Policy Statement which sets out the policies and objectives of the Council’s treasury management activities. • Creation and maintenance of Treasury Management Practices which set out the manner in which the Council will seek to achieve those policies and objectives. • Receipt by the full Council of an annual Treasury Management Strategy Statement – including the Annual Investment Strategy and Minimum Revenue Provision Policy – for the year ahead, a Mid-year Review Report (this report) and an Annual Report covering activities during the previous year. • Delegation by the Council of the responsibilities for implementing and monitoring treasury management policies and practices and for the execution and administration of treasury management decisions. • Delegation by the Council of the role of scrutiny of treasury management strategy and policies to a specific named body. For this Council the delegated body is the Audit Committee.

3.5 This mid-year report has been prepared in compliance with the CIPFA Code and covers the following: • An economic update for the first six months of 2016/17; • A review of the Treasury Management Strategy Statement and Annual Investment Strategy; • The Council’s capital expenditure (prudential indicators); • A review of the Council’s investment portfolio for 2016/17; • A review of the Council’s borrowing strategy for 2016/17; • A review of any debt rescheduling undertaken during 2016/17; • A review of compliance with Treasury and Prudential Limits for 2016/17.

3.6 Detailed reports of treasury activity are reported to the Audit Committee with the latest being presented on 8th November 2016 which detailed the activity and performance for the first half of 2016/17.

4. Economic Update.

4.1 UK - The referendum vote for Brexit in June delivered an immediate shock fall in confidence indicators and business surveys, pointing to a sharp slowdown in the economy. The Bank of England meeting on August 4th addressed this expected slowdown by cutting the Bank Rate from 0.50% to 0.25%.

Cabinet - 30th November, 2016 46 4.2 Subsequent surveys have shown a recovery in confidence although it is still generally expected that although the economy will avoid flat lining, growth will be weak throughout the second half of 2016 and into 2017.

4.3 Inflation remained relatively low at the start of the financial year but has since seen a rapid rise and latest forecasts are for these increases to continue with a likely result of an increase of 3% before eventually returning to the target rate of 2%.

4.4 Interest Rate Forecasts

The Council’s treasury advisor, Capita Asset Services, has updated their interest rate forecast (updated 15th November 2016):

Bank 5yr 10yr 25yr 50yr Rate PWLB PWLB PWLB PWLB Now 0.25% 1.50% 2.30% 3.00% 2.70% Dec 16 0.25% 1.60% 2.30% 2.90% 2.70% Mar 17 0.25% 1.60% 2.30% 2.90% 2.70% Jun 17 0.25% 1.60% 2.30% 2.90% 2.70% Sep 17 0.25% 1.60% 2.30% 2.90% 2.70% Dec 17 0.25% 1.60% 2.30% 3.00% 2.80% Mar 18 0.25% 1.70% 2.30% 3.00% 2.80% Jun 18 0.25% 1.70% 2.40% 3.00% 2.80% Sep 18 0.25% 1.70% 2.40% 3.10% 2.90% Dec 18 0.25% 1.80% 2.40% 3.10% 2.90% Mar 19 0.25% 1.80% 2.50% 3.20% 3.00% Jun 19 0.50% 1.90% 2.50% 3.20% 3.00% Sep 19 0.50% 1.90% 2.60% 3.30% 3.10% Dec 19 0.75% 2.00% 2.60% 3.30% 3.10% Mar 20 0.75% 2.00% 2.70% 3.40% 3.20%

4.5 Capita Asset Services undertook a review of its interest rate forecasts on 15th November taking into account the Bank of England quarterly Inflation Report (November 2016), the decision of the MPC meeting of 3rd November, the US Presidential Election of 8th November and after allowing the financial markets to settle down for a few days after the result of the election, which provided a surprise outcome.

4.6 Despite the many ominous warnings that there would be significant turbulence in financial markets if Donald Trump won the election, markets have surprised by their lack of such a reaction. In fact stock markets in America have hit a new record high in the first few days following the election.

4.7 In the UK, the latest MPC decision included a forward view that Bank Rate could go either up or down depending on how economic data evolves in the coming months. The view of Capita is that the rate will remain unchanged at 0.25% until rates start to increase in mid 2019.

Cabinet - 30th November, 2016 47 However, should economic growth take a significant dip downwards then we cannot rule out a cut in the Bank Rate to 0.10%.

5. Treasury Management Strategy Statement and Annual Investment Strategy update.

5.1 The Treasury Management Strategy Statement (TMSS) for 2016/17 was approved by Council on 17th February 2016.

5.2 There are no policy changes to the TMSS; the details in this report update the position in the light of the updated economic position and budgetary changes.

6. The Council’s Capital Position (Prudential Indicators)

6.1 This part of the report is structured to update: • The Council’s capital expenditure plans; • How these plans are being financed; • The impact of the changes in the capital expenditure plans on the prudential indicators and the underlying need to borrow; and • Compliance with the limits in place for borrowing activity.

6.2 Prudential Indicator for Capital Expenditure This table shows the revised estimates for capital expenditure and the changes since the capital programme was agreed at the Budget in February.

Capital 2016/17 2016/17 2016/17 2016/17 Expenditure by Original Revised Capital Latest area Estimate post Update Estimate year end Report (June) (Sept’) £m £m £m £m Finance & Civic 3.01 2.55 3.53 5.87 Affairs Planning & 0.54 0.62 0.71 0.71 Development Health & 1.38 1.50 1.50 1.50 Environment Central Services 0.40 0.68 0.68 0.68 Arts & Leisure 0.83 0.83 0.98 0.98 General Fund 2.19 1.83 2.30 2.3 Housing Future Schemes 0.08 0.07 0.07 0.07 Total non- 8.43 8.08 9.77 12.11 housing Housing Revenue 8.92 9.52 9.88 9.88 Account Total Expenditure 17.35 17.60 19.65 21.99

Cabinet - 30th November, 2016 48 6.3 The movement in the general fund capital programme from the original estimate is partly due to new schemes totalling £2.01m, additional requirements due to HEART shared service arrangements of £0.47m and a further £1.54m for additional project budget requirements. The original base was also reduced by a net £0.35m to reflect revised programme slippage from 2015/16 and to remove scheme budgets no longer required.

The movement in the HRA capital budget is from an increase of £0.36m to complete the vehicle replacement programme and to reflect revised programme slippage from 2015/16.

6.4 Changes to the financing of the Capital Programme

The table below draws together the main strategy elements of the capital expenditure plans, highlighting the original supported and unsupported elements of the capital programme, and the expected financing arrangements of this capital expenditure. The borrowing element of the table increases the underlying indebtedness of the Council by way of the Capital Financing Requirement (CFR), although this will reduce in part by revenue charges for the repayment of the debt (the Minimum Revenue Provision). This direct borrowing need may also be supplemented by maturing debt and other treasury requirements.

Capital 2016/17 2016/17 2016/17 2016/17 Expenditure Original Revised Capital Latest Estimate (June Update Estimate outturn Report report) (Sept’) £m £m £m £m Non housing 8.43 8.08 9.77 12.11 Housing 8.92 9.52 9.88 9.88 Total spend 17.35 17.60 19.65 21.99 Capital Receipts 0.85 1.00 1.79 2.71 Capital Grants 3.11 2.77 3.35 3.35 Capital Reserves/ 12.07 13.22 13.90 14.73 Revenue Total unfinanced 1.32 0.61 0.61 1.20 (borrowing)

6.5 The amount of unfinanced expenditure is an estimate of the borrowing need required to fund the capital programme. Primarily, this relates to the purchase and development of the depot facility. The current under- borrowed situation will be reviewed, along with the interest rate forecasts to ascertain the need to take physical debt from the market place or to increase the under-borrowed position.

Cabinet - 30th November, 2016 49 6.6 Changes to the Prudential Indicators for the Capital Financing Requirement and External Debt and the Operational Boundary. The table shows the CFR, which is the underlying need to incur borrowing for a capital purpose. It also shows the expected debt position over the period. The increase in the revised indicator is due to the additional borrowing requirement to fund the general fund capital programme.

Prudential Indicators 2016/17 2016/17 Original Revised Indicator Indicator £m £m Capital Financing Requirement Opening CFR - non housing (GF) 13.29 13.32 - housing (HRA) 77.48 77.48 Total Opening CFR 90.77 90.80 Movement in CFR - non housing (GF) (0.14) (0.26) - housing (HRA) 0.00 0.00 Total Movement in CFR (0.14) (0.26) Closing CFR - non housing (GF) 13.15 13.06 - housing (HRA) 77.48 77.48 Total Closing CFR 90.63 90.54 Borrowing 83.21 83.23 Other long term liabilities 0.00 0.00 (Finance Lease) Total debt 31 March 83.21 83.23 Internal borrowing position 7.42 7.31 (Under-borrowing) Operational Boundary 90.63 90.54

6.7 Despite the increase in overall borrowing need for the General Fund capital programme, the General Fund CFR will actually reduce during 2016/17. This is due to the statutory MRP charge being applied and also the £1m receipt from the repayment of the Local Authority Mortgage Scheme investment being applied to the CFR per the MRP policy.

6.8 The Operational Boundary has been set to the revised Capital Financing Requirement to allow the externalisation of the internal borrowing position should the economic situation suggest that the optimum time is during the remainder of this financial year.

Cabinet - 30th November, 2016 50 6.9 Changes to the Prudential Indicators for the Ratio of Financing Costs to the Net Revenue Stream.

This indicator identifies the cost of capital (borrowing costs and other long term obligations net of investment income) against the net revenue streams (amounts due from government grants and taxpayers and housing rents). 2016/17 2016/17 Original Revised Estimate Estimate Non-housing (GF) 4.1% 4.8% Housing (HRA) 8.9% 8.9%

6.10 The additional borrowing need in 2016/17 will not affect this indicator until 2017/18 as any MRP implications do not feed through to the General Fund until the year following the increase in borrowing. However, the General Fund indicator has increase to 4.8% from the original prediction as investment income forecast in the year is substantially lower than originally predicted thus increasing the net financing cost.

6.11 Limits to Borrowing Activity

The first key control over the treasury activity is a prudential indicator to ensure that over the medium term, gross borrowing will only be for a capital purpose. Gross external borrowing should not, except in the short term, exceed the total of the CFR in the preceding year plus the estimates of any additional CFR for 2016/17 and next two financial years. The Council has approved a policy for borrowing in advance of need which will be adhered to.

2016/17 2016/17 Original Revised Position as Estimate Estimate at 31st Mar’ 31st Mar’ 30th Sep’ 2016 2016 2016 £m £m £m Gross borrowing 83.21 83.23 83.23 Other long term liabilities 0.00 0.00 0.00 Gross Borrowing 83.21 83.23 83.23 CFR 90.63 90.54 n/a

6.12 The estimates in the above table reflect the estimated debt positions as at 31st March 2017. At the present time it is not envisaged that the increased borrowing need to fund the capital programme will result in actual debt from the markets being taken. Instead, and while interest rates remain low, it is more cost effective to increase the internal borrowing position.

Cabinet - 30th November, 2016 51 6.13 The Director – Finance and Procurement reports that no difficulties are envisaged for the current or future years in complying with this prudential indicator.

6.14 A further prudential indicator controls the overall level of borrowing. This is the Authorised Limit which represents the limit beyond which borrowing is prohibited, and needs to be set and revised by Members. It reflects the level of borrowing which, while not desired, could be afforded in the short term, but is not sustainable in the longer term. It is the expected maximum borrowing need with some headroom for unexpected movements. This is the statutory limit determined under section 3(1) of the Local Government Act 2003.

Authorised limit for Position as external debt 2016/17 2016/17 at Original Revised 30th Sep’ Indicator Indicator 2016 £m £m £m Borrowing 110.80 110.80 83.23 Other long term liabilities 2.00 2.00 0.00 Total 112.80 112.80 83.23

It is proposed to maintain the Authorised Limit at it’s current level to allow for additional or emergency borrowing should the need arise (e.g. externalisation of internal borrowing position, BACS failure resulting in a borrowing need for cash flow purposes).

7. Investment Portfolio 2016/17

7.1 In accordance with the Code, it is the Council’s priority to ensure security of capital and liquidity, and to obtain an appropriate level of return which is consistent with the Council’s risk appetite. As set out in the economic summary in section 4, it is a very difficult investment market in terms of earning the level of interest rates commonly seen in previous decades as rates are very low.

7.2 The Council held £34.95m of investments as at 30th September 2016 (£34.75m at 30th September 2015) and the investment yield for the first six months of the year is 0.76% against a benchmark (3 month LIBID) of 0.38%.

Cabinet - 30th November, 2016 52 7.3 The weighted average investments held for the first half of the year totalled £36.38m and the table below details the performance of the portfolio by deposit category:

Weighted Average Balance Invested Average to 30th Return Sep’ 2016 Short Dated investments (< 1 year) Fixed Term 0.66% £11.07m Certificate of Deposits 0.80% £3.34m Bank/ Money Market Funds (liquid) 0.42% £15.54m Notice Accounts 0.98% £4.43m Total Short Dated 0.61% £34.38m Long Dated Deposits Fixed Term 2.40% £1.00m Property Fund 4.40% £1.00m Total Long Dated 3.40% £2.00m Total Investments 0.76% £36.38m

7.4 The Director – Finance and Procurement confirms that the approved limits within the Annual Investment Strategy were not breached during the first six months of 2016/17.

7.5 A large proportion of the investments placed during the first half of the year were into liquid accounts (Money Market Funds). This was due to the sudden reduction in interest rates and the uncertainty in the markets following the EU Referendum result. Therefore, to reduce risk in the short term, and while waiting for markets to stabilise, a local decision was taken to make use of the AAA rated Money Market Funds for our cash flow investments. This situation is now being reversed as the economy is returning to a new normal following two shocks to the markets (Brexit and US election) and the economy taking stock of what the future may hold.

7.6 The Council’s budgeted investment return (treasury investments only) for 2016/17 is £388k. The full year position is estimated to generate a deficit of investment interest of approximately £142k. This is due to the forecast increases in bank rate during the year actually becoming a cut from 0.50% to 0.25%. For September 2016 the budgeted return was 1.20% with the actual return for the month being 0.68%.

Cabinet - 30th November, 2016 53 7.7 A list of investments held as at 30th September 2016 is shown below:

Amount Deposit Maturity Interest Invested Period Date Rate Fixed Term Deposits: Lloyds Bank plc £1.00m 3 mth 11 Oct 16 0.65% Nationwide Building Soc’ £2.00m 6 mth 17 Oct 16 0.71% Nationwide Building Soc’ £2.00m 6 mth 03 Nov 16 0.71% Barclays Bank plc £1.00m 3 mth 03 Nov 16 0.39% Lloyds Bank plc £1.50m 6 mth 25 Jan 17 0.80% Barclays Bank plc £2.00m 6 mth 08 Mar 17 0.41% Lloyds Bank plc £2.00m 6 mth 13 Mar 17 0.65% Peterborough City Council £1.00m 5 year 28 Jun 19 2.40% Total Fixed Term Deposits £12.50m 0.77% Certificate of Deposit Sumitomo Mitsui Bank Corp £2.00m 6 mth 14 Nov 16 0.72% Total Certificate of Deposit £2.00m 0.72% Notice Accounts Lloyds (32 day) £0.76m n/a n/a 0.32% Santander UK (180 day) £6.00m n/a n/a 0.90% Total Notice Accounts £6.76m 0.83% Property Funds: CCLA Local Authority Prop’ £1.00m n/a n/a 4.40% Fund Total Property Fund £1.00m 4.40% Instant Access Funds: Lloyds Current Account £0.59m n/a n/a 0.15% Goldman Sachs MMF £6.80m n/a n/a 0.27% Federated MMF £1.00m n/a n/a 0.32% CCLA MMF £4.30m n/a n/a 0.29% Total Instant Access £12.69m 0.28%

Grand Total £34.95m 0.70%

8. Investment Counterparty Criteria

8.1 The investment counterparty criteria as approved in February has been fit for purpose during the first half of the financial year with sufficient counterparties being available to ensure that we maintain sufficient diversification within our portfolio. Therefore no changes to the criteria are required.

9. Borrowing

9.1 The Council’s closing Capital Financing Requirement (CFR) for 2016/17 is now forecast to be £90.54m. The CFR denotes the Council’s underlying need to borrow for capital purposes. If the CFR is positive the Council may borrow from the PWLB or the market (external borrowing) or from internal balances on a temporary basis (internal borrowing). The balance of external and internal borrowing is generally

Cabinet - 30th November, 2016 54 driven by market conditions. The Council’s external borrowing position as at 30th September 2016 was £83.23m with the closing position being identical. A £2.5m HRA loan was repaid during the first half of the year as it had reached it’s natural maturity. This has not been replaced.

9.2 The difference between external debt and CFR (when CFR is greater than debt) means that the Council has therefore utilised cash flow funds in lieu of borrowing (internal borrowing). This is a prudent and cost effective approach in the current economic climate but will require ongoing monitoring in the event that upside risk to gilt yields prevails.

9.3 A summary of the debt portfolio as at the start of the year, the mid year position and the forecast end of year position, plus the maturity analysis of these forecast closing debt holdings can be seen in the following tables:

Mid year position (30th Forecast Opening 2016/17 Sept 16) Closing 2016/17 Debt Rate Debt Rate Debt Rate General Fund PWLB £7.75m 4.67% £7.75m 4.67% £7.75m 4.67% Market Debt £2.00m 4.10% £2.00m 4.10% £2.00m 4.10% Interest Free £0.03m 0.00% £0.03m 0.00% £0.02m 0.00% Debt Total GF £9.78m 4.54% £9.78m 4.54% £9.77m 4.54% HRA PWLB £75.96m 2.85% £73.46m 2.91% £73.46m 2.91% Total HRA £75.96m 2.85% £73.46m 2.91% £73.46m 2.91% Grand Total £85.74m 3.04% £83.24m 3.10% £83.23m 3.10%

Debt Percentage Approved Holdings of total Limit 31st March portfolio 2017

Maturity Profile Under 12 months £2.51m 3% 20% 12 months to 2 years £2.01m 2% 20% 2 to 5 years £8.01m 10% 20% 5 to 10 years £48.00m 58% 75% 10 to 20 years £17.70m 21% 100% 20 to 30 years £3.00m 4% 100% 30 to 40 years - 0% 100% 40 to 50 years £2.00m 2% 100% Grand Total £83.23m 100%

Cabinet - 30th November, 2016 55 9.4 The significant difference in average rates between the General Fund and HRA debt portfolios is due to the HRA having had access to preferential PWLB rates as part of the self financing settlement in 2012. These preferential rates were only available for debt taken for this transaction and could not be accessed for any other purpose.

9.5 No external borrowing was taken during the first six months of 2016/17. The markets will continue to be monitored to ensure that should interest rates rise rapidly that the Council is not exposed to potential future high debt interest costs should there be a specific borrowing need.

9.6 As the HRA is now fully self financed a local indicator is now included to inform Members of the HRA debt against the number of dwellings. The following table provides this information updated to account for the movement in stock count during the year.

Dwellings as at 30th September 2016 5,823

CFR (Debt) per dwelling £13,306

Financial cost per dwelling £374 per annum (debt interest cost plus cost of under- (£7 per week) borrowed position)

10. Debt Rescheduling

10.1 Debt rescheduling opportunities have been limited in the current economic climate and consequent structure of interest rates. Therefore, no debt rescheduling was undertaken during the first six months of 2016/17 although the situation is monitored on a regular basis.

11. Conclusion

11.1 The first half of 2016/17 continues to be a difficult period with investment returns remaining at historic low levels and bank rate not forecast to increase until 2019. The economic position within the UK is recovering slowly although the situation is finely balanced.

11.2 The management of the Council’s cash flows, debt and investments remains a crucial element of the finance function and the economic situation at home and further afield will be monitored closely, with the assistance of Capita, to ensure that interest rate and counterparty risks can be effectively managed.

Simone Hines

Cabinet - 30th November, 2016 56 Appendix A

Prudential and Treasury Indicators requiring amendment from those approved as part of the Annual Treasury Strategy Report 2016/17.

2016/17 2016/17 Original Updated Indicator Indicator Capital Expenditure: Non- housing £8.43m £12.11m HRA £8.92m £9.88m Section 6.2 Total £17.35m £21.99m

Capital Financing Requirement (31st March 17) Non-housing £13.15m £13.06m HRA £77.48m £77.48m Section 6.5 Total £90.63m £90.54m

Operational Boundary £90.63m £90.54m Section 6.5

Ratio of financing costs to net revenue stream Non-housing (GF) 4.1% 4.8% Section 6.8 Housing (HRA) 8.9% 8.9%

Gross Borrowing £83.21m £83.23m Section 6.10

Cabinet - 30th November, 2016 57 Agenda item: 9

Cabinet/Individual Cabinet Member Decision

Report Summary Sheet

Date: 30th November 2016

Subject: Local Council Tax Support 2017/18

Portfolio: Finance and Civic Affairs (Councillor D. Harvey)

From: Jo Robinson – Head of Revenues & Benefits

Summary: This report presents final Local Council Tax Support Scheme for 2017/18 for approval following public consultation

Recommendations: It be recommended to Council that:

a) The proposed Local Council Tax Support scheme for 1st April 2017 onwards is approved As the recommendation from this report require Council approval on 7th December 2016, this report be marked not for call-in on the grounds of urgency.

Options: To accept the recommendations above or propose an alternative scheme for 2017/18, taking into consideration timescales for consultation and implementation

Cabinet - 30th November, 2016 58 Reasons: The Council is required to publish a Local Council Tax Support Scheme each year by 31st January

Consultation undertaken with Members/Officers/Stakeholders

A public consultation has taken place for 8 weeks from 15th August to 7th October, details of which are set out in Section 5 of the report

Subject to call-in: No

Ward relevance: All wards

Forward plan: Yes

Corporate Priorities: Aim 4, Priority 3

Relevant statutes or policy: Local Government Finance Bill Council Tax Reduction Scheme Policy Section 13A and Schedule 1a of the Local Government Finance Act Hardship Payment Policy

Equalities Implications: Final Equalities Impact Assessment is included at Appendix B

Human resources implications: None

Cabinet - 30th November, 2016 59

Financial implications: The proposed changes to the scheme for 2017/18 can be managed within existing budgets.

Health Inequalities Implications: None

Section 17 Crime & Disorder Implications: None

Risk management implications: The Council may be open to legal challenge if appropriate consultation is not carried out and the scheme is not published prior to 31st January each year

Environmental implications: None

Legal implications: The Council may be open to legal challenge if appropriate consultation is not carried out and the scheme is not published prior to 31st January

Contact details: Jo Robinson Ext 6263

Cabinet - 30th November, 2016 60 AGENDA ITEM NO. 9

NUNEATON AND BEDWORTH BOROUGH COUNCIL

Report to: Cabinet – 30th November 2016

From: Head of Revenues & Benefits

Subject: Local Council Tax Support Scheme for 2017/18

Portfolio: Finance and Civic Affairs (Councillor D Harvey)

1. Purpose of Report

1.1 To update Cabinet on the administration of the Local Council Tax Support Scheme (LCTS) for 2016/17

1.2 To present for approval the final LCTS scheme to take effect from 1st April 2017

2. Recommendations

2.1 It be recommended to Council that the proposed Local Council tax Support Scheme for 1st April 2017 onwards is approved

2.2 As the recommendations from this report require Council approval on 7th December 2016, this report be marked not for call-in on the grounds of urgency.

3. Background

3.1 The Local Government Finance Bill, which came into force during 2012 required Council’s to design and implement a Local Council Tax Support scheme to replace Council Tax Benefit from 1st April 2013

3.2 The main elements of the Local Council Tax Support scheme were:

• Funding was by way of a fixed grant rather than demand led subsidy. The grant was 90% of the cost of providing Council Tax Benefit • Local Council Tax Support operates as a discount rather than a benefit. This reduces the amount of council tax collected and the risk is shared with other precepting bodies • Pensioners were protected from any changes as a result of introducing a Local Council Tax Support Scheme • Consideration be given to protecting other vulnerable groups

Cabinet - 30th November, 2016 61 • The scheme can be changed annually but only at the start of each year • Local Authorities have flexibility on how the 10% savings could be achieved.

3.3 For 2012/13 total spend on CTB was £10.5m and for the new local scheme grant funding for 2013/14 was £9.3m, apportioned across Nuneaton and Bedworth, Warwickshire County Council and Warwickshire Police Authority in accordance to current shares of Council Tax.

3.4 After taking into account a hardship fund and reduction in collection rates, a saving of £1.5m was needed to ensure the scheme was cost neutral to the Council and precepting authorities. To achieve the required saving of £1.5m Cabinet resolved that income from changes to Council Tax Exemptions should be used. This reduced the saving required to £1.16m. In order to achieve this saving, all customers receiving the new LCTS would be required to pay a minimum of 20% of their Council Tax liability.

3.5 The grant funding received for LCTS has since been included in the Council’s overall Revenue Support Grant and so it is not possible to identify the actual amount that we now receive to cover the costs of LCTS, especially as RSG has continued to reduce due to government spending reductions.

4. Caseload & Hardship Fund

4.1 The caseload figures since the introduction of LCTS can be found in the table below along with the cost of the scheme:-

Working Age Pension Age Total Cost of Scheme 2013/14 6,081 5,576 11,657 £8,803,202 2014/15 6,069 5,169 11,238 £8,520,726 2015/16 5,763 4,883 10,646 £8,235,366 2016/17 5,825 4,674 10,499 £8,380,535

4.2 A hardship fund is provided for within the scheme and is available for claimants to apply to should they be experiencing hardship as a result of their LCTS award.

4.3 The current Hardship fund is £60k (was previously £200k). The table below confirms the number of applications received, approved and the value of the awards:-

2013/14 2014/15 2015/16 2016/17 (as at 25th October)

Cabinet - 30th November, 2016 62 Received 433 446 359 198 Awarded 203 278 259 133 TOTAL £9,466 £34,155 £25,532 £10,918

4.4 It is likely that the implementation of the lower Benefit Cap from November 2016 will lead to an increase in Hardship applications being received and awarded for the remainder of this year. The Benefit Cap is being reduced to £20k per annum from its previous level of £23k for areas outside of London.

5. LCTS Scheme for 2017/18

5.1 The LCTS scheme of Nuneaton & Bedworth has retained most of the features of the Council Tax Benefit Scheme with the exception of:

• Everyone of Working Age has to pay 20% of their Council Tax Liability before entitlement to LCTS is calculated

• Removal of Second Adult Rebate for those claimants who are of Working Age

• A hardship fund is provided for within the scheme

5.2 Retaining most of the Council Tax Benefit scheme features means that our LCTS Scheme is closely aligned with the national Housing Benefit scheme ensuring a smooth administration process and also reduces complexity for our customers.

5.3 Since our LCTS was agreed various welfare reforms have been introduced nationally along with the introduction of Universal Credit which, went live in our area in June 2015.

5.4 In July 2016 Cabinet approved the draft scheme for 2016/17 for public consultation. To ensure that our LCTS scheme remains aligned with the national Housing Benefit scheme the following technical changes were subject to an 8 week public consultation from 15th August to 7th October. All other elements of the scheme including the hardship fund are to remain the same.

Proposed Changes Description Comment

Backdating Reduce the length of time that This will align our LCTS can be backdated for scheme with Working Age claimants from 3 Housing Benefit months to 1 month Family Premium Removal of the family premium This will align our from the applicable amount scheme with calculation for all new Working Housing Benefit Age Claimants

Cabinet - 30th November, 2016 63 Applicable Amounts & LCTS is based on a means This will align our Premiums tested calculation and compares scheme with a claimants income to an Housing Benefit applicable amount. The current scheme mirrors the applicable amounts set by Government for Housing Benefit. It is recommended to continue with this approach which will result in freezing applicable amounts and premiums for Working Age to 2020/21 Temporary Absence Withdraw LCTS when a person This will align our leaves the UK for 4 weeks of scheme with more Housing Benefit Severe Disability Premium Remove the Severe Disability This will align our Premium where the claimant scheme with receives the Carer Element of Housing Benefit Universal Credit and Universal Credit Dependants Limit the number of dependants This will align our to a maximum of 2 for all cases scheme with where the dependant is born on Housing Benefit or after 1st April 2017 (working age and pensioner age) Employment & Support Remove the Work Related This will align our Allowance Activity Component of scheme with Employment & Support Housing Benefit Allowance for working age claimants so they are paid the same amount as JSA claimants

5.5 The consultation ran from 15th August to 7th October 2016 and was promoted via the Council’s website and social media channels and through telephone contact with customers. A total of 13 responses were received. A summary of the consultation responses are attached at Appendix A.

5.6 Both Warwickshire County Council and Warwickshire Police and Crime Commissioner as major preceptors have been consulted on the proposals for 2017/18. No responses were received.

5.7 From the responses received 77% agreed that all changes proposed as part of the consultation should be implemented from 1st April 2017. Of the 13 responses received 1 person was currently receiving LCTS.

5.8 Based on the responses to the consultation it is proposed to implement the changes as set out in section 5.4.

Cabinet - 30th November, 2016 64 5.9 The proposed technical changes will affect all new LCTS claimants and those existing claimants who have a change in their circumstances or a break in their claim. As such it is difficult to ascertain the financial impact of these. However, the changes proposed are likely to result in a reduced amount of LCTS being awarded so based on our current caseload and expenditure pattern this can be managed within our current budget for Local Council Tax Support.

5.10 In accordance with legislation transitional protection has been considered for those affected by the above changes. As a hardship scheme is available for those experiencing hardship as a result of the LCTS scheme it is recommended that transitional protection is not applied.

5.11 The relevant pages of the current LCTS policy has been updated to include the changes as per section 5.4 of the report. A full copy of the 2017/18 policy has been placed in the member’s rooms and is available on request.

6. Equality Impact Assessment

6.1 An Equality Impact Assessment (EIA) was carried out by an independent consultant for our 2013/14 LCTS scheme. The EIA was reviewed in light of the technical changes proposed to Cabinet in July 2016 and a draft assessment made

6.2 As no comments were received as part of the consultation process no changes have been made to the EIA. A final copy is attached at Appendix B

7. Conclusion

7.1 The Council will need to publish a Local Council Tax Support scheme by 31st January 2017, for implementation from 1st April 2017

7.2 Technical changes are required to the existing scheme to align with the national Housing Benefit scheme, which the public and major preceptors have been consulted on.

7.3 A hardship fund is available within the scheme for any claimant to apply should they experience financial hardship as a result of these changes. Further support and advice is available from our Financial Inclusion Support Officers should the claimant be experiencing severe financial hardship.

8 Appendices

Cabinet - 30th November, 2016 65 Appendix A – Consultation Summary

Appendix B – Final Equalities Impact Assessment

9. Background Papers

None

Jo Robinson Ext 6263

Cabinet - 30th November, 2016 66 Appendix A

Local Council Tax Support Scheme 2017/18 Consultation Responses

Option 1 – Removing the Family Premium for all new working age applicants

Removing the Family Premium for all new working age applicants 12

0 Yes No Don't Know

Option 2 - Reducing Backdating to 1 month

Reduce Backdating to 1 month 14

0 Yes No Don't Know

Cabinet - 30th November, 2016 67 Option 3 - Reducing the period for which a person can be absent from Great Britain and still receive Council Tax Reduction to 4 weeks

Temporary Absence 14

0 Yes No Don't Know

Option 4 - To remove the element of a Work Related Activity Component in the calculation of the current scheme for new Employment and Support Allowance applicants.

Work Related Activity Component for ESA Applicants 14

0 Yes No Don't Know

Cabinet - 30th November, 2016 68 Option 5 - To limit the number of dependent children within the calculation for Council Tax Reduction to a maximum of two

Limit Number of Dependent Children to 2

0 Yes No Don't Know

Option 6 – To remove entitlement to the Severe Disability Premium where another person is paid Universal Credit (Carers Element) to look after them

Removal of Severe Disability Premium for Universal Credit Carers 14

0 Yes No Don't Know

Cabinet - 30th November, 2016 69 Are you, or someone in your household, getting a Council Tax Reduction at this time?

Receiving LCTS? 14

0 Yes No

What is your gender?

What is your gender? 10 9 8 7 6 5 4 3 2 1 0 Male Female

What is your age?

What is your age? 6

0 25-34 35-44 45-54 55-64 65-74

Cabinet - 30th November, 2016 70 Are your day to day activities limited because of a health problem or disability which has lasted, or is expected to last, at least 12 months?

Disability 14

0 Yes No

Ethnic Origin: What is your ethnic group?

Ethnic Group 14

0 White: British

Cabinet - 30th November, 2016 71

Appendix B

Equality Impact Assessment Council Tax Reduction Scheme 2017/18

EIA

Cabinet - 30th November, 2016 72

Table of Contents Name of Policy/Strategy/Service/Function Proposal ...... Error! Bookmark not defined. The Aims, Objectives and Expected Outcomes: ...... 3 Changes since 2013 ...... 3 The Scheme for 2017/18 ...... 3 Scope of the Equality Impact Assessment ...... 4 Method of Consultation ...... Error! Bookmark not defined. Analysis and Assessment ...... Error! Bookmark not defined. First Stage – Potential Impacts ...... Error! Bookmark not defined.

EIA

Cabinet - 30th November, 2016 73

The Council Tax Reduction Scheme for 2017/18

The Aims, Objectives and Expected Outcomes:

Since 1st April 2013, the Council has maintained a local Council Tax Reduction scheme. This replaced the national Council Tax Benefit scheme, which ended on 31st March 2013. Council Tax Reduction helps provide support to council taxpayers who have a low income. It supports the taxpayers by providing a reduction in the actual amount in Council Tax payable.

The Council has the ability to determine the level of support given to working age applicants only. The scheme for pension age applicants is determined by Central Government and therefore the ability of the Council to vary that part of the scheme is limited and can only enhance the national scheme in any event.

When Council Tax Reduction was first introduced, Central Government provided a specified level of grant, which was approximately 10% lower than the amounts previously given (pre 1st April 2013). This has now been replaced by a general duty to provide a scheme and funding is not separately identified within the grants given to the Council.

After the original consultation, the Council decided to introduce a Council Tax Reduction scheme that differed from the original Council Tax Benefit in that instead of granting a maximum level of support of 100% it would limit the maximum support to 80%.

Changes since 2013

Since the introduction of Council Tax Reduction, the overall scheme adopted by the Council has remained broadly the same, with only applicable amounts and non-dependant charges being uprated as well as minor changes being made to mirror changes to the Housing Benefit scheme. Central Government has also continued to uprate changes to applicable amounts for pension age applicants, again to mirror the changes in Housing Benefit.

The Scheme for 2017/18

It was decided by the Council that a full review should be undertaken as to the effectiveness of the current Council Tax Reduction scheme and a public consultation should be undertaken to gather views as to whether the current scheme should be changed. The Council was minded to make changes to the working age scheme to meet the following: • The need to change the scheme, not only to align with proposed changes to Housing Benefit, but also to align the scheme with the approach taken by the Department for Work and Pensions in the creation, introduction and roll out of Universal Credit; and • To address potential shortfalls in funding due to the continued reduction in Central Government grants.

The Council identified a number of technical changes that formed part of a public consultation (although any changes would only apply to the working age scheme the consultation was open to all Council Taxpayers)

The main proposals of the scheme were as follows, effective from 1st April 2017: 1. The scheme be amended to align with Housing Benefit, namely that the Family Premium will not be granted for all new claims and for any ‘new’ families

EIA

Cabinet - 30th November, 2016 74

2. The scheme be amended to align with Housing Benefit by reducing backdating for working age cases to 1 month 3. The temporary absence rules within the scheme be amended in line with Housing Benefit, to limit the timescale for Council Tax Reduction to be paid where an applicant leaves Great Britain for a period of greater than 4 weeks. Certain exceptions would be applied for armed forces personnel, mariners, continental shelf workers and for certain cases where an applicant is receiving care; 4. The scheme be amended in line with Housing Benefit to restrict the number of dependants additions granted in the calculation to a maximum of two. This change will have specific exceptions and will only affect those applicants who have a third or subsequent child on or after 1st April 2017. 5. The scheme be amended in line with Housing Benefit and Employment and Support Allowance whereby the Work Related Activity Component will not be granted when calculating Council Tax Reduction for all new claims to Employment and Support Allowance on or after 1st April 2017

Scope of the Equality Impact Assessment

A full public consultation took place over an 8 week period from 15th August 2016 to 7th October 2016. The consultation was promoted via the Council’s website and social media channels and though any telephone contact with customers.

A full analysis and assessment has been made of the responses a summary of which are available and have been included in the November Cabinet report.

As the majority of responders (77%) agreed with the changes and as no comments were received by any responders the impact analysis and measures are as per the initial EIA.

As part of the these changes, the Council has given consideration to the effects on working age claimants only and in particular any vulnerable groups in the design of any new system. Central Government has not been prescriptive in how it does this but points to the Council’s existing responsibilities including the Child Poverty Act 2010, the Disabled Person Act 1986 and the Housing Act 1996 as well as the public sector equality duty in section 149 of the Equality Act 2010.

Please note that Pensioner protection will be achieved by keeping in place national rules, which broadly replicate the current council tax benefit scheme, which existed prior to 1st April 2013.

A hardship fund remains available for any claimant experiencing severe financial hardship as a result of the LCTS scheme.

EIA

Cabinet - 30th November, 2016 75

Impacts Please detail what measures or Can this adverse impact Is there changes you will put in place to be justified on the evidence of Could this lead to remedy any identified impact grounds of promoting Area of impact negative adverse impact and if so (NB: please make sure that you equality of opportunity positive or no why? include actions to improve all areas for one group or any other impact? of impact whether negative, reason? neutral or positive) Age Negative Impact There will be a reduction in The council will ensure that Safeguards will be provided in the support given to certain we operate within a lawful scheme. These will take the following working age groups based and balanced budget. The forms: on the changes. financial impact on the • The existing means tested council due to the reduction scheme will be maintained in the grants received from and the most support will be central government require given to those on lowest the council to adopt a local income. scheme that takes into • Certain groups will account the need to protect continue to receive addition the most vulnerable in our help under the scheme community and all local through the provision of taxpayers. The introduction premiums and allowances, of this scheme will provide e.g. Disability Premium, the council with the etc.; opportunity to apply the • The Council will continue principles to ensure that the to provide an exceptional council meets the public hardship fund which would sector equality duty under be available for those the Equality Act 2010. claimants in most severe financial need The reduction in financial support is necessary to protect the interests of taxpayers general and to preserve the overall finances of the council and services it provides

Disability Negative Impact Certain applicants may The council is under no obligation to experience a reduction in offer protection to those of working overall support (as with age who are in receipt of any other working age disability benefits. applicants) due to the However, the Council’s preferred changes in the scheme option is to implement a local scheme that continues to provide additional premiums to disabled persons. All applicants will have access to the exceptional hardship fund should they experience exceptional hardship. Families with Negative Impact There will be a reduction in The council will ensure that Safeguards will be provided in the Dependants support given to families we operate within a lawful scheme. These will take the following with dependants based on and balanced budget. The forms: the changes. financial impact on the • The existing means tested council due to the reduction scheme will be maintained in the grants received from and the most support will be central government require given to those on lowest the council to adopt a local income. scheme that takes into • Certain groups will account the need to protect continue to receive addition the most vulnerable in our help under the scheme community and all local through the provision of

EIA

Cabinet - 30th November, 2016 76

Please detail what measures or Can this adverse impact Is there changes you will put in place to be justified on the evidence of Could this lead to remedy any identified impact grounds of promoting Area of impact negative adverse impact and if so (NB: please make sure that you equality of opportunity positive or no why? include actions to improve all areas for one group or any other impact? of impact whether negative, reason? neutral or positive) taxpayers. The introduction premiums and allowances, of this scheme will provide e.g. Disability Premium, the council with the etc.; opportunity to apply the The Council will continue to provide principles to ensure that the an exceptional hardship fund which council meets the public would be available for those sector duty under the Child claimants in most severe financial Poverty Act 2010. need

The reduction in financial support is necessary to protect the interests of taxpayers general and to preserve the overall finances of the council and services it provides Gender No impact Other than that for working Reassignment age claimants generally

Marriage & No impact Other than that for working Civil age claimants generally Partnership Pregnancy & No impact Other than that for working Maternity age claimants generally

Race No impact Other than that for working age claimants generally

Religion / Belief No impact Other than that for working age claimants generally

Sex No impact Other than that for working (male or female) age claimants generally

Sexual No impact Other than that for working Orientation age claimants generally

HR & Not known at The council will, in any workforce issues this stage event, monitor the overall impact of work and resource accordingly following the adoption of the scheme Human Rights n/a implications if relevant

EIA

Cabinet - 30th November, 2016 77 Agenda item: 10

Cabinet/Individual Cabinet Member Decision

Report Summary Sheet

Date: 30th November 2016

Subject: Borough Plan Working Party

Portfolio: Planning and Development - Councillor D Aldington

From: Director - Regeneration and Public Protection

Summary: The purpose of this report to seek agreement to make changes to the composition of the Borough Plan Working Party.

Recommendations: a. That the composition of the Working Party is amended to comprise six representatives from Labour Group (plus two substitutes) and two representatives from the Conservative Group (plus one substitute). b. That the Leaders of both groups forward nominations for the Working Party to the Managing Director. c. That the report not be subject to call-in on the grounds of urgency.

Options: a. Agree as recommended. b. Propose alternative composition. c. Disband Working Party.

Reasons:

Cabinet - 30th November, 2016 78 To reflect the political composition of the Council following the local elections on 5th May 2016.

Consultation undertaken with Members/Officers/Stakeholders The matter has been discussed with the Portfolio holder for Planning and Development

Subject to call-in: No – on the grounds of urgency

Ward relevance: All

Forward plan: No

Corporate Priorities: N/A

Relevant statutes or policy:

N/A

Equalities Implications: None

Human resources implications: None

Financial implications: None

Cabinet - 30th November, 2016 79 Health Inequalities Implications:

None

Section 17 Crime & Disorder Implications: None

Risk management implications: The ability for Members to steer policy development would be hampered in the absence of a Borough Plan Working Party. This could lead to delays later in the plan- making process if the content of the Plan is politically unacceptable.

Environmental implications: None

Legal implications: None

Contact details:

Kelly Ford Head of Planning Policy & Economic Development Tel: 024 7637 6335 Email: [email protected]

Cabinet - 30th November, 2016 80 AGENDA ITEM NO. 10

NUNEATON AND BEDWORTH BOROUGH COUNCIL

Report to: Cabinet, 30th November 2016

From: Director – Regeneration and Public Protection

Subject: Borough Plan Working Party

Portfolio: Planning and Development – Councillor D Aldington

1. Purpose of Report

1.1 The purpose of this report is to seek amendments to the composition of the Borough Plan Working Party.

2. Recommendations

a. That the composition of the Working Party is amended to comprise six representatives from Labour Group (plus two substitutes) and two representatives from the Conservative Group (plus one substitute). b. That the Leaders of both groups forward nominations for the Working Party to the Managing Director. c. That the report not be subject to call-in on the grounds of urgency.

3. Background

3.1 A Borough Plan Working Party was first established via a Cabinet decision on 14th November 2007 (minute 237) with the purpose of providing Member input into the development of the Nuneaton and Bedworth Borough Plan. Membership was based on Party proportions with four representatives from Labour and two from the Conservatives. The composition was reviewed again in 2012 and 2014. The Working Party currently comprises six representatives from Labour (including the Cabinet Member for Planning and Development), one Conservative and one from the Alternative Group Formed to Provide Effective Opposition to Unfair Borough Plan (now The Green Party).

3.2 Following the election in May 2016 the composition of the Working Party needs to be reviewed to reflect the new Council proportions. With a proposed membership of eight Members, the Working Party would comprise of six from the Labour Group and two from the Conservatives.

Cabinet - 30th November, 2016 81 3.3 A decision on the future composition of the Working Party is required before it can be reconvened and continue its role in shaping the development of the Borough Plan.

3.4 The report is marked as not for call-in on the grounds of urgency. This is to enable the Working Party to meet to consider the content of the Plan before it is scheduled to go to Cabinet on 4th January 2017.

4. Appendices

None

5. Background Papers

None

IAN POWELL

Cabinet - 30th November, 2016 82 Agenda item: 11

CABINET

Report Summary Sheet

Date: 30th November 2016

Subject: Regulation of Investigatory Powers Act 2000 – Policy Review

Portfolio: Central Services (Councillor G.D. Pomfrett)

From: Director – Governance & Recreation

Summary: To approve the Council policy in respect of Covert Surveillance.

Recommendations: That the policy be approved.

Reasons: The Policy sets out the legal requirements and Council’s procedures for complying with surveillance under the legislation.

Options: Not to approve the policy. To amend the policy prior to approval.

Consultation undertaken : Overview and Scrutiny Panel

Subject to call-in: Yes.

WSW / X485 / 150546 Page 1

Cabinet - 30th November, 2016 83

Ward Reference : Not Ward specific

Forward plan: No.

Corporate priorities: Aim 2 Priority 3.

Relevant statutes or Regulation of Investigatory Powers Act 2000 policy:

Equal Opportunity No specific equal opportunities implications. Implications:

Human Resources No specific human resource implications. Implications:

Financial Implications: No specific financial implications.

Health Inequalities None. Implications:

s.17 – Crime and Surveillance can be used for offences punishable Disorder Implications: by six months imprisonment.

Risk Management None. Implications:

Environmental None. Implications:

Legal Implications: Failure to comply with legislation may result in claims being made against the Council.

Contact Details: Philip Richardson – Director Governance & Recreation. Telephone 024 76376233

WSW / X485 / 150546 Page 2

Cabinet - 30th November, 2016 84

AGENDA ITEM NO.11

NUNEATON AND BEDWORTH BOROUGH COUNCIL

Report to: Cabinet – 30th November 2016

From: Director – Governance & Recreation

Subject: Regulation of Investigatory Powers Act 2000

Portfolio: Central Services (Councillor G.D. Pomfrett)

1. Purpose of Report

1.1 To approve the Council Policy on the use of surveillance pursuant to the Regulation of Investigatory Powers Act 2000

2 Recommendation

2.1 It be recommended THAT:

The Policy attached at Appendix A be approved.

3. Background

3.1 Cabinet will be aware that the Council has in place a policy setting out rights and obligations in respect of surveillance under the above legislation. The policy attached at Appendix A was reviewed by Economic and Corporate Overview and Scrutiny Panel on 16th June 2016 and is now recommended to Cabinet for approval. Updates have been made following an Inspection by an Inspector from the Office of the Surveillance Commissioners.

4. Inspection

4.1 The Inspection took place on 5th November 2015 and the inspection report was presented to the OSP. Members requested that subject to clarification being sought from the Office of the Surveillance Commissioners on recommendation 1 below, the amended policy be referred to Cabinet for approval.

4.2 A copy of the revised policy is attached at Appendix A. It has been updated in line with the recommendations set out in the Inspection Report as follows:

WSW / X485 / 150546 Page 3

Cabinet - 30th November, 2016 85 1. Consideration be given to appointing a solicitor as RIPA Co- ordinating Officer. 2. To ensure that training is made available to the appropriate officers and other potential users and consideration is given to the dissemination of broad principles throughout the Council 3. To amend the Council’s RIPA Policy in line with the Inspector’s suggestions.

4.3 With regard to point 1, the Director – Governance & Recreation has previously been formally designated RIPA Co-ordinating Officer for the Council and was informally supported in this role by a Council solicitor. The Inspector has, however, advised that a further role of RIPA Senior Responsible Officer should now be designated. Clarification confirmed that the Senior Responsible Officer should be an authorising officer and member of senior management team and as such the Director- Governance & Recreation should take on this role with the recommendation that a Council solicitor be formally appointed RIPA Co-ordinating officer. This proposal has been incorporated into the revised policy.

4.4 The inspection report also recommended the training of officers on the provisions of the Act and this was carried out on 19th July 2016 by an external training provider. The training provider expanded upon the Inspector’s recommendation that the policy be updated to include use of social media and accordingly further amendment has been made to the policy to expand upon this aspect.

4.5 In addition, having received training, the Director – Assets and Street Services and the Director – Business Improvement have been appointed as authorising officers and the policy has been updated to reflect this appointment.

WSW / X485 / 150546 Page 4

Cabinet - 30th November, 2016 86 Appendix B A

Amended Dec 12June 16

Regulation of Investigatory Powers Act 2000

Guidance and Procedure Document

Directed Covert Surveillance

Approved by Cabinet 9th June 2010

Revised by Cabinet 22nd May 2013 Formatted: Superscript

1 X485 / 59984

Cabinet - 30th November, 2016 87 INDEX 1. INTRODUCTION ...... 444 Scope of this Procedure Document ...... 444 Surveillance Commissioner and Tribunals ...... 555 Complaints ...... 555 2. COVERT SURVEILLANCE ...... 111111 Directed Surveillance ...... 111111 Intrusive Surveillance ...... 111111 3. THE ROLE OF THE RIPA CO-ORDINATOR ...... DESIGNATED OFFICERS 151413 Key Responsibilites of the RIPA Co-ordinatorDesignated Officers .. 171514 Central Record of Authorisations ...... 171514 4. GENERAL RULES ON AUTHORISATION ...... 191716 Necessity and proportionality ...... 201716 Collateral Intrusion ...... 211817 Combined Authorisations...... 221918 Record of Authorisations ...... 221918 5. ADDITIONAL RULES...... 232120 Recording of Telephone Conversations...... 232120 Interception of Telecommunications ...... 232120 Communications Subject to Legal Privilege ...... 232120 Communications involving Confidential Personal Information and Confidential Journalistic Material ...... 252321 6. PROCEDURE FOR OBTAINING AUTHORISATION FOR DCS ...... 272523 Action to be taken by the Person Applying for Authorisation...... 272523 7. GUIDANCE ON THE COMPLETION OF AUTHORISATION FORMS: 282624 Application Form ...... 282624 8. ACTION TO BE TAKEN BY THE AUTHORISING OFFICER ...... 312927 Authorising Officers ...... 312927 Authorisation Process ...... 312927 9. DURATION OF AUTHORISATIONS ...... 393735 Reviews ...... 393735 Renewals ...... 393735 Cancellations ...... 403836 Ceasing of Surveillance Activity ...... 403836 10. HANDLING MATERIAL OBTAINED FROM DCS ...... 413937 11. RETENTION AND DESTRUCTION OF DOCUMENTS ...... 424038 12. GLOSSARY OF TERMS ...... 434139 Collateral Intrusion ...... 434139 Confidential Journalistic Material ...... 434139 Confidential Material ...... 434139 Confidential Personal Information ...... 434139 Covert Surveillance ...... 434139 Directed Surveillance ...... 444240 HRA ...... 444240 Immediate Response ...... 444240 Intrusive Surveillance ...... 444240 Matters Subject to Legal Privilege ...... 444240 2 X485 / 59984

Cabinet - 30th November, 2016 88 Private Information ...... 444240 Private Vehicle ...... 444240 Residential Premises ...... 454341 RIPA ...... 454341 Surveillance ...... 454341 Surveillance Device ...... 454341 URN ...... 454341 Annex 1 ...... 464442 Designated RIPA Co-ordinator and Authorised Officers ...... 464442 RIPA Co-ordinator ...... 464442 Authorising Officers ...... 464442 Annex 2 ...... 484644 Procedure for Obtaining RIPA Authorisation ...... 484644 Determination of Whether DCS Authorisation is Required ...... Error! Bookmark not defined. Annex 3 ...... 494746 Annex 4 ...... 514947 Scenarios ...... 514947 Annex 5 ...... 565452 Useful Links ...... 565452 Forms ...... 565452 Guidance ...... 565452 Codes of Practice ...... 565452 Statutes...... 565452 Statutory Instruments...... 565452 Annex 6 ...... 585654 Quick Guide ...... 585654 Duration of Authorisations (see Section 7 of the Guidance) ...... 595755 Renewals, Reviews and Cancellations (see Section 7 of the Guidance) ...... 595755 Documentation (see Sections 6 and 7 of the Guidance) ...... 595755 Annex 7 ...... 626058 Central Record of Authorisations ...... 626058 Annex 8 ………………………………………………………………………………..47 Standard Operating Procedure for surveillance carried out by Contractors Annex 9………………………………………………………………………………...50 Standard Operating Procedure for use of surveillance equipment Annex 10…………………………………………………………………………….…54 Protocol with the Police for use of CCTV for directed covert surveillance .

3 X485 / 59984

Cabinet - 30th November, 2016 89

1. INTRODUCTION

The Regulation of Investigatory Powers Act 2000 (RIPA) provides a legal framework for the control and regulation of surveillance and information gathering techniques which Public Bodies undertake in the conduct of their duties. The need for such control has arisen from the enactment of the Human Rights Act 1998 (HRA) and more specifically Article 8 of the European Convention on Human Rights. Article 8 states:

ARTICLE 8 RIGHT TO RESPECT FOR PRIVATE AND FAMILY LIFE

1) Everyone has the right to respect for his private and family life, his home and his correspondence.

2) There shall be no interference by a public authority with the exercise of this right except such as is in accordance with the law and is necessary in a democratic society in the interests of national security, public safety or the economic well-being of the country, for the prevention of disorder or crime, for the protection of health or morals, or for the protection of the rights and freedoms of others.

The right to respect for private and family life is a qualified right and public authorities can lawfully interfere with that right for the reasons given in part 2 of Article 8. It is RIPA which provides the legal framework for such lawful interference.

Scope of this Procedure Document

The Act provides a permissive regime for surveillance and information gathering undertaken by all public bodies including the Intelligence Services, Police, Armed Forces, Customs and Excise and Local Authorities. This document is intended to cover the surveillance and information gathering techniques which are most appropriate to local authority work. In this context this also includes the investigation of internal fraud.

There is also a statutory Code of Practice made under the Act which governs the application of this Guide, and takes precedence in the event of a conflict: and can be obtained from the Home Office Website pursuant to section 71 of the Regulation of Investigatory Powers Act 2000 (Home Office)

Forms of surveillance not regularly undertaken by local authorities in relation to members of the public are outside the scope of this document1.

1 Information relating to postal, telephone or electronic communication; the covert use of surveillance equipment; the use of covert relationship with another person; computer or paper records covered by the Data Protection Act (see the NBBC Data Protection Policy). 4 X485 / 59984

Cabinet - 30th November, 2016 90 Local authorities are restricted in the type of surveillance and information gathering techniques which they can be authorised to undertake under RIPA. These are contained within Part II of the Act and relate to surveillance and the use of covert human intelligence sources (CHIS).

Part II of the Act came into force on 25th September 2000 and was amended from 1st November 2012 by the Protection of Freedoms Act 2012. All investigations which involve surveillance subsequent to this date must be undertaken in accordance with the authorisation procedures contained in this document. The Council can only authorise directed surveillance for the purpose of preventing or detecting conduct which constitutes one or more criminal offence where the criminal offence attracts a custodial sentence of six months or more. Local Authority authorisations can only be given effect once an order approving it has been given by a Justice of the Peace. . Failure to obtain an authorisation is likely to be deemed to be unlawful under the HRA and evidence gathered is liable to be ruled inadmissible in Court. It is strongly recommended that authorisation is obtained where private information is intended to be gathered using covert surveillance techniques whether or not that person is the target of the investigation.

The Act not only covers the observation of members of the public but also covers the observation of employees and members as part of an internal investigation. Normal organisational policies on identifying risks to officers or to others should be adopted if it is perceived that any risk might arise from a specific operation.

Surveillance Commissioner and Tribunals The Government has appointed a Surveillance Commissioner to review how public authorities implement the requirements of RIPA. The Commissioner has wide ranging powers of access and investigation. It is likely that the Council will receive periodic visits from the Commissioner’s staff and therefore it is essential that everyone who engages in covert surveillance is fully aware of this law and this procedure. For further information see http://www.surveillancecommissioners.gov.uk/index.html

In addition, the Office of the Surveillance Commissioner has published guidance, which is available on CLIP

Complaints Complaints from any person who considers that the Authority has breached a Convention Right in contravention of the HRA should initially be made to the Managing Director. Beyond this a Tribunal system has been set up. This Tribunal will be made up of senior members of the judiciary and the legal profession and is independent of the Government. The Tribunal has full powers to investigate and decide any case within its jurisdiction.

Details of the relevant complaints procedure can be obtained from the following address:

5 X485 / 59984

Cabinet - 30th November, 2016 91

Investigatory Powers Tribunal PO Box 33220 London SW1H 9ZQ 020 7273 4514

Further guidance on any issue surrounding RIPA can be obtained from the Home Office RIPA web site: http://homeoffice.gov.uk or from the Director – Governance and Recreation who is the RIPA Co-coordinator. Copies of this policy should also be available for public reference at all of the Council’s public offices.

Formatted: Normal

Formatted: English (United States) 6 X485 / 59984

Cabinet - 30th November, 2016 92

2. QUICK GUIDE Formatted: English (United States) To be used in conjunction with the Flowcharts in Annex 2 Formatted: Normal Formatted: Left

This is intended only as a quick guide – please read the appropriate sections of the Procedure Guide and/or the Codes of Practice BEFORE carrying out any surveillance

If you are in any doubt consult Legal Services

Important Restrictions

1. The Council cannot authorise Intrusive Surveillance (see section 2 of the Guidance)

2. Authorisations must be obtained before surveillance takes place and must be approved in writing (see sections 2 and 4 of the Guidance) and referred to a Justice of the Peace for approval

3. If confidential material is likely to be obtained authorisation must be obtained from the Managing Director (see section 6 of the Guidance)

4. Authorisations for CHIS will only be made in exceptional circumstances and consultation with Legal Services must be held before any application for authorisation is made

Is an authorisation needed? (see Section 2 of the Guidance)

1. Will you be carrying out an inspection or investigation covertly (i.e. will the target know you are doing it) AND is the investigation likely to reveal private information about the target person or anybody else? AND is likely to reveal criminal conduct punishable by 6 months imprisonment

If the answers are YES, then RIPA authorisation is needed for directed surveillance

If the target KNOWS that you are carrying out an inspection, or if your inspection will not reveal ANY private information a RIPA authorisation will not be needed and surveillance should be done overtly.

2. Will you be entering residential premises or a private vehicle OR will the equipment you use provide information of such quality that it will be as good as any that you would get on the premises

7 X485 / 59984

Cabinet - 30th November, 2016 93

If EITHER answer is YES then the surveillance will be intrusive and no authorisation can be given. DO NOT PROCEED.

If you need an authorisation (see Section 4 of the Guidance)

1. Discuss the need with your line manager 2. Contact Legal Services to discuss the principles 3. Complete the appropriate form by going to the Home Office website at (see notes on how to complete the form) 4. Pass the completed form to the Authorising Officer for consideration together with any supporting documents. 5. If approved contact RIPA Co-ordinator to arrange the Court hearing. Do NOT proceed without confirmation that authorisation has been given.

Duration of Authorisations (see Section 7 of the Guidance)

1. Directed surveillance authorisations last for up to three months

Renewals, Reviews and Cancellations (see Section 7 of the Guidance)

1. All authorisations should be reviewed regularly (at least monthly) to confirm that they are still needed or further authorisations are necessary 2. All authorisations must be cancelled upon their expiry date or when they are no longer needed, if earlier. A cancellation form needs to be completed. 3. Authorisations may be renewed before they expire by completing a renewal form. If the renewal is not authorised the existing authorisation will lapse.

Documentation (see Sections 6 and 7 of the Guidance)

1. The RIPA Co-ordinator will keep the original application form and authorisation, together with renewal, review and cancellation forms. He will maintain the centrally retrievable records.

2. The authorising officer will keep a copy of all authorisations.

3. The relevant section should maintain the following documentation:

• a copy of the application and a copy of the authorisation together with any supplementary documentation and notification of the approval given by the authorising officer; • a record of the period over which the surveillance has taken place; • the frequency of reviews prescribed by the authorising officer; 8 X485 / 59984

Cabinet - 30th November, 2016 94 • a record of the result of each review of the authorisation; • a copy of any renewal of an authorisation, together with the supporting documentation submitted when the renewal was requested; • the date and time when any instruction was given by the authorising officer.

Retention and Destruction of Documentation by Sections

1. Individual sections should retain their documentation and a record of all applications and authorisations for a period of five years from the ending of the authorisation.

2. If records could be relevant to court proceedings they should be retained for a suitable further period

3. The decision to retain the records should be periodically reviewed

Handling of Material

1. Material relevant to an investigation should be retained in accordance with the established disclosure requirements having regard to the Criminal Procedure and Investigations Act 1996 and Civil Procedure Rules.

2. Material which is not related to a criminal or other investigation, or to any person who is the subject of the investigation, should be destroyed immediately.

3. Confidential material should:

• not be retained or copied unless it is necessary for a specific purpose

• only be disseminated, on legal advice, that it is necessary to do so

• be marked with a warning of its confidential nature. Safeguards should be put in place to ensure that such material does not come into the possession of any person which might prejudice any civil or criminal proceedings.

• be destroyed as soon as it is no longer necessary to retain it for a specified purpose.

4. Video and audio tapes should be treated as a security items. A stockholder must control and record the issue of tapes using a register. Each tape will be sequentially numbered and stored securely in a lockable drawer or cabinet. Tapes must not be over-written, as soon as it is no longer necessary to retain the information the tapes should be wiped clean before re-use. 9 X485 / 59984

Cabinet - 30th November, 2016 95

10 X485 / 59984

Cabinet - 30th November, 2016 96 32. COVERT SURVEILLANCE

There are two categories of covert surveillance: • Directed Surveillance, and • Intrusive Surveillance

Directed Surveillance

Directed Covert Surveillance (DCS) is defined as surveillance which is covert, but not intrusive, and undertaken: a) for the purpose of a specific investigation or operation; b) in such a manner as is likely to result in the obtaining of private information about a person (whether or not that person is the target of the investigation or operation); and c) in a planned manner and not by way of an immediate response whereby it would not be reasonably practicable to obtain an authorisation prior to the surveillance being carried out.

The flowcharts at Annex 2 and the scenarios in Annex 4 provide some guidance on when an authorisation for DCS would be required.

It should be noted that it is irrelevant where the subject of the DCS is when he or she is being observed. eE.g. at work/home/in public places.

Intrusive Surveillance

Officers of the local authority cannot authorise intrusive surveillance.

Intrusive surveillance is defined as covert surveillance that: a) is carried out in relation to anything taking place on any residential premises or in any private vehicle; and b) involves the presence of any individual other than a CHIS on the premises or in the vehicle or is carried out by means of a surveillance device. Formatted: Numbered + Level: 1 + Numbering Style: a, b, c, … + Start at: 1 + Alignment: Left + Aligned at: 0 cm + b) Tab after: 0.63 cm + Indent at: 0.63 cm

Formatted: Normal, Justified, Numbered + Level: 1 + If the device is not located on the premises or in the vehicle, it is not intrusive Numbering Style: a, b, c, … + Start at: 1 + Alignment: Left + surveillance unless the device consistently provides information of the same Aligned at: 0 cm + Tab after: 0.63 cm + Indent at: 0.63 cm quality and detail as might be expected to be obtained from a device actually present on the premises or in the vehicle.

11 X485 / 59984

Cabinet - 30th November, 2016 97 COVERT HUMAN INTELLIGENCE SOURCES

The term Covert Human Intelligence Source (CHIS) is used to describe people who are more commonly known as informants and are used more widely by the Police and other similar organisations than by Local Authorities. However, a CHIS would also include work by officers working “undercover” whereby a covert relationship is established with another person. Such activity may be undertaken by local authority officers.

The use of a CHIS will be authorised only in exceptional circumstances. Other methods of obtaining the information should be used if at all possible. Legal Services should be contacted at the outset as the rules and procedures are complicated.

A person is a CHIS if:

(a) he/she establishes or maintains a personal or other relationship with a person for the covert purpose of facilitating the doing of anything falling within paragraph (b) or (c);

(b) he/she covertly uses such a relationship to obtain information or to provide access to any information to another person; or

(c) he/she covertly discloses information obtained by the use of such a relationship, or as a consequence of the existence of such a relationship.

Use of the Internet Formatted: Font: Bold, Underline

Use of the internet may be required to gather information which may amount to directed surveillance. Where an officer intends to use the internet, consideration must be given to Article 8 rights and possible collateral intrusion; and if so, it is necessary and proportionate to meet the objects of the specific case. Where it is considered that private information may be obtained, authorisation must be sought.

1. Normal usage Formatted: Font: Bold

Where an investigator makes normal background checks on the internet, accessing pages that are in the public domain on a single occasion, this would be considered normal usage. Under these circumstances, whilst full records must be kept (in order to comply with the Criminal Procedure and Investigations Act) there is no need for investigators to seek authorisation to make these enquiries. During the course of the investigation, it would be normal for an investigator to make very occasional checks on pages, in order to confirm the information contained therein or, for example, to check for changes just prior to interview. 12 X485 / 59984

Cabinet - 30th November, 2016 98

If, on the other hand, investigators wish to make regular checks on pages, in order to keep check on a suspect’s activities, this may amount to Directed Surveillance.

2. Direct Surveillance Formatted: Font: Bold

Where investigators make regular checks of a page, in order to monitor activity, this may amount to Directed Surveillance. This is because the person, whilst posting to a public forum, site or page, may well not expect the Local Authority to be watching them.

An analogy must be drawn between the electronic world and the ‘real’ world - if investigators were to go to a public house, in order to listen to a conversation that the suspect was having, this would amount to Directed Surveillance; visiting an online forum for the same purpose is no different.

You wish to covertly watch a shop, in order to see if the shopkeeper is selling unlawful items. This is Directed Surveillance. That same shopkeeper has an online shop that you wish to check every day. What is the difference?

3. Covert Human Intelligence Source Formatted: Font: Bold

Looking at publicity available pages is normally considered ‘Open Source’ investigation but the situation changes if investigators are required to request access, in order to view the page. If investigators have to create or maintain a ‘personal or other relationship’ in order to access information, this probably amounts to becoming a Covert Human Intelligence Source. A good example of this is ‘Facebook’, where a profile may be available for all to view (‘Open Source’ or Directed Surveillance) or may require investigators to send a friend request and have that request accepted.

An exception would be where, for example, the officer uses an identity that is manifestly overt (Anytown CouncilNBBC Trading StandardsEnvironmental Health Officer) and sends the request from this identity. Under these circumstance, the viewing of the page would amount to monitoring and not Directed Surveillance or becoming Covert Human Intelligence Source.

Officers are instructed to use the procedures outlined in this policy (either RIPA or Non-RIPA), if the above circumstances apply.

13 X485 / 59984

Cabinet - 30th November, 2016 99

14 X485 / 59984

Cabinet - 30th November, 2016 100 43. THE ROLE OF THE RIPA CO-ORDINATORDESIGNATED OFFICERS Formatted: Font: Not Bold, English (United States) Formatted: Normal Designated RIPA Co-ordinator, Senior Responsible Officer and Authorised Officers

RIPA Co-ordinator and Senior Responsible Officer

The following officers hasve been nominated as the designated RIPA Co- ordinator and Senior Responsible Officer for NBBC under the Regulation of Investigatory Powers Act 2000.

Officer: Section: Contact Details: Formatted Table

RIPA Co ordinator Governance Tel: 024 7637 6100 Wendy Davies-White and Recreation mailto: wendy.davies- Field Code Changed [email protected] v.uk

Deputy RIPA Co-ordinator Governance Tel: 024 7637 6268 Shehnaz Tai and Recreation mailto: Field Code Changed shehnaz.tai@nuneatonandbedwo rth.gov.uk

Formatted: Body Text Senior Responsible Officer Governance Formatted Table and Recreation Tel: 024 7637 6233 The following officer has been mailto: Field Code Changed nominated as the designated philip.richardson@nuneatonandb Senior Responsible Officer for edworth.gov.uk Nuneaton and Bedworth Borough Council under the Regulation of Investigatory Powers Act 2000:

Philip Richardson Formatted: Indent: Left: 0 cm

Deputy Senior Responsible Governance Tel: 024 7637 6897 Officer and Recreation mailto: Field Code Changed Waheeda Sheikh waheeda.sheikh@nuneatonandb Formatted edworth.gov.uk

Formatted: Body Text

15 X485 / 59984

Cabinet - 30th November, 2016 101

Authorising Officers Formatted: Font: Not Bold, English (United Kingdom)

The following Officers shall be designated as Authorising Officers for the specified purpose on behalf of NBBC under the Regulation of Investigatory Powers Act 2000.

Power to authorise delegated to post-holder: DCS Confidential Material:

Managing Director Yes Yes

Director – Governance and Recreation Yes Yes (in the absence of the Managing Director)

Director – Housing and Communities Yes No

Director – Assets and Street Services Yes No

Director – Business Improvement Yes No

NB: There is no provision for other officers to authorise investigations even in cases of emergency. Only the Managing Director or in his absence Director – Governance and Recreation can authorise investigations that will involve the collection of confidential material.

16 X485 / 59984

Cabinet - 30th November, 2016 102 Key Responsibilities of the RIPA Co-ordinator

The key responsibilities of the RIPA Co-ordinator are to:

• Retain all applications for authorisation (including those that have been refused), renewals and cancellations for a period of at least six years together with any supplementary documentation.;

• Provide a unique reference number and maintain the central register of all applications for authorisations whether finally granted or refused (see section below);

• Create and maintain a spreadsheet for the purpose of identifying and monitoring expiry dates and renewal dates although the responsibility for this is primarily that of the officer in charge and the authorising officer;

• Monitor types of activities being authorised to ensure consistency and quality throughout the Council;

• Ensure sections identify and fulfil training needs;

• Periodically review Council procedures to ensure that they are up to date;

• Assist council employees to keep abreast of RIPA developments;

• Provide a link to the Surveillance Commissioner and disseminate information on changes on the law, good practice etc. Officers becoming aware of such information should, conversely, send it to the RIPA Co- ordinator for this purpose;

• Check that Authorising Officers carry out reviews and cancellations on a timely basis.

Central Record of Authorisations

A centrally retrievable record of all authorisations should be held by the RIPA Co- ordinator which must be up-dated whenever an authorisation is granted, renewed or cancelled. These records should be retained for a period of at least three years from the ending of the authorisation and should contain the following information:

• The type of authorisation; • The date the authorisation was given; • The name and title of the Authorising Officer; • The unique reference number of the investigation; • The title of the investigation, including a brief description and the names of the subjects, if known; 17 X485 / 59984

Cabinet - 30th November, 2016 103 • Whether the urgency provisions were used and why; • If the authorisation is renewed, when it was renewed and the name and title of the Authorising Officer; • Whether the investigation is likely to result in obtaining confidential information; and • The date the authorisation was cancelled.

The spreadsheet at Annex 7 will be used to record this information. Access to the data will be restricted to the Authorising Officers to maintain the confidentiality of the information.

Accountability

Annual reports on the number and type of authorisations granted will be taken to the Environment Scrutiny Panel.

Role of the SRO

Furthermore, it is considered good practice that within every relevant public authority, a senior responsible officer should be responsible for:

• the integrity of the process in place within the public authority to authorise directed and intrusive surveillance and interference with property or wireless telegraphy;

• compliance with Part II of the 2000 Act, Part III of the 1997 Act and with this code;

• engagement with the Commissioners and inspectors when they conduct their inspections, and

• where necessary, overseeing the implementation of any post inspection action plans recommended or approved by a Commissioner.

The senior responsible officer should be a person holding the office, rank or position of an authorising officer within the relevant public authority.

3.34 Within local authorities, the senior responsible officer should be a member of the corporate leadership team and should be responsible for ensuring that all authorising officers are of an appropriate standard in light of any recommendations in the inspection reports prepared by the Office of the Surveillance Commissioner. Where an inspection report highlights concerns about the standards of authorising officers, this individual will be responsible for ensuring the concerns are addressed

18 X485 / 59984

Cabinet - 30th November, 2016 104

54. GENERAL RULES ON AUTHORISATION

An authorisation under Part II of the Act will provide lawful authority for a public authority to carry out surveillance.

Authorisation for DCS must be given in writing by the Authorising Officer.

Annex 1 sets out the officers empowered to grant authorisations. 19 X485 / 59984

Cabinet - 30th November, 2016 105

Key issues for consideration before any authorisation is granted are:

• necessity; • proportionality; • the likely degree of intrusion into the privacy of all those potentially affected • any adverse impact on community confidence that may result from the use or conduct of the information obtained.

Necessity and proportionality

Obtaining an authorisation under the Act will only ensure that there is justifiable interference with an individuals rights if it is necessary and proportionate for these activities to take place.

Formatted: Justified Necessity

The Act requires the Authorising Officer to believe that the authorisation is necessary for the following reason.

For the purpose of preventing or detecting conduct which constitutes one or more criminal offences where the offence is punishable whether on Summary Conviction or Indictment by a maximum term of at least 6 months imprisonment or certain prescribed licensing offences e.g. sales to minors2

In the Office Surveillance Commissioners (OSC) Procedures and Guidance Manual (Dec 2011) it is recommended that the Authorising Officer must be satisfied that there is a necessity to use covert surveillance in the proposed operation. In order to be satisfied, there must be an identifiable offence to prevent or detect before an authorisation can be granted particularly if it is questionable that the serious crime criteria can be met.

Proportionality

An authorisation should demonstrate how an Authorising Officer has reached the conclusion that the activity is proportionate to what it seeks to achieve. This should include an explanation of the reasons why the method, tactic or technique

2 The Regulation of Investigatory Powers (Directed Surveillance and Covert Human Intelligence Sources) Order 2012 SI 2012/1500 20 X485 / 59984

Cabinet - 30th November, 2016 106 proposed is not disproportionate (the provincial “sledgehammer to crack a nut””. Proportionality is not only about balancing the effectiveness of covert methods over overt methods but of explaining why the particular covert method, technique or tactic is the least intrusive. It is insufficient to simply say that the ‘seriousness’ of the crime justifies the potential method. Similarly any potential cost savings cannot be used to justify use of technological solutions which are often capable of being more intrusive than a human being.

The OSC Manual suggests that a model answer would make clear that the 4 elements of proportionality had been fully considered. i) balancing the size and scope of the operation against the gravity and extent of the perceived mischief ii) explaining how and why the methods to be adopted will cause the least possible intrusion on the target and others iii) that the activity is an appropriate use of the legislation and the only reasonable way, having considered all others, of obtaining the necessary result and iv) evidencing what other methods have been considered and why they were not implemented.

The Authorising Officer should set out why he/she believes that the proposed action is necessary and proportional. A bare assertion is insufficient.

Authorising Officers should avoid using template entries as this can lead to the appearance that little consideration has been given to the specific applications. It is essential that each application is considered on its own merits.

If the activities are necessary, the Authorising Officer must believe that they are proportionate to what is sought to be achieved. This involves balancing the intrusiveness of the activity on the target and others who might be affected by it against the need for the activity in operational terms.

The activity will not be proportionate if it is excessive in the circumstances of the case or if the information could reasonably be obtained by other less intrusive means.

Authorising officers must state explicitly what is being authorised.

Collateral Intrusion

Before authorising surveillance the Authorising Officer should take into account the risk of intrusion into the privacy of persons other than those who are the subject of the investigation. Measures should be taken to avoid or minimise unnecessary intrusion into the lives of those not directly connected with the investigation. Authorising Officers need to fully understand the capabilities and sensitivity levels of any technical equipment intended to be used and where and how it is to be deployed. An application for an authorisation should include an assessment of the risk of any collateral intrusion. The Authorising Officer should 21 X485 / 59984

Cabinet - 30th November, 2016 107 take this into account, when considering the proportionality of the surveillance. To assist in this process a map of the area should be attached to the application indicating particularly sensitive items such as schools.

In addition the authorising officer must ensure that any proposed action does not unjustifiably infringe any individuals Article 14 European convention of Human Rights.

Surveillance Equipment

Where it is proposed to use technical equipment for covert surveillance purposes, the Standard Operating Procedure at Annex 9 should also be completed and cross referenced with the URN of the RIPA authorisation. This should be submitted to the Authorising Officer with the completed RIPA application form.

Combined Authorisations

A single authorisation may combine two or more different authorisations under Part II of the Act. For example, where there is a joint investigation between the Authority and Department for Works and Pensions. In such cases it is usually for the tasking agency to obtain or provide the authorisation. This does not, however, preclude separate applications being made.

Record of Authorisations

All completed application forms, renewal forms and cancellation forms must be immediately sent to the RIPA Co-ordinator. Copies should be kept by the Authorising Officer and by the Applicant for retention on the investigation file.

In all cases, the relevant section must retain the following documentation which does not form part of the centrally retrievable record held by the RIPA Co- ordinator (see Section 3):

• a copy of the application and a copy of the authorisation together with any supplementary documentation and notification of the approval given by the authorising officer; • copy of the Justice of the Peace Approval • a record of the period over which the surveillance has taken place; • the frequency of reviews prescribed by the authorising officer; • a record of the result of each review of the authorisation; • a copy of any renewal of an authorisation, together with the supporting documentation submitted when the renewal was requested; • the date and time when any instruction was given by the authorising officer. • Formatted: Bulleted + Level: 1 + Aligned at: 0.63 cm + Tab after: 1.27 cm + Indent at: 1.27 cm

Formatted: Normal, Justified Formatted: Font: Bold 22 X485 / 59984

Cabinet - 30th November, 2016 108

65. ADDITIONAL RULES Formatted: Normal, Justified Formatted: Font: Bold, Underline Recording of Telephone Conversations

The recording of telephone calls between two parties when neither party is aware of the recording cannot be undertaken, except under a Warrant granted under Part 1 of RIPA. Such warrants are only granted by the Secretary of State and it is not envisaged that such activity would fall within the remit of local authority investigations.

However, there may be situations where either the caller or receiver consents to the recording of the telephone conversation. In such circumstances a Part 1 warrant is not required but this type of surveillance should be authorised as DCS.

Where as part of an already authorised DCS a telephone conversation is to be recorded then no special or additional authorisation is required. However, advice from Legal services must be obtained and recorded beforehand.

The recording of telephone conversations for purposes not connected with investigatory powers does not fall within this guidance document. For further advice on this subject contact the Legal Services.

Interception of Telecommunications

As mentioned in the introduction Part 1 of the Act does not affect Local Authorities save as to say that under it the Telecommunications (Lawful Business Practice) (Interception of Communications) Regulations 2000 - SI 2000/2699 have been made. These regulations permit the Council without further authorisation to lawfully intercept its employees’ business e-mail or telephone communications and monitor their internet access for the purposes of prevention or detection of crime or the detection of unauthorised use of these systems.

The NBBC Internet and E-Mail Policy governs NBBC activity in this respect.

Communications Subject to Legal Privilege

This includes both oral and written communications between a professional legal advisor and his/her client, or any person representing his/her client, made in connection with the giving of legal advice to the client or in contemplation of legal proceedings and for the purpose of such proceedings, as well as items enclosed with or referred to in such communications. Communications and items held with the intention of furthering a criminal purpose are not matters subject to legal privilege.

23 X485 / 59984

Cabinet - 30th November, 2016 109 In general an application for surveillance which is likely to result in the acquisition of legally privileged information should only be made in exceptional and compelling circumstances. Advice from Legal Services should be sought in such circumstances.

24 X485 / 59984

Cabinet - 30th November, 2016 110

Communications involving Confidential Personal Information and Confidential Journalistic Material

Confidential personal information is information held in confidence relating to the physical or mental health or spiritual counselling concerning an individual who can be identified from it. Such information, which can include both written and oral communications, is held in confidence if it is held subject to an express or implied undertaking to hold it in confidence or it is subject to a restriction on disclosure or an obligation of confidentiality contained in existing legislation. Examples might include consultations between a health professional and a patient, or information from a persons medical records

Spiritual Counselling means conversations between an individual and a Minister of religion acting in his/her official capacity, where the individual being counselled is seeking or the Minister is imparting forgiveness, absolution or the resolution of conscience with the authority of the Divine Being(s) of their faith.

Confidential journalistic material includes material acquired or created for the purposes of journalism and held subject to an undertaking to hold it in confidence, as well as communications resulting in information being acquired for the purposes of journalism and held subject to such an undertaking.

In general an application for surveillance that is likely to result in the acquisition of communications involving confidential personal information or confidential journalistic material should only be made in exceptional and compelling circumstances. Advice from Legal services should be sought in such circumstances.

CCTV

The overt use of CCTV cameras in town centres, car parks etc is generally not regulated through RIPA. The Council CCTV Policy and guidance from the Information Commissioner provides more detail on the use of CCTV. However there may be instances where a law enforcement agency typically the Police, may wish to use the Council’s CCTV system for Directed Surveillance. A written protocol between the Police and the Council has been agreed and is appended to this Policy at Annex 10. The protocol provides that CCTV operatives must be provided with a copy of the RIPA authorisation obtained by the Police prior to using the CCTV system for Directed Surveillance.

ANPR

The overt use of ANPR to monitor flow or detect offences does not require authorisation. However, if used in covert or preplanned operations or as part of a specific investigation of a person or group, a directed surveillance authorisation must be considered. Even where RIPA does not apply, CCTV systems are governed by data protection and human rights rules and regard must be had to the threshold in the Protection of Freedoms Act 2012. 25 X485 / 59984

Cabinet - 30th November, 2016 111

26 X485 / 59984

Cabinet - 30th November, 2016 112 Formatted: Font: Bold 76. PROCEDURE FOR OBTAINING AUTHORISATION FOR DCS Formatted: Normal, Justified, Right: -0.32 cm, Tab stops: 0.63 cm, Left The flowchart in Annex 2 shows the steps which are required in the authorisation Formatted: Font: Bold, Underline procedure. Formatted: Font: Bold

Action to be taken by the Person Applying for Authorisation.

Employees are advised to discuss the need to undertake DCS with their line manager and Legal Services before seeking authorisation, the line manager must endorse the application form before submitting it to the Authorising Officer. Options to gain the information, which is required, other than by using covert techniques, should be fully explored.

The applications for authorisation and other forms for DCS operations are available to be down-loaded from the Home Office website at http://homeoffice.gov.uk

These will always be the most up-to-date versions. The person seeking authorisation should complete Parts 1 to 12 of the forms having regard to the guidance below in section 6.

These electronic versions facilitate typing, rather than hand-writing, on the forms, which is preferable

Surveillance carried out by contractors

In some instances a private investigation company contractor may be employed to carry out the surveillance on behalf of the Council. In such cases, a standard operating procedure in the form set out at Annex 8 should be completed and provided to the Authorising Officer with the application form. This protocol should be completed in sufficient detail to satisfy the Authorising Officer that the operatives are trained for the purpose and have a commensurate understanding of the legislation. A copy of this policy should be provided to the contractor. In addition the contractor should be provided with a copy of the authorisation in order that its operatives are fully aware of the extent of it.

27 X485 / 59984

Cabinet - 30th November, 2016 113

87. GUIDANCE ON THE COMPLETION OF AUTHORISATION FORMS:

These notes are duplicated in the example forms in Annex 3. Each application should specifically relate to the investigation in hand, standard phrases should not be used. Sufficient information must be contained in the application form to enable the Authorising Officer to make an informed decision, i.e. it must be able to stand alone.

Application Form

Introduction - This section includes the details of the officer who is requesting the authorisation and the name of the investigation. if applicable. The investigation reference number should be put on the top of each page of the form.

Section 1- specify the exact position of the Authorising Officer e.g. Chief Executive

Section 2 – A brief description of the activity to be undertaken should be given together with an outline of the purpose of the investigation along with the source of the information or allegation.

Section 3 - The appropriate ground on which authorisation is considered necessary should be indicated, namely prevention or detection of conduct which constitutes one or more criminal offences where the offence is punishable on Summary Conviction or Indictment by at least a maximum term of 6 months imprisonment.

Section 4 – This section requires a summary of the case, an outline of the options other than surveillance that have been used or considered and the outcomes, an explanation as to why surveillance is the only option and what the surveillance will achieve.

Section 5 – This section requires you to consider why it is proportionate to use covert methods to collect evidence. You must record the length of time required for surveillance, how many officers will be deployed at any one time and any information in relation to the subjects normal routine in relation to the alleged offence, e.g. the subject is alleged to be working whilst claiming benefit and leaves the house between 6:30 and 7 pm Monday to Friday.

Section 6 – Similar to section 2 but more detail of the actual mechanics of the investigation. State the type of surveillance to be undertaken, e.g. static or mobile, how and from where surveillance is going to be conducted. Specify the time of day when observations will be conducted, from which vehicle/premises and mention any equipment to be used e.g. video camera. State how the employees will be deployed at any one time during the operation and if the intention is to follow the subject state where from and to, if the route is unknown say so. 28 X485 / 59984

Cabinet - 30th November, 2016 114

Section 7- Details of the subject or target(s) of the DCS should be specified. It might be necessary to state that the identity of the subject is unknown.

Section 8 – A description of the desired outcome from the surveillance. e.g. identity of the person responsible for fly-tipping. The information must be objective and not indicate a presumption of guilt towards the subject, e.g. “in order to prove that Mr X committed this offence” would not indicate impartiality and is therefore not within the spirit of the Act.

Section 9 –Details of any potential collateral intrusion should be specified. e.g. details of any personal information that might be collected about parties who are not the subject of the investigation, or even intrusion into their privacy through observing them. A plan should be specified as to how the potential for collateral inclusion will be minimized. e.g. by focusing line of vision on a limited area. Applicants should give as much detail as possible in this section as authorising officers will pay particular regard to the information that is given. Authorising officers should not authorise applications that either do not state whether collateral intrusion is likely or that do not specify what steps are to be taken to minimize it.

Section 10 – This section requires an indication of the likelihood of obtaining confidential and religious information and material, including: matters subject to legal privilege; confidential personal information; and confidential journalistic information. Such material is regarded as particularly sensitive and the likelihood of obtaining such information should be fully considered in terms of the proportionality issues which it raises. Special care should be taken when handling, retaining, copying or disseminating such information (see later – Handling of materials).

An authorisation which may involve the acquisition of confidential material may only be granted by the Managing Director.

Section 11 – This must be after the time of the granting of authorisation

Section 12 – Self explanatory.

The applicant should sign and date the application. It should also be endorsed by the line manager the applicant should then obtain a unique reference number from the RIPA Co-ordinator, which should be endorsed at the top of the form. The RIPA Co-ordinator will enter details of the application into the central record. The form should then be submitted for authorisation together with copies (if appropriate) of operating procedures for equipment or contractors.

The form should be considered by the Authorising Officer who should complete the remaining parts. In cases where approval can only be given by the Managing Director, the application should be sent to the first level Authorising Officer for initial consideration, who would then submit the form to him. 29 X485 / 59984

Cabinet - 30th November, 2016 115

30 X485 / 59984

Cabinet - 30th November, 2016 116

9. ACTION TO BE TAKEN BY THE AUTHORISING OFFICER Formatted: Font: Bold Formatted: Font: Bold, Underline 8. ACTION TO BE TAKEN BY THE AUTHORISING OFFICER Formatted: Heading 1, Left, Numbered + Level: 1 + Authorising Officers Numbering Style: 1, 2, 3, … + Start at: 8 + Alignment: Left + Aligned at: 0.63 cm + Tab after: 1.9 cm + Indent at: 1.9

The Regulation of Investigatory Powers (Prescription of Offices, Ranks and Positions) Order 2000 as amended (Si 2010 480 & S21) prescribes that, for Local Authorities, the Authorising Officer shall be the Director, Head of Service, Service Manager or equivalent. There is no provision for other officers to grant authorisation, even in cases of urgency.

Authorisation for use of a DCS must be given in writing by the Authorising Officer, except in urgent cases, when authorisation may be given verbally, although in such instances the procedural differences and duration of verbal authorisations, as outlined below, should be noted.

Annex 1 sets out the officers empowered to grant authorisations.

Authorisation Process

The Authorising Officer must firstly consider whether it is necessary for the DCS to be undertaken under one or more of the permitted reasons under the Act. Secondly, he/she must decide whether the risk of interfering with a person’s private and family life, whether or not the person is the target (collateral intrusion) of the surveillance, is proportionate to the objective which is to be achieved. Clearly the more serious the matter being investigated, the more likely that surveillance will be proportionate.

The risk of collateral intrusion is perhaps the most important consideration that the Authorising Officer has to deal with. If the form does not contain sufficient information to enable an Authorising Officer to consider the full extent of the risk further details should be sought.

Authorising Officers should satisfy themselves that a defensible case can be made for the surveillance. Authorisation is a safeguard against the abuse of power by public authorities. Full consideration of necessity and proportionality will make the action less vulnerable to challenge under the Human Rights Act 1998. The Authorising Officer should discuss all cases with the Applicant and Line Manager before approval is given.

If the application may involve the acquisition of confidential or religious material the application may only be authorised by the Managing Director (or in his absence the Director – Governance and Recreation) who then becomes the Authorising Officer. Section 15 must also be completed to confirm that the issue of religious and confidential material has specifically been taken into account. In such circumstances authorisation should only be given in exceptional and

31 X485 / 59984

Cabinet - 30th November, 2016 117 compelling circumstances having full regard to the proportionality issues involved.

Authorisations can only be given when the surveillance is necessary for the following reason:

• for the purpose of preventing or detecting; conduct which constitutes one or more criminal offences where the offence is punishable on Summary Conviction or Indictment by a maximum term of at least 6 months imprisonment

The Regulation of Investigatory Powers (Directed Surveillance and Covert Human Intelligence Sources) Order 2012

The Authorising Officer must complete Sections 13, 14 and 15 of the Application for authorisation and make a decision as to whether to approve or refuse the application (or submit S15 to the Managing Director).

The form requires the Authorising Officer to specify a date when the authorisation should be reviewed and the frequency of review thereafter but these should be completed at least monthly. In most typical authorisations it is likely that only one review (if any) will be required. A review form has to be completed to record any review that does take place.

When authorising an application the Authorising Officer can impose limits on the use of the product from a surveillance operation. Any restrictions must be recorded on the form.

If subsequently approved by the Court, the authorisation lasts for three months.

The original completed authorisation form, whether approved or refused, should be sent to the RIPA Co-ordinator, a copy should be retained by the Authorising Officer and a copy returned to the applicant for retention on the investigation file. The RIPA Co-ordinator will arrange for the application to be referred to the court as follows:-

Approval of Local Authority Authorisation by a Justice of the Peace

Amendments in the Protection of Freedoms Act 2012 means that from 1st November 2012 Local Authority authorisations under RIPA can only be given effect once an order approving the authorisation has been granted by a Justice of the Peace (Magistrate).

The current time limit for an authorisation will continue – i.e. 3 months. Renewals must also be authorised prior to the expiry of the original authorisation but runs from the expiry date and time of the original authorisation.

32 X485 / 59984

Cabinet - 30th November, 2016 118

Procedure for Applying for Judicial Approval

Making the Application

The flowchart at Annex A outlines the procedure for applying for judicial approval. The application must be made by the public authority that has granted the authorisation. Following approval by the authorising officer the first stage of the process is for the RIPA Coordinator to contact Her Majesty’s Courts and Tribunals Service (HMCTS) administration team at the magistrates’ court to arrange a hearing.

The local authority will provide the JP with a copy of the original RIPA authorisation or notice and the supporting documents setting out the case. This forms the basis of the application to the JP and should contain all information that is relied upon.

The original RIPA authorisation or notice should be be shown to the JP but will be retained by the local authority so that it is available for inspection by the Commissioners’ offices and in the event of any legal challenge or investigations by the Investigatory Powers Tribunal (IPT). The court may wish to take a copy.

In addition, the local authority will provide the JP with a partially completed judicial application/order form.

Although the local authority is required to provide a brief summary of the circumstances of the case on the judicial application form, this is supplementary to and does not replace the need to supply the original RIPA authorisation as well.

The order section of this form will be completed by the JP and will be the official records of the JP’s decision. The local authority will need to obtain judicial approval for all initial RIPA authorisations/applications and renewals and the local authority will need to retain a copy of the judicial application/order form after it has been signed by the JP. There is no requirement for the JP to consider either cancellations or internal reviews.

Arranging a Hearing

It will be important for each local authority to establish contact with HMCTS administration at the magistrates’ court. HMCOTS administration will be the first point of contact for the local authority when seeking a JP approval. The local authority will inform HMCTS administration as soon as possible to request a hearing.

On the rare occasions where out of hours access to a JP is required then it will be fore the local authority to make local arrangements with the relevant HMCTS 33 X485 / 59984

Cabinet - 30th November, 2016 119 legal staff. In these cases the local authority will need to provide two partially completed judicial application/order forms so that one can be retained by the JP. The local authority should provide the court with a copy of the signed judicial application/order form the next working day.

In most emergency situations where the police have power to act, then they are able to authorise activity under RIPA without prior JP approval. No RIPA authority is required in immediate response to events or situations where it is not reasonably practicable to obtain it (for instance when criminal activity is observed during routine duties and officers conceal themselves to observe what is happening).

Where renewals are timetabled to fall outside of court hours, for example during the holiday period, it is the local authority’s responsibility to ensure that the renewal is completed ahead of the deadline. Out of hours procedures are for emergencies and should not be used because a renewal has not been processed in time.

Attending a Hearing

The hearing is a ‘legal proceeding’ and therefore local authority officers need to be formally designated to appear, be sworn in and present evidence or provide information as required by the JP.

The hearing will be in private and heard by a single JP who will read and consider the RIPA authorisation or notice and the judicial application/order form. He/she may have questions to clarify points or require additional reassurance on particular matters.

Local authorities will want to consider who is best able to answer the JP’s questions on the policy and practice of conducting covert operations and detail of the case itself. It is envisaged that the case investigator will be able to fulfil this role. The investigator will know the most about the investigations and will have determined that use of a covert technique is required in order to progress a particular case. This does not, however, remove or reduce in any way the duty of the authorising officer to determine whether the tests of necessity and proportionality have been met. Similarly, it does not remove or reduce the need for the forms and supporting papers that the authorising officer has considered and which are provided to the JP to make the case. It is good practice for the authorising officer also to attend to assist the Magistrate if required.

It is not envisaged that the skills of legally trained personnel will be required to make the case to the JP and this would be likely to, unnecessarily, increase the costs of local authority applications.

Decision

The JP will consider whether he or she is satisfied that at the time the authorisation was granted or renewed or the notice was given or renewed, there 34 X485 / 59984

Cabinet - 30th November, 2016 120 were reasonable grounds for believing that the authorisation or notice was necessary and proportionate. They will also consider whether there continues to be reasonable grounds. In addition they must be satisfied that the person who granted the authorisation or gave the notice was an appropriate designated person within the local authority and the authorisation was made in accordance with any applicable legal restrictions, for example that the crime threshold for directed surveillance has been met.

The forms and supporting papers must by themselves make the case. It is not sufficient for the local authority to provide oral evidence where this is not reflected or supported in the papers provided. The JP may note on the form any additional information he or she has received during the course of the hearing but information fundamental to the case should not be submitted in this manner.

If more information is required to determine whether the authorisation or notice has met the tests then the JP will refuse the authorisation. If an application is refused the local authority should consider whether they can reapply, for example, if there was information to support the application which was available to the local authority, but not included in the papers provided at the hearing.

The JP will re cord his/her decision on the order section of the judicial application/order form. HMCTS administration will retain a copy of the local authority RIPA authorisation or notice and the judicial application/order form. This information will be retained securely. Magistrates’ courts are not public authorities for the purpose of the Freedom of Information Act 2000.

Outcomes

Following their consideration of the case the JP will complete the order section of the judicial application/order form recording their decision. The various outcomes are detailed below and reflected on the flowchart at Annex A.

The JP may decide to2

Approve the Grant or renewal of an authorisation or notice

The grant or renewal of the RIPA authorisation or notice will then take effect and the local authority may proceed to use the technique in that particular case.

Refuse to approve the grant or renewal of an authorisation or notice

The RIPA authorisation or notice will not take effect and the local authority may not use the technique in that case.

2 See section 23B(3) and 32B(3) of the Regulation of Investigatory Powers Act 2000 35 X485 / 59984

Cabinet - 30th November, 2016 121 Where an application has been refused the local authority may which to consider the reasons for that refusal. For example, a technical error in the form may be remedied without the local authority going through the internal authorisation process again. The local authority may then wish to reapply for judicial approval once those steps have been taken.

Refuse to approve the grant or renewal and quash the authorisation or notice

This applies where a magistrates’ court refuses to approve the grant, giving or renewal of an authorisation or notice and decides to quash the original authorisation or notice.

The court must not exercise its power to quash that authorisation or notice unless the application has had at least 2 business days from the date of the refusal in which to make representations.

Complaints/Judicial Review

There is no complaint route for a judicial decision unless it was made in bad faith. Any complaints should be addressed to the Magistrates’’ Advisory Committee.

A local authority may only appeal a JP decision on a point of law by judicial review. If such a concern arises, the local authority should consult their legal advisers.

36 X485 / 59984

Cabinet - 30th November, 2016 122

37 X485 / 59984

Cabinet - 30th November, 2016 123 Determination of Whether DCS Authorisation is Required

Is the surveillance to be carried out in a manner calculated to ensure that the N persons subject to the surveillance are

The surveillance is Y unlikely to be

Will the surveillance require the presence of an individual or use of a surveillance device Y

This may fall N within the definition of

Is the surveillance planned as N part of a specific investigation

Is information about a person’s private or family life likely to be obtained? N

Authorisation Authorisation for for Directed Directed Covert

38 X485 / 59984

Cabinet - 30th November, 2016 124

9. DURATION OF AUTHORISATIONS

After authorisation the Authorising Officer must continue to oversee the progress of the investigation. He or she must ensure that whatever was authorised does actually happen and that actions do not exceed the boundaries of the authorisation. Progress should be reviewed in accordance with the authorisation. In any case, as soon as the objectives have been achieved a cancellation must be issued.

DCS authorisations will cease to have effect three months from the date of judicial approval.

In urgent cases the Police have power to undertake surveillance without authorisation.

It will be the responsibility of the officer in charge of an investigation to ensure that any DCS is only undertaken under an appropriate and valid authorisation, and therefore, he/she should be mindful of the date when authorisations and renewals will cease to have effect. The RIPA Co-ordinator shall also perform a monitoring role in this respect but the primary responsibility rests with the Authorising Officer.

Reviews

Regular reviews (at least monthly) of authorisations should be undertaken to assess the need for the surveillance to continue. The results of a review should be recorded on the central record of authorisations (see Section 3). Particular attention is drawn to the need to review authorisations frequently where the surveillance provides access to confidential information or involves collateral intrusion.

In each case the Authorising Officer should determine how often a review should take place. This should be as frequently as is considered necessary and practicable. Reviews do not need to go before a JP.

Renewals

An Authorising Officer and Justice of the Peace may renew an authorisation before it would cease to have effect if it is necessary for the authorisation to continue for the purpose for which it was given. Such renewals would normally extend the authorisation period for a further three months beginning with the day on which initial authorisation would cease to have effect, but for the renewal. Authorisation may be granted more than once, provided they continue to meet the criteria for authorisation. An application for renewal must not be made more than seven days before the authorisation is due to expire.

The officer requesting the renewal should complete Parts 1 to 7 of the Application to Renew a DCS form and submit this to the Authorising Officer for consideration 39 X485 / 59984

Cabinet - 30th November, 2016 125 and completion of Parts 8 and 9. The Authorising Officer must consider the application for renewal in relation to the original purpose for which authorisation was granted, taking into account any change in circumstances.

If the reason for requiring the authorisation has changed from the purpose for which it was originally granted, then the outstanding authorisation should be cancelled and a new authorisation sought.

All completed renewal forms must be sent to the RIPA Co-ordinator who will arrange the hearing before the JP. A copy of the form should be retained by the Authorising Officer and a further copy sent to the applicant for retention on the investigation file.

Cancellations

All authorisations, including renewals, must be cancelled if the reason why DCS was required no longer exists. This will occur in most instances when the purpose for which surveillance was required has been achieved and officers must be mindful of the need to cancel any authorisation which has been issued. A cancellation should be issued at the expiry date if not before. The responsibility to ensure that authorisations are cancelled rests with the Authorising Officer.

To cancel an authorisation, the person in charge of the investigation to which the authorisation relates should complete parts 1 and 2 of the Cancellation of Authorisation form. The form should be submitted to the Authorising Officer for endorsement and completion of Parts 3 and 4.

Cancellations do not need to go before a JP.

All completed cancellation forms must be sent to the RIPA Co-ordinator. A copy of the form should be retained by the Authorising Officer and a further copy sent to the Applicant for retention on the investigation file.

Ceasing of Surveillance Activity

As soon as the decision is taken to discontinue the surveillance the instruction must be given to stop all surveillance of the subject. The date and time when such an instruction was given should be recorded in the central record of authorisations (see Section 3) and on the notification of cancellation.

The Authoring Officer should provide direction regarding the management and disposal of the product of the surveillance by ensuring proper arrangements have been made for the activity’s discontinuance, including the removal of any technical equipment and directions for the management of the product.

40 X485 / 59984

Cabinet - 30th November, 2016 126 10. HANDLING MATERIAL OBTAINED FROM DCS

Material, or product, such as: written records (including notebook records); video and audio tape; photographs and negatives; and electronic files, obtained under authorisation for DCS operations should be handled, stored and disseminated according to the following guidance.

Where material is obtained during the course of an investigation which might be relevant to that investigation, or another investigation, or to pending or future civil or criminal proceedings, then it should not be destroyed, but retained in accordance with the established disclosure requirements having regard to the Criminal Procedure and Investigations Act 1996 and Civil Procedure Rules.

Where material is obtained which is not related to a criminal or other investigation, or to any person who is the subject of the investigation, and there is no reason to suspect that it will be relevant to any future civil or criminal proceedings, it should be destroyed immediately.

Material may be used in investigations other than the one which authorisation was issued for. However, use of such material outside the Local Authority or the Courts should only be considered in exceptional circumstances.

Where material obtained is of a confidential nature then the following additional precautions should be taken:

• Confidential material should not be retained or copied unless it is necessary for a specific purpose.

• Confidential material should only be disseminated, on legal advice, that it is necessary to do so for a specific purpose.

• Confidential material which is retained should be marked with a warning of its confidential nature. Safeguards should be put in place to ensure that such material does not come into the possession of any person which might prejudice any civil or criminal proceedings.

• Confidential material should be destroyed as soon as it is no longer necessary to retain it for a specified purpose.

If in doubt about what constitutes confidential material and the handling etc. of such material then advice should be sought from the statutory RIPA Code of Practice or from the RIPA Co-ordinator.

Video and audio tapes should be treated as a security items. A stockholder must control and record the issue of tapes using a register. Each tape will be sequentially numbered and stored securely in a lockable drawer or cabinet. Tapes must not be over-written, as soon as it is no longer necessary to retain the information the tapes should be wiped clean before re-use.

41 X485 / 59984

Cabinet - 30th November, 2016 127

11. RETENTION AND DESTRUCTION OF DOCUMENTS

All applications for authorisation (including those that have been refused), renewals and cancellations will be retained for a period of at least five years by the RIPA Co-ordinator. They will then be considered for destruction.

The Central Register will be kept for at least three years. Individual records will be considered for destruction after that time.

Individual sections should retain their documentation and a record of all applications and authorisations for a period of five years from the ending of the authorisation. Where it is believed that records could be relevant to pending or future court proceedings they should be retained for a suitable further period to ensure compliance with the Criminal Procedure and Investigations Act 1996.

The decision to retain the records should be periodically reviewed, to ensure that the continued retention is necessary and complies with the Data Protection Act 1998.

42 X485 / 59984

Cabinet - 30th November, 2016 128 12. GLOSSARY OF TERMS Collateral Intrusion Includes situations where there is a risk of the surveillance resulting in private information being obtained about persons other than the subject of the surveillance. Confidential Journalistic Includes material acquired or created for the Material purposes of journalism and held subject to an undertaking to hold it in confidence, as well as communications resulting in information being acquired for the purposes of journalism and held subject to such an undertaking. This includes material acquired or created for the purposes of journalism and held subject to an undertaking to hold it in confidence, as well as communications resulting in information being acquired for the purposes of journalism and held subject to such an undertaking. Confidential Material Includes: ° matters subject to legal privilege; ° confidential personal information; or ° confidential journalistic material. Confidential Personal Includes information held in confidence Information concerning an individual (whether living or dead) who can be identified from it, and relating: ° to his/her physical or mental health; or ° to spiritual counselling or other assistance given or to be given, and ° which a person has acquired or created in the course of any trade, business, profession or other occupation, or for the purposes of any paid or unpaid office.

It includes both oral and written information and also communications as a result of which personal information is acquired or created. Information is held in confidence if: ° it is held subject to an express or implied undertaking to hold it in confidence; or it is subject to a restriction on disclosure or an obligation of secrecy contained in existing or future legislation. Covert Surveillance Means surveillance which is carried out in a manner calculated to ensure that the persons subject to the surveillance are unaware that it is or may be taking place.

43 X485 / 59984

Cabinet - 30th November, 2016 129 Directed Surveillance Covert but not intrusive surveillance which is undertaken: • for a specific investigation or operation; • in a manner likely to obtain private information about an individual (whether or not that person is specifically targeted for purposes of an investigation); and • not as an immediate response to events which would otherwise make seeking authorisation under the Act unreasonable, e.g. spotting something suspicious and continuing to observe it HRA Human Rights Act 1998 Immediate Response Includes a response to circumstances or events which, by their very nature, could not have been foreseen. Intrusive Surveillance Only if covert and: • carried out in relation to anything taking place on residential premises or in a private vehicle; and • involves the presence of an individual on the premises or vehicle or is carried out by a surveillance device Justice of Peace (JP) Magistrate Matters Subject to Legal Includes both oral and written Privilege communications between a professional legal adviser and his/her client or any person representing his/her client, made in connection with the giving of legal advice to the client or in contemplation of legal proceedings and for the purposes of such proceedings, as well as items enclosed with or referred to in such communications. Communications and items held with the intention of furthering a criminal purpose are not matters subject to legal privilege. Private Information Includes any information relating to a person’s private or family life. Private life also includes activities of a professional or business nature. “Person” also includes any organisation and any association or combination of persons. Private Vehicle Means any vehicle which is used primarily for private purposes of the person who owns it or otherwise has a right to use it, but would not include any person whose right to use the vehicle arises from making payment for a particular journey.

Vehicle also includes any vessel, aircraft or hovercraft. 44 X485 / 59984

Cabinet - 30th November, 2016 130

Residential Premises Means any premises occupied by any person, however temporarily, for residential purposes or otherwise as living accommodation (including hotel or prison accommodation), but does not include common areas to such premises.

Premises also includes any vehicle or moveable structure used within the definition above. RIPA Regulation of Investigatory Powers Act 2000 Surveillance Includes: ° monitoring, observing or listening to persons, their movements, their conversations or their other activities or communications; ° recording anything monitored, observed or listened to in the course of surveillance; ° surveillance by or with the assistance of a surveillance device; or ° the interception of a communication in the course of its transmission by means of a postal service or telecommunication system if it is one sent by, or intended for, a person who has consented to the interception of the communication.

But does not include: ° the conduct of a covert human intelligence source in obtaining or recording (whether or not using a surveillance device) any information which is disclosed in the presence of the source; ° general targeting of a problem area, or covert observation of a premises which does not involve systematic surveillance of an individual, even where such observation may involve the use of equipment which reinforces normal sensory perception, such as binoculars or cameras.

The general use of CCTV systems, because the public are aware of their use, i.e. they are overt. Surveillance Device Means any apparatus designed or adapted for use in surveillance. URN Unique Reference Number

45 X485 / 59984

Cabinet - 30th November, 2016 131

Annex 1

Designated RIPA Co-ordinator and Authorised Officers

RIPA Co-ordinator

The following officer has been nominated as the designated RIPA Co-ordinator for NBBC under the Regulation of Investigatory Powers Act 2000.

Officer: Section: Contact Details:

Philip Governance Tel: 024 7637 6233 Richardson and Recreation mailto:[email protected] v.uk

Authorising Officers

The following Officers shall be designated as Authorising Officers for the specified purpose on behalf of NBBC under the Regulation of Investigatory Powers Act 2000.

DCS Confidential Power to authorise delegated to post-holder: Material:

Managing Director Yes Yes

Director – Governance and Recreation Yes Yes (in the absence of the Managing Director)

Director – Housing and Communities Yes No (in the absence of the Managing Director)

Director - Finance and Procurement Yes No

NB: There is no provision for other officers to authorise investigations even in cases of emergency. Only the Managing Director or in his absence Director – 46 X485 / 59984

Cabinet - 30th November, 2016 132 Governance and Recreation can authorise investigations that will involve the collection of confidential material.

47 X485 / 59984

Cabinet - 30th November, 2016 133 Annex 12

Procedure for Obtaining RIPA Authorisation

Applying Officer to complete Sections 1 to 12 of

Submit to Authorising Officer for Consideration. Confidential Material Consider an alternative

Authorising Officer to consider Application and

Application

Yes Refer to JP(see Submit original form to RIPA Coordinator, copy to be retained by Authorising Officer and copy returned Submit original form to RIPA to Investigating Officer. Coordinator, copy to be

Y Has the information required

N Review Authorisation – Complete Review Form. Is there a need, and sufficient Investigating Officer to Ye complete

Investigating Officer to Authorising complete Sections Officer to complete

Submit original form to RIPA Coordinator, copy to be retained by

48 X485 / 59984 End DCS operation

Cabinet - 30th November, 2016 134

RIPA FLOWCHART 2: AUTHORISING COVERT HUMAN INTELLIGENCE SOURCES

Requesting Officer (‘The Applicant’) must: - Determine that the use of CHIS is required. - Assess whether authorisation will be in accordance with the law. - Assess whether authorisation is necessary under RIPA and whether activity could be done overtly. - Consider whether use of CHIS will be proportionate. - If authorisation is approved – review or renew regularly with Authorising Officer -Request a Unique Reference Number (URN) from the central record held by legal services

If a less obtrusive If authorisation is necessary and Urgent oral option is available proportionate, prepare and submit authorisations forms to and practicable: use CHIS Application Form to the be completed within 72 Authorising Officer hours that option!

Authorising Officer must: - Consider whether all options have been considered - Document this and any other guidance issued by the Monitoring Officer. - Consider whether the surveillance is considered by him/her to be in accordance with the law, necessary and proportionate. - Complete a risk assessment for the CHIS - Assess risk of collateral intrusion. - Authorise only if an overt or less intrusive option is not practicable. - Set an appropriate review date (at least 1 month after authorisation date) and conduct the review.

The Applicant must: REVIEW REGULARLY (complete CHIS The Applicant must: Review Form and If it is no longer necessary or submit to Authorising proportionate to use the CHIS, Officer on date set) complete the CHIS Cancellation Form and submit to Authorising Officer ESSENTIAL Send all Authorised Formatted: No widow/orphan control, Don't allow hanging (and any rejected) punctuation, Don't adjust space between Latin and Asian text, Forms, Review, Don't adjust space between Asian text and numbers Authorising Officer must: Renewals and If surveillance is still Cancellations to the necessary and proportionate Authorising Departmental after authorisation period: Officer must: Authorising Officer and - Renew authorisation Cancel the to the RIPA Monitoring (CHIS Renewal Form) authorisation when it is Officer within 5 - Set an appropriate no longer necessary or working days of the further review date proportionate to use relevant the CHIS

Cabinet - 30th November, 2016 135

Formatted: Justified Annex 23

Forms

The latest version of each form should always be used. The latest forms can be obtained from the Home Office Website.

Directed Surveillance

1 Application form

2 Review form

3 Renewal application

4 Cancellation form

- 50 -

Cabinet - 30th November, 2016 136

Annex 34

Scenarios

The following is intended as a guide only and any interpretation of how the Act is, or is not, being properly implemented is ultimately a matter for the Courts.

Q. I receive a complaint from a member of the public about criminal damage/fly tipping. I ask them to keep a diary of events to confirm their complaint. Does the surveillance need to be authorised as a DCS ?

A. When complainants are merely confirming their complaints by using a diary a DCS authorisation is not required. If you covertly place a camera top capture further evidence of a suspected criminal offence (6 months imprisonment) DCS authorisation will be required. Remember only conduct amounting to a criminal offence can be considered.

- 51 -

Cabinet - 30th November, 2016 137

Q. I need to use a pair of binoculars to be able to observe the activity of a premises which has been the subject of a complaint. Do I need a DCS authorisation?

A. The use of the binoculars (or other such device which enhances sensory perception) does not in itself mean a DCS authorisation is required. The test is whether the covert surveillance is targeted towards an individual person which may result in private information being obtained about that individual. If so, authorisation will be necessary. Similarly if there is a likelihood of collateral intrusion (i.e. third party information may be obtained), authorisation will be required.

Q. I need to visit a factory to see if the owner has removed an unauthorised extension in compliance with a Planning Enforcement Notice. Does this need a DCS authorisation.

A. No you are not likely to obtain private information, you are observing a structure. In any event in such circumstances you will have told the owner of your activity therefore your surveillance would be overt.

Q. I want to place a hidden camera to observe a cashier as part of a suspected internal fraud investigation, do I need authorisation and would the answer be different if no camera was used.

A. You need a DCS authorisation whether video is used or not. The consideration is not whether the use of the video needs authorising, it is the subject and purpose of the investigation that matters.

Q. I wish to install a covert camera on a garage site to find out who is dumping cars and setting fire to them, does this need authorisation?

A. Yes a DCS, but the authorising officer would have to consider collateral intrusion and proportionality of the matter very carefully as the site is likely to be used by a number of people for legitimate purposes. Also you would need to ensure that the conduct constituted a criminal offence which carried a penalty of six months imprisonment.

Q Two officers intend conducting observations in a Council car park, which has been subject to numerous car thefts and vandalism. There is no current information to say who is committing the offences.

A As a result of the surveillance conducted, authority may be required if there is a likelihood of detailed private information of an individual or third party being obtained. If premises are used a senior officer will need to visit the premises both before the observation commences and immediately prior to any trial, to assess the premises and ascertain the - 52 -

Cabinet - 30th November, 2016 138

attitude of the occupiers towards the possible disclosure of their addresses and identities.

Q We wish to monitor the movements of an individual using CCTV cameras.

A A DCS authority under the Act will be required, as it is for a specific operation, and it is likely to result in the obtaining of private information of the person.

Q As an officer in an NBBC uniform I observed a person acting suspiciously and decided to follow him. On occasions, I concealed myself behind hedges, walls, and removed my uniform jacket to observe the person’s next movements. Should I have sought an authority?

A This everyday activity falls outside the scope of the Act as it is in immediate response to events or circumstances the nature of which is such that it would not be reasonably practicable for an authorisation to be sought for the carrying out of the surveillance.

Q I want to watch the industrial estate car parks using binoculars and if necessary take photographs. The offender(s) at this stage is unknown. Do I need an authority to use such equipment?

A No, an authority is not required, as you are unlikely to obtain private information. Additionally, such equipment merely reinforces normal sensory perception. (Such equipment may also be used in authorised directed surveillance operations to aid vision.)

Q I have deployed a camera viewing a house where our subject lives with the intention of observing his movements as he is suspected of a criminal offence. In addition to the movement at the front door, I can also see into the lounge. Is this intrusive surveillance?

A No, this is directed surveillance, if it is providing a limited view, therefore no intrusive surveillance authority is required. However, where it consistently provides information of the same quality and detail as might be expected to be obtained from a device actually present on the premises then an ‘intrusive authorisation’ under the Act should be sought or advice obtained. If the intention from the outset is to record activity within the lounge than a intrusive surveillance authority may be required.

Q Are the town centres CCTV surveillance systems regulated by the Act?

- 53 -

Cabinet - 30th November, 2016 139

A No, the provision of the Act and the codes of practice do not cover the use of such systems. Members of the public are aware that such systems are in use for their own protection and to prevent crime. However, if the CCTV operators are tasked to assist in a pre-planned operation on a subject that you are investigating, then a directed surveillance authority should be sought.

Q A business unit manager suspects that an employee who he has is responsible for a theft from the Council. Does he need an authority?

A If the criteria and grounds are met then a directed surveillance authority under the Act is required, as it is for a specific operation, and there is likelihood that private information may be obtained.

Q I wish to film a stretch of the highway for evidence purposes, in an unmarked vehicle. Is an authority required?

A An authority under the Act is not required. This is not covert and there is no likelihood of detailed private information being obtained and no criminal offence is being committed.

- 54 -

Cabinet - 30th November, 2016 140

Q We have reason to believe that a single person who is claiming Housing and Council Tax Benefit is living with an undeclared partner. We need to establish the validity of the claim by watching the house to see if the partner is in fact residing there. This will include watching the house to see if the partner’s car is present and establishing whether the partner is working.

A A DCS authorisation will be required for this type of activity. Q An employee is suspected of working for another firm while on sick leave. The only way to confirm this would be by following him – does RIPA apply?

A Yes. Employment relations are no exception to RIPA. It is necessary to show that a crime is suspected (i.e. fraud) rather than simply a breach of the civil contract; and that surveillance is both necessary and proportionate to the offence.

- 55 -

Cabinet - 30th November, 2016 141

Annex 45

Useful Links

Click on the hyperlinks given to take you to the appropriate website.

Forms http://homeoffice.gov.uk

Guidance

Surveillance Commissioner – guidance http://www.surveillancecommissioners.gov.uk

Home Office - RIPA advice http://homeoffice.gov.uk

Codes of Practice

Code Of Practice - Covert Human Intelligence Sources www.homeoffice.gov.ukl

Code Of Practice - Covert Surveillance www.homeoffice.gov.ukl

Statutes

Regulation of Investigatory Powers Act 2000 and Protection of Freedom Act 2012 http://www.legislation.hmso.gov.uk

Human Rights Act 1998 http://www.legislation.hmso.gov.uk

Statutory Instruments

The Regulation of Investigatory Powers (Prescription of Offices, Ranks and Positions) Order 2000 as amended http://www.legislation.hmso.gov.uk

The Telecommunications (Lawful Business Practice) (Interception of Communications) Regulations 2000 http://www.legislation.hmso.gov.uk

- 56 -

Cabinet - 30th November, 2016 142

The Regulation of Investigatory Powers (Cancellation of Authorisations) Order 2000; SI No: 2794 http://www.legislation.hmso.gov.uk

The Regulation of Investigatory Powers (Source Records) Regulations 2000 http://www.legislation.hmso.gov.uk

- 57 -

Cabinet - 30th November, 2016 143

Annex 56

Quick Guide (To be used in conjunction with the Flowcharts in Annex 2)

This is intended only as a quick guide – please read the appropriate sections of the Procedure Guide and/or the Codes of Practice BEFORE carrying out any surveillance

If you are in any doubt consult Legal Services

Important Restrictions

1. The Council cannot authorise Intrusive Surveillance (see section 2 of the Guidance)

2. Authorisations must be obtained before surveillance takes place and must be approved in writing (see sections 2 and 4 of the Guidance) and referred to a Justice of the Peace for approval

3. If confidential material is likely to be obtained authorisation must be obtained from the Managing Director (see section 6 of the Guidance)

Is an authorisation needed? (see Section 2 of the Guidance)

If the answers are YES, then RIPA authorisation is needed for directed surveillance

2. Will you be entering residential premises or a private vehicle OR will the equipment you use provide information of such quality that it will be as good as any that you would get on the premises

- 58 -

Cabinet - 30th November, 2016 144

If EITHER answer is YES then the surveillance will be intrusive and no authorisation can be given. DO NOT PROCEED.

If you need an authorisation (see Section 4 of the Guidance)

Duration of Authorisations (see Section 7 of the Guidance)

1. Directed surveillance authorisations last for up to three months

Renewals, Reviews and Cancellations (see Section 7 of the Guidance)

Documentation (see Sections 6 and 7 of the Guidance)

1. The RIPA Co-ordinator will keep the original application form and authorisation, together with renewal, review and cancellation forms. He will maintain the centrally retrievable records.

2. The authorising officer will keep a copy of all authorisations.

3. The relevant section should maintain the following documentation:

Cabinet - 30th November, 2016 145

• a copy of any renewal of an authorisation, together with the supporting documentation submitted when the renewal was requested; • the date and time when any instruction was given by the authorising officer.

Retention and Destruction of Documentation by Sections

1. Individual sections should retain their documentation and a record of all applications and authorisations for a period of five years from the ending of the authorisation.

2. If records could be relevant to court proceedings they should be retained for a suitable further period

3. The decision to retain the records should be periodically reviewed

Handling of Material

2. Material which is not related to a criminal or other investigation, or to any person who is the subject of the investigation, should be destroyed immediately.

3. Confidential material should:

• not be retained or copied unless it is necessary for a specific purpose

• only be disseminated, on legal advice, that it is necessary to do so

• be destroyed as soon as it is no longer necessary to retain it for a specified purpose.

- 60 -

Cabinet - 30th November, 2016 146

longer necessary to retain the information the tapes should be wiped clean before re-use.

- 61 -

Cabinet - 30th November, 2016 147

Annex 67

Central Record of Authorisations3

Type of Date Authorising Reference Outline of Why Urgent Date Will Date Authorisation Authorised Officer Number of Investigation (if Renewed Investigation Authorisation Investigation appropriate) and obtain Cancelled Authorising Confidential Officer Information

3 The table above outlines the content of the register. It will be maintained in spreadsheet format and only the Authorising Officers will have access to it. Responsibility for maintaining the spreadsheet rests with the RIPA Co-ordinator

Authorising Officers should not be responsible for authorising investigations or operations in which they are directly involved. However, if this becomes necessary, the Central Record of Authorisations will indicate this and the matter will be drawn to the attention of the Inspector from the Office of the Surveillance Commissioner during the next inspection.

- 62 -

Cabinet - 30th November, 2016 148

Annex 78

STANDARD OPERATING PROCEDURE FOR PRIVATE INVESTIGATION COMPANIES CARRYING OUT SURVEILLANCE ON BEHALF OF THE COUNCIL

1. Application

1.1 This standard operating procedure (“procedure”) applies to all private investigation companies carrying out covert surveillance on behalf the Council in connection with the prevention or detection of crime or preventing disorder.

2. Regulation of Investigatory Powers Act 2000 (RIPA)

2.1 The Council, as a public authority is regulated in its use of covert surveillance by RIPA. The use of such surveillance is subject to a strict authorisation procedure as set out in the Council’s Policy on Directed Covert Surveillance. A private investigation company carrying out covert surveillance on behalf the Council must be provided with a copy of the Council policy, together with a copy of the signed authorisation to carry out the required surveillance. All employees of the private surveillance company (ie operatives) who are carrying out covert surveillance must be fully briefed by the Council’s Investigating Officer on the extent ( and any limitations) of the authorisation.

3. Disclosure of interests

An operative at the earliest opportunity must declare any circumstances or interests which may affect their ability to conduct covert surveillance objectively including but not limited to: • Any relationship to or with a suspect or witness or informant • Any personal interest in the outcome of an investigation or other civil or criminal proceedings • Dependency on drugs or alcohol The operative should not proceed with the surveillance.

4. General Provisions

- 63 -

Cabinet - 30th November, 2016 149

4.1 Conduct Operatives to whom this Procedure applies must not: • Exceed their actual authority or hold themselves out as having any authority not provided by the RIPA authorisation • Act or imply that they could act in any way which exceeds the actual limits of their powers afforded by the authorisation • Misuse their position for any benefit or gain for themselves or another • Act contrary to any legislation

4.2 Operators to whom this Procedure applies must:

• Pursue all reasonable lines of inquiry (including those which point away from a suspects guilt) within the scope of the authorisation granted • Ensure that all material which may be relevant is revealed to the Council • Ensure all necessary records are taken and retained • Ensure that all applicable provisions of the Regulation of Investigatory Powers Act and the Codes of Practice and Guidance thereto are observed in relation to directed covert surveillance. • Observe all other applicable legislation, Codes of Practice and internal and external guidance

4.3 Operatives to whom the Procedure applies must not under any circumstances:

• Conceal or fabricate evidence or knowingly allow any evidence to be fabricated or concealed • Discriminate or exercise any bias on the ground of race, sex, marital status, sexual orientation, religion or disability or cause the Council to breach any of the equality enactments ( as defined in s.33 of the Equality Act 2006) • Accept or offer any inducement, bribe or other advantage from or to any witness, suspect or informant • Use any information gathered in the course of their duties for personal gain or coercion or otherwise misuse such information • Do or fail to do anything which may result in a miscarriage of justice or bring into question the admissibility of evidence

- 64 -

Cabinet - 30th November, 2016 150

4.4 Safeguarding Information

Operatives must treat all information gathered or received during the course of an investigation as confidential and must not deliberately or negligently: • Disclose such information to an unauthorised third party • Reveal the source of information to an unauthorised third party

The Council is a public authority for the purposes of the Freedom of Information Act 2000 and may be required to disclose information in accordance with it.

4.5 Personal Injury and Damage to Property

• Operatives must exercise all reasonable care to prevent injury to the person or loss or damage or to public an private property

5.0 Working with the Council

Operatives must comply with any specific instructions from the Investigating Officer issued before or in the course of any surveillance operation. These will include matters relating to, but not be limited to, • Communication between the Operative and the Investigating Officer • Method of surveillance and product of surveillance • Documentation required • Attendance at court in connection with any legal proceedings • insurance cover held

Operatives must ensure that the Investigating Officer is kept fully up to date with the surveillance operation

- 65 -

Cabinet - 30th November, 2016 151

Annex 89

Standard Operating Procedure for the Use of Technical Equipment for Surveillance

I. Purpose 1.1 The purpose of this standard practice is to regulate the use of Surveillance Equipment owned by the Council. All Council owned surveillance equipment will be kept in a central location.

2. Application 2.1 This standard practice applies to all employees who make use of surveillance equipment.

3. Definitions Surveillance – Monitoring, observing or listening to persons, their movements, activities or communications with or without the use of surveillance equipment and recording the same. Covert surveillance – Surveillance carried out in a manner calculated to ensure that the persons subject to the surveillance are unaware that it is or may be taking place Overt surveillance – includes surveillance carried out in areas maintained for and used by people for which there is no expectation of privacy and where signage is displayed to notify people that surveillance is undertaken Surveillance equipment – The implements or tools used for the purpose of carrying out surveillance. Surveillance Equipment Request Form – The document that must be filled out and submitted to the Assistant Director when an individual or department wishes to have surveillance equipment installed and used in their facilities. The document must also be endorsed with the Unique Reference Number and submitted to an Authorising Officer where authority for covert surveillance is sought. Regulation of Investigatory Powers Act 2000 (RIPA) – The Act regulating the use of covert surveillance by public authorities

4. General Principles 4.1 The purpose of surveillance equipment is to deter crime and disorder and to assist in protecting the property of the Council. As a general policy, only overt surveillance will be used. However covert use of both audio and visual surveillance equipment may be authorised in accordance with RIPA for the purposes of preventing crime and / or disorder.

- 66 -

Cabinet - 30th November, 2016 152

4.2 The use of surveillance equipment whether for overt or covert purposes must comply with this Standard Operating Procedure. The use of equipment for covert surveillance must also comply with the provisions of RIPA.

4.3 Prior to purchasing or installing any surveillance equipment, a Surveillance Equipment Request Form must be completed and submitted to the Director. Where surveillance will be covert, the surveillance must be authorised in accordance with the RIPA and a copy of the Surveillance Equipment Request Form which initiates the request for surveillance equipment, and will be provided by the Investigating Officer to the RIPA Authorising Officer.

4.4 The use of surveillance equipment will be strictly in accordance with the authorisation granted. Operatives of the equipment will be provided with a copy of the authorisation.

4.5. The use of surveillance equipment will be conducted in a manner consistent with all existing Council policies and legal requirements.

4.6. Personnel involved in the use of surveillance equipment will be appropriately trained and supervised in the responsible use of this technology.

4.7 Surveillance equipment and data captured will be used in accordance with the Data Protection Act 1998 and guidance issued by the Information Commissioner’s Office and RIPA, and the Codes of Practice issued by the Home Office

4.8. Where overt surveillance is to be conducted, the investigating officer will post signage at appropriate locations. Signage will specify:

“VIDEO SURVEILLANCE ON PREMISES”

4.9. Data captured by surveillance equipment will be stored for a period not less than 7 days and not to exceed 30 days and will then be erased unless retained in accordance with the Criminal Procedure and Investigations Act 1996 and Civil Procedure Rules as part of a criminal investigation or court proceedings.

4.10 All equipment must be removed promptly from the location / building on expiry of the authorisation.

- 67 -

Cabinet - 30th November, 2016 153

4.11. Unauthorised use of surveillance equipment may result in disciplinary action being taken.

4.12 All surveillance equipment will be held centrally . A central log of equipment will be maintained .ensuring that equipment is booked in and out at all times.

5. Responsibilities 5.1. The Line Manager has the responsibility for the following:

• Receiving and processing Surveillance Equipment Request Forms through the established approval process. Where equipment is to be used for covert surveillance, the Line Manager should ensure that a copy of the Surveillance Equipment Request Forms is submitted to the Authorising Officer in accordance with the authorisation procedure required pursuant to RIPA

• Overseeing and coordinating the installation and use of surveillance equipment for security and law enforcement purposes. All new installations will follow this standard practice and any supplemental operating procedures applicable to the installation. All existing surveillance equipment systems will be evaluated for compliance with this standard practice.

5.2. The Director has the responsibility for the following:

• Authorising the use of surveillance equipment for overt surveillance

5.3 The (tbc) has responsibility for the following:

• Maintaining a central log of surveillance equipment and operating a booking in / out system

6. Examples of use of surveillance equipment in public areas

6.1. Legitimate security purposes include, but are not limited to, the following: • Protection of buildings and property - Building perimeter, entrances and exits, lobbies and corridors, receiving docks, special storage areas, laboratories, cashier locations, etc.

- 68 -

Cabinet - 30th November, 2016 154

• Monitoring of access control systems - Monitor and record restricted access transactions at entrances to buildings and other areas. • Verification of security alarms - Intrusion alarms, exit door controls, hold-up alarms, etc.

Surveillance Equipment Request Form

New Request For Surveillance Equipment Or Change to Existing Surveillance Request

Department Requesting Surveillance Equipment: Date:

Type of Surveillance Equipment Required

Building/Location for Equipment Installation:

Departmental Contact Details:

Reason for Surveillance Equipment Request:

Use of Equipment Approved / Denied. Please set out reasons for decision together with any limitations or conditions on the use of equipment or product from surveillance operation.

Signature:

Review Date ( no more than 3 months)

Cancellation Date

- 69 -

Cabinet - 30th November, 2016 155

Annex 910

Protocol with Police for use of CCTV system for Directed Surveillance

1. CCTV/SURVEILLANCE NOTIFICATION

Dear Sir / Madam,

The below Directed Surveillance activity has been authorised, which includes the use of Local Authority CCTV systems and I would be obliged if you would allow your systems to be used for covert policing purposes, in pursuance of:

Operation: Warwickshire Police URN: Effective From: To: Times/Dates: Authorising Detective Rank: Officer: Superintendent

The Authorising Officer believes the activity is necessary for: (Statutory grounds) Necessity & • Preventing and detecting crime or preventing disorder – Namely: Burglary Proportionality:

AND the activity is proportionate in what it seeks to achieve.

Objectives: • To gather intelligence in respect of where the subject frequents, methods of communication and travel;

• Identify criminal associates;

• To identify premises likely to be targeted by the subject any further criminal offences including (offences) committed by ……………. in order to facilitate his arrest, charge and remand in

- 70 -

Cabinet - 30th November, 2016 156

custody;

• To identify methods and points of disposal of stolen property by the subject, thereby providing further enforcement opportunities.

The use of Local Authority CCTV in the Borough/District of *Nuneaton, is necessary to assist covert police surveillance to be deployed without compromise. 2. Authorisation: “Authority is granted for suitably trained officers to conduct covert, static foot and mobile surveillance and to include the use of both audio and visual recording and image enhancing equipment, including the use of Local Authority CCTV systems in order to monitor and record the movements of the subject:

Name (details redacted) and to extend, where necessary to include individuals associating with the subject where there are reasonable grounds to suspect criminal involvement within this investigation.

This authority includes any premises, locations and vehicles that are used and frequented by the subject and his criminal associates.

This is in order to capture any intelligence and evidence to support the investigation on the subject who is a known and prolific burglar”.

3. YOU WILL BE NOTIFIED OF THE “CANCELLATION” DATE OF THIS AUTHORITY

If you have any queries in relation to this notice please contact: Covert Authorities Bureau, Special Operations Unit, Warwickshire Police HQ, Leek Wootton, Warwickshire, CV35 7QB - Tel 01926 415000 ext 5073 or 5075

Signed: ………………….. (Covert Authorities Bureau)

- 71 -

Cabinet - 30th November, 2016 157

02476 376 328

18001 024 7637 6328

- 72 -

Cabinet - 30th November, 2016 158 Agenda item: 12

CABINET

Report Summary Sheet

Date: 30th November 2016

Subject: Review of Parliamentary Constituency Boundaries in England

Portfolio: Central Services – Councillor G Pomfrett

From: Managing Director

Summary: At 2 November meeting Cabinet requested further information regarding the proposed review of the Nuneaton Constituency following receipt of the report from the Boundary Commission for England (BCE). Recommendations:

Option A – Confirm the news proposals contained in the report.

Option B – Cabinet make recommendation to the BCE on a suitable alternative.

Option C - Cabinet accept the proposals contained in the BCE consultation document for the Nuneaton Constituency.

Reasons: There is an opportunity to influence the shape of the Constituencies affecting the Borough. Part of the criteria is to reflect local relationships between communities. The current and the proposed constituency boundaries do not satisfy the community ties between Nuneaton and Bedworth.

Options: 1. Approve the recommendation.

2. Do not approve the recommendation or amend the recommendation.

Cabinet - 30th November, 2016 159 Subject to call-in: No . Due to the urgency (a reponse must be sent by 5 December in accordance with the BCE consultation guidelines).

Forward plan: No

Corporate priorities: Key Aim , Priority

Relevant statutes or Local Government Act 1972 Section 100D, as policy: substituted by the Local Government Act, 2000 Section 97 & The Parliamentary Constituencies Act 1986.

Equal opportunity implications:

No direct equal opportunities implications.

Human resources implications: No direct human resources implications.

Financial implications: No direct financial implications.

Health Inequalities Implications:

No direct health inequalities implications.

Section 17 - Crime and Disorder Implications:

No direct Section 17 – Crime and Disorder implications.

Risk management implications:

No specific Risk Management implication.

Environmental implications: No direct environmental implications.

Cabinet - 30th November, 2016 160 The Parliamentary Constituencies Act 1986 (as Legal implications: amended) sets out the rules governing the review.

Contact details: Debbie de Ville Principal Democratic Services Officer – Elections e-mail [email protected]

Cabinet - 30th November, 2016 161 AGENDA ITEM NO. 12

NUNEATON AND BEDWORTH BOROUGH COUNCIL

Report to: Cabinet – 30th November 2016

From: Managing Director

Subject: Review of Parliamentary Constituency Boundaries in England

Portfolio: Central Services – Councillor G Pomfrett

1. Purpose of Report

1.1 To consider the proposals published by the Boundary Commission for England (BCE) in respect of its initial proposals for the review of Parliamentary Constituency Boundaries in England.

2. Recommendations

2.1 It be recommended to the BCE that Options A, B or C be the preferred Constituency for the Nuneaton and Bedworth Electoral Area.

Option A: That the wards of Nuneaton and Bedworth form a Parliamentary Consistency and be renamed the Nuneaton and Bedworth Parliamentary Consistency based on the criteria contained in the report with an electorate based on December 2015 of 94,500;

Option B: That all Wards of Nuneaton be retained and the 3 wards of Bedworth Slough, Bede and Poplar – giving an electorate of 79,330 and be named the Parliamentary Constituency of Nuneaton and North Bedworth with the wards of Heath and Exhall remaining in the North Warwickshire Constituency; or

Option C: To accept the Boundary Commissions proposal for the Nuneaton Constituency as detailed in their consultation document.

2.2 Subject to 2.1 above, a report be submitted to Council for information

3. Report of Officers

3.1 The BCE is an independent and impartial non-departmental public body which is responsible for reviewing Parliamentary constituency boundaries in England.

Cabinet - 30th November, 2016 162 3.2 The BCE has the task of periodically reviewing the boundaries of all the Parliamentary constituencies in England. It is currently conducting a review on the basis of rules set by Parliament in 2011. The rules involve a significant reduction in the number of constituencies

3.3 The review process is heavily informed by public consultation. The BCE develops and publishes initial proposals for constituencies across England. Representations from the public about these proposals are then taken both in writing and at public hearings in each region of England. In light of all the views expressed about the initial proposals.

3.4 The BCE is required to make a formal report to the Government in September 2018, recommending any changes that it believes are appropriate to the distribution, size, shape, name or designation of constituencies in England

4. Legislation

The BCE have based their decision on the following criteria.

4.1 Constituencies must have no fewer than 71,031 electors and no more than 78,507, the legislation also states that, when deciding on boundaries, the Commission may also take into account.

Special geographical considerations including in particular size, shape and accessibility of a constituency; Local government boundaries as they existed on 7 May 2015 Boundaries of existing constituencies; and Any local ties that would be broken by changes in constituencies

4.2 Schedule 2 to the act protects the following constituencies There shall be two constituencies in the Isle of Wight. With an electorate of 53,268 for East and 52,180 West CC.

There shall continue to be (a) A constituency named Orkney and Shetland, comprising the areas of the Orkney Islands Council and the Shetlands Island Council (b) A constituency name Na H-Eileanan an Iar, comprising the area of Comhairie nan Eilean Silean Siar

5. Current Arrangements

5.1 Currently the Nuneaton Constituency consists of the wards of Abbey, Arbury, Attleborough, Barpool, Galley Common, Kingswood, St. Nicolas, Whitestone, Weddingto together with Arley and Harstill taken in from North Warwickshire Borough Council. The size of the electorate is 65,757.

Cabinet - 30th November, 2016 163 5.2 The 5 Wards in Bedworth namely, Slough, Bede, Poplar, Heath and Exhall form part the North Warwickshire Constituency. The size of those wards is 26,785 of Bulkington ward forms part of the Rugby Consistency and has an electorate of 4,916.

5.3 Overall, the electorate within the Borough is 94,500 based upon the December 2015 canvass results. This is in excess of the statutorily mandated maximum of 78,507, but the guidance does allow some excess, where there is, for example, strong local ties within a community.

6 Proposed Parliamentary Consistency

6.1 Under the new proposals Nuneaton Constituency is to include Abbey, Arbury, Attleborough, Barpool, Bulkington, Galley Common, Kingswood, St. Nicolas, Whitestone, Weddington , and three Rugby borough wards of Revel and Binley Woods, Wolston and the Lawfords and Wolvey and Shilton. This equates to an electorate of 76,385.

6.2 The 5 wards of Bedworth are to remain in the North Warwickshire Constituency which has an electorate of 26,785.

6.3 A map of the current BCE proposal will be displayed in the Members Rooms.

6.4 Given the guidance given to the BCE detailed in 5 above there could be some merit in asking the BCE to consider Nuneaton and Bedworth as a Parliamentary Constituency due to local community ties.. This would require evidence of the local ties between, in particular the towns of Nuneaton and Bedworth. If this was to be proposed, it has to be noted that the electorate would be in excess of 94,000 which does not meet the BCE numerical criteria;

6.5 An alternative, which might achieve more community ties would be to retain all Wards of Nuneaton as noted above and 3 of Bedworth Wards. The suggested are Bedworth Slough, Bede and Poplar. This would give an electorate of 79,330 which is just over the maxima prescribed by Government.

6.6 Attached as Appendix A is the initial proposal for constituencies, including wards and electorate.

Cabinet - 30th November, 2016 164

7. Statutory Time Frame

7.1 The Initial consultation began on 13 September and is to run for 12 weeks, until 5 December 2016. The BCE has arranged 4 hearings to be held for the whole of West Midlands Region. The dates are

Birmimgham 3-4 November Shrewsbury 7-8 November Royal Leamington Spa 10-11 November Stafford 14 – 15 November

7.2 Secondary consultation is likely to commence in Spring 2017. This will reflect all the representations received as part of the initial consultation and the results of the public hearings. (There are no more public hearings at this stage).

7.3 Following the Secondary Consultation the BCE then publishes its views and whether or not revisions are to be made to the initial proposals. (If revisions are made there is a further eight week period for written representations to be made to the BCE.)

7.4 Final recommendations and report are submitted by the BCE to Parliament in September 2018.

Cabinet - 30th November, 2016 165 nnex : Initial proposals fo constituencies, including ards and electorates

l: il ~dridQ~S:~-~!~__ a_l a_n_,d_,-S,-o_ut_,h,-,---,---- Walsall 10.770 P::I_~ri~Q~f'J(lr:t.~ ... §.~~-Y!_§I~;JII\('!(l(l~---··· Walsall 9.918 Bloxwich East Walsall 8,672 ·-----····················-····· Bloxwich West Walsall 9,541 Brownhills Walsall -~---9=-,218 ········------················································································-····· .. ------·--·-·······---- Pel sail Walsall 8.758 ...... ·············-····· Rushaii-Shelfield Walsall 9.030 Walsall 10.665 "B*Jitil 18.277 17,728 ~if19~-~(l_r:t(l!:l______E3!!.~~ng~::J_a_n1 ______------~~'-~~~- Springfield ______...... E3i_r_~_ing~':l_':ll______...... 1~,255 i!IMfl&Ui ~~9~§~!of1...... §ir':llingh_§~-- 14,069 Harborne 15.548 Quinton 16.410 ccc--:-~------?r.C1r~~ro___ o____k ______:·············:·····"'-··:·:·························--·------·-----························-······-·············· 18,32 3 7,865

15,478 !:S_if1_!;l~!§ll9ii_1Q______------____ !?ir:.n1~f19~~------16,007 Oscott Stockland Green 15.036 ·-~~-P~e,§:;~['>;:tr_I<.Xa_rm 8.782 t;j:!tifillii!i;;M#[ititi@IUij:~d$11l11JiriiiiU!~§~

~a~y\\/ood Nechells 17,731 Soho 15.513 16,031

...... [3i~rT1 if19h§rT1 17,839 ~<:l~EliElY.§r1~... f

Initial proposals for new Parliamentary constituency boundaries in the West Midlands 23 Cabinet - 30th November, 2016 166 ...... l:lirrt1ir19..~

~~~~_§~~11 ______Birrr1ir1!;J_~fl_~------~~·?_~~- f::l<:l~1-g~~~r1- ...... l:lirr1lil19~

Albrightor1...... 3,549 ~~Y~ 1 E!Y.

Castle Telford and Wrekin Arleston Telford and Wrekin 2,137 ····-··---· .. ···----- ··········································- Church Aston & Lilleshall Telford and Wrekin 2.381 Telford and Wrekin 2.134 Telford and Wrekin 2,141 ... ··················-·-·· Telford and Wrekin 4,549 Telford and Wrekin 2.169 4.977 North & West Telford and Wrekin Newport South~_ _l:::ast ______!elfo~fl_nd IIJrekin ______3,897 Park Telford and Wrekin Shawbirch Te·····l·f·o···r-·d·······a····n····d·······w·······r-·e···k····i·n·················································································2:··_·3:··2·:··3:····

2.310

Aston Fields Avon croft ''" .§.r::lbrou!;l~?.'~/!<_Rom~e_y______§rom_sco:.g_ro_v_e ______§~()rr1~9~?Y.~... 0r::rltr_~rryfields 1,385 f3_()(;~_f:!!!~-- _____ ... .. ______--· ___ ...... E3ror11_s9r()y~ ______2,414 ~~?E!~Y~()-~-~---·· ... §r()rr1~9~()Y~ 2,507 -~~?~ry§?.L)th Broms9r()ye 2,563 Sanders Park ·------___El~Clrll~~.CJYE!.______2, 671_ Sidemoor 2.530 Slideslow Bromsgrove 2,635 Dodderhill ...... ~Y9.~

24 Boundary Commission for England Cabinet - 30th November, 2016 167 Droitwich Central ...... Wychavon 1,930

3.747 4.230

East Staffordshire 2.276 Angl~sey East Staffordshire 3,647 . ····················-····· Branston East Staffordshire Brizlincote East Staffordshire Burton East Staffordshire Churne-t------··-·-- East Staffordshire Crown East Staffordshire Eton Park East Staffordshire Heath East Staffordshire East Staffordshire East Staffordshire ...... ,::., :

Shobnall East Staffordshire Stapenhill East Staffordshire 5,538 ...... ··················································- Stretton 6.115 Town 19 Tutbury and Outwoods 4,741 Weaver East Staffordshire Winshill East Staffordshire ····················-··············-·····

Cannock East Cannock Chase 5.128 ------::-:------Cannock North Cannock Chase 5.447 Cannock South Cannock Chase Cannock West Cannock Chase ...... : ... :.... :.... f::tc;~if1gf:lill

Bickenhill 8.941 Castle Bromwich c~Eil111_sl_~y_vyo_~~---· 8,067 Elmdon Solihull 9,255 Kingshurst and Ford bridge Soli hull 8,506 Solihull 9,720 Solihull 7.995

11 12.319

Initial proposals for new Parliamentary constituency boundaries in the West Midlands 25 Cabinet - 30th November, 2016 168 -~;!~~;;Nts--f&:~~rml;t!!'1fl¥~1·t';2~?~;:aq&:wk:&)W!!&~:: lt¢•:! 1 M!l&?0tt:ttJa~•!WJi?A:'~ M·D!fl'.ft!I=MMifiiA.~ · ,aeiiWIWF#TW f'EHhWil&~*' URlim §i01~t§0~\J\Iill€)0hC111 .. (:;()y~tltry 11 ,588 (:;~~y_l~~rJ1()re C()V~0try 11 ,308 Earlsdon . __ g()ven!ry______!]~~9j_ Radford 11.633 §~~r~()~r0e Cove0tr:Y ...... 11,136 §_l:_~_c_ll_Cl€)1'~------·------·------g_()Y€)0!!:L ______9,766 Coventry 10,879 ...... '!.:'~.()~€)rl€)y__ ····· ···········································································-··

Holbrook Cov~0try '!.:J.C1i0t:J()<:JX Westwood Woodlands C()V€)0try Knowle Soli hull 8,183 Meriden Solihull IW~~!i!MifiiilWMJMJiiWM MMMiW4iM•• C::

10.502 10.108 ~~09S\,V.!_0!_()~~-~()!:I_!~------···(?_~_?!€)L ______...... _ .!9•.?.~~-· Netherton, Woodside and St. Andrews 10,352 ··-···················-····--·---·------·····························-··· 9~€)Y. . \J\/tC:h':':()~~ ...... '!.:'YC:~Yic;_f

Wycha_vo_n___ . 2,052 H;;:;;i,~~';a~nrld Norton 2,048 ...... wyc;~Yyc:;_havon ····-·---~-- 2,197

26 Boundary Commission for England Cabinet - 30th November, 2016 169 Belmont Rural Herefordshire 2,505 ···------·········-·····························-································································-···································· ·····························-······· Birch Herefordshire 2.370 ····-··································································································-····· Bobblestock Herefordshire 2.278 Central Herefordshire Herefordshire 2,679 Herefordshire Herefordshire 2.602 Herefordshire 2.574 Herefordshire 2.386 ...... H.. erefordsh .icre.c...... 2,546 Herefordshire Herefordsh ire 2,752 Herefordshire 2,599 Holmer Herefordsh ire 2.599 Herefordsh ire Herefordsh ire Herefordshire Herefordsh ire Herefordshire Herefordshire Ross East Herefordshire 2.806 ... ··································································-····· Ross North Herefordshire Ross West Herefordsh ire 2,535 ················-··············-···························································-····· Saxon Gate Herefordshire 2.618 ·-·----- ···-----·------,--,------··--·-- Street Herefordshire 2.603 Tupsley Herefordshire Whitecross Herefordshire 2,463 ...... ········-·-··-·-----·--·- ...... _.. ______,. Widemarsh Herefordshire 1,781 Wormside Herefordshire 2.536

Abbey Warwick 5.292 Arden Warwick 4.289 ...... _____ ...... E!i~~clp'~ ]"achbrook ...... ·····:W:·:a.:.r__ w···:i·c·'···k····································· ...... Brunswick Warwick ___4,682 ------··--- --:-:-:------Clarendon Warwick Crown Warwick 4,452 Leam Warwick 3.401 Manor Warwick 4.994 ...... Milverton Warwick 4,407 & Heathcote Warwick Newbold Warwick Park Hill Warwick 6,455 Radford Semele Warwick 2.065 St. John's Warwick 6.546 :·························································································································································································································································· §tonE)Ieig~ §<: 9l1~bingt()n \1\f?r:vvic;_~ Sydenham Warwick 4,119 ------·-·-··------·--·------Whitnash Warwick : . East Staffordshire East Staffordshire East Staffordshire 2.159 -·------··------·--- ·-·-·-·-···------·-·------··------··---·-----·------·--·------·---- ...... ______Lichfield 4.510 Lichfield Lichfield 3,447 & Central Lichfield Lichfield 3,304 Chase Terrace Lichfield 3.717 ·------··------Chasetown ...... Lichfield 2.640

Initial proposals for new Parliamentary constituency boundaries in the West Midlands 27 Cabinet - 30th November, 2016 170 Colton & the Ridwares Lichfield 1,768 Lichfield 3,201 Lichfield Lichfield 3,652 ··································-····· Lichfield 4,879 Lichfield St. John's Lichfield 4,407 ...... ··············································-···· Stowe Lichfield Summerfield & All Saints Lichfield Stafford ,, Hi¥

Herefordshire Herefordshire Herefordshire 2,445 Leominster East Herefordshire 2.544 -··························-··················································-······- Leominster North & Rural Herefordshire 2.832 Leominster South Herefordshire 2,465 Leominster West Herefordshire Mortimer Herefordshire Queenswood Herefordshire 2.556 Sutton Walls Herefordshire 2.392 Herefordshire 2.725 ------·------_ ------~h_r:_~pshire __ . _____ ?·!~?_ Brown Clee 3,015 Church Stretton and Craven Arms ...... !:)~r()p~~ir~ 7,141 -=C,....Ie_e-,---,--,----,------~hro_p~hire 3,4 77 gl~??~r:Ytv.1c:>r:tirJ1~r ...... !:)~rc:Jp~~!r~ _ 5.614 _c______l __ u _____ n...... ~~9!~ g~~~!~------______§~!:()fl_~_t_l_~~------______3·?~~- Hif:j~ley_ ...... ·····································-····- ...... !:)~~?P~~i~~---···· 2,574 Ludlow East 2,935 Ludlow North 2.942 Ludlow South

Herefordshire 2,433 Herefordshire 2,805 -~~E!:l_ry_~?-~':. ______Herefordshire 2,436 South Herefordshire 2,385 L~<)~~ry ~~~t Herefordshire 2.479 Old Gore Herefordshire 2,424 Herefordshire Malvern Hills 2.844 Baldwin Malvern Hills 1 ,654 ------··-··-····--··------··-··------··--··- Broadheath Malvern Hills Chase ...... 'M'a.l'·v····e·•··r···n····:H····i··l·l··s·································································································· '• '

Dyson Perrins Malvern Hills 3,330 Malvern Hills Malvern Hills 3,051 Malvern :-cH::-.ill.:.s __ 1,846 Malvern Hills 4,825 ············-····· ~()f19<:lc:lf1 ... Malvern Hills 1,673 Malvern Hills 1 Morton Malvern Hills 1,684 Pickersleigh Malvern Hills 4,433 ----·-----··--··---- ···············-·-·------· Malvern Hills Malvern Hills 3,039 --··- ··------··-·-···--····· Malvern Hills 1.436 Tern(:)\;'alley Malvern Hills 1,544

28 Boundary Commission for England Cabinet - 30th November, 2016 171 Herefordshire Belmont Rural Herefordshire Birch Herefordshire 2.370 Bobblestock Herefordshire 2.278 Central Herefordshire 2,159 Herefordshire Herefordshire Herefordshire Herefordshire 2.574 Herefordshire ...... 2'''·.'·3'8'6'

Herefordshire 2,546 ...... ~··-· Herefordshire 2,482 Herefordsh ire Herefordsh ire 2,599 Holmer Herefordshire 2.599 Herefordshire Herefordshire ...... ~ ...... H...... e .... r...e ....w ...... ro ...... s ...h ..... i.r ...e ...... 2.671 Newton Farm Herefordshire ···························································································-····· Pen yard Herefordshire 2,631 Red Hill Herefordshire___ _ 2.757 ·························································- ·····································································-·- Ross East Herefordshire Ross North Herefordshire Herefordshire Herefordshire 2.618 ------···--····-·-----··--··· Herefordshire 2.603 Herefordshire 2,489 Herefordshire Widernarsh Herefordshire

Arden Warwick 4.289 ························································································-·····-~-----·- Warwick Brunswick Warwick 4,682 ------~---~------~------Clarendon Warwick 4,452 Crown ...... Warwick Learn Warwick 3.401 Manor Warwick ...... 4.994 Milverton Warwick 4,407 ...... ························································- ...... ·····························-···-· ~yt()'l-~.!2~~~-~~()t_~------______...... ___W ___a __r __ w ___ i_c___ k ______...... _: ...... Newbold Warwick Park Hill Warwick 6,455 ···········································································-···-····· ..... ·······················- ···························-····· Radford Semele Warwick 2.065 St. John's 6.546 §to~~leiQ~/?< 4,024 §>y_~~r::~~.':l2______~<:I.r:.~~c_k______~._1_1_2__ Whitnash Warwick iWMit AA##M s!ifDi4:1 East Staffordshire 2,155 Need wood East Staffordshire 4,441 Yoxall East Staffordshire 2.159 - . -··-··- .. ·······-···-··-····-·--·-----··-- Airewas So: ~r<;~cjl~y Lichfield 4.510 ··············································· Lichfield Lichfield & Central Lichfield Lichfield 3,304 Chase Terrace Lichfield 3.717 ··-···---·--···-·--· Chasetown Lichfield 2.640 ......

Initial proposals for new Parliamentary constituency boundaries in the West Midlands 27 Cabinet - 30th November, 2016 172 Malvern Hills 2,924 Malvern Hills Malvern Hills 2,630 West Malvern Hills 3,267 'v\'()()~~~ry Malvern Hills 1.662 1,946

__ ...... __ ...... ~~~C:

3,135 Ellesmere Urban ____Shropsh_i~e ______3.060 --c-:-:--:------=- ~()~()\~~'::1, ~E)I::J!tY.r1 ::1~~ IJIJ(:)~t()'} J=l~Y.r1 ...... _...... ?.~r()p~hir~ 5.457 Hod net 2.780 ························································-··-·············--····················· ···················-· ~!\tJi:l.S!ry E<:~~!______Shropshire___ _ 6.665

Atherstone Central North Warwickshire Atherstone North North Warwickshire Atherstone South and Mancetter North Warwickshire 2,768 and Grendon North Warwickshire 3.063 Coleshill North North Warwickshire Coleshill South North Warwickshire 2,698 Curdworth North Warwickshire Dordon North Warwickshire 2,276 North Warwickshire Hartshill North Warwickshire 2.837

Initial proposals for new Parliamentary constituency boundaries in the West Midlands 29 Cabinet - 30th November, 2016 173 North Warwickshire c·········=···············=········:··················:··:··:··:··················································································································N·····o·····rt·····h·······w·arwickshire

...... •....•..•.••••••••••••...... : ...... •...... North Warwickshire Polesworth West North Warwickshire Water Orton North Warwickshire Be de Nuneaton and Bedworth Exhall Nuneaton and Bedworth Nuneaton and Bedworth Nuneaton and Bedworth Nuneaton and Bedworth

Nuneaton and Bedworth Nuneaton and Bedworth

Common Nuneaton and Bedworth 5.834 ~~r:_Q_~~.?-~----··------··-----··--· i'J~I1~

Alvechurch South fl..~e:.~~~!C:.~_':'illage...... _f3r()I11~Qr()Yf!_ ···--·- ...... ?·?~.~--- ~rnt ~!~~-~~.. ':!.

30 Boundary Commission for England Cabinet - 30th November, 2016 174 f'l()kf3byand Overslade Rugby 5,559 E3_i_~_~_()p'~ltc~it1Qt()_~---·· Stratford-on-Avon Stratford-on-Avon Stratford-on-Avon 2,720 Stratford-on-Avon 2.949 t-Japt()~ __ li. ... ~E3-~.t_ly_<:;()IT1flt()[l ____ _ Stratford-on-Avon 2,548 Southam North Stratford-on-Avon 2,440 Southam South Stratford-on-Avon

Dorridge ~fl.~ Ho_c_kl_e"-y_H_:e_a_th______8,686 Olton Solihull 9.528 East Solihull 0 ~-~~~~ey ~()l!!~------~()li_tl_u_ll______------~·~]-~ Solihull Soli hull 19 Solihull 10.262 Stratford-on-Avon 2.582

p,.~~~Y ...... __ _

2,782 f:3C!)I~t()[lf-jiii, __ <:;()I_~-~-11 .. C!r1~§.-~tt()f1 .... 9,640 Belle Vue Bowbrook Burnell c:;e~~!1f3!if31~~--

3,143 ~~\113rn\f

Bilbrook South Staffordshire 3.160 ······································································································································································································································-····· Brewood and Coven South Staffordshire 5,374 c:;~esly!:'___l:l_::lY N::>_r:t~and Saredon South Staffordshire 3,327 South South Staffordshire South Staffordshire 3.265 Codsall South South Staffordshire 3.135 §~~in~t()~ ------S-ou-th Staffordshire ------'4,.:-.o=-2=-o=- Featherstone and Shar·e···s--h-:il·l:······································· South Staffordshire c·······:·· ' :···········:··:················································································ '·::···:···:····· ~rEOa_t_'ll':'-yrlf3y_L::lndyvvoocj ~()U_t~_§tC!~()r~sh ire Great Town South Staffordshire Him ley an~ §w.ir1cj()n South Staffordshire 1.788 f-j_~_tirl~!()_n_<'l[l_~_ f-JC!~hf3rtOf1______South Staffordshire 3.835 Kinver South Staffordshire Patti_n_9h.C!m and Patshull South Staffordshire South Staffordshire Perton East South Staffordshire 1.689 ·······--·················································-····· Perton Lakeside South Staffordshire 4.657 and Seisdon South Staffordshire 1,759

Initial proposals for new Parliamentary constituency boundaries in the West Midlands 31 Cabinet - 30th November, 2016 175 Wombourne North and Lower Penn South Staffordshire 5,203 Wombourne South East South Staffordshire Wombourne South West South Staffordshire 3,408

~t!ll~ri~gE) f\J()rth East and Acton Trussell '=..enkridgE)_§.().~!Il __f=ast South Staffordshire 3,377 ··-·-~·-·---··-··------~------·------South Staffordshire 1,758 Wheaton Aston, Bishopswood and Lapley __ .. §out~_§taffordshire 3,191 Baswich Stafford Common Stafford 2,629 Coton 4,080

5,177 4,769 Holmcroft Stafford 5,334 Littleworth Stafford 4,282 ...... ······--····· Manor Stafford 5,150 Milford Stafford 2.438 Milwich Stafford Penkside ·······················s''·t-·a·····ff:·:o·····r···d··········································································································································

~o;iey_······_·····-=~=-~-=--····_·--~ ______?_t_a_ffo_r=d======···_··_············_··· ···········_··_···.· ____ _ 2.364 & Church Eaton 4,681

Alton Staffordshire Moorlands 1,151 Bagnall and Stanley Staffordshire Moorlands ...... ················································-·--·· ·····-·················································································································· East Staffordshire Moorlands Biddulph Moor Staffordshire Moorlands North Staffordshire Moorlands Staffordshire Moorlands 1.416 Staffordshire Moorlands Brown and Endon Staffordshire Moorlands 4,005 Caverswall Staffordshire Moorlands 1,412 Cellarhead Staffordshire Moorlands 2.584 ·············-· ···································-··········-····· Cheadle North East Staffordshire Moorlands Cheadle South East Staffordshire Moorlands Staffordshire Moorlands Staffordshire Moorlands Cheddleton Staffordshire Moorlands ...... - ..... 4.358 Churnet Staffordshire Moorlands 2,611 Dane 1 ·································--····· Forsbrook Staffordshire Moorlands 4,182 Staffordshire Moorlands 1.485 Staffordshire Moorlands 1.572 ···········- ·······················································································-····· ...... ···················- ·························-······-·-····· ~2.~!~111'!~------·------·------______!3!~!!~:~~~~-~~?r:~~ll~-~-----··--- 1,540 Leek East Staffordshire Moorlands Leek North Staffordshire Moorlands Leek South Staffordshire Moorlands Leek West Staffordshire Moorlands Manifold Staffordshire Moorlands 1.485 ______'!'!~!!_i_!l_!:jton______Staffordshire Moorlands 2,644

Stoke-on-Trent Birches Head and Central Forest Park...... sc·t,_o,k._e_:: .. - ....o: ... n __ .-1i,:re_,_:n ... ::t...... ''·'··: _§~deleL

32 Boundary Commission for England Cabinet - 30th November, 2016 176 9?1t:J<3f1hii1C!f1d§C!r1(jyf?rt:J Great Chell and Packmoor Stoke-on-Trent Little Chell and Stanfield Stoke-on-Trent Moorcroft Stoke-on-Trent 3,779 Stoke-on-Trent 3.936 Stoke-on-Trent 3.915

.., ...... , ..... ,... ,.,.,.,, ...... SStoke-on-..... t ... o ..... k .. e-on-Trent ...... 4.... 338 f:!r?C!t:li'JC!Y C!r19 ~()11Qt?f1 ~C!~t Stoke-on-Trent 4,002 Eaton Park Stoke-on-Trent Fenton East Stoke-on-Trent 4,307 Fenton West and Mount Pleasant Stoke-on-Trent 4.073 ···················································································- ...... ,,, ______Park and Shelton Stoke-on-Trent Stoke-on-Trent Stoke-on-Trent Stoke-on-Trent Stoke-on-Trent ____4,.:..,0.23

Stoke-on-Trent ...... 4.507 ______Meir Park Stoke-on-Trent 3.886 ································································································--·--·--·-······-···-··---- ...... ·················································-·------· Meir South Stoke-on-Trent 3,826 Penkhull and Stoke Stoke-on-Trent Sandford Hill Stoke-on-Trent §ECir1Q,!i"~C!s_a.n__ d.__ li __re_n_t_V_a_le __ ·-·------·--S=-t..:..o~k-·e.,- ...co,_n .....,-li=r..:..e_n..:..t --···--·---·-----,~=-" Weston

f::IC!Y1<3y9r<3<3f1 C!f1t:J(?rC!t:JI"y~?~t~ [)(J(jl<3y 9,285 9,264 ~Y<3~r1<:J§!9l1~~rit:JSJ(:) t-J?rt~ ...... [)(J<:JI<3Y ...... -... Norton ------=-D(Jdle_y______. 9.712 .'=e.t:lfl:1?~<3~f1(j~t?~r~~ii:J9<3§Cl:~! Dudley ...... 9._:~~? 10.118 ·······---·-···· ...... ···················--~CJ!I~~!()_f1~r1<:J .. §!()l1r_~!i\:JJ;J_(:)_!?I'J~.------·-- ...... [)L1\:JI(:)'y' ---·······-··-·

Sutto~_I"_9_L:J!_Q.C!~2' ··------·-----·---·_§!_rr:f1_!:1_gham ------~~!?3_~ Sutton New Hall Sutton 19,140 18.004

1.762 Lichfield 3,458 Lichfield 3,977 fv113

Initial proposals for new Parliamentary constituency boundaries in the West Midlands 33 Cabinet - 30th November, 2016 177 ·1 Ill

Hadley & Leegomery Telford and Wrekin 6,382 f::!~~~~~~Y~~iSJ~tl!l?~~ Telford and Wrekin...... : ...... Iron bridge G_~[_~------T~If()rd and Wrekin 2,459 & Overdale Telford and Wrekin

U'.fJflijilk¥ifiiijM:I , :: i± t

Birchills Leamore Walsall 9,516 ·······------·---·-···------········································- ···································-- ····························································-···- ······················-----····· ------············-····· Biakenall Walsall 8,023 Darlaston South Walsall 9.210 ······--·-·····--···-·-·····- ······························································································- Paddock Walsall 9.429 Walsall

9.124

!:l_~~!~L········································-·--···-··-··- Sandwell 9,036 Smethwick San dwell Tividale Sandwell 8,850

Stratford-on-Avon 2.878 -···-·-········-·-·-··- ····································-·-· ··················-···-·····- ...... ···································- ·············-·--·····-····-···-·····-· -··· ···························-···--····· Alcester Town Stratford-on-Avon 3,005 Avenue Stratford-on-Avon Bidford East Stratford-on-Avon 2.664 Bidford West & Salford Stratford-on-Avon 2.592 §~~~e~~f1 ______----~!"atfo_r9:.()_n:f'.vo~------.?-'~~~ Bridgetown Stratford-on-Avon 3,024 Stratford-on-Avon 1.690 Stratford-on-Avon 2.457 ·········································································-····· ...... -'...... Stratford-on-Avon 2,023 Henley~!.f1~Arde~······························· ···························-· ...... §~~~!!~~~=?.n=~Y?f1 __ ··· ...... ~·2:'1:7 Kinwarton Stratford-on-Avon 2.229 Stratford-on-Avon 2,358 ..... ······························-····· Stratford-on-Avon 2,758 ~!~dl~y~it~~(ippl~t:J~~~~9.~ .. §~~~.~...... §tri:ltf

Short Heath Walsall Willenhall North Walsall --9,275

34 Boundary Commission for England Cabinet - 30th November, 2016 178 Willenhall South Walsall 13~~~~ljry!?()~t~

...... : ...... •....•.•....•....•....•••... West Bromwich Central Sandwell 8,757

)\lj~~~~CI!lc:ff:li!:J[)£111§11~ ...... t:'!~':"'~:>_t~e:~~~_c:f_e_r:::!:Yme ...... 4.440 Halmerend ...... _____ NeW(;£1~!1_E)~l111c:f_E)~~~Y!Il~ 2.947 ~()!:J~f:!.r.h..~

Blakenhall

Wolverham pton 7.635 c::iE~i~f:!lf:!y ------··················································································-····--···-········-····· 1'.1El!r:Y.f::!ill ...... Y'i() 1 Y~E~::lr:I1P_t()~ _ 9.118 ())(l~y .y..'()ly~r~

Worcester 3.914 Worcester Cathedral Worcester 6,826 Claines Worcester Gorse Hill Worcester 3.407 ----- ···-···------Worcester 5.590

Initial proposals for new Parliamentary constituency boundaries in the West Midlands 35 Cabinet - 30th November, 2016 179 i1! li ' Rainbow Hill Worcester 3,844 St. Clemen-t-----· Worcester 3,938 St. John Worcester 5,738 --· --··------·------·-·--·----~------·------St. Peter's Parish Worcester 4,374 ~-~:-~!~£l-~E:''2______Worcester Warndon Worcester Warndon Parish North Worcester 3,965 Warndon Parish South Worcester 4,364 ...... - ...... ,_, [lr_§!~~S. [:'l~()L19.~t()(l_ ...... __ .. Wychavon 1 ,920 Norton and w~,;tt;n,-,·tr.n Wychavon 2,370 Ill 5 WWWiM44 f::i?_r:tiE;_b~ry ...... - - ,6.99.~.?.~?.~9.~ ~ ?pe(l(leiiS...... ~X~~ ~()E~S.~ ,6.r~l~y ~if19S. S. Riversid____ e ...... ·············'·····································-······-············ _ 6.437 E.l€l~~l€lXS.f3?C:~...... 6,788 E)!ake~r()()~_S._fi?~~€l~l€l)l_~()~t~ __ _ Wyre F()rest 6,569 Broad waters Forest 6.424 ~()I!:JYI"

Forest Rural Forest

36 Boundary Commission for England Cabinet - 30th November, 2016 180