Notice of Meeting

Committee Ref:

EX/12/20

Notice of Meeting

Committee : Executive

Date : Monday, 07 December 2020

Time : 18:00

Place : Virtual meeting via*Skype .

Councillors : Simmons (Chair) A. Khan Burnett Malcolm Castleman K. Malik J. Hussain Shaw M. Hussain Timoney

Quorum : 3 Members

Contact Officer: Matthew Hussey (01582 546032)

Email [email protected]

Skype Meeting Link

INFORMATION FOR THE PUBLIC

PURPOSE: The Executive is the Council’s primary decision-making body dealing with a range of functions across the Council’s activities and services.

*SKYPE: During the Covid 19 emergency period, this meeting will take place virtually, via Skype. To access the meeting, please click on the link to the meeting above.

AGENDA

Agenda Subject Page Item No.

1. Apologies for Absence

2. Published record of the meeting

1. 9 November 2020 1 - 8

Section 106, Local Government Finance Act 1992

Those item(s) on the Agenda affected by Section 106 of the Local Government Finance Act 1992 will be identified at the meeting. Any Members so affected is reminded that (s)he should disclose the fact and refrain from voting on those item(s).

Disclosures of Interests

Members are reminded that they must disclose both the existence and nature of any disclosable pecuniary interest and any personal interest that they have in any matter to be considered at the meeting unless the interest is a sensitive interest in which event they need not disclose the nature of the interest.

A member with a disclosable pecuniary interest must not further participate in any discussion of, vote on, or take any executive steps in relation to the item of business.

A member with a personal interest, which a member of the public with knowledge of the relevant facts would reasonably regard as so significant that it is likely to prejudice the member’s judgment of the public interest, must similarly not participate in any discussion of, vote on, or take any executive steps in relation to the item of business.

Disclosable pecuniary interests and Personal Interests are defined in the Council’s Code of Conduct for Members and Co-opted members.

3. Business not covered by current forward plan: General Exception

The Executive Leader to report on any business which it is proposed should be considered by the Executive following compliance with Regulation 10 of the Local Authorities (Executive Arrangements) (Meetings and Access to Information) (England) Regulations 2012.

1. Authorisation for Sale of Land (Private Report See Item 16.1)

(Report of the Service Director, Property & Construction)

4. Business not covered by current forward plan: Special Urgency

The Executive Leader to report on any business which it is proposed should be considered following compliance with Regulation 11 of the Local Authorities (Executive Arrangements) (Meetings and Access to Information) (England) Regulations 2012.

5. References from committees and other bodies

6. Recommendations from Scrutiny Reviews

7. Petitions

Business items

Children's Families & Education Services (Children's Services - Enhancing Skills & Education)

8. Approval of Luton SEND Strategy and Outcomes 9 - 62 Framework

(Report of the Service Director, Education)

9. Admission Arrangements for Community Schools 2022- 63 - 96 23

(Report of the Corporate Director, Children, Families & Education)

10. Luton Adult Learning’s annual Self-Assessment Report 97 - 118

(Report of the Service Director, Education)

Inclusive Growth (Finance and Revenues & Benefits)

11. Revised Council Tax Reduction Scheme 119 - 308

(Report of the Head of Revenue & Benefits)

Population Wellbeing (Housing, Waste & Climate Change)

12. Implementation of charge for Garden Waste 309 - 342

(Report of the Service Director, Public Protection)

Population Wellbeing (Public Health & Integration)

13. Adult Social Care Market Position Statement 2020 343 - 410

(Report of the Interim Corporate Director, Public Health)

14. Regulation 4 of the Local Authorities (Executive Arrangements (Meetings & Access to Information)(England) Regulations 2012

To consider whether to pass a resolution under Regulation 4 of the Local Authorities (Executive Arrangements) (Meetings and Access to Information) (England) Regulations 2012 to exclude the public from the meeting during consideration of the item(s) listed below as it is likely, that if members of the public were present during the transaction of the item(s), exempt information within the meaning of the Paragraph(s) of Part 1 of Schedule 12A to the Local Government Act 1972 indicated next to the item, would be disclosed to them.

15. Published Record of the Meeting

1. 9 November 2020

• Paragraph (3) - Information relating to the financial or business affairs of any particular person (including the authority holding that information). 16. Business not covered by current Forward Plan: General Exception

The Executive Leader to report on any business which is proposed should be considered by the Executive following compliance with Regulation 15 of the Local Authorities (Executive Arrangements( (Access to Information) (England) Regulations 2000.

1. Authorisation for the sale of land

• Paragraph (3) - Information relating to the financial or business affairs of any particular person (including the authority holding that information). Note: Rescheduled Items

• Setting the Council Tax Base - Rescheduled to 11 January 2021 • Cutenhoe Road - Option Appraisal - Rescheduled to 11 January 2021

Note: Five days’ notice is hereby given of items to be considered in private as required by Regulations (4) and (5) of the Local Authorities (Executive Arrangements) Meetings and Access to Information) (England) Regulations 2012.

Details of any representations received by the Executive about why any of the above exempt decisions should be considered in public: none at the time of publication of the agenda. If representations are received they will be published separately, together with the statement given in response.

Item No: 2.1 Executive 9 November 2020

Present: Councillor Simmons (Chair), Councillors: Burnett, Castleman, M. Hussain, J. Hussain, Khan, Malcolm, K. Malik, Timoney and Shaw

In Attendance: Councillors Franks and Pedersen

Decision Sheet

Exemptions from the call-in process: (1) If the Council would be likely to suffer legal prejudice (2) If the Council would be likely to suffer financial prejudice (3) Where the calling-in of the decision would result in the decision not being capable of implementation at all (4) Where the decision is to in incur or forego expenditure of £5,000 or less except where the decision has been taken otherwise that in accordance with the Council's Policy Framework or any policies, practices, or procedures adopted by the Executive (5) Where the decision results from a reference or report or recommendation from the Overview and Scrutiny Board or from a Task and Finish Group. (6) Where the decision will be the subject of a recommendation to the Full Council

Page 1 of 410 1

Agenda Subject Dec. Decision and reason for decision Other options considered item(s) ward No. affected 2.1 Published decision sheet EX/122/20 That the published decision of the meeting All of the Executive meeting of the Executive held on 12 October 2020 on 12 October 2020 be agreed as a correct record of the meeting and signed by the Chair in due course. 3.1 Youth Justice Plan for EX/123/20 That the oversight of the first review of To accept or reject the All Luton 2019-22 Luton Youth Justice Plan 2019-22 be recommendations and request approved. further information.

Reason: statutory

(Note: The above item was considered by the Executive in compliance with Regulation 15 (General Exception) of the Local Authorities (Executive Arrangement) Meetings and Access to Information) (England) Regulation 2012)

3.2 Changes to Specialist EX/124/20 That the closure of the ASD Unit at All Education Provision for Wigmore Primary School and opening of Pupils with Autistic an ASD Unit at Downside Primary School, Spectrum Disorder (ASD) as set out in the statutory proposals at Appendix 1 and 2 be approved.

Reason: To ensure pupils with ASD are provided with high quality special provision to cater for their special educational needs

3.3 Healthy Child Programme EX/125/20 Private report see item 16. Contract Extension 8. Luton Bid Forward Funding EX/126/20 That the action taken by the Corporate Other alternative sources of funding South Director, Place & Infrastructure be had been explored as referenced in confirmed following consultation with the paragraphs 4 to 8 in the report. Executive Leader and the Section 151 Officer be approved moving the forward funding repayment date to the 31 March 2022

Reason: To support the Luton BIDs current cash flow projections to allow it to continue to operate and meet its contractual obligations

[Note: Councillor Timoney declared a non- pecuniary interest (personal) due to being a Member on the Bid Board, and remained in the meeting but did not take part in the discussions] 9. Revenue and Capital EX/127/20 (i) That the quarter 2 monitoring forecast To accept or reject the All Budget Monitoring Report for the General Fund predicts a net recommendations in the report and Quarter 2 - 2020-21 overspend of £1.779 million compared request further information to the revised emergency budget, after utilising £15 million of funding support available from the emergency coronavirus grants received, £7 million from reserves and £4 million of savings delivery contingencies be noted.

(ii) That the £2.6 million increased shortfall in the delivery of the savings programme at this forecast, with a net cumulative gap of £3.9 million after use of delivery contingency be noted.

Page 3 of 410 3

(iii) That the announcement just released by the Government for £6.2 million of further emergency funding support to be provided toward the measures needed for controlling the increasing infection rates and potential second wave of the virus be noted.

(iv) That the capital budget changes detailed in paragraphs 38 to 43 of this report, a reduction of £66.7m from the revised base programme for 2020/21 be noted.

Reason: To provide an update on the 2020/21 budget position 10. Temporary EX/127/20 (i) That the Service Director, Housing be a) One option is to make no All Accommodation Reduction authorised to implement the proposals changes, which is very likely to Project in this report to reduce Temporary increase numbers in Temporary Accommodation to under 900 units in Accommodation and the 18 months to include: overspend on the Temporary Accommodation budget a. Creation of an integrated team and b) Some options which were stabilisation of roles within the proposed in the review of homelessness service. homelessness services are not b. Implementation of new processes being taken forward such as for dealing with requests for helps. changes to the proportion of c. Purchase of additional temporary social lettings which are accommodation (subject to a reserved for homeless separate report). applicants. Other d. Conversion of nightly rate recommendations were based accommodation to other lease on operating the service from the arrangements. Town Hall and these have been e. Consider the use of existing one amended to recognise the and two bedroom accommodation working arrangements during for households requiring a slightly lockdown and beyond larger property in consultation with Page 4 of 410 4

the Portfolio Holder for Population and Wellbeing (Housing, Waste & Climate Change). f. Implement a new IT system for homelessness. g. Reinstate the option to apply for Member Housing Appeal Panel. h. Set the temporary accommodation rents to the current local housing allowance rates, as soon as practical after 1 January 2021.

Reason: To reduce temporary accommodation to under 900 units in 18 months. 11. E-Scooter Trials in Luton EX/129/20 That the report is deferred to the 7 December 2020 Executive meeting to allow further information to come forward.

12. Regulation 4 of the Local EX/130/20 Authorities (Executive Arrangements)(Meetings and Access to information)(England) Regulations 2012 To consider whether to pass a resolution under Regulation 4 of the Local Authorities (Executive Arrangements) (Meetings and Access to Information) (England) Regulations 2012 to exclude the public from the meeting during consideration of the item(s) listed below as it is likely, that if members of the Page 5 of 410 5

public were present during the transaction of the item(s), exempt information within the meaning of the Paragraph(s) of Part 1 of Schedule 12A to the Local Government Act 1972 indicated next to the item, would be disclosed to them. 13. Transfer of shopping EX/131/20 That the recommendations in the report parades to HRA from (ref 13) of the Interim Service Director, General Fund Housing and the Service Director, Property and Construction be approved.

[Note: the above item was considered in private by virtue of Paragraph 3 of Part 1 of Schedule 12A to the Local Government Act 1972, Part VA)

14. Transfer of residential EX/132/20 That the recommendations in the report properties to the HRA (ref 14) of the Interim Service Director, Housing and the Service Director, Property and Construction be agreed.

(Note: The above item was considered in private by virtue of Paragraph 3 of Part 1 of Schedule 12A to the Local Government Act 1972, Part VA)

15. Temporary EX/133/20 That the recommendations in the report Accommodation (ref 15) of the Interim Service Director, Purchasing Scheme Housing and the Service Director, Property and Construction be approved.

Page 6 of 410 6

(Note: The above item was considered in private by virtue of Paragraph 3 of Part 1 of Schedule 12A to the Local Government Act 1972, Part VA)

16. Health Child Programme EX/134/20 That the recommendation in the report (ref All Contract Extension 16) of the Service Director, Healthy Lives Children’s Commissioning be agreed.

(Note: The above item was considered in private by virtue of Paragraph 3 of Part 1 of Schedule 12A to the Local Government Act 1972, Part VA)

Meeting ended: 7.27pm Date of Publication: 11 November 2020

Page 7 of 410 7

Exempt Information Summary of those matters which by virtue of Part 1 of Schedule 12A of the Local Government Act 1972 may be discussed in private

Paragraph No.

1. Information relating to any individual.

2. Information which is likely to reveal the identity of an individual.

3. Information relating to the financial or business affairs of any particular person (including the authority holding that information).

4. Information relating to any consultations or negotiations, or contemplated consultations or negotiations, in connection with any labour related matter arising between the authority or a Minister of the Crown and employees of, or office holders under, the authority.

5. Information in respect of which a claim to legal professional privilege could be maintained in legal proceedings.

6. Information which reveals that the authority proposes:

(a) to give under any enactment a notice under or by virtue of which requirements are imposed on a person; or (b) to make an order or direction under any enactment.

7. Information relating to any action taken or to be taken in connection with the prevention, investigation or prosecution of crime. Page 8 of 410 8

Item No: 8 Report For: Executive Date of Meeting: 07 December 2020 Report Of: John Wrigglesworth, Service Director for Education Report Author: Stephanie Cash, Programme Director for SEND Subject: Approval of Luton SEND Strategy and Outcomes Framework Lead Executive Member(s): Cllr Aslam Khan Wards Affected: All Consultations: Councillors ☐ Scrutiny  Stakeholders  Others 

Recommendations 1. That Executive is recommended to approve the Luton SEND Strategy and SEND Outcomes Framework for implementation as part of the SEND Written Statement of Action and Luton’s programme of SEND improvements.

Background 2. As part of the SEND Written Statement of Action, Luton is required to have a number of key strategic documents to demonstrate how the Local Place will work together to improve outcomes for SEND children, young people and their families and carers.

3. This paper provides the Executive with the assurance that a new SEND strategy and SEND Outcomes Framework has been developed through co-production with SEND parents, carers and young people together with professionals. These documents now require political ratification.

The Current Position 4. The SEND strategy and outcomes framework has been presented to the SEND Strategic Improvement Group (the strategic multi-agency partnership responsible for overseeing the SEND WSOA and Strategy), the Health and Wellbeing Board, and BLMK / CCG’s Quality Committee. It is important for the Local Authority to approve the delivery of the SEND Strategy and Outcomes Framework as part of strategic place based commitment to improve outcomes for our SEND children and young people.

Goals and Objectives 5. The primary goal of this work is to improve outcomes for SEND children and young people and their families / carers in Luton.

6. Our vision as set out in the SEND strategy for children and young people with special educational needs and disability (SEND) is the same as for all children and young people in Luton. We want them to:

 lead happy, purposeful lives as part of their community in Luton  have choices and know that their voices are heard about decisions that affect them

Page 9 of 410  flourish and thrive so that they can continue to achieve their full potential and aspirations in their early years, at school, college, and as adults.

7. Our objectives are to implement the SEND Strategy and the six priority areas for actions and demonstrate impact using the SEND Outcomes Framework.

Proposal

8. To ask Executive to ratify the Luton SEND strategy and Outcomes framework.

9. The SEND strategy describes six priority actions for implementation over the next two years. It should be noted that the SEND strategy requires a system-wide approach and commitment for its effective delivery. The SEND strategy is overseen by the SEND Strategic Implement Group which is chaired by Amanda Lewis (Director of Children, Families and Education / Luton Council and Anne Murray (Chief Nurse BLMK CCG).

10. See Appendix 1 for the SEND strategy.

11. See Appendix 2 for the SEND governance arrangements.

12. The six priorities for delivery in the SEND strategy are extracted and reproduced below:

 Early intervention and prevention  Developing our services to meet needs  High quality education and Health Care Plans and provision that meet needs  Provision and place planning  Improving services for 16-25 year olds  Embedding co-production for children, young people, parents and carers How do we know we are making a difference?

13. The SEND Outcome framework has six high level outcomes that have been identified and agreed by SEND parents, carers, children and young people and professionals as being the most important for us to know we are making improvements. Appendix 4a shows the outcomes framework in detail and Appendix 4b in a summary format.

14. The SEND headline outcomes indicators are:

 I want to be healthy – physically and mentally

 I want to be safe

 I want to be the best that I can be

 I want to do as much for myself as possible

 I want to be part of the community

 I want to be heard

15. Each outcomes has a number of performance measures set alongside them to allow us to capture the evidence of how we will know we are making a difference. We have

Page 10 of 410 developed a SEND Quality Assurance and Performance Management framework that we will use to inform us on how well we are performing, what is working well and where we need to take further action to achieve change. This work will be captured through our SEND Scorecard and our SEND quality report. These reports will be presented quarterly to the SEND Improvement Group to overview our improvement journey. This information will also be shared with parents, carers and young people.

Key Risks 16. Overarching risks:

 Budget pressures for both the Local Authority and Bedfordshire, Luton and Milton Keynes CCG.

 Increasing numbers of children and young people with Educational and Health Care Plans and providing these children with appropriate provision to meet their needs.

 Priority one – early identification and early intervention. We are working towards ensuring that the impact of the closure of the Flying Start Children’s Centre does not negatively impact on families with SEND children and young people and this will be outlined in the new service specification for the Family Wellbeing Service.

 Priority three – ensuring the SENAT (Special Educational Needs Assessment Team) is resourced to deliver demands on the service within statutory timeframes.

 Priority four - ensuring we can meet the children and young people’s needs as close to home as possible.

 No risks have been identified for priorities two, five and six.

Consultations 17. This Strategy was produced in co-production with SEND parents, carers, young people and professionals. Parents and professionals worked face to face in a workshop and young people were involved in their schools .A range of parents were also involved and gave their views by via online consultation and focus group activities.

18. Genuine co-production is a key principle to SEND work and it was important to meet with parents for them to review the final draft of the Strategy and the Outcomes Framework. However due to CV19, there were some challenges about making this happen. Parents were invited to an online call, however only a small number of parents attended and gave feedback which was primarily positive. A caveat has been added to the Strategy, that it should be reviewed with parents in a meaningful way when possible; any amendments will be reflected through updates to the strategy.

Alternative options considered and rejected (please specify) 19. To reject the recommendations

20. To request amendments to the report.

Page 11 of 410 Appendices attached Appendix 1 - Luton SEND strategy Appendix 2 - SEND Governance Appendix 3 - Luton SEND Outcomes Framework Appendix 3a in full Appendix 3b in summary/poster Appendix 4 - Integrated Impact Assessment

List of Background Papers - Local Government Act 1972, Section 100D There are no background papers to the report.

Implications - an appropriate officer must clear all statements

Required Item Details Clearance Dated Agreed By Legal None applicable Michelle 17.11.2020 Mwangi Finance SEN provision is funded predominantly Atif Iqbal 16/11/20 thorough High Needs Block of the Dedicated (Finance Schools Grant (DSG) but there is also funding Business from Schools, the Early Year’s block of the Partner) DSG and Council’s own general fund. Budget pressures both in GF and DSG can have an impact in future. There is additional budget pressure within GF for SEND transformation work and while some funding has been re- aligned within the existing budgets, for the remaining budget pressure a growth bid has been submitted for 21/22. Equalities / Our Equalities Officer /Temp Manager has Sandra 17/11/2020 Cohesion / worked with the report writers on this as a Hayes Inclusion result I happy to sign off Service (Social Manager Justice) Policy, Community, Engagement Luton Council

Environment There are no direct environmental implications. Keith Dove, 16/11/2020 However the application of this policy, could Strategic have indirect environmental implications. For Policy example, the inclusion as part of training and Adviser audits in preparing SEND pupils for adulthood to give them confidence in independently

Page 12 of 410 Item Details Clearance Dated Agreed By travelling to work and to access other goods and services could reduce carbon emissions. Health There are actions in the SEND strategy which Lucy Hubber 18/11 /2020 link to services provided by health. These are MFPH also within the SEND WSOA. Director of Public Health (Interim) Luton Council 3rd Floor Arndale House 37 The Mall Luton LU1 2LJ Optional Item Details Clearance Dated Agreed By Community Not applicable Safety Staffing Not applicable

Other

Page 13 of 410

Page 14 of 410 Appendix 1

Joint Special Educational Needs and Disability (SEND) Strategy

July 2020 – May 2022

Version 1 November 2020 Page 15 of 410

Please note the following due to Covid 19

This strategy was developed in co-production with parents, carers and young people. It is based on the discussions held parents and carers in November 2019 at a workshop and with young people in their schools during November 2019.

We arranged to meet with parents and carers in July 2020 to share the latest draft version of the SEND strategy for sign off. A poster was sent out via a wide number of partners to promote the event. Due to CV19, these meetings were held virtually using SKYPE. Three meetings were offered to parents including a morning, afternoon and evening event. While a small number of parents (12) confirmed they wished to attend sessions, in reality we were only able engage with a small number of parents. A number of parents had challenges with the technology and for others they cancelled as they had other commitments and were coping with managing their children.

This strategy should be read as a “holding “strategy, and we plan to meet with parents when possible to ensure that parents are given the opportunity to contribute to any final updates.

Version 1 November 2020 Page 16 of 410 Contents ______

1. Introduction ...... 4 1.1 Executive Summary ...... 4 1.2 What are Special Educational Needs? ...... 5 1.3 SEND Reforms ...... 6 1.4 Co-production ...... 6 2 Local Context ...... 8 2.1 About Luton ...... 8 2.2 Local SEND Profile and how we compare nationally ...... 9 2.3 Our Successes...... 10 2.4 Considerations ...... 11 3. Vision, Principles and Outcomes ...... 12 3.1 Our Vision ...... 12 3.2 Principles ...... 12 3.3 Outcomes ...... 13 4 Strategic Priorities ...... 14 4.1 Strategic Priorities ...... 14 4.2 What we will do to implement these Strategic Priorities ...... 14 5. How will we know if we have been successful? ...... 17

Page 3 of 17 Page 17 of 410 1. Introduction ______

1.1 Executive Summary

Luton’s children and young people are the future of Luton. They are entitled to the best possible life opportunities that we can give them at every stage through from their birth and early childhood through education and then as they transition into adulthood and employment.

Our vision for children and young people with special educational needs and disability (SEND) is the same as for all children and young people in Luton. We want them to:  lead happy, purposeful lives as part of their community in Luton  have choices and know that their voices are heard about decisions that affect them  flourish and thrive so that they can continue to achieve their full potential and aspirations in their early years, at school, college and as adults.

The purpose of this strategy is to set out how we will do this for those children and young people with SEND. It has been informed by or aligned with the following:

 Local Area Joint SEND Needs Assessment  SEND co-produced outcomes framework  findings from the 2018 Ofsted inspection and improvement actions identified in the Written Statement of Action  co-production meetings, workshops and consultation  aligned strategies/plans including the: - Children and Young People Strategy (Clinical Commissioning Group Bedfordshire, Luton and Milton Keynes (BLMK)) - Local Authority Education Strategy and Local Authority Inclusion Strategy - Local Authority Children’s Services Improvement Plan.

This document describes our vision and the outcomes we want for our children and young people with SEND. It describes the context within which we work, the principles underlying how we will work and our strategic priorities for the next two years to help deliver improved outcomes for children and young people with SEND. Diagram 1 sets out how all the various elements fit together to support the delivery of the vision.

Page 4 of 17 Page 18 of 410 Diagram 1:

This strategy is a Local Area strategy and its delivery is the responsibility of education, health and care services. The Senior Leaders of the organisations that provide these services have set out their commitment to delivering improved outcomes for children and young people with SEND in a Leadership Charter.

1.2 What are Special Educational Needs?

A child or young person can be described as having special educational needs and disabilities (SEND) if he or she has a learning difficulty or disability which calls for special educational provision to be made for him or her. A child and young person is considered to have a learning difficulty if they have:

 significantly greater difficulty in learning than the majority of others of the same age, or  a disability which prevents or hinders them from making use of facilities generally provided for others of the same age in mainstream school or mainstream post-16 institutions.

Children and young people may have needs in one or more broad areas of need and these can change over time:

 communication and interaction including children with autistic spectrum disorder  cognition and learning  social, emotional and mental health difficulties  sensory and physical difficulties.

Page 5 of 17 Page 19 of 410 Most children and young people will have their needs met at an early stage and they will access support through their school or setting (in schools this is called SEN support). Children and young people with the most severe needs will have an Educational Health and Care Plan (EHCP). This plan is statutory and sets out clearly the child or young person’s SEN, along with the provision they need to help them overcome the barriers to learning that these needs present.

1.3 SEND Reforms

In 2014, the Children and Families Act introduced some wide-ranging reforms in how services for children with Special Educational Needs and Disability are delivered and a new Code of Practice came into force in January 2015.

In December 2018 Ofsted and the Care Quality Commission (CQC) conducted a joint inspection of the Luton Local Area to judge its effectiveness in implementing the SEND reforms. Key lines of enquiry focused on the effectiveness of the local area in:

 identifying children and young people’s special educational needs and/or disabilities  meeting the needs of children and young people with special educational needs and/or disabilities  improving outcomes for children and young people with special educational needs and/or disabilities.

The inspection identified strengths in each of these areas. However, it was also determined that there were significant areas of weakness which meant that the local area was required to produce and submit a Written Statement of Action.

1.4 Co-production

This strategy builds on the key priorities that were identified within the Written Statement of Action. However, an essential and valuable contribution to this strategy came from our discussions and co-production consultations, meetings and workshops with a wide range of people including parents and carers, young people, the Luton Parent Carer Forum (LPCF), education, health and social care services.

In February 2020, the Board of the current Luton Parent Carer Forum decided that they no longer wanted to continue running the PCF and the Forum closed on the 31st March 2020. Contact, the national organisation that supports PCFs, has been working in the Local Area to support the establishment of a new PCF. Alongside this work, arrangements are in place to ensure we can continue to work with parents and children and young people and seek their views through wider engagement opportunities.

As a Local Area we are committed to working together with children, young people and their families to both co-produce individual plans and support as well as service and strategic developments. We will continue to do this in a range of ways which includes supporting the development of the new Luton PCF Voice which established itself in July 2020, who will take an active role in supporting SEND transformational work going forward.

Our co-production activity will be underpinned by the values and principles that were developed with children and young people with special educational needs and disabilities,

Page 6 of 17 Page 20 of 410 their families and representatives from education, health and social care services. These now form our Working Together Charter and are set out in diagram 2. Click here to access the Luton SEND Working Together Charter.

Diagram 2:

Page 7 of 17 Page 21 of 410 2 Local Context ______

2.1 About Luton

Luton is a densely populated and culturally diverse ‘World Town’. It has excellent transport networks, including an airport and regular trains to London, just 30 miles and half an hour away, and proximity to the M1.

It is home to 216,8001i residents and we have a young and growing population (29% under 19), compared to national figure (24%). In Luton 62,200 are aged 19 years and under, of whom 18,100 are under five years of age. The size of the child population is rising as a result of a high birth rate and international migration.

Luton has a long history of welcoming arrivals to our “World Town” from overseas, it is one of the most vibrant and diverse environments in the country.

It is estimated that more than 100 languages and dialects are spoken in Luton. English is the most prevalent language spoken in Farley, Northwell and South wards; in Biscot and Dallow, the most prevalent first language is Urdu. Polish and Bengali are also common, as is Punjabi and Bangladeshi.

In recent years the diversity of the population has increased. There has been a significant shift in the population, primarily driven by those arriving from newly EU acceded A8 countries of Eastern Europe. Since May 2004, there have been over 25,000 new National Insurance registrations by people from A8 countries in Luton, with over 80% of these coming from Poland. With the change in employment law in 2014 giving Romanians and Bulgarians the right to work in the UK there have been many Romanians coming to live and work in Luton. A study by Mayhew Harper Associatesii showed concentrations of new communities of Congolese, Somali, Ghanaians, Nigerians, Turks and Zimbabweans in Luton. Foreign students coming to the University of Bedfordshire has also increased diversity. There is increasing acceptance that Luton is a “super-diverse” community.

Luton experiences a high population turnover and analysis of population dataiii indicates that approximately 50% of current Luton residents were either not born or not living in Luton at the time of the 2011 Census with South and High Town wards having the fastest rates of population change.

Luton is currently ranked the 70th most deprived out of 317 local authorities, in 2015 Luton was ranked the 59th most deprived area from 326 local authorities. Therefore Luton is less relatively deprived than in 2015. The proportion of areas in Luton in the top 10 per cent most deprived parts of the country has fallen with Luton having four output areas in the top ten per cent most deprived. These are in Northwell, South and two in Farley. Previously Luton had nine areas in the top ten per cent. (Source: 2019 Indices of Multiple Deprivation, MHCLG).

Page 8 of 17 Page 22 of 410 Unemployment has increased substantially in Luton with the impact of the pandemic, rising from 3.3 per cent in March to 8.7 per cent in September. The areas with the highest unemployment rates are South, Biscot, Northwell, Dallow and Farley. (Source: Claimant Count, Office for National Statistics).

In Luton it is estimated that 46 per cent of children (28,400 children) are living in poverty after housing costs. Luton has the 7th highest rate of child poverty of all the local authorities in the country. Biscot and Dallow wards are in the top ten wards in the country for the proportion of children living in poverty. (Source: Centre for Research in Social Policy, Loughborough University, 2019).

2.2 Local SEND Profile and how we compare nationally

Please note the following has been extracted from our SEND Joint Strategic Needs Assessment 2020

What do we know about the numbers of children and young people with Educational and Health Care plans in Luton?

 The number of children and young people with an EHC plan in Luton has increased rapidly since 2015. In January 2015 there were 992 children with an EHC plan or statement, but this had reached 1,532 by January 2019, which is a 54% increase. This increasing rate is similar to that experienced nationally  In January 2019 the proportion of children and young people who attend school in Luton and who have an EHC plan is lower at 2.8% (1,122 pupils) compared with national figures (3.1%)  Luton (39.8%) has a higher proportion of children aged five to ten on EHC plans compared to England (33.1%), but a much lower rate of 20 to 25 year olds in Luton (2.3%).

What do we know about the prevalence of children and young people with special educational needs in Luton?

 In 2019 there were 5,706 children and young people with special educational needs attending state-funded primary, secondary and special schools in Luton. This equates to 15% of pupils in these schools and this rate is statistically similar to the rate in England overall  Luton has been relatively static in the number and rate of all pupils with special educational needs since 2015  There has been a notable drop in the number and proportion of pupils receiving SEN support in Luton, falling from 22.1% in 2010 – but this trend also follows the national pattern  There is significant disparity in SEND across different ethnic groups in Luton. There are thought to be numerous factors that can play an influence and can come from socio- economic, cultural and genetic dispositions  Males are twice as likely as females to have a SEND in Luton – this follows the national pattern.  It is recognised that children suffering poverty or higher levels of deprivation are more likely to experience a SEND, however in Luton there is no clear pattern linking higher SEND rates to areas with the highest levels of child poverty. Some of the wards with the highest rates of child deprivation in Luton have the lowest rates of SEND.

Page 9 of 17 Page 23 of 410 What are the Primary needs for Children and Young People in Luton?

 The leading primary special educational needs in Luton are “moderate learning difficulties” and “speech, learning and communication needs”, followed by “social, emotional and mental health”. The numbers of autistic spectrum disorder and severe learning difficulties are also high  When only considering those with EHC plans nearly one third of those in Luton have a primary need of autistic spectrum disorder (ASD)  When looking at information available about all children and young people with SEN support and EHC plans in Luton, the leading primary needs are moderate learning difficulties (MLD) and speech, learning and communication needs (SLCN) - each with approximately 1,400 individuals. These are followed by social, emotional and mental health (SEMH; ~900) and ASD (~700)  The primary needs of pupils attending special schools in Luton are very different from those compared to the whole of England, though this may reflect the type of specialist provision available at special schools in Luton  Between 2015 and 2019 the proportion of all SEN children and young people attending Luton schools with a primary need of Speech, Language and Communication Needs has increased by over 50%, from 14% to 21.5%.

Where do children and young people with SEND attend for their education in Luton?

 In January 2019, 9.6% of all pupils with either SEN support or an EHC plan attended a special school – slightly below the England rate of 10.3%.  For Luton pupils with an EHC plan at state funded schools, 52% attended a regular primary or secondary school, with the remaining 48% at a state funded special school. This is almost identical to the England split.

How do young people post 16 achieve?

 In March 2020, 90.8% of 16-17 year olds with SEND are recorded as participating in education or training compared to 88.5% in England.

What do we know about additional vulnerabilities?

In April 2020, we had:  56 children identified as Looked after Children with an EHCP, this equates to 14.7% of our overall Looked after Children cohort  307 Children identified as Child in Need had an EHCP, equating to 16.2% of our overall CIN total  11 children on Child Protection with an EHCP - this equates to 4.1% of our overall Child Protection cohort.

2.3 Our Successes

Since the Ofsted Inspection in 2018, we have achieved a number of successes and this strategy will build on these:  wider engagement with parents and carers through focus groups in settings and schools as well as with the Parent Carer Forum and their members. We are currently working to

Page 10 of 17 Page 24 of 410 reestablish the PCF as this folded in March 2020. A new Forum called the Parent Carer Forum Voice is now developing with a growing membership.  significant investment in tier 2 CAMHS service - Neighbourhood Community Hub Model, which in addition to the school’s liaison team includes workers who interface with schools and primary care. - Online support from Kooth and texting support via Chathealth - Counselling from Chums and Tokko  the implementation of a Special Needs Pathway for the under-fives  children’s Integrated Commissioners (CCG/LA) and the health provider (CCS) have worked in partnership to develop improved pathways for access to Speech and Language therapy and sensory processing support  every child now attending a Special School in Luton has an initial Health Assessment with associated care plan when required within the first term of attending school  the School Nurses work with the special needs team to deliver appropriate health promotion sessions in special schools  Luton is challenged as a place to recruit Health staff, this has been the case in School Nursing and Speech and Language therapy however, both of these teams are currently fully recruited  improved timeliness and quality of health advice provided for EHCPs  new engagement approach to enable the voice of children and young people to shape service delivery and strategic improvements  range of good quality support services including SEN support, Educational Psychology, SEN Assessment Team, Post 16 Transitions team, SENDIAS and Children with Disabilities Team  uplifts to the Element 3 Top-up funding for children with EHC plans in Luton maintained mainstream and special schools and academies  increasing number of young people with EHC plans are participating in supported internships and gaining paid employment.

2.4 Considerations

As a Local Area we face a number of considerations and our strategy will need to take this into account:  co-production with parents at a strategic level whilst the new Parent Carer Forum is established and embedded  Luton demographics (higher levels of deprivation, English as an Additional Language and the wide diversity of our communities with over 150 languages spoken)  processing annual reviews with the required timescales and addressing the backlog  quality assuring new and amended ECH plans.

Page 11 of 17 Page 25 of 410 3. Vision, Principles and Outcomes ______

3.1 Our Vision

Our vision for children and young people with special educational needs and disability is the same as for all children and young people in Luton.

We want them to:

 lead happy, purposeful lives as part of their community in Luton  have choices and know that their voices are heard about decisions that affect them  flourish and thrive so that they can continue to achieve their full potential and aspirations in their early years, at school, college and as adults.

A key aim is to develop quality local provision so that parents have confidence in the local system and children and young people with SEND can play, learn and work with their families and within their local communities. This is a multiagency approach embraced by education, health and care services working together because we believe that this is right for our Luton children and their families.

3.2 Principles

To support the delivery of this vision, a set of system service delivery principles were developed; these principles will underpin all the actions of everyone supporting children and young people with special educational needs and disabilities in Luton:  children, young people, and their families, will be at the heart of everything that we do and their best interests will drive decision- making  children and young people will be encouraged to express their views and to take an active part in making decisions for themselves and the wider community  all children and young people are entitled to the same opportunities to learn and be included in the social life of the community so that they can achieve their full potential  the emotional well-being and mental health of children and young people is important and can also have a significant impact on the capacity of children and young people to learn and achieve their potential  all children and young people must be kept safe from harm and this is a joint responsibility  there should be a focus on early intervention to ensure that the needs of children and young people are met well in a timely manner and to prevent escalation to costly higher-level services  children and young people should have their needs met locally wherever possible so that they can remain within their community (either through maintained provision or through bespoke packages of support)  there should be a continued focus on outcomes including preparing for adulthood outcomes2 throughout the child and young person’s education and training

2 Preparing for Adulthood Outcomes (Department for Education Updated 2017) include employment, independent living, community inclusion and health.

Page 12 of 17 Page 26 of 410  there should be an assess-plan-do-review approach that promotes a continual process of development and improvement

 there will be a focus on building positive relationships and listening to each other with respect  continued learning and professional development for everyone involved is essential for the development and maintenance of high-quality services and support  all provision should be based on evidence and regularly reviewed to make sure that children and young people continue to make progress  specialist services and resources will focus on children and families with the highest level of need  resources will be allocated fairly and the impact monitored to ensure efficiency and valued for money.

3.3 Outcomes

We have co-produced a set of outcomes that we want for our children and young people with SEND. Achieving these outcomes will enable us to deliver the vision as shown in diagram 1 above. The outcomes are set out in diagram 3 below and for each we have developed a set of measures that will be monitored as a Local Area to assess progress.

Diagram 3: Outcomes for children and young people with SEND

I want to be both physicallly and mentally healthy

I want to be I want to be heard safe

Outcomes for children and young people with SEND

I want to be I want to be the best part of the that I can community be

I want to do as much for myself as possible .

Page 13 of 17 Page 27 of 410 4 Strategic Priorities ______

4.1 Strategic Priorities

To support the delivery of the above outcomes we have identified the following key priorities. These have been co-produced using the following sources of data:  information from the Joint Strategic Needs Assessment  SEND Outcomes Framework  Ofsted/CQC SEND Inspection  co-production meetings, workshops and on-line consultation with parents  other relevant strategies and plans to ensure that the priorities made sense in the context of other work and that the common threads were recognisable.

Strategic Priority 1 Strategic Priority 2 Strategic Priority 3

High quality Educational Early intervention and Developing our services to Health and Care Plans and prevention meet needs provisions that meet needs

Strategic Priority 4 Strategic Priority 5 Strategic Priority 6

Improved services for 16-25 Embedding co-production Provision and Place year olds with children, young people, Planning parents and carers

4.2 What we will do to implement these Strategic Priorities

Priority 1: Early intervention and prevention

An early response to a concern and early identification and intervention are key to helping children and young people with SEND to reach their potential. Early intervention services can impact a child’s developmental path and improve their outcomes.

We will improve our early intervention and prevention support by:  strengthening universal services that provide information and support to address identified concerns such as speech, language and communication  providing information and resources on the on-line Local Offer to support self- management and support for families and young carers  working with parents and carers so that they can reinforce learning strategies and techniques used in school and at home  supporting schools to have robust internal measures to identify those children who are not making adequate progress or are at risk of exclusion, youth offending and safeguarding, and to then work with other agencies to get the support they need

Page 14 of 17 Page 28 of 410  providing support to SEND families through the new Family Wellbeing Service.  embedding and implementing Talking Takes Off to ensure families can access support for their child and young person’s speech, language and communication needs  ensuring that Early Help support is available to families as part of the Complex Care panel at the Edwin Lobo Centre.

Priority 2: Developing our services to meet needs

Our Local Offer of services to support children, young people with SEND and their families, should meet their needs. Services need to be transparent, easy to access and enable support to be put in place in the quickest time possible.

We will further develop the range of support and services available to children and young people with SEND and their families by:

 improving access and support from:  community physical and mental health services including Sensory processing and Speech and Language Therapy and Tier 2 Mental Health Services  a new Neuro Disability Development (NDD) pathway and the greater collaboration of Child and Adolescent Mental Health Services ( CAMHS ) in the triage process  respite services, after school provision and leisure activities  travel assistance support  enabling families to make best use of personal health budgets, personal budgets and direct payments to meet their child’s needs  supporting our local facilities, local clubs and organisations to be disability aware and DDA compliant  ensuring that information is available on the on-line Local Offer.

Priority 3: High quality Educational Health and Care Plans

Improving the quality and timeliness of Educational Health Care Plans (EHCP) and the annual review, is a key priority in the Written Statement of Action. Whilst we have made some good progress with this, there is further work that needs to be done.

We will do this by ensuring:  person-centred planning is fully embedded and the voice/aspirations of the child and the young person are clearly reflected in their plans.  all plans will be outcomes focused and will be clear regarding the needs and provision for children and young people  EHCPs and Annual Reviews are issued within the set timescales  learning from the EHCP quality audits is embedded across all services.

Priority 4: Provisions and Place Planning

Key to improving outcomes for children and young people with SEND is ensuring they have the right educational provision that meets their needs. We want to ensure that we have the appropriate number, range and quality of provision so that pupils:

 can be supported wherever possible in mainstream and inclusive settings

Page 15 of 17 Page 29 of 410  in need of more specialist support will be placed in the most appropriate provision and wherever possible within Luton so that travel time is minimised and contact with local community networks maximised.

We will do this by:  establishing a new secondary special school  addressing gaps in provision for the children and young people who have: - Autistic Spectrum Disorder/Severe Learning Difficulties and challenging behaviour - Social Emotional Mental Health difficulties.

Priority 5: Improved transition and opportunities for 16-25 year olds

In Luton, we want to promote high expectations and aspirations for our all our children and young people with SEND. For our young people aged 16-25 years, this means that they have opportunities for further learning or employment, living independently, have choice and control over their lives and are participating in their community.

We will do this by:  embedding the Preparing for Adult Outcomes across all services for children of all ages  ongoing promotion of the importance of young people aged 14 years+ with Learning Disabilities having a health check  improving transition from children’s services to adult services by ensuring that we start planning transition when young people are 14 years of age so that support can be planned in advance.  increasing opportunities for ongoing training, supported internships, employment and volunteering  increasing opportunities for independent living  increasing the number of young people aged 19 years+ who are in positive destinations.

Priority 6: Embedding co-production with children young people and their parents and carers

We are committed to working with children, young people and their families in a way that involves them from the beginning as equal partners. We have developed a Working Together Charter in partnership with children, young people, their families and stakeholders across education, health and social care. This sets out the principles of how we want to work together at both an individual and service/strategic level.

We will embed co-production by:  ensuring as many as possible organisations in Luton sign up to the seven principles in the Working Together Charter  ensuring that person-centred planning is integral to the development of all Educational Health and Care Plans  working with the new Parent Carer Forum when it is established to become a key strategic co-production partner  continuing to employ different ways to engage parents and carers who are not members of the Parent Carer Forum  implementing our new approach to engaging with children and young people.

Page 16 of 17 Page 30 of 410 We recognise that our priorities cannot be delivered by individual organisations alone and we are committed to working together in partnership to achieve our collective outcomes and vision for children and young people with SEND.

5. How will we know if we have been successful? ______

It is essential that we evaluate our success against the differences we make to the lives of our children and young people with SEND. Progress against this strategy will be monitored and scrutinised on a quarterly basis by the Strategic SEND Improvement Group (SSIG). The SSIG is a local area (multi-agency) strategic group that is co-chaired by the Director of Children’s Services (Luton Borough Council) and the Chief Nurse (Clinical Commissioning Group). Membership comprises Senior Leaders across education, health and social care.

We have developed a SEND Quality Assurance and Performance Management framework that we will use to inform us on how well we are performing, what is working well and where we need to take further action to achieve change.

This Quality Assurance and Performance Management framework comprises both qualitative and quantitative data.

To evaluate the quality of our work across the local area we will:  undertake a cycle of multi-agency audits including audits of the quality of Educational Health Care Plans  use a range of mechanisms to gain feedback for parents and carers, children and young people (e.g. surveys, workshops, focus groups, consultation, feedback on the Local Offer  seek views from practitioners who are working to support children, young people with SEND and their families.

To assess how well our services for children and young people with SEND are performing we have developed a SEND Scorecard. The Scorecard considers a range of information from education, health and social care and includes all the impact measures that were identified in the Written Statement of Action.

Finally, we have developed a SEND Dashboard. This is based on the one that has been developed by the Council for Disabled Children. The Dashboard will be used a commissioning tool. It has been designed from publicly available datasets specific to the SEND population. The Dashboard will provide us with an understanding of the Luton Profile and will also enable us to compare ourselves against regional/national data.

We will revisit and refresh our priorities in 2-years to ensure we continue to develop our services in response to what is most important and makes the most difference to our children and young people with SEND.

i 2016 Mid-Year Population Estimates, Office for National Statistics ii The Growth and Changing Complexion of Luton’s Population, Mayhew Harper Associates , 2011 iii Office for National Statistics population estimates and components of change

Page 17 of 17 Page 31 of 410

Page 32 of 410 Appendix 2 SEND Improvement Governance TO Executive via CLMT Health and Wellbeing Board BLMK CCG Board July 30th 2020

Joint Strategic LA Children’s Improvement Board Children’s Trust Board BLMK CCG’s Quality and Performance Committee Commissioning Board

Children’s Services SEND Strategic Improvement Group (SIG) Scrutiny Group Chair: LA Director of Children’s Services/ BLMK Chief Nurse

SEND Strategic Delivery Group (SDG) BLMK CCG ‘s Chair: Programme Director, SEND Health Improvement Programme Transformation Group

Work Stream A Work Stream B Multi-agency Work Stream C Work Stream D Work Stream E workforce Coproduction Educational Health Services Meeting Quality and Information and Learning and Strategy and Advice Care Plans Needs Performance Accountability Development

Addressing Areas of Addressing Area of Addressing Areas of Addressing Area of Addressing Areas of Weakness 1 and 3 Weakness 5 Weakness 3 and 4 Weakness 2 Weakness 1 and 3

Parent Capita Board EHCP Audits Pan BEDS & Luton Lead Professional Qualitative Co-production Send Capita work Process only Therapies TAF data events as needed TAF’s. Transforming Care Programme TAF. Quantitative data Contract meetings (Service developments). Page 33 of 410

Page 34 of 410 Appendix 3(a)

Luton’s SEND Outcomes Framework

Nov 2020

Context to the Paper As part of our improvement work, the need to develop a SEND outcomes framework sits in Theme 3 as part of the work underpinning our understanding of what parents and carers want and need and also as part of our joint commissioning arrangements for SEND. Parents, carers and professionals have been involved in the development of the SEND outcomes and then professionals have worked to identify the measure that would demonstrate success alongside asking parents and carers, children and young people what they think. Parents and carers clearly identified the following six outcomes as being the most important to them and their children: 1. I want to be healthy – physically and mentally 2. I want to be safe 3. I want to be the best that I can be 4. I want to do as much for myself as possible 5. I want to be part of the community 6. I want to be heard

The following describes the measures to be collated to evidence improvements to SEND Children and young people’s outcomes.

1 Page 35 of 410

1. I want to be healthy – physically and mentally Indicator statement What support is needed to deliver Measures I can, I have, I am … this outcome? How will we know? . I maintain a healthy lifestyle to . Early identification of need with . Annual surveys and engagement with support my personal needs robust, person centred, holistic plans children, young people and families . I enjoy my life and have a sense of of support at the point of emerging . Review of complaints and wellbeing in all environments (social need compliments interactions/relationship/positive . Refresh the Local Offer to ensure it . Professionals for education (including behaviours) meets the needs of the children, governors/trustees), health and care . I am able to use my creative skills in young people and families, and the awareness of the requirements of the meaningful activities (i.e. content is relevant and up to date Children and Families Act and SEND routines/education/medication) . All local facilities, clubs and Code of Practice 0-25 . The carers in my life are doing well organisations are disability aware and . Audits of EHC plans and SEND . I know where my support is and who DDA compliant processes – timeliness, quality, to talk to – sharing feelings and . All local facilities, clubs and implementation, review openly communicating by showing organisations actively promote . School/college inclusion/exclusion self-awareness inclusion so that Luton is truly a data . I make good choices around disability friendly area with services . Service data, including referrals, behaviour, drugs, alcohol and that are inclusive and supportive to all waiting lists and access times – relationships . Close working relationship and joint CAMHS, dentistry, diet and fitness, commissioning across public health hospital admissions, incontinence, and clinical commissioners to get the obesity, occupational therapy, right range, sufficiency and availability physiotherapy, pregnancy, respite, of community medical services for school nursing, sensory, smoking, children and young people speech and language, substance . GPs aware of their responsibilities and misuse, wheelchairs the support available to children, . Local Offer analysis young people and families, and . Requests for, and access to, support confident in being able to deliver the services, short breaks, parenting

Page 36 of 410 right support in the community support, and support for carers and (Working Together Charter, Local siblings Offer, SENDIAS) . The number of, and percentage . Monitor and improve the access and eligible for, Personal Health Budgets, waiting times for specialist services, Health Budgets and direct payments and ensure pathways for support are . School Health and Wellbeing (SHEU) clear and easily understood by all Survey . Personal Health Budgets promoted, and families are aware of support available and how to access it

2. I want to be safe Indicator statement What support is needed to deliver Measures I can, I have, I am … this outcome? How will we know? . I have outside support in addition to . Safeguarding needs are identified . Annual surveys and engagement with family early, and the right support is children, young people and families . I am not hurt or injured in the home provided for the children, young . Review of complaints and and community people and families compliments . I am not involved in crime, gangs or . Sufficient advocates, mentors, . Audits of EHC plans and SEND subject to exploitation buddies, keyworkers processes – timeliness, quality, . I am safe from bullying, cyber- implementation, review bullying and hate crime . Professionals for education (including . I have appropriate and suitable living governors/trustees), health and care conditions and opportunities awareness of the requirements of the Children and Families Act and SEND Code of Practice 0-25 . Service data, including referrals, waiting lists and access times –

Page 37 of 410 advocacy, child sexual exploitation (CSE) children missing education (CME), criminal justice, social care registers/open cases, helplines, housing, Multi-Agency Gang Panel (MAGPan), Multi-Agency Risk Assessment Conference (MARAC), Multi-Agency Safeguarding Hub (MASH), youth offending . Lessons learned from serious case reviews . School/college attendance and exclusion data

3. I want to be the best that I can be Indicator statement What support is needed to deliver Measures I can, I have, I am … this outcome? How will we know? . I have nursery/school/college . Training and support to school leaders . Annual surveys and engagement with provision that meets my needs by on the requirements of the Children children, young people and families identifying SEND early on and Families Act and SEND code of . Review of complaints and . I have the right support and guidance practice compliments at each stage of development . Systems support a consistent . Audits of EHC plans and SEND . I have realistic goals that can be approach to SEN Support across all processes – timeliness, quality, achieved, but also aim high schools using a Whole School implementation, review . People know my aspirations I have Approach to SEND . Professionals for education (including purposeful activities, which may also . School/college leaders deliver a governors/trustees), health and care include employment graduated approach with increasing are aware of the requirements of the . I have good role models and mentors

Page 38 of 410 . I have support with transitions levels of support as required for Children and Families Act and SEND . I have choices and equal individual children and young people Code of Practice 0-25 opportunities . A range of available placements for . Service data, including referrals, education, training, paid employment waiting lists and access times – and volunteering academic performance 0-25, . Preparation for adulthood starts at an apprenticeships, NEET, Ofsted early age inspections, school placements . Preparation for post-16 EET starts at (sufficiency, suitability, range), 16+ an early age pathways, supported internships, traineeships . School/college attendance and exclusion data

4. I want to do as much for myself as possible Indicator statement What support is needed to deliver Measures I can, I have, I am … this outcome? How will we know? . I can make my own decisions/choices . Each child or young person has . Annual surveys and engagement with . I can manage my own self-care someone they trust who can help children, young people and families independently them to make choices for themselves . Review of complaints and . I can take part in meaningful activities to manage their lives compliments . I can learn skills for life and everyday . Flexible personal budgets available to . Audits of EHC plans and SEND skills enable children and young people to processes – timeliness, quality, . I have information and other plan and do what they want to do implementation, review sources/resources that are in a format . Safe, quality assured, and risk . Professionals for education (including that is suitable for me assessed transport services accessible governors/trustees), health and care . I can live independently and travel and available awareness of the requirements of the independently . Effective independent transport Children and Families Act and SEND . I have support with transitions training available Code of Practice 0-25

Page 39 of 410 . Access to a choice of paid . Service data, including referrals, employment, voluntary opportunities, waiting lists and access times – adult education and training that provides social care, augmented interesting and meaningful communication, employment, finance engagement awareness, housing, NEET, . A range of high quality independent occupational therapy, personal and supported living options to budgets and direct payments, choose from relationships and sexual health, self- . The right information, advice and care, SENDIAS, travel training, support is available to children, young volunteering, wheelchairs, work people and families to ensure they are experience aware of their rights, the support they . Local Offer analysis can access and the choices they have . Contribution to co-production and . A Local Offer that provides joint commissioning information on the choices children and young people have, their rights and where to get support including independent advocacy . A co-production charter that defines how all the agencies will work with children, young people and families to ensure that their voice is central to all decisions at an individual and collective level . The parent carer forum, children and young peoples’ participation and parents/carers groups are involved in all strategic decisions about the design, commissioning and delivery of services

Page 40 of 410

5. I want to be part of the community Indicator statement What support is needed to deliver this Measures I can, I have, I am … outcome? How will we know? . I am actively involved in a . The right information and support is available . Annual surveys and engagement group/groups – according to my to children, young people a nd families to with children, young people and choice know their rights and the choices they have families . I have an active and interesting . Access to self-help e.g. Sunflower scheme . Review of complaints and life https://www.hiddendisabilitiesstore.com/products- compliments . I have a family and we have an 19/products.html . Audits of EHC plans and SEND ordinary and happy life most of processes – timeliness, quality, the time implementation, review . I can play, have friends and . Professionals for education socialise (including governors/trustees), . I feel safe and valued in my health and care awareness of the community requirements of the Children and . I know how to get additional Families Act and SEND Code of assistance when I am out in Practice 0-25 public . Service data, including referrals, waiting lists and access times – accessibility, adult services, after- school activities, distance travelled to school/college, housing, personal budgets and direct payments, respite, short breaks, social care . Local Offer analysis e.g. clubs, mentors/buddies, siblings . Contribution to co-production and joint commissioning

Page 41 of 410

6. I want to be heard Indicator statement What support is needed to deliver Measures I can, I have, I am … this outcome? How will we know? . My voice is heard in all the important . All services work together to hear the . Annual surveys and engagement with decisions in/about my life voice of children, young people and children, young people and families . I have a voice in decision’s about my families, and to make the findings . Review of complaints and future central to decision-making (individual compliments . The voice of my parent(s)/carer(s) is and collective) . Audits of EHC plans and SEND respected and taken into . Children and young people have the processes – timeliness, quality, consideration resources and opportunities to implementation, review . My voice influences strategic decisions communicate in the way that is right . Professionals for education (including . I am supported with my for them governors/trustees), health and care communication so that I am heard . Person-centred plans and reviews awareness of the requirements of the and understood Children and Families Act and SEND . My voice is informed by high quality Code of Practice 0-25 and accessible information . Service data, including referrals, . In Section A of my EHC plan, my waiting lists and access times – voice is accurately reflected advocacy, SENDIAS, speech and . I have an effective communication language, system suitable to my needs and . Friends and Families feedback available at all times . Working Together Charter . Local Offer analysis e.g. clubs, mentors/buddies, siblings . Contribution to co-production and joint commissioning

Page 42 of 410 Appendix 3(b) Six outcomes for children and young people in Luton with SEND

Outcomes are a simple way of describing what people want in their lives for themselves or for their children. These six outcomes were developed with parents and carers.

I want to I maintain a healthy lifestyle to support my personal needs be healthy I enjoy my life and have a sense of wellbeing – physically I am able to use my creative skills in meaningful activities and I know where my support is and who to talk to mentally I make good choices around behaviour, drugs, alcohol and relationships

I have outside support in addition to family I am not hurt or injured in the home and community I want to be safe I am not involved in crime, gangs or subject to exploitation I am safe from bullying, cyber-bullying and hate crime I have appropriate and suitable living conditions and opportunities

I have nursery/school/college provision that meets my needs by identifying SEND early I want to on and I have the right support and guidance at each stage of development be the best I have realistic goals that can be achieved, but also aim high that I can People know my aspirations, I have purposeful activities, which may also include employment be I have good role models and mentors and I have support with transitions I have choices and equal opportunities

I can make my own decisions/choices I want to do I can manage my own self-care independently as much for I can take part in meaningful activities and I can learn skills for life and everyday skills myself as I have information and other sources/resources that are in a format that is suitable for me possible I can live independently and travel independently I have support with transitions

I am actively involved in a group/groups – according to my choice I have an active and interesting life I want to be I have a family and we have an ordinary and happy life most of the time part of the I can play, have friends and socialise community I feel safe and valued in my community I know how to get additional assistance when I am out in public

My voice is heard in all the important decisions in/about my life The voice of my parent(s)/carer(s) is respected and taken into consideration I want to My voice influences strategic decisions be heard I am supported with my communication so that I am heard and understood My voice is informed by high quality and accessible information

www.luton.gov.uk/localoffer Page 43 of 410

Page 44 of 410 Appendix 4 Integrated Impact Assessment Form (IIA)

The key aim of an impact assessment is to ensure that all Council policies, plans and strategies support the corporate mission statement

‘Enabling Luton to be proud, vibrant, ambitious and innovative’.

Why do I need to do an IIA? The aim of this impact assessment process is to:  Ensure adherence to the legal duties contained within the Equality Act 2010 and associated Public Sector Duty to analyse the impact of decisions to be undertaken by Council.  Ensure the Council has due regard to equality taking a proportionate and timely approach to analysing the impact on citizens.  Minimise duplication of initial impact assessments with regards to Environment and Health and maximise consideration of other key Council priorities of Inclusion and Community Cohesion.  Ensure that the Council has been able to consider the social, health, environmental and economic impacts in its decision making in a single document and, where necessary enable the production of a comprehensive action plan to mitigate any potential negative impacts identified.

When do I need to do an IIA?

 An IIA must be started at the beginning of any project, policy or strategy, and cannot be finalised until such time as all consultations, as required, are undertaken.

 The Impact Table will help you to make early consideration of the potential impacts of your proposal and should be used from the point at which preliminary report is taken to Corporate Leadership and Management Team (CLMT) where appropriate. By using this table at your earliest point in the project, potential impacts can be highlighted and it will also be clear whether you need to carry out a full IIA.  If you complete this table and all impacts identified are neutral, i.e. there is no noticeable impact on characteristics and priorities listed and you are fully confident of this, please contact the SJU by email setting out how you have reached this judgement as it is unlikely you will need to carry out a full IIA.  An IIA must at all times identify those who will be affected by the decision, policy or strategy.  At a time of economic austerity IIA authors are minded to consider the whole range of decisions, both locally and nationally when analysing the impact on citizens.  Your first early draft is to be sent to the Social Justice Unit for comments and guidance  Once consultation has ended, the IIA must be updated with results of the consultation and returned to Executive, where required, for further consideration and approval – at this stage it will be signed off as completed by the Social Justice Unit. If you need further guidance please contact the Social Justice Unit (SJU). Please see links at the end of this document to key Corporate and Partnership documents that may help you complete this IIA.

1 Draft version 4th November 2020 Page 45 of 410 Appendix 4 Integrated Impact Assessment Form (IIA)

Proposal Title: Luton SEND Strategy Lead Officer Name: Stephanie Cash Date of IIA: 13th November 2020

Date updated after consultation: Early draft Seen by: Maureen Drummond, Cohesion and (Please send an early draft of your IIA to the SJU to Equalities Adviser, 3 November 2020 ensure all impacts are being considered at the appropriate time)

Finalised IIA Signed and seen by SJU : Name: Sandra Hayes –SCS Service mgr. Date 06/11/2020

Names of all other contributors and John Wrigglesworth SD for Education stakeholders involved in the preparing of this proposal who have been consulted with Davina Stubbs Service Managers for and agreed this assessment: SEND (Please note the IIA must not be carried out by one person) Linda Delmar Principle Educational Psychologists

If there is any potential impact on staffing n/a please include the name/s of the trade union representative/s involved in the preparation of this assessment or any supporting evidence of request to participate:

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Proposal Outline

Information supporting the proposal (who, what, where, how, why). Breakdown of present users by ethnicity, age, sex, disability, religion/belief, sexual orientation (if recorded). Show areas in the town with the biggest and lowest needs. Greater emphasis is required at the start of the IIA on the service, how it is delivered now and how the new service will be delivered.

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As part of our SEND Written Statement of Action following the Luton SEND Inspection in 2018, we are required to prepare and refresh our SEND strategy. This strategy is aimed at children and young with SEND from 0-25 and their parents and carers across the whole of Luton.

A recent SEND Joint Strategic Needs Assessment has been completed which provides a rich set of data to improve our understanding about SEND children and young people.

Race

There is significant disparity in SEND across different ethnic groupings in Luton, but the exact reasons for the variation across ethnicities are not clear. There are thought to be numerous factors that can play an influence and can come from socio-economic, cultural and genetic characteristics.

Age The number of children and young people with SEND does vary with age. Most noticeable those of school age – particularly aged between 5 and 15 - have the greatest numbers, with a peak at age nine. For those of a very young age – 0 to 3 – the numbers increase at each age group and this will reflect both SEND characteristics becoming more apparent in children as they grow, and parents registering these conditions with the relevant body when necessary. Beyond the age of 15 the numbers drop rapidly – this may reflect not just the departure from schooling but also young adults who no longer register their need or disability.

Luton SEND information broken into single year of age

Source: Luton Borough Council from SEND JSNA 2019

Gender Males are twice as likely as females are to receive support for a SEND in Luton - this follows the national pattern. Approximately 85 per cent of those with a primary need of behavioural, emotional and social difficulty (BESD) and ASC are male, though females are more evenly represented with physical disability (PD) and profound and multiple learning difficulty (PMLD).

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Type of disability

Within the SEND JSNA, we have robust data describing the numbers of children and young people in Luton with SEND. This is divided into two groups. Firstly the children and young people who are identified as needing SEN Support provided by the school, these are children with identified additional needs. And secondly the children and young people with more complex needs which requires that they have an Educational and Health Care Plan (EHCP). The SEND strategy is aimed at all children and young people with SEND (special educational needs and disabilities) including those with SEN Support needs and those with an EHCP.

We hold no information on sexual orientation and religious believes.

Impact Table The purpose of this table is to consider the potential impact of your proposal against the Equality Act 2010 ‘protected characteristics’ and the Council’s Social, Environmental and Economic priorities.

Once you have completed this process you should have a clearer picture of any potential significant impacts1, positive, negative or neutral, on the community and/or staff as a result of your proposal. The rest of the questions on this form will help you clarify impacts and identify an appropriate action plan.

Citizens/Community Staff (for HR related issues) Protected Groups Positive Negative Neutral Positive Negative Neutral Race  Sex  Disability  Sexual Orientation  Age v Religion/Belief  Gender Reassignment   Pregnancy/Maternity  Marriage/Civil Partnership  (HR issues only) Care Responsibilities2

(HR issues only) Social & Health3 Impact on community cohesion 

1 “Significant impact” means that the proposal is likely to have a noticeable effect on specific section(s) of the community greater than on the general community at large. 2 This is a Luton specific priority added to the 9 protected characteristics covered under the Equality Act and takes into account discrimination by association. 3 Full definitions can be found in section 3

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Impact on tackling poverty  Impact on health and wellbeing  Environment Impact on the quality of the natural  and built environment Impact on the low carbon agenda  Impact on the waste hierarchy  Economic/Business Impact on Luton’s economy and/or  businesses Impact on jobs  Impact on skills 

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Please answer the following questions:

1. Research and Consultation

The SEND JSNA has been developed by the Local Authority Business Intelligence Team (BIT) in collaboration with Services and Subject Matter Experts. The BIT have looked at national prevalence data to provide the relevant data for the JSNA

1.2. Have you carried out any specific consultation with people likely to be affected by the proposal? (if yes, please insert details, links to documents as appropriate). Guidance Notes: If you have not yet undertaken any consultation you may wish to speak to the Consultation Team first as a lack of sufficient consultation could place the Council at risk of legal challenge.

Click here for the LBC Consultation Portal

Yes

The SEND Strategy was produced in coproduction with SEND parents, carers and young people and also professionals. Parents and professionals worked face to face in a workshop and young people were asked through a series of meetings in schools. A range of parents were also involved via online consultation and focus group activities.

Due to CV19 parents were also invited to an online call to review the final draft of the SEND strategy A small number of parents did attend the online call and give their feedback which was primarily positive. Also on the call was the Chair of the Health Watch Board who indicated he was happy with the Strategy

1.3. Have you carried out any specific consultation with citizens likely to be affected by the proposal? If yes, please insert details, links to documents, as appropriate above. Please show clearly who you consulted with, when you consulted and the outcomes from the consultation. Mitigations from consultation should be clearly shown in Action Plan at end of document. For advice and support from Consultation Team click here Parents, carers and young people have also been involved in the coproduction of the SEND Outcomes framework. This framework provides six priority outcomes which the above groups feel are the most important for their children and young people. The SEND strategy will contribute to improvements against these six outcomes.

Again Due to CV19 parents were also invited to an online call to review the final draft of the SEND Outcome Framework. A small number of parents did attend the online call and give their feedback which was primarily positive. Also on the call was the Chair of the Health Watch Board who indicated he was happy with the outcomes framework.

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2. Impacts Identified

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Race/ethnicity – recognising the diverse community of Luton, and the prevalence of children and young people with SEND to some communities where English is not the first language, the SEND Strategy requires us to ensure that we work to improve access to information especially through our Local Offer to families.

We will be utilising a range of opportunities including development of videos in 3 - 4 main community languages both to:

1) raise the importance of the Local Offer and 2) to explain new pathways for Neuro development delay.

We are also developing short videos of parenting strategies in community languages to assist families with key top tips to try out with their child.

New resources are being developed for families new to Luton, in very simple English working with Adult Learning so again for families where English is not the first language – simple accessible information will be available.

As part of our Speech, Language and communication work and the pathways to support early language development and SEND the issues of Bilinguism is recognised as an important issue for children in the early years. We deliver training for professionals to understand these issues particularly in families where English general is not spoken as the primary language. Resources as part of our Talking Takes Off programme have also been developed in some of the main community languages and promoted widely across Luton.

Sex– there are clear differences for prevalence for SEND conditions, this is recognised nationally and this is demonstrated in Luton’s SEND JSNA. To respond to this :

 We deliver training course for professionals to raise awareness of Autism in girls which tends to be hidden

Disability – the SEND strategy and all associated work has been designed to transform the outcomes for Special Education Needs and Disability (SEND) children and young people in Luton.

The SEND Strategy provides a strategic vision and plan for the 6 priority areas for the Local Luton Place to focus on. These areas are:

Priority 1: Early intervention and prevention

Priority 2: Developing our services to meet needs

Priority 3: High quality Educational Health and Care Plans

Priority 4: Provisions and Place Planning

Priority 5: Improved transition and opportunities for 16-25 year olds

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Priority 6: Embedding co-production with children young people and their parents and carers

Age

 It is important for the system to ensure there is a focus on early identification of additional needs in the earliest years of life, to ensure relevant support is provided asap.

The SEND Strategy will be supported by an action plan which will be monitored by the SEND Strategic Improvement Group. Evidence of impact will be measured via the

1) SEND score card which monitors performance against key indicators and outcomes

Insert

2) SEND quality report will provide information against softer measures including findings from surveys and focus groups etc.

2.3. Where you have identified a neutral* impact for any group, please explain why you have made this judgement. You need to be confident that you have provided a sufficient explanation to justify this judgement. Guidance Notes: By neutral impact we mean that there will be no noticeable impact on people sharing a characteristic There is no noticeable impact on people sharing the following characteristics – Gender reassignment, religion/belief, marriage/civil partnership, pregnancy/maternity, sexual orientation

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3. Social & Health Impacts

3.1. If you have identified an impact on community cohesion4’, tackling poverty5 or health and wellbeing6, please describe here what this may be and who or where you believe could be affected, Please also ensure that you consider any possible impacts on Looked After Children. Guidance Notes: Please use this section to describe the social and health impacts and detail any specific actions or mitigations in the action plan below.

For advice & support from the Social Justice Unit click here

For advice and support from the Public Health team click here

4 is the proposal likely to have a noticeable effect on relations within and between specific section(s) of the community, neighbourhoods or areas. 5 is the proposal likely to have a noticeable effect on households that are vulnerable to exclusion, e.g. due to poverty, low income and/or in areas of high deprivation 6 Is the proposal likely to have a positive or negative impact on health inequalities, the physical or mental health and wellbeing of an individual or group, or on access to health and wellbeing services? 11 Page 55 of 410 Draft version 4th November 2020 Appendix 4 Integrated Impact Assessment Form (IIA)

Impact on health and wellbeing  Increasing uptake of annual Health Assessments for young people aged 14 plus who have learning difficulties  Improvements in Specialist School Nursing services undertaking health assessments in first term of a child starting at a special school.  Improving health pathways for speech, language and communication, sensory processing and the Neuro Development Delay.  Ensuring equitable accesses to services for all families with clear and understandable pathways including mental health  Ensuring parents have their views heard and involved in co-production of new pathways  Improvements in the quality of the Educational and Health Care plan specifying what the health needs and provisions are for the children and young people which is a legally binding document. The focus for these documents is that the plans should be outcome focused and be prepared in co-production with children, young people and their families. Impact on poverty  ensuring all parents can access the financial support they are entitled to for supporting their children and young people including personal budgets and direct payments etc.  Improving Preparing for Adulthood skills working towards having opportunities for employment where possible as adults  Support for parents through the SENDIASS service including access to mediation and the Appeals process if parents don’t feel they are getting the support their child or young person needs.  Working to as far as possible to keep children and young people as close to home and parents as possible when placing a child outside Luton. We are building new a new school to support this. impact on community cohesion  As part of the SEND strategy we are working to have a Disability Friendly Town linked to the Luton 2040 vision and will be working to ensure children and young people with SEND have the same opportunities as non-disabled peers . This will include opportunities for greater inclusion in opportunities in Luton and could contribute to community cohesion

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4. Environment Impacts

4.1. If you have identified any impacts related to the built and natural environment7, low carbon8 and waste minimisation please describe here what this may be and who or where you believe could be affected Guidance Notes: Is the proposal likely to impact on the waste hierarchy which includes issues shown in the table below:

Waste Hierarchy

For advice and support from the Strategy & Sustainability Team click here Not applicable

5. Economic Impacts

5.1. If you have identified any impacts related to Luton’s economy and businesses 9, creating jobs10 or improving skill levels 11, please describe here what this may be and who or where you believe could be affected Guidance Notes: Please use this section to describe the social impacts and detail any specific actions or mitigations in the action plan below. Please detail all actions that will be taken to enhance and maintain positive impacts and to mitigate any negative impacts relating to this proposal in the table below.

For advice and support on Economic Development click here

7 Is the proposal likely to Impact on the built and natural environment covers issues such as heritage, parks and open space, cleanliness, design, biodiversity and pollution? 8 Is the proposal likely to impact on low carbon includes issues such as use of energy, fuel and transport. 9 Is the proposal likely to impact on Luton’s economy and businesses for example by creating an opportunity to trade with the Council, support new business opportunities? 10 Is the proposal likely to impact on the creation of new jobs in the local economy? This will also link to health and well-being and the reduction of poverty in the social box. 11 There are significant skills gaps in Luton’s economy. Is the proposal likely to create opportunities for up skilling the workforce or to create apprenticeships? 13 Page 57 of 410 Draft version 4th November 2020 Appendix 4 Integrated Impact Assessment Form (IIA)

The focus of Education and Health Care plans is to ensure SEND children and young people are prepared for adulthood from an early age. As part of the SEND strategy we are focused in improving this focus for all practitioners working with children and young people with EHCP to have clear Preparing for Adulthood outcomes in their plans. This will be developed through training and audits. We also work with the colleagues to support young people in their post 16 skills development. This can include Supported Internships and volunteering. We also need to work with employers in the town to ensure they are willing and able to take on SEND young people. We would be working to increase the number of organisations in Luton that are Disability Confident.

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Impact Enhancement and Mitigation Please detail all actions that will be taken to enhance and maintain positive impacts and to mitigate any negative impacts relating to this proposal in the table below:

Responsible Date Completed Action Deadline Intended Outcome Officer / Ongoing As per SEND By March Stephanie Improvements in the 6 Strategy action 2022 Cash ( SEND outcomes for SEND plan Programme Children and young Director) people. These are

1. I want to be healthy – physically and mentally 2. I want to be safe 3. I want to be the best that I can be 4. I want to do as much for myself as possible 5. I want to be part of the community 6. I want to be heard

A review of the action plan will be prompted 6 months after the date of completion of this IIA.

Key Contacts Name Position John Wrigglesworth (Service Director for Education) Stephanie Cash ( SEND Programme Director)

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Next Steps  All Executive Reports, where relevant, must have an IIA attached  All report authors must complete the IIA section of Executive Reports (equalities, cohesion, inclusion, health, economic, business and environment)  All reports are to be forwarded to the Social Justice Unit, Legal Department, Public Health and Strategy & Sustainability Unit for sign off in time for Executive deadline  On the rare occasion that the Social Justice Unit are unable to sign off the report, e.g. recommendations are in breach of legislation, a statement will be submitted by Social Justice Unit Manager or Equality and Diversity Policy Manager

Completed and signed IIA’s will be published on the internet once the democratic process is complete

Useful Documents Corporate Plan http://intranet/SupportServices/Document%20library/LBC-corporate-plan.pdf Equality Charter https://www.luton.gov.uk/Community_and_living/Lists/LutonDocuments/PDF/Social%20Justi ce/Equality%20Charter.pdf Social Justice Framework Joint Strategic Needs Assessment (JSNA)

17 Page 61 of 410 Draft version 4th November 2020

Page 62 of 410

Item No: 9 Report For: Executive Date of Meeting: 7 December 2020 Report Of: Corporate Director – Children, Families and Education Directorate Report Author: Priscilla Joseph, Admissions Manager Subject: Admission Arrangements for Community Schools 2022-23 Executive Member(s): Councillor Aslam Khan Wards Affected: All Consultations: Councillors ☐ Scrutiny ☐ Stakeholders ☐ Others ☐

Recommendations 1. Executive is recommended to approve the Consultation Paper on Admission Arrangements for community schools for 2022/23, as set out at Appendix A.

Background 2. The Council, as the Admissions Authority for community schools, is required to consult on changes to admission arrangements.

The Current Position 3. The current admission arrangements give first priority to children who are looked after, or children who were previously looked after, (in the care of a local authority in England) but immediately after being looked after became subject to an adoption, child arrangements or special guardianship order. It is proposed to seek the views of stakeholders on the proposal to extend the priority to include children previously in state care outside of England who ceased to be in care as a result of being adopted.

4. In accordance with Department for Education’s (DfE) guidance, state care will mean provision by a public authority, a religious organisation or another provider of care whose sole purpose is to benefit society. The care may have been provided in orphanages or other settings. The DfE consider that prioritising this group of children is important as they are vulnerable and may have experienced abuse and neglect prior to being adopted.

5. This change was proposed by the DfE in 2017, but is likely to become a mandatory requirement in the revised Admissions Code which is expected to be approved in Spring 2021.

6. The consultation document at Appendix A also proposes a decrease to the Admissions Number for the following schools, for new Reception Year intakes from September 2022:

 Bushmead Primary School  Maidenhall Primary School  Pirton Hill Primary School

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 Surrey Street Primary School  Stopsley Primary School

7. This reduction is proposed to address excessive surplus capacity in the primary sector, following a significant reduction in the birth rate. This action will assist the above schools with their budget planning, which is particularly challenging for schools holding excessive capacity.

8. The Governing Bodies of the above schools will be asked to sign a Memorandum of Understanding to confirm that they would be willing to increase the School’s Admissions Number at a later date, if requested (within a reasonable timeframe) by the Council.

9. The Council may need to consult on further reductions to PANs for other community schools, in future years. Continued liaison will take place with academy trusts, foundation and voluntary aided schools in Luton in relation to pupil forecasts and any capacity issues.

10. Further details, in relation to this proposal, are set out in the consultation document attached at Appendix A.

11. The admission arrangements remain unchanged on all other matters. .

Goals and Objectives 12. It is a legal requirement to consult on changes to admission arrangements. The extension of the priority for looked after/previously looked after children is recommended by the DfE and is likely to become a mandatory requirement in the near future.

13. The proposal to reduce Admissions Numbers aims to better match supply and demand. It will also assist schools with balancing their budgets.

Proposal 14. Executive is recommended to approve the consultation document set out at Appendix A.

Key Risks 15. The Council receives objections to the proposed arrangements. The Executive must finalise its 2022/23 admission arrangements for community schools by 28 February 2021, taking into account any comments received from the consultation. All those consulted must be notified of the determined arrangements and have the opportunity of referring an objection to the Schools Adjudicator.

Consultations 16. The consultation paper, at Appendix A, will be sent to all schools within Luton, neighbouring Councils and all admission authorities within a three-mile radius of Luton. A notice will also be placed in a local newspaper to alert parents to the

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consultation. All community schools will also be asked to alert the parents of their pupils to the consultation.

17. It is a legal requirement to consult on changes to admission arrangements. The consultation must last for a minimum of six weeks, ending on 31 January 2016. Admission authorities must determine their arrangements for September 2017, by 28 February 2016.

18. A report will be submitted to the Executive in February 2021 detailing the outcome of the consultation. The Executive will be asked to make a decision in relation to these proposals at their February meeting.

Alternative options considered and rejected (please specify) 19. Further reductions to the Admissions Number for other community schools was considered, however, it is likely that other own admission authority primary schools may also seek to reduce their Admissions Number, or cap the School’s admission limit, which would further restrict the number of places available. The available capacity will continue to be reviewed on an annual basis to ensure Luton has an adequate, but not excessive, number of primary school places.

Appendices Attached 20. The following appendices are attached to this report:

 Appendix A – Consultation paper on admission arrangements for community schools for 2022/2023  Appendix B – Integrated Impact Assessment

List of Background Papers - Local Government Act 1972, Section 100D 21. There are no background papers to this report.

Implications - an appropriate officer must clear all statements

For CLMT only Legal and Finance are required Required Item Details Clearance Dated Agreed By Legal This report relates to the Council’s duty (under Raj 16th Sections 88C and 88D of the School Popat,Principal November Standards and Framework Act 1998 and Part Solicitor 2020 2 of the School Admissions (Admission Arrangements and Coordination of Admission Arrangements) (England) Regulations 2012 (‘The 2012 Regulations’)) to consult on and thereafter determine the admission arrangements for maintained schools for which the Council is the admission authority.

Where changes are proposed to admission arrangements, the admission authority must first publicly consult on those arrangements

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Item Details Clearance Dated Agreed By with relevant stakeholders listed in Regulation 12 of the 2012 Regulations. All consultations must be completed by 31 January of the academic year prior to that being consulted on (i.e. 31 January 2021 for 2022 admissions).

Finance There are no financial implications contained Atif Iqbal 17/11/2020 with this report. (Finance Business Partner) Equalities / An Integrated Impact Assessment (IIA) was Sandra Hayes 17/11/2020 Cohesion / carried out when the Policy was last revised Service Inclusion (2017/18 admission arrangements). This Manager (Social assessment identified a neutral impact. The Justice) IIA has been updated with latest arrangements Policy, and is attached at Appendix B. Community, Engagement The IIA has identified the latest changes have Luton Council a neutral impact.

The Council’s consultation on admission arrangements aim to ensure equality of opportunity for all pupils in the admissions process. The arrangements comply with the Admissions Code, which sets out fair and lawful admissions practice and requirements. Environment After children with an Education, Health and Keith Dove, 17th Care Plan and children in care/previously in Strategic November care, the primary school policy gives second Policy Adviser 2020 priority to children with siblings attending the school and third to catchment area children. This ensures, as far as possible, that families with primary aged children are not split between schools thereby supporting ‘shared trips’ and that children do not have to travel excessive distances to school. This will also maximise the opportunities for sustainable travel to school, which could improve the environment and reduce C02 emissions.

Health There are no specific health and wellbeing Lucy Hubber 19 impacts set out in this report other than MFPH November contributing to the public health strategic Director of 2020 priority of supporting all children to realise their Public Health full potential. (Interim) Luton Council 3rd Floor Arndale House

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Item Details Clearance Dated Agreed By 37 The Mall Luton LU1 2LJ Optional Item Details Clearance Dated Agreed By Community Safety Staffing

Other

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Page 68 of 410 Appendix A

Proposed Admission Arrangements for Luton’s Community schools for September 2022

Introduction This paper sets out the proposed admission arrangements for Luton’s community schools for the academic year beginning September 2022.

Proposed changes to the Admissions Policy The arrangements remain unchanged with the exception of the following:

 The looked after / previously looked after children priority (criterion 1) has been extended to include children previously in state care outside of England who were subsequently adopted.  A proposal to reduce the Published Admission Number (PAN) for Bushmead Primary School, Maidenhall Primary School, Pirton Hill Primary School, Stopsley Primary School and Surrey Street Primary School.

Further details on these proposals are given below.

Children previously in state care outside of England The current admission arrangements give first priority to children who are looked after, or children who were previously looked after, (in the care of a local authority in England) but immediately after being looked after became subject to an adoption, child arrangements or special guardianship order. It is proposed to extend this criterion to include children previously in state care, outside of England, who ceased to be in care as a result of being adopted.

In accordance with the Department for Education’s (DfE) guidance, state care will mean provision by a public authority, a religious organisation or another provider of care whose sole purpose is to benefit society. The care may have been provided in orphanages or other settings. The DfE consider that prioritising this group of children is important as they are vulnerable and may have experienced abuse and neglect prior to being adopted.

This change was proposed by the DfE in 2017, but is likely to become a mandatory requirement in the revised Admissions Code which is expected to be ratified in Spring 2021.

Page 69 of 410 1 Reduction in Published Admission Numbers Pupil forecasts for Luton show that pupil numbers in the primary sector will decrease by 6% between January 2020 and January 2025. These projections reflect a decline in the birth rate which is illustrated below.

Chart 1: Births in Luton 2013/14-2019/20

Actual Predicted 13/14 14/15 15/16 16/17 17/18 18/19 19/20 20/21 21/22 22/23 23/24 24/25 3456 3485 3530 3556 3333 3210 3175 3176 3176 3176 3176 3176 Source: Luton NHS

The pupil forecasts indicate that overall Luton will have an excessive number of primary school places.

The table below sets out the Reception Year pupil projections, for mainstream schools, against capacity.

Academic Year R % Capacity Surplus Year Projection Surplus

2020/21 3116 3552 436 12% 2021/22 3145 3552 407 11% 2022/23 2996 3552 556 16% 2023/24 2878 3552 674 19% 2024/25 2849 3552 703 20% 2025/26 2848 3552 704 20% 2026/27 2864 3552 688 19% 2027/28 2868 3552 684 19%

Page 70 of 410 2 2028/29 2875 3552 677 19% 2029/30 2870 3552 682 19% Table 1: Comparison between the Reception Year Pupil Projections and School Capacity

It is proposed that the Published Admissions Number (PAN) for the Reception Year intakes, from September 2022, will be reduced by 30 pupils for the following schools:

School Current Published Proposed Published Admission Number Admissions Number Bushmead Primary 120 90 School Maidenhall Primary 120 90 School Pirton Hill Primary School 90 60 Surrey Street Primary 90 60 School Stoplsey Primary School 90 60

This action will assist the above schools with their budget planning, which is particularly challenging for schools holding excessive capacity.

Bushmead Primary School – Governors have requested that the School’s Published Admissions Number be reduced, from 120 to 90, as demand for places has reduced in recent years and the School has a budget deficit. The school is holding the following vacancies:

Year R (5), Year 1 (17), Year 2 (9), Year 3 (1), Year 4 (4), Year 5 (6), Year 6 (4)

The pupil forecasts indicate that the school would hold 18 vacancies for the Reception Year intake in September 2022 which would increase to 30 vacancies for the September 2024 intake. It is hoped that this reduction will increase the size of Reception Year intakes at William Austin Infant School, which is a neighbouring school.

Maidenhall Primary School – the Council is proposing a reduction in the School’s Published Admissions Number, from 120 to 90, because it is holding the following vacancies:

Year R (39), Year 1 (19), Year 2 (21), Year 3 (37), Year 4 (9), Year 5 (0), Year 6 (32)1

1 these figures reflect the number of vacancies in comparison to the School’s Published Admissions Number; they do not take account of any year groups operating a lower operational capacity where the Admissions Limit has been capped at a lower figure.

Page 71 of 410 3 Pupil projections indicate that 90 places will be sufficient from September 2022 onwards.

Pirton Hill Primary School – the Governing Body has requested that the School’s Published Admissions Number is reduced, from 90 to 60, to better reflect demand for places, aid budget management and assist with the school’s improvement plans. The School is holding the following surplus capacity:

Year R (42), Year 1 (32), Year 2 (36), Year 3 (24), Year 4 (24), Year 5 (20), Year 6 (34)2

Pupil projections indicate that 60 places will be sufficient from September 2022 onwards.

Stoplsey Primary School – the Governing Body have requested that the School’s PAN is reduced from 90 to 60 as the school has a budget deficit and is holding the following surplus capacity:

Year R (25), Year 1 (31), Year 2 (30), Year 3 (12), Year 4 (25), Year 5 (4), Year 6 (5)3

Pupil projections indicate that 60 places will be sufficient from September 2022 onwards.

Surrey Street Primary School – the Governing Body has requested that the School’s Published Admissions Number is reduced, from 90 to 60, to aid budget management and better match supply and demand. The School is holding the following surplus capacity:

Year R (55), Year 1 (45), Year 2 (19), Year 3 (37), Year 4 (35), Year 5 (33), Year 6 (39). 4

Pupil projections indicate that 60 places will be sufficient from September 2022 onwards.

The Governing Bodies of community schools will be asked to sign a Memorandum of Understanding to confirm that they would be willing to increase the School’s Admissions Number at a later date, if requested (within a reasonable timeframe) by the Council.

2 these figures reflect the number of vacancies in comparison to the School’s Published Admissions Number; they do not take account of any year groups operating a lower operational capacity where the Admissions Limit has been capped at a lower figure. 3 As above 4 As above

Page 72 of 410 4 The Council may need to consult on further reductions to PANs for other community schools, in future years. Other own admission authority schools may consult on reducing their Published Admissions Number. Continued liaison will take place with academy trusts, foundation and voluntary aided schools in Luton in relation to pupil forecasts and any capacity issues.

Luton Council’s admissions policy Luton operates a catchment area system. Parents are advised of their designated catchment area school and of their right to express a preference for any school.

Pupils are admitted to Luton schools, without reference to ability or aptitude, up to the published admission number for each school. If the number of places in a particular year group at a school is not sufficient to meet the number of applications from parents, the following criteria are applied (in the order of priority given overleaf) to determine how places will be allocated.

Priority may also be given to the admission of pupils in accordance with the In- Year Fair Access Protocol.

Community infant and primary schools In accordance with the Education Act 1996, children with an Education Health and Care Plan are required to be admitted to the school named in the Plan. Thereafter, the following priorities will apply:

1. A ‘looked after child’ or a child who was previously looked after but immediately after being looked after became subject to an adoption, child arrangements, or special guardianship order5 including those who appear to the Council to have been in state care6 outside of England and ceased to be in care as a result of being adopted. A looked after child is a child who is (a) in the care of a local authority, or (b) being provided with accommodation by a local authority in the exercise of their social services functions (section 22(1) of the Children Act 1989). 2. Brothers and sisters of pupils attending the school or the linked junior school when the pupil starts at the school. 3. Pupils living in the catchment area of the school. 4. On medical grounds supported by medical evidence.

5 An adoption order is an order under the Adoption Act 1976 (see section 12 adoption orders) and children who were adopted under the Adoption and Children’s Act 2002 (see section 46 adoption orders). A ‘child arrangements order’ is an order settling the arrangements to be made as to the person with whom the child is to live under Section 8 of the Children Act 1989 as amended by s.14 of the Children and Families Act 2014. Section 14A of the Children Act 1989 defines a ‘special guardianship order’ as an order appointing one or more individuals to be a child’s special guardian (or special guardians). 6 A child is regarded as having been in state care in a place outside of England if they were accommodated by a public authority, a religious organisation or any other provider of care whose sole purpose is to benefit society.

Page 73 of 410 5 5. Children of staff who work at the School. 6. On the shortest distance, measured in a straight line, between the main entrance7 of the school site and the pupil’s home address8, with those living closer to the school being accorded higher priority.

The admissions criteria will be applied separately and sequentially until all places are filled. Priority is not given within each criterion to children who meet other criteria. If the Council is unable to agree a place for all applicants meeting a specific criterion, the distance criterion (priority 6) will be used as a tiebreaker.

For infant and primary school admissions where one twin/child of multiple birth qualifies for a place and the other sibling(s) do not qualify for a place, both twins/multiple birth children will be promoted to the sibling criterion. This approach will also apply to siblings in the same year group who live together at the same address.

In the event of (a) two or more children living at the same address point (e.g. children resident in a block of flats) or (b) two addresses measuring the same distance from the school, the ultimate tie-breaker will be random selection, witnessed by a Council officer, independent of the Admissions Team.

Note: Linked infant and junior schools normally share the same names (e.g. William Austin Infant School is linked to William Austin Junior School) with the exception of Farley Junior School for which Whipperley Infant Academy is the linked school.

Community junior schools In accordance with the Education Act 1996, pupils with an Education, Health and Care Plan are required to be admitted to the school named in the Plan. Thereafter, the following priorities will apply:-

7 The main entrance of the School means the door used to access the School’s main reception. 8 The home address is measured from a point at the address identified in the Local Land and Property Gazetteer. 9 An adoption order is an order under the Adoption Act 1976 (see section 12 adoption orders) and children who were adopted under the Adoption and Children’s Act 2002 (see section 46 adoption orders). A ‘child arrangements order’ is an order settling the arrangements to be made as to the person with whom the child is to live under Section 8 of the Children Act 1989 as amended by s.14 of the Children and Families Act 2014. Section 14A of the Children Act 1989 defines a ‘special guardianship order’ as an order appointing one or more individuals to be a child’s special guardian (or special guardians).

Page 74 of 410 6 the Council to have been in state care10 outside of England and ceased to be in care as a result of being adopted. A looked after child is a child who is (a) in the care of a local authority, or (b) being provided with accommodation by a local authority in the exercise of their social services functions (section 22(1) of the Children Act 1989). 2. Brothers and sisters of pupils attending the school or the linked infant school when the pupil starts at the school. 3. Pupils living in the catchment area of the school. 4. On medical grounds supported by medical evidence. 5. Pupils attending the linked infant school. 6. Children of staff who work at the School 7. On the shortest distance, measured in a straight line, between the main entrance11 of the school site and the pupil’s home address12, with those living closer to the school being accorded higher priority.

For junior school admissions where one twin/child of multiple birth qualifies for a place and the other sibling(s) do not qualify for a place, both twins/multiple birth children will be promoted to the sibling criterion. This approach will also apply to siblings in the same year group who live together at the same address. In the event of (a) two or more children living at the same address point (e.g. children resident in a block of flats) or (b) two addresses measuring the same distance from the school, the ultimate tie-breaker will be random selection, witnessed by a Council officer, independent of the Admissions Team.

Admissions process for community schools The Council will continue to use the equal preference system that was adopted for all Luton schools for September 2007 admissions.

‘Equal preference’ system

10 A child is regarded as having been in state care in a place outside of England if they were accommodated by a public authority, a religious organisation or any other provider of care whose sole purpose is to benefit society. 11 Main entrance of the School means the door used to access the School’s main reception. 12 The home address is measured from a point at the address identified in the Local Land and Property Gazetteer.

Page 75 of 410 7 Stage 1 All first, second and third preference applications are considered equally against the schools’ admissions criteria. At this stage the Council does not distinguish between first, second and third preference applications. For example, if the school has 60 places and there are 120 first, second and third preference applications all are considered equally against the admissions criteria.

Stage 2 If a pupil qualifies for a place at more than one school the parent’s highest ranked preference (i.e. first or second preference on the parent’s application form) will be offered, and any lower ranking offers will be disregarded. For example a parent’s first and third preferences might both qualify for a place, in which case the parent would be offered their first preference, leaving the place at the third preference school available for another pupil.

TIMETABLE

Primary Schools

Week commencing Parents of Year 2 pupils receive information on the 6 September 2021 transfer to Junior School admissions process.

Week commencing Parents of pupils born between 1/9/17 – 31/8/18 receive 11 October 2021 information on the Starting School admissions process.

15 January 2022 Closing date for receipt of application forms. 23 February 2022 Applications from Luton residents for Luton voluntary aided and foundation schools are passed to the relevant school for consideration. Applications from Luton residents for out of borough schools are passed to the relevant LA for consideration. 1 March - 31 March Exchange of data: 2022 1 March – Luton VA and foundation schools provide the LA’s Admissions Team with a list that ranks applications against their school’s admissions criteria. Out of borough applications for Luton VA and foundation schools will be passed to the relevant admission authority as they are received.

Luton LA receives notification of the outcome of applications, for Luton resident pupils, for schools outside of the Borough.

Luton LA will notify neighbouring LAs of the outcome of applications, for a place at a Luton school, from pupils

Page 76 of 410 8 residing in their area. 15 April 2022 Allocation lists sent to schools via email. 19 April 2022 Starting school admissions round Offer emails will be sent to parents during the day who applied using the online system. Decision letters will be sent to parents who completed a paper application form.

Junior school transfer Offer emails will be sent to parents during the course of the day who applied using the online system. Decision letters will be sent to parents who completed a paper application form. June 2022 Admission appeals take place from June 2022.

If schools receive direct applications they must inform Luton Council of the application and forward it to the Council by the closing date regardless of whether the child(ren) reside in the Luton area.

The Council may undertake the processing of applications for foundation high schools and academies; this is subject to negotiation with schools/academies.

Application process Parents are encouraged to apply on-line, however, hard copy application forms are available on request. Parents can express up to three preferences on the Council’s application form.

Applications for schools outside of Luton Luton parents wishing to apply for a place at a school(s) outside of the Borough should specify the school(s) on Luton Council’s application form. The Council will ensure that applications for a place at schools outside of the Borough will be sent to the relevant Council for consideration. Application forms submitted by Luton parents direct to other local authorities will not be accepted. The Council will have regard to whether a place can be offered at a school outside of the Borough. If a pupil qualifies for a place at more than one school and the highest ranking offer is for an out of borough school this place will be offered and any lower ranking offers will not be offered.

Parents will also be advised to check with the out of borough school to see if they need to complete any supplementary forms supplied by the school.

Luton Council will liaise with neighbouring Councils over the outcome of applications for Luton pupils.

Page 77 of 410 9

Applications for Luton schools from parents residing outside of Luton Out of Borough applications will be processed in parallel with Luton applications. Out of Borough applications will be forwarded to the relevant admission authority for the school for consideration.

Luton Council will then notify the home Council as to whether a place can be offered.

Waiting lists Where it is not possible to agree all applications for a school, a waiting list will be devised. A child’s name may be held on up to three waiting lists, for their three preferred schools, if these are Luton community schools. Waiting lists are organised in the order of priority of the school’s admissions criteria. Waiting lists are not based on the date the application was added to the list.

For the new Reception and Junior school intakes (Years R and 3) the names will be held on the waiting lists until 31 July 2023, however, applications received in the summer term 2023 will remain on the waiting list until July 2024. Parents will need to reapply for a place at their preferred school after this date if they wish their child’s name to be carried forward on the waiting list.

For all other year groups, unsuccessful applications received from the start of the autumn term 2022 until the end of the spring term 2023 will be placed on a waiting list until 31 July 2023. Applications received from the start of the summer term 2023 to the end of the academic year will be placed on a waiting list until 31 July 2024.

Home address For the purposes of allocating places in the normal admissions round (i.e. the initial allocation of places for Year R and 3 intakes) where a school is oversubscribed, the pupil’s catchment area will be determined by their home address as at the closing date for applications.

Children who gain a place at a school because their parents/carers have given the Council a false home address will have their place withdrawn.

Late applications Applications received after the closing date will not be considered in the initial allocation of places, except in very exceptional circumstances.

Where parents have submitted an application form before the closing date, but then seek to change their preference after the closing date, this late expression of preference will be treated as a ‘late’ application and will not be considered in the initial allocation of places, other than in exceptional circumstances.

Page 78 of 410 10 Nursery Admissions The admission arrangements for Nursery Schools and Year N classes within schools are delegated to governing bodies.

Children who gain a place in the nursery or early years unit attached to the school or on the school site are not guaranteed admission to the main school. Parents/carers must apply for a statutory school place using the Council’s Application form for Luton residents.

Deferred entry Community infant and primary schools in Luton admit children into Reception classes in the September prior to the child’s fifth birthday. Parents/carers can choose to defer their child’s entry to school or take up the place part-time until he or she is of compulsory school age, providing this place is taken up within the same academic year and they are not on roll at an alternative school.

Therefore:  Children born between 1/9/17 – 31/12/17 can defer their place until January 2023.  Children born between 1/1/18 – 31/8/18 can defer their place until April 2023.

Parents/carers cannot defer their child’s entry beyond the dates given above. Parents/carers of children born between 1/4/18 – 31/8/18, who would like their child to start Year 1 in September 2023 would need to reapply for admission at a later date. These applications would be treated as an ‘in-year’ admission request and a place would only be offered if there were vacancies in the year group.

Parents/carers wishing to defer their child’s entry to school must put their request in writing to the allocated school, ideally within 21 days of being offered a place by the Council.

Admission of children outside of their normal age group Parents seeking a place for their child outside of the chronological age group should submit their written case to the Council. Parents should include information regarding the child’s academic, social and emotional development; and whether they have previously been educated outside of their normal age group. If the child has been born prematurely, parents should include these details in their application. Applications will be discussed with the headteacher(s) of the preferred school(s) and other relevant local authority professionals. The Council will make a decision on the basis of the circumstances of each case and parents will be informed of the reasons for the decision in writing.

Page 79 of 410 11 In-year admissions In-Year admissions for Years 7-11 are applications to enter a year group that has already started at the school. The Council is responsible for co-ordinating in-year applications for Luton's community schools. Therefore, parents seeking a community school place should complete the Council’s In-Year Application Form and return this form directly to the Council. The Council will then liaise with all the Schools listed as a preference to ascertain which (if any) preferences can be met. If a pupil qualifies for a place at more than one school the parent's highest ranked preference will be offered and any lower ranking offers will be disregarded.

Publication of admission arrangements The Council will publish information booklets for parents on the admissions process. An interpreter service is available to assist parents/carers. Assistance can also be provided for hearing or visually impaired parents.

Relevant area The current relevant area for admissions consultation purposes is all admission authorities within the Borough of Luton, neighbouring Councils and all admission authorities within a three-mile radius of Luton.

Definitions

Children who appear to have been in state care outside of England and ceased to be as a result of being adopted A child is regarded as having been in state care in a place outside of England if they were accommodated by a public authority, a religious organisation or any other provider of care whose sole purpose is to benefit society.

Siblings The term ‘siblings’ includes both natural, adopted and step brothers and sisters. It also includes fostered siblings, where foster care has been arranged by Children and Family Services. Other family relationships such as cousins will not be considered under this criterion.

Medical Grounds This refers to the health of the child for whom a place is being requested and for whom the requested school is the most suitable in the area to meet the child’s medical needs. It must relate to a recognised medical condition for which the child is receiving treatment. Medical evidence must be provided to substantiate the claim. The medical evidence will be sent to the Health Authority for advice in determining whether the child should be prioritised on medical grounds with regard to admission to the requested school.

Children of Staff

Page 80 of 410 12 The LA regards children of staff as someone employed to work at the School on a permanent contract for at least 15 hours per week, who meets one of the following criteria at the time of application:

(a) has been in post continuously for a least two years or: (b) is recruited to fill a vacant post for which there is a demonstrable skills shortage.

Children of staff that have given notice of resignation will not be considered under this criterion.

For the purposes of satisfying these criteria, a member of staff is defined as a permanent member of the teaching staff, or a permanent member of the non- teaching staff.

The staff member must be the child’s parent or legal guardian and the child must be living permanently with the member of staff.

Home Address The LA regards a pupil’s home address as where she or he spends the majority of the school week (i.e. Monday to Friday, including nights) with her/his parent or legal guardian. The address of a childminder or family member who looks after the child before or after school cannot be used. If there is any query on the home address this will be checked against official documentation.

Catchment Areas Details of catchment areas can be found on the Council’s website at www.luton.gov.uk/admissions. Catchment area lists are also available from the Council by telephoning the Admissions Helpline on 548016.

Page 81 of 410 13 Community Schools in Luton – Admission Numbers for intake years (September 2022)

School Admission Number Foxdell Infant School 90 Hillborough Infant School 90 Warden Hill Infant School 120 William Austin Infant School 150

Farley Junior School 90 Ferrars Junior School 90 Foxdell Junior School 90 Hillborough Junior School 90 Someries Junior School 60 Warden Hill Junior School 120 William Austin Junior School 150

Beech Hill Primary School 120 Beechwood Primary School 120 Bramingham Primary School 60 Bushmead Primary School 90* Downside Primary School 150 Denbigh Primary School 90 Icknield Primary School 90 Maidenhall Primary School 90* Norton Road Primary School 60 Parklea Primary School 90 Pirton Hill Primary School 60* Putteridge Primary School 90 Ramridge Primary School 60 St Matthew’s Primary School 120 Stopsley Primary School 60* Surrey Street Primary School 60* The Meads Primary School 90 Waulud Primary School 60 Wigmore Primary School 90

*proposed reduced PAN

Page 82 of 410 14 Appendix B Integrated Impact Assessment Form (IIA)

The key aim of an impact assessment is to ensure that all Council policies, plans and strategies support the corporate mission statement

‘Enabling Luton to be proud, vibrant, ambitious and innovative’.

When do I need to do an IIA?

 An IIA must be started at the beginning of any project, policy or strategy, and cannot be finalised until such time as all consultations, as required, are undertaken.

Page 83 of 410 Appendix B Integrated Impact Assessment Form (IIA)

Proposal Title: Admission Arrangements for Community Schools 2022/23 Lead Officer Name: Priscilla Joseph Date of IIA: December 2020

Date updated after consultation: 28 October 2015 Early draft Seen by: Maureen Drummond, Social Justice Adviser (Please send an early draft of your IIA to the SJU to ensure all impacts are being considered at the appropriate time)

Finalised IIA Signed and seen by SJU : Name: Date

Names of all other contributors and Deborah Craig, Senior Education Officer stakeholders involved in the preparing of this proposal who have been consulted with and agreed this assessment: (Please note the IIA must not be carried out by one person) If there is any potential impact on staffing N/A please include the name/s of the trade union representative/s involved in the preparation of this assessment or any supporting evidence of request to participate:

Page 84 of 410 Appendix B Integrated Impact Assessment Form (IIA)

Proposal Outline

Page 85 of 410 Appendix B Integrated Impact Assessment Form (IIA)

This policy sets out Luton Council’s admission arrangements for its community schools. It details:

 the admissions/oversubscription criteria  admissions process (how preferences will be processed)  timetable  application process  waiting lists  definitions  nursery admissions  deferred entry  late applications  in-year admissions  Published Admission Numbers for community schools

The admission arrangements remain unchanged since 2017/18 when the Council consulted on including children of staff as an admissions criterion. The Council received five responses to this consultation – all were from headteachers who supported the proposal.

Proposed changes to admission arrangements for September 2022

1. The current admission arrangements give first priority to children who are looked after, or children who were previously looked after, (in the care of a local authority in England) but immediately after being looked after became subject to an adoption, child arrangements or special guardianship order. It is proposed to seek the views of all stakeholders on the proposal to extend the priority to include children previously in state care outside of England who ceased to be in care as a result of being adopted.

2. In accordance with Department for Education’s (DfE) guidance, state care will mean provision by a public authority, a religious organisation or another provider of care whose sole purpose is to benefit society. The care may have been provided in orphanages or other settings. The DfE consider that prioritising this group of children is important as they are vulnerable and may have experienced abuse and neglect prior to being adopted.

3. This change was proposed by the DfE in 2017, but is likely to become a mandatory requirement in the revised Admissions Code which is expected to be confirmed in Spring 2021.

4. The consultation document at Appendix A also proposes a decrease to the Admissions Number for the following schools, for new Reception Year intakes from September 2022:

Bushmead Primary School

Maidenhall Primary School

Pirton Hill Primary School

Surrey Street Primary School

Stopsley Primary School 4

Page 86 of 410

Appendix B Integrated Impact Assessment Form (IIA)

5. This reduction is proposed to address excessive surplus capacity in the primary sector, following a significant reduction in the birth rate. This action will assist the above schools with their budget planning, which is particularly challenging for schools holding excessive capacity.

6. The Governing Bodies of community schools will be asked to sign a Memorandum of Understanding to confirm that they would be willing to increase the School’s Admissions Number at a later date, if requested (within a reasonable timeframe) by the Council.

7. The Council may need to consult on further reductions to PANs for other community schools, in future years. Continued liaison will take place with academy trusts, foundation and voluntary aided schools in Luton in relation to pupil forecasts and any capacity issues.

8. Further details, in relation to this proposal, are set out in the consultation document attached at Appendix A.

9. The admission arrangements remain unchanged on all other matters.

Citizens/Community Staff (for HR related issues) Protected Groups Positive Negative Neutral Positive Negative Neutral Race  Sex  Disability  Sexual Orientation  Age  Religion/Belief  Gender Reassignment  Pregnancy/Maternity  Marriage/Civil Partnership 

1 “Significant impact” means that the proposal is likely to have a noticeable effect on specific section(s) of the community greater than on the general community at large.

Page 87 of 410 Appendix B Integrated Impact Assessment Form (IIA)

(HR issues only) Care Responsibilities2  (HR issues only) Social & Health3 Impact on community cohesion  Impact on tackling poverty  Impact on health and wellbeing  Environment Impact on the quality of the natural  and built environment Impact on the low carbon agenda  Impact on the waste hierarchy  Economic/Business Impact on Luton’s economy and/or  businesses Impact on jobs  Impact on skills 

2 This is a Luton specific priority added to the 9 protected characteristics covered under the Equality Act and takes into account discrimination by association. 3 Full definitions can be found in section 3

Page 88 of 410 Appendix B Integrated Impact Assessment Form (IIA)

Please answer the following questions:

1. Research and Consultation

1.1. Have you made use of existing recent research, evidence and/or consultation to inform your proposal? Please insert links to documents as appropriate. Click here for local demographics and information It is a legal requirement to consult on changes to admission arrangements. The consultation must last for a minimum of six weeks, ending on 31 January 2016. Admission authorities must determine their arrangements for September 2017, by 28 February 2016.

A report will be submitted to the Executive in February 2021 detailing the outcome of the consultation. The Executive will be asked to make a decision in relation to these proposals at their February meeting.

Click here for the LBC Consultation Portal The consultation paper, at Appendix A, will be sent to all schools within Luton, neighbouring Councils and all admission authorities within a three-mile radius of Luton. A notice will also be placed in a local newspaper to alert parents to the consultation. All community schools will also be asked to alert the parents of their pupils to the consultation.

7 Page 89 of 410

Appendix B Integrated Impact Assessment Form (IIA)

2. Impacts Identified

2.1. Where you have identified a positive impact, for communities or staff, please outline how these can be enhanced and maintained against each group identified. Specific actions to be detailed in action plan below. Guidance Notes: By positive impact we mean, is there likely to be a noticeable improvement experienced by people sharing a characteristic? N/A

2.3. Where you have identified a neutral* impact for any group, please explain why you have made this judgement. You need to be confident that you have provided a sufficient explanation to justify this judgement. Guidance Notes: By neutral impact we mean that there will be no noticeable impact on people sharing a characteristic The proposed admission arrangements comply with the Admissions Code. The purpose of this Code is to ensure that all school places are allocated and offered in an open and fair way.

There is not a noticeable impact on people sharing a characteristic.

8 Page 90 of 410

Appendix B Integrated Impact Assessment Form (IIA)

3. Social & Health Impacts

For advice & support from the Social Justice Unit click here

For advice and support from the Public Health team click here N/A

Appendix B Integrated Impact Assessment Form (IIA)

4. Environment Impacts

Waste Hierarchy

For advice and support from the Strategy & Sustainability Team click here

Appendix B Integrated Impact Assessment Form (IIA)

5. Economic Impacts

For advice and support on Economic Development click here N/A

9 Is the proposal likely to impact on Luton’s economy and businesses for example by creating an opportunity to trade with the Council, support new business opportunities? 10 Is the proposal likely to impact on the creation of new jobs in the local economy? This will also link to health and well-being and the reduction of poverty in the social box. 11 There are significant skills gaps in Luton’s economy. Is the proposal likely to create opportunities for up skilling the workforce or to create apprenticeships? 11 Page 93 of 410

Appendix B Integrated Impact Assessment Form (IIA)

Responsible Date Completed / Action Deadline Intended Outcome Officer Ongoing

A review of the action plan will be prompted 6 months after the date of completion of this IIA.

Key Contacts Name Position Priscilla Joseph Admissions Manager

12 Page 94 of 410

Appendix B Integrated Impact Assessment Form (IIA)

Completed and signed IIA’s will be published on the internet once the democratic process is complete

13 Page 95 of 410

Page 96 of 410

Item No: 10 Report For: Executive Date of Meeting: 07 December 2020 Report Of: Adult Skills Delivery Manager Report Author: Merielle James Subject: Luton Adult Learning’s annual Self-Assessment Report Lead Executive Member(s): Cllr Khan Wards Affected: All Consultations: Councillors ☐ Scrutiny  Stakeholders ☐ Others ☐

Recommendations 1. That the Executive endorse Adult Learning Service’s annual Self-Assessment Report and instruct officers to submit the report to Ofsted.

Background 2. It is a requirement of Ofsted that the Service constantly reviews its provision and highlights strengths and weaknesses in an annual self-assessment report (SAR). The SAR is then provided to Ofsted who in turn will review the report, which forms part of their assessment of whether or not the Service requires to be inspected. Ofsted also analyses other data (number of learners achieving their qualifications, recruitment of learners, financial performance) in making this decision.

Ofsted rates Adult Learning Services as either

Grade 1 - Outstanding Grade 2 – Good Grade 3 – Requires Improvement Grade 4 – Inadequate

The Current Position 3. The Service was graded as Good by Ofsted in September 2017 and the current SAR has reviewed the progress of the service and the impact of COVID19 on the 19/20 academic year.

Goals and Objectives 4. For the service to continue to improve

Proposal 5. That the SAR be submitted to OFSTED

Key Risks 6. Failure to submit the SAR would mean the Service had failed to comply with its contract and it is likely that it would then trigger a full inspection. It could also result

Page 97 of 410 [Type here]

in a reduction in grant funding which could lead to a reduction in the levels of educational opportunities available to Luton residents and staff redundancies

Consultations 7. N/A

Alternative options considered and rejected (please specify) 8. To reject the recommendations

9. To request amendments to the report.

Appendices Attached Appendix A - Luton Adult Learning’s annual Self-Assessment Report

List of Background Papers - Local Government Act 1972, Section 100D There are no background papers to the report.

Implications - an appropriate officer must clear all statements

For CLMT only Legal and Finance are required Required Item Details Clearance Dated Agreed By Legal The SAR must be submitted on time to ensure Vicky Sowah 5 November that we comply with our ESFA contract. Principal 2020 Solicitor Finance If we do not submit our SAR and fail to comply Darren 18th with our ESFA contract, we could lose our Lambert, November ESFA Grant funding in excess of £1,600,000. Finance 2020 If we did not receive the grant funding we Business would not be able to run apprenticeship Partner provision, resulting in a further loss of funding. Loss of funding would also adversely impact the employees within the service, potentially resulting in significant redundancy levels. Equalities / An IIA is not required at this stage as this is a Sandra Hayes 17/11/2020 Cohesion / request for endorsement of the SAR. Service Inclusion Manager (Social Policy, Justice) Community, Engagement Luton Council

Environment There are no direct implications of the report. Keith Dove, 11th However there are a number of potential Strategic November indirect implications of a better trained Policy Adviser 2020 workforce with greater opportunities for jobs, which could be positive or negative dependent

Page 98 of 410 [Type here]

Item Details Clearance Dated Agreed By on the location of those jobs and the individual’s ability to access them. Health If the report was not submitted on time and if Lucy Hubber 11th we lost our ESFA Grant Funding, then it is MFPH November likely that the service would cease. Some of Deputy 2020 the health implications of this would be: Director of Public Health · the loss of services that upskill the local community to increase access to Service employment and improved financial Director – security, reduction of poverty Healthy Lives · The loss of training around mental and Children’s health and emotional wellbeing which Integrated supports resilience in communities Commissioning · Possible Implications for mental health Public Health and emotional wellbeing due to the loss and Wellbeing of training opportunities available Luton Council 3rd Floor Arndale House 37 The Mall Luton LU1 2LJ Optional Item Details Clearance Dated Agreed By Community Safety Staffing

Other

Page 99 of 410

Page 100 of 410 Appendix A

Page 101 of 410 Contents

Contextual information ...... 3 Luton Council’s 2020 - 2040 vision ...... 3 Luton Adult Learning’s Mission ...... 3 Introduction ...... 3 Principles ...... 5 Objectives ...... 5 Target learners ...... 5 Overview of Provision ...... 6 Performance Data 2019-2020 ...... 6 Comparison data ...... 7 Future focus ...... 8 Key Findings ...... 9 Key Judgements ...... 9 Quality of Education ...... 9 Strengths ...... 9 Areas for development ...... 11 Behaviour and Attitudes ...... 11 Strengths ...... 11 Areas for development ...... 12 Personal Development ...... 12 Strengths ...... 12 Areas for development ...... 14 Leadership and Management ...... 14 Strengths ...... 14 Areas for development ...... 16 Safeguarding and Prevent ...... 16 Apprenticeships ...... 17 Strengths ...... 17 Areas for development ...... 18

Page 102 of 410 Contextual information

This self-assessment report covers the academic year 1st August 2019 to 31st July 2020. Luton Adult Learning operates as a department of Luton Borough Council.

Luton Council’s 2020 - 2040 vision

Luton will be a healthy, fair and sustainable town, where everyone can thrive and no- one has to live in poverty.

The approach to realising this ambition is based on achieving these five strategic priorities between 2020 and 2025.  An inclusive economy  Protecting the most disadvantaged  Child friendly town  Carbon neutral town  A strong and empowered community

Luton Adult Learning’s Mission

To deliver high quality, learner centred, employer focused, demand-led skills and development opportunities that support Luton Council’s 2020 - 2040 vision and strategic priorities.

Introduction

Luton is a large town, with an estimated population of 214,700. The town is ethnically diverse, with approximately 55 per cent of the population being of Black and Minority Ethnic (BME) origin, with significant Pakistani, Bangladeshi, Indian, Eastern European, African and Caribbean communities. There is increasing acceptance that Luton is a “super-diverse” town and one of only three majority non- white British towns in the UK. In addition to this, Luton has the third youngest population in the country.

The 2019 Inclusive Growth Commission for Luton identified several important challenges for Luton residents. These challenges included poor health outcomes and weaker educational attainment than other parts of the country. One in eight working age people in Luton have no formal qualifications and it is also increasingly clear that there are disparities between the skills of Luton residents and the needs of businesses. More than two-thirds of employers in Luton had skills gaps in their existing workforces in 2017, while 28% had hard-to-fill vacancies relating to skills shortages.

Luton is relatively less deprived than in 2015. Prior to Covid-19 Luton was ranked as the 70th (out of 317) most deprived local authority. This had decreased from 59th (out of 326) in 2015. Luton has four output areas in the top ten percent most deprived areas in the country, these are Northwell, South and two in Farley. This has decreased from nine output areas in the top ten percent most deprived in 2015. Prior to the Covid-19 outbreak Luton’s economy had been performing well: 3

Page 103 of 410  A strong local economy worth £7.5 billion  Gross Domestic Product (GDP) per head had been growing at a faster rate than the national figure  Employment from the airport and related business had been growing with 11,200 employed, the majority in fulltime jobs  92,000 people were employed in Luton  Self-employment growing as a share of the workforce, with 14,000 self- employed.

However, challenges remained:  7th highest rate of child poverty in UK  Claimant rates were higher than the national average at 3.2%, economic inactivity was also higher  Those commuting into Luton earned more than residents who earned an average of £1.22 p/h below workplace earnings  An estimated 1 in 5 jobs were not paying a living wage  Only 34% of Luton jobs were in management and professional occupations, compared to 46% nationally Only 11% of those self-employed in Luton were in high skilled areas compared with 22% nationally

Covid-19 has affected local economies differently. Luton is in the top ten cities and towns for:  Furloughed workers for at least 3 weeks since March 2020 (at 25.6%)  Claimant count as share of working-age population, August 2020 (at 8.76%)  % change in claimant count claims in cities and large towns from March to August 2020 (at 5.4%, the joint highest ranking with Slough)  Luton’s economy is particularly vulnerable due to high numbers (33%) working in ‘at risk’ sectors  The global slowdown has left Luton exposed with its airport a major part of the economy

It is in this context of economic deprivation, low skills and a large number of non- English speakers, that the Service aims to use Luton Council’s Education and Skills Funding Agency (ESFA) grant and other funds so they have the greatest positive impact on the life chances of Luton citizens.

ESFA funded AEB aims to engage adults and provide the skills and learning they need to progress into, or within work or equip them for an apprenticeship or other learning. It enables more flexible tailored programmes of learning to be made available, which may or may not require a qualification, to help eligible learners engage in learning, build confidence, and/or enhance their wellbeing.

Community Learning develops the skills, confidence, motivation and resilience of adults of different ages and backgrounds in order to:  Progress towards formal learning or employment and/or  Improve their health and well-being, including mental health and/or

Page 104 of 410  Develop stronger communities

Principles:  Developing the skills and employment opportunities of Luton’s citizens.  Supporting employers to sustain or develop a culture of learning so that staff are developed through apprenticeships and other programmes and in-work poverty is reduced.  Aligning resources to offer a single coherent offer.  Evidenced based curriculum with individual and community outcomes with measured impact.  Supporting engagement through partnership working.  Targeted provision for the most deprived.  Working in partnership with other ESFA providers, the third sector, higher education and local businesses.  Equality of opportunity.

Objectives:  Stimulate demand and widen access to learning.  Provide learning that provides challenge, supports success and promotes health and wellbeing as well as progression to further study or work.  Improve levels of English (including ESOL) and maths in Luton.  Provide outstanding guidance and support at all stages of the learner journey.  Promote inclusivity and equality and create a culture of high expectations where diversity is celebrated.  Provide a flexible service that is responsive to local priorities.  Build organisational capacity and infrastructure to deliver new and innovative learning that secures a sustainable future.  Maintain financial stability by maximising opportunities for collaborative project bids with partner organisations to generate income and provide additional opportunities for continuous and individualised learning pathways.

Target learners:  Those who are furthest from learning and therefore least likely to participate.  Learners residing in areas of deprivation.  Learners with disabilities, both physical and mental.  The unemployed, under-employed and economically inactive.  Adults without a full Level 2 qualification.  Learners with an ESOL need.  BAME learners.

Page 105 of 410 Overview of Provision

The Service offers a rich variety of learning and training and programmes are comprised of Adult Skills courses, including ESOL, Apprenticeships, Vocational courses and Community Learning.

The priority areas of activity in 2019-20 were determined by national policy and local need. The strategic goal that the Service was set by Luton Council was to contribute to its 2040 vision by:  Ensuring that residents take advantage of their Level 2 entitlement.  Better equipping residents of all ages to get jobs.  Working effectively with partner organisations to ensure that the town’s most vulnerable residents are safe and supported.  Working effectively with partner educational organisations to ensure that learners have a seamless skills pathway.  Supporting resident’s health and wellbeing.

Performance Data 2019-2020

Table 1, 2019/20 Community Learning performance data, source Tribal EBS

Community Learning No of No of Retention % Pass Achievement Enrolments Unique % % Learners Personal and Community 223 181 98% 92% 90% Development Learning Neighbourhood Learning 1257 1086 99% 99% 99% in Deprived Communities Family English, Maths and 280 259 95% 96% 96% Language (FEML) Wider Family Learning 399 342 94% 99% 93 (WFL) Total 2159 1698 96.62% 99.17% 95.81

Table 2, 2019/20 Adult Skills performance data, source Tribal EBS

Vocational Qualifications No of No of Retention % Pass % Achievement Enrolments Completed % Childcare 92 83 92% 100% 86% English 240 236 98% 86% 85% ESOL 932 922 99% 95% 94% Health & Social Care 1 1 100% 100% 100% ICT 46 44 96% 77% 74% Maths 312 292 94% 94% 88% STL 3 2 100% 100% 100% Total 1626 1580 97.35% 93.48% 91%

Page 106 of 410 Table 3, 2019/20 Apprenticeship performance data, source Pellcom PICs

Apprenticeships On Achieved Withdrawn Still on Retention Pass Achievement programme during or not programme % % % in 2019/20 2019/20 achieved during 2019/20 Active Luton 37 8 6 23 84% 100% 57% Business Admin 58 27 12 19 79% 100% 69% Childcare 18 2 3 13 83% 100% 40% Construction 4 3 1 0 75% 100% 75% Customer Service 11 4 1 6 91% 100% 80% Electro technical 3 1 0 2 100% 100% 100% Health & Social Care 5 0 1 4 80% 0 Operations/Departmental 12 0 2 10 83% 0 Management Team Leader/Supervisor 17 4 0 13 100% 100% 100% Supporting Teaching 23 8 4 11 83% 100% 67% and Learning Total 188 57 30 101 84% 100% 65.5%* *The data for 2019/20 should be viewed against national apprenticeship achievement rates. Overall achievement for apprenticeships in 2018/19 fell to 64.7%. Old style apprenticeships (frameworks) were phased out in July 2020, replaced by standards. The new standards had an achievement rate of 46.6% reported in March 2020, source: DfE National Achievement Rate Tables. The government’s Minimum Level policy for the purposes of making an intervention, has been set at an achievement rate of 62%.

Comparison data

Table 4, Community Learning learner numbers, source Tribal EBS

Community Learning comparison data

2015/16 2016/17 2017/18 2018/19 2019/20 Community Learning Direct 1005 724 626 1288 984 Community Learning Trust Fund 1039 1334 1279 1048 283 FEML 513 370 421 374 259 WFL 465 628 715 775 342 Total 3022 3056 3041 3485 1698

Table 5, Number of apprentices by funding type, source Pellcom PICs Apprenticeship provision comparison data Type of apprentice Enrolments 2018/19 Enrolments 2019/20 16-18 Apprenticeships 32 29 19-23 Apprenticeships 25 16 24+ Apprenticeships 23 31 Total 80 76 Figures above are new enrolments. There were 188 learners on programme throughout 2019/20, some were carried over from the previous years. Apprenticeships last a minimum of a year and some up to four years.

Page 107 of 410 Table 6, Overall Apprentice Achievement Rate, source Pellcom PICs

Overall Apprentice Achievement 2017/18 2018/19 2019/20 Cohort 105 78 64 Achieved 71 63 51 Achievement Rate 68% 80% 80%

Table 7, Overall Luton Adult Learning Achievement Rates, source Tribal EBS; Pellcom PICs

Overall Service Achievement rates 2016/17 2017/18 2018/19 2019/20 Adult Skills 97% 91% 90% 91% Apprenticeships 77% 68% 80% 80% Community Learning (including Family Learning) 97% 98% 97% 96%

Table 8, Enrolments by targeted demographic groups, source Tribal EBS

Luton Adult Learners - % of targeted demographics 2017/18 2018/19 2019/20 Male learners 20% 29% 32% Unemployed learners 53% 65% 70% Ethnic minority 75% 74% 82% 65+ 7% 8% 3% Low or no qualifications 40% 44% 50%

Future focus

The figures above show that the restrictions due to Covid-19 have had a profound impact on learner numbers in Term 3 and engaging new learners in new ways must become future focus. Research highlights the new awareness amongst the public of how to use technology to access material and a growing confidence in using video conferencing which has become an integral part of a blended learning approach to teaching and learning.

Figure 1, Showing the UK use of Educational Apps to be 150% greater than in 2019. Source: Digital 2020: July Global Statshot, 21/7/2020, Simon Kemp

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Figure 2, The rise in use of Video Conferencing during Covid-19 pandemic. Source: Digital 2020: July Global Statshot, 21/7/2020, Simon Kemp We also know from research, as shown in Fig 3 that mobile phone use to access the internet is most popular, so any content created must be easily viewed on a phone.

Figure 3, How the internet is accessed. Souce: Digital 2020: July Global Statshot, 21/7/2020, Simon Kemp Key Findings

Key Judgements Quality of Education Good Behaviour and Attitudes Good Personal Development Good Leadership and Management Good

Quality of Education

Strengths:  Teachers plan well organised learning programmes that take learner’s starting points into consideration.

Page 109 of 410  Teachers are well qualified and knowledgeable within their subject areas.  Teachers use questions to challenge learners and to gain an in depth understanding of what they know and can do.  Teaching and learning resources are of good quality and planned activities are thought-provoking and appropriately challenging.  Learners are well motivated and have a good understanding of the programmes they are on.  Learning support assistants and classroom volunteers are used effectively and managed well by individual teachers.  Teachers use warm-up and recap activities very well to check how much learners remember from their previous session. This prepares learners well for their new session and supports their confidence in their ability to learn.  Teachers successfully engage with learners who have barriers to learning, such as intergenerational disadvantage and lack of aspiration, learners who speak English as an additional language, the long-term unemployed, those who experience mental health challenges, learners with low skills in English and mathematics and those who have had negative prior experiences of education. The flexible and inclusive curriculum helps improve learners’ chances of gaining employment and promotes community cohesion.  Teachers plan interesting activities that allow learners to take an active role in their learning, which supports them to develop their confidence and gain transferrable skills that can be used both inside and outside the classroom.  Learners benefit from a responsive curriculum. When the Service had to rapidly change to an online delivery model due to lockdown, teachers ensured learners benefited from personalised, one-to-one tutoring programmes. This allowed them to attend learning sessions that took account of their personal, family and work commitments as well as their individual learning needs and levels of IT literacy. Those with little or no IT experience were given opportunities to upskill and those without access to IT were loaned equipment or enabled to complete their learning using telephone conferencing technology.  During lockdown teachers effectively used the ‘flipped classroom’ approach to motivate learners and support them to become more responsible for their own learning process. Furthermore, teachers were adept at identifying learners whose low self-regulation was a barrier to this. Appropriate differentiation was used and more one-to-one support was arranged in these cases.  Community Learning courses successfully engaged with learners with no or low prior qualifications, unemployed learners helping them to move closer to the labour market.  Learners benefit from access to impartial careers advice and guidance delivered by NCS careers experts.

Page 110 of 410 o Teachers work effectively with learners to identify their aspirations, and careers advisers use this information to provide bespoke advice that helps learners to make informed choices about their next steps. o The NCS advisors offer weekly one to one careers guidance appointments and weekly drop-in sessions in the Hub, the communal area where learners take their breaks. o The NCS adviser also makes regular class visits to introduce learners to the services they offer and holds workshops such as CV writing, interview tips and techniques, career planning and identifying transferrable skills. o During lockdown, NCS appointments have been available to learners over the phone and via Zoom or Skype.  One teacher carried out extensive research into the use of mobile phones as a learning tool amongst lower level ESOL groups.

Areas for development:  Ensure all teachers and assessors provide robust enough supportive and developmental feedback that help learners to make improvements.  Continue to use the council’s performance improvement and capability processes for underperformance.  The Service needs to increase the amount of teaching, learning and assessment that is outstanding.  Ensure all learners understand fully when they are being given information and advice and that they are empowered to act appropriately on the information and advice that they receive.

Behaviour and Attitudes

Strengths:  Learners are extremely tolerant and understanding of each other’s cultures and beliefs and enjoy taking part in the annual Culture Chest activities and celebration event that brings them all together to share and celebrate each other’s cultures and beliefs. This year the event had to be modified due to Covid-19 restrictions, leading to the creation of an alternative model with learners sharing traditional or favourite recipes, which were then turned into a recipe book.  Learners develop resilience and self-motivation, which was evidenced when the country went into lockdown and learners continued their education online, over the phone and via post, despite never having studied remotely before. A subcontractor who works with people experiencing homelessness was able to retain all their learners even though they were facing multiple additional barriers to learning.

Page 111 of 410  Students engage well with the learner focus groups and appreciate the opportunity to take part in the democratic process of nominating and voting for a representative. Class representatives gain in self-assurance and are able to articulate comments/suggestions/questions well.  Punctuality was a key focus in term 1. o This was an issue that had been exacerbated by the increase of use of all floors of Arndale House resulting in late arrival at classes due to congestion in the access areas. o To evaluate the situation, management walk-through’s focussing on lateness were carried out in every class held in Arndale House, over a two week period. The activity showed that lateness was an issue in the majority of classes. o This was fed back to programme leaders and strategies to improve timekeeping were implemented. Ofsted’s new Education Inspection Framework (EIF) is focussing on employability and will be looking at punctuality as a fundamental part of that. o Teachers showed learners alternative routes into the centre other than the main lifts from The Mall o The ‘late slip’ red card was introduced which dramatically reduced the number of learners who arrived late to class. In term 2, 185 red slips were issued and teacher feedback was that they worked well and improved attendance. o During Learner focus group meetings, learners expressed how this had improved their learning experience.

Areas for development:  Continue to innovate and engage all communities in the Culture Chest project.  Engaging new learners with online learning.  In term 3, when learning went on line, learners were often late to virtual sessions due to IT issues so no red slips were issued. Ensuring that punctuality is monitored in virtual learning and seen as a positive behaviour is an area to be developed.  Continuing to maintain the learner voice and ensuring that learners continue to engage with forums when learning is virtual and not always delivered in the centre.  Supporting learners who may not have the equipment or skills to access learning online. Personal Development

Strengths  Staff are caring and empathetic and are always available to listen to learners’ comments, queries and concerns. This helps to improve learners’ confidence and self-esteem.

Page 112 of 410  Learners are supported to achieve their aspirations by being given good advice on their next steps and information on appropriate courses.  The Service forms part of the larger Economic Growth and Skills team and is involved in providing regular jobs fairs with employers throughout the town.  A substantial number of staff have completed Mental Health First Aid training, which has improved the support that can be offered to learners.  The family learning team developed a “Staying In Touch” newsletter which was emailed to learners and schools, put onto social media and the website. This was created as a direct result of learners stating that they felt overwhelmed with online learning with their children and all of the changes due to school closures from March 2020.  Teachers create a calm, purposeful and inclusive environment in lessons. They encourage learners to think and work both independently and in groups. This helps learners to develop the confidence to meet new people and interact well with their neighbours and wider community.  Most teachers help learners re-engage with learning, acquire valuable knowledge and skills and grow in confidence. They help learners to understand the impact that local and national issues may have on them and their families. For example, the recent surge of press articles about problems associated with obesity have prompted teachers to embed information about healthy eating and the importance of exercise into their curriculums.  The Service provides a wide range of activities outside the requirements of the programmes to support the personal and social development of learners.  Prior to lockdown in March 2020, the Arndale House Hub space had been used (free of charge) by a number of organisations in order to promote health, wellbeing and help learners to develop confidence and resilience. The following types of events were held in the hub: o IAG sessions provided by NCS o MacMillan - cancer awareness o World Mental Health Day (10th October 2019) o Bedfordshire Fire Service - fire safety o Flying Start – how to give your child a flying start o Mental Health & Well-being (over 100 participants in talks and activities) o Apprenticeships o Safer Internet Day o Family Learning promotional day o International Women’s Day o Lives B4 Knives (March 2020) – especially important in Luton where knife crime increased between 2018 and 2019 o Our Lives Talk (last event prior to lockdown)  Learners were shown how to use google translate on their phones.

Page 113 of 410  Clear signage to nearest public prayer room and The Mall crèche was displayed in response to request from Learner Forum

Areas for development:  Ensure that all teachers continue to support learners to explore a wide range of topics to help them in the future.  Investigate alternative ESOL examining boards to evaluate currency and relevance of the content of syllabus and exams to learners’ lives.  Investigate alternative methods of sharing information and promoting organisations in the absence of the Hub area due to Covid-19 restrictions.  Ensure that all learners have an opportunity to improve IT skills to allow them to access learning online.  Promote the ways in which the Service can assist with access to equipment to support learners with no IT or broadband.  Respond to Learner Forum request for ‘Life in the UK’ course.  Respond to Learner Forum requests for embedding outings into courses. Leadership and Management

Strengths:  Leaders and managers have a clear strategic direction and purpose. They are ambitious for the organisation, with a strong focus on the mission of supporting the achievement of the Luton 2040 vision. They shape the direction of the organisation by analysing the local and regional context accurately and use this information to review and adjust the curriculum so that it addresses local priorities very well.  Leaders and managers have excellent relationships with local employers and work closely with anchor institutes, SME’s, the Federation of Small Businesses and the Chamber of Commerce. This ensures that skills gaps are identified very quickly. The strong partnership with JCP alongside the responsive and flexible curriculum allows courses to be planned that enable unemployed and economically inactive residents to fill those skills gaps, which supports the economic development of the town and improves the life chances of residents and their families.  Senior Council officers and elected leaders have a clear vision for the Service and are strong advocates for adult education. They provide timely support, guidance and resources to improve the reach and effectiveness of the Service.  Leaders and managers have developed a curriculum with good progression routes. They work strategically with the local Further Education College and University to ensure learners benefit from clear, non-fragmented educational pathways that allow them to achieve their aspirations.  Leaders and managers recruit well qualified and experienced staff, who are enthusiastic about their subjects.

Page 114 of 410  Leaders and managers structure CPD around individual developmental needs. Staff take up appropriate apprenticeships. The corporate learning and development team deliver a range of courses such as safeguarding, cyber- security, GDPR, challenging conversations and many more, external training is regularly procured and leaders and managers have designed a varied programme of activities including staff conferences and sharing good practice meetings, which enables teachers to gain the confidence to explore new teaching strategies.  Leaders and managers responded quickly and effectively to the changing needs of teachers and learners during lockdown. A Virtual Learning Environment (VLE) and online enrolment system were rapidly procured. An essential digital skills gap analysis was carried out on all staff and appropriate CPD was rolled out to support continued teaching and learning and to allow the use of online platforms in innovative ways.  Subcontracting arrangements audited externally and deemed to be good. Managers monitor performance frequently and hold subcontractors to account for learners’ progression and achievement of qualifications. Subcontractors benefit from the support and guidance given by managers.  Leaders and managers ensure that strategic plans for the future of Luton Adult Learning are integrated well with the broader plans for the council.  Leaders and managers maintain highly effective subcontracting arrangements. This ensures that the curriculum addresses local priorities and that courses take place in a range of accessible venues within the community. Some apprenticeship provision is procured when specialist training is required, leaders ensure that appropriate and local training providers are sourced.  Open communication is supported by a weekly newsletter, weekly management meetings, regular staff meetings, termly diagonal slice meetings with the Service Manager, monthly divisional briefings with the Corporate Director and whole service conferences, which all facilitate transparency, the timely sharing of information and ideas and provide forums for debate.  Staff wellbeing is a high priority and is supported by regular check-ins, high quality, individualised CPD, appropriate mentoring and coaching, flexible working, flexible retirement and a professional occupational health team. The Service also provides free workshops such as rag rug making and during the current pandemic have put on Coping with Change workshops to support resilience building.  To reflect the needs of learners new to working online, the Induction was transferred to an accessible powerpoint presentation. This included information on Staying Safe Online, link to NSPCC website, link to gov.uk fraud and cybercrime information, Covid-19 guidance, link to gov.uk Covid website, safeguarding, becoming a successful learner, link to learner

Page 115 of 410 information, Core Values, E&D, policies, data protection, link to NCS, complaints and compliments.

Areas for development:  Devise and action an implementation plan for a robust governing board who operate under well-defined terms of reference and who have the necessary attributes to perform the following roles: o Critical friend. o Accountability for the organisation’s stewardship of public funds to deliver a quality service which meets national and local priorities and for the performance of its legal and statutory responsibilities. o Setting the strategic direction of the organisation. o Monitoring the performance of the organisation within agreed targets and performance indicators.  Ensure that staff and learners have access to high quality IT equipment to enhance their work and learning opportunities.  Organise the use of Google Classroom, (or similar) as an additional learning platform, ensure there is sufficient technical support, allowing a consistent approach across the Service.  Ensuring through innovation and continuing current relationships, the community learning provision when Covid-19 restrictions have drastically reduced the normal routes of access to targeted learners, for instance through family learning in school settings.

Safeguarding and Prevent

The arrangements for Safeguarding and Prevent are effective.

 Leaders effectively check staff suitability to work with learners before they are employed.  Leaders have ensured that safeguarding arrangements are fit for purpose and that the Service has appropriate policies and procedures in place to deal effectively with safeguarding referrals and issues.  Elected Council members provide appropriate oversight and scrutiny of the service’s work. They support the service and are aware of how it complements the other services of the Council.  A Safeguarding and Prevent duty action plan, risk assessment and policy are in place and have an appropriate focus on regional priorities.  Leaders ensure that staff are appropriately trained and understand their responsibilities, which include understanding the dangers associated with radicalisation and extremism and how to stay safe online. There are also a number of staff members who are Home Office trained WRAP trainers.  Leaders arrange regular safeguarding CPD to ensure that training remains current.

Page 116 of 410  Staff have received specialist training to help identify and support those experiencing mental health issues and the Service have a Mental Health First Aid team as well as a first aid team.  Learners know how to report any concerns they have.  Learners are introduced to online safety during the induction process, additional information is available on our website and within Arndale House.  Safeguarding concerns are swiftly acted upon and result in effective support for learners and their families.  All safeguarding referrals are logged and kept securely. The safeguarding team monitor and follow up each referral to its conclusion. Apprenticeships

Strengths  Apprentice recruitment is on a rolling programme to meet the needs of employers. Our Employer Engagement Officer (EEO) attends careers events and works closely with Local Authority departments, SEMLEP and employers to identify apprenticeship opportunities.  We promote our service through careers and job fairs, LBC and Luton adult Learning’s own website, https://www.lutonacl.ac.uk/learn-with- us/apprenticeships.html, national websites https://findapprenticeshiptraining.apprenticeships.education.gov.uk/Apprentice ship/Search, networking events, school events, banners, video advertising in local shopping centre, email marketing campaigns, social media, business managers meetings, award ceremonies, flyers to target specific areas or programmes and at every other opportunity.  The recruitment process is flexible and tailored to employer's needs - some employers will simply use our recruitment advertising services whereas we will work more closely with others and support to shortlist, interview and carry out bespoke initial assessments prior to interview.  Our EEO conducts an employer needs' analysis with each new employer to identify business needs and talk through suitable standards available ensuring the right fit for the job role. New organisations or new managers are supported with ‘Supervisors workshop - managing new apprentices’ workshops.  Meetings are held with employers to explore tasks that the apprentice will be required to carry out and these are matched to the proposed standard to ensure that the level is correct and there is ample opportunity to gather the evidence required.  Our EEO schedules regular contact with employers and there is an open line of communication to her for employers to discuss any issues. The EEO arranges to meet with the employer and apprentice and offer advice. If there is any feedback of concern, the EEO would address this with the employer.

Page 117 of 410  Caseload officers are allocated to each apprentice to provide pastoral care and support and we endeavour to match employer needs and caseload officer skills.  Following the restrictions on working due to Covid-19, our continuity plan ensured business as usual o LAL learners use an e-portfolio which allowed for seamless delivery when workplaces closed. They can be accessed by administrators and managers who are super users. o Robust tracking systems through our Management Information System and e-portfolio allowed us to determine the progress of each learner and tailor delivery appropriately in the absence of the scheduled taught sessions. o All planning and feedback was recorded in the e-portfolio using the Learning & Development Plan and could be viewed and added to by cover staff. o We were able to facilitate live, online, face-to-face workshops using smartrooms to allow learners and staff to participate from home.

Areas for development  Working with schools to promote teaching assistant apprenticeships which have seen a decline in numbers due to reduction in school budgets for staffing.  Working closely with employers to improve retention and reduce the number of apprentices who do not complete their apprenticeships.  Increase the apprenticeships offered in response to changes in the job market and employer needs.  Use data more effectively to monitor and manage progress, identifying retention and time management issues.

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Item No: 11 Report For: Executive Date of Meeting: 07 December 2020 Report Of: Clive Jones Head of Revenue and Benefits Report Author: Clive Jones Head of Revenue and Benefits Subject: Revised Council Tax Reduction Scheme Lead Executive Member(s): Cllr Malcolm Wards Affected: All Consultations: Councillors  Scrutiny  Stakeholders  Others 

Recommendations 1. Executive is recommended to Approve the proposed changes to the Council Tax Reduction Schemes (CTRS Working Age) and recommend Full Council to adopt from April 2021.

Background 2. The council is experiencing unprecedented pressure due to the Coronavirus pandemic. The COVID-19 Emergency has caused fundamental changes to the Council’s budget. In addition to extreme pressures on many services such as care, homelessness and public health, it has dramatically affected the Council’s commercial activity. On the 29 June 2020 the council agreed an emergency budget in response to the pandemic of £22.2m in savings. This included an agreement to reduce expenditure on our largest discretionary spend, (currently costing £13.5m) by £500k from CTRS.

3. Proposals for a revised CTRS were created in response to the emergency budget and consultation on a revised CTRS for working age residents of Luton has been undertaken from the 1 September and completed on the 2nd November 2020.

4. The changes if implemented would deliver a potential reduction in CTRS cost of approximately £0.649m as of August 2020 caseload.

5. The costs of CTRS working age is predicted to rise significantly next year due to the impact of COVID-19 on the local economy and this may outstrip the proposed savings made by the scheme revision, making it more critical to make these savings if we are not to impact on future essential service provision.

6. The mitigation through the flexible support fund that was provided when the scheme changed in April 2020 has proven to help those households that dropped out of the scheme by maximising their income and providing advice, skills and guidance.

7. This report provides analysis of the survey results and outlines the proposed reduction of spend on CTRS and associated operational proposals that would be provided to mitigate the impact of the changes on residents of the revised CTRS, and in the medium to long term potentially improve the financial status of CTR claimants, lifting them out of poverty.

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The Current Position 8. Our current CTRS by comparison to other areas is quite generous. Research from www.counciltaxreduction.org in 2018/19 showed most council’s schemes were requiring a 20% minimum payment and our current scheme only requires a 10% minimum payment. The graph below shows the distribution of councils and their minimum payments over the period 2013/14 to 2918/19. Our proposals will put Luton in the largest group of local authorities at a minimum payment of 20% in excess income range 1.

9. A full consultation was undertaken. All households in Luton were contacted via either email or letter. The consultation consisted of a request to all residents to complete the online survey questions on the proposed CTRS scheme. Consultation closed on the 2nd November 2020.

10. There were 1022 surveys returned which is slightly lower than the 1,392 received in the previous consultation in 2019.

Goals and Objectives 11. The goal of this report is to provide enough information on the consultation results to enable Executive to recommend to Full Council that the proposed CTRS changes be adopted in 2021.

12. The objective of this report is to define the CTRS changes and obtain approval from Executive to propose Full Council adopt in April 2021.

Proposal 13. The proposed changes to the CTR working age scheme were explained in the consultation document attached as Appendix 2. They can be summarised as:

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a. Changing from six excess income ranges to four.

b. The excess income range 4 is proposed to change from £80 to £50 excess income above the applicable amount per week. If you have £50 or more weekly excess income, you will receive no support. This will apply to all household types except for those with a disabled resident or have a carer present. These households will receive 15% support for an excess income range of £50 to £69.99 and will receive no support with an excess income range of over £70.

c. The council is proposing to increase the level of support in excess income range 1 from 75% to 80% for single and couples with no children households. Current analysis shows that these households are in more financial crisis than others on CTR. By bringing existing support levels down for other households from:

i. excess income range 1 from 90% to 80%;

ii. excess income range 2 from 70% to 60%; and

iii. excess income range 4 from 15% to 0%,

the council can make the necessary savings and target some extra protection at those who are currently most adversely impacted by the existing council tax reduction scheme. Those households, with a carer or disabled resident will continue to receive 15% support in excess income range 4.

14. The impact on the households affected by these proposed consultation changes is show in Appendix 5.

15. Caseload examples of what the impact on claimants is of the proposed changes are given in Appendix 6

16. The consultation survey analysis is contained in the attached PowerPoint presentation, Appendix 3. The key feedback from the consultation can be summarised as:

a. 26.8% agree to the proposal that the existing excess income ranges five and six are removed and therefore, unless someone in your household is disabled or has carer responsibilities, you drop out of CTR if you have an excess income of £50 or more per week.

b. 30.7% agree with the principle that the council should be looking at the council tax reduction (CTR) scheme to make savings to fund essential local services.

c. 34.9% agree that the maximum excess income you can have to receive CTR support is reduced from £80 to £50 for all households except disabled and carers where this will reduce form £80 to £70.

d. 32.5% agree with the proposal to change the percentage support given from 90% to 80% in excess income range 1 and from 70% to 60% in excess income range 2.

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e. 40.3% agree with the proposal to change the percentage support given from 75% to 80% in excess income range 1 for working age single and couples without children households.

f. 75.54% agree that households with a carer or disabled resident should continue to receive additional support of 15% in excess income range 4, £50- £69.99 above the applicable amount per week?

g. Overall, approximately two thirds of the respondents were not in favour of the scheme being changed.

17. It is important to note that the CTRS changes in April 2020 had broad support because of the mitigation through the flexible support funding arrangements that accompanied the change in scheme. The mitigations became operational in April 2020. The impact of the changes was felt by households immediately and for that reason in the first year, the profiling of funding was on immediate support such as the hardship fund and crisis support. As the additional skills and employment training funding starts to change the financial resilience of households, more of the flexible support funding as detailed below will be allocated to this activity in the following years.

18. It should be noted that the changes to the scheme, whilst delivering the savings as part of the emergency budget, are supported by less than a third of the respondents in the consultation survey. Given COVID is impacting on peoples household finances making it more challenging, it is not surprising that a minority were in favour of the proposed change. However, what the consultation didn’t cover is the flexible support scheme which is in place and acts as some mitigation to these proposals.

19. The flexible support and funding arrangements remain in place and comprise of:

a. Detailed individual assessment of household ability to manage the reduction in CTR. Support, through budget management and/or income maximisation.

b. Allocation of £100k to maintain the Luton Crisis Support Scheme. c. Allocation of £200k-£300k for practical training and support. Commissioning of additional employment/skills support services where gaps in provision exist. (Initially on a bespoke case by case basis but with intent to move towards block provision of this support by April 2022)

d. Allocation of an additional £240k to the Council Tax Exceptional Hardship Scheme. Provision of short-term discretionary financial support to households unable to manage reduction in CTR, despite engagement with the above (to be paid as a deduction to council tax).

20. The impact of COVID-19 has yet to be fully understood but will have a significant impact on the affected cohort and the mitigation proposed. In particular, the landscape in terms of employment availability has changed dramatically since February 2020.

21. Despite this, the interventions and support being provided do appear to be having a positive impact on the cohort and recovery rates. A total of 1,776 households were affected by the CTR changes which took effect in April 2020. As of September 2020, 20% of these households had a nil balance on their council tax account for 20/21

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(meaning they have paid the bill in full) and overall 73% of council tax for the cohort (1,776 households) has been paid to date.

22. The Council Tax Exceptional Hardship Fund (CTEH) is available to households having difficulty paying council tax. The scheme was extended in April 2020 to allow those affected by CTR changes to access the fund, only where other options have been exhausted.

23. With the number of households claiming CTR going up, due to the impact of COVID on the local economy, overall the costs of the scheme may continue to rise and may negate the £0.649m predicted savings. Members will have to review the scheme costs in February 2021 and through the budget setting process decide if any of the savings above the budgeted £500k can be allocated to the flexible support fund to provide additional support to families impacted by the proposed changes.

Key Risks 24. The key risks with reducing the CTRS financial support to citizens are well documented and include;

a. Financial - Some claimants being worse off under UC and increasing the demand on local discretionary funding such as Council Tax Reduction.

Mitigation – Close monitoring of UC caseload.

b. Financial - The reduction in CTR support may cause some households to default on their council tax payments.

Mitigation – The flexible support fund is designed to mitigate this impact.

c. Financial - Availability, quality and/or lack of customer engagement with interventions may mean they are ineffective at completely eradicating the impact on all households.

Mitigation – Specialist support officers are trained to support residents and proactively contact those hard to reach groups.

d. Operational – The claimants negatively impacted by the scheme changes may seek assistance through other service offerings of the council

Mitigation – The specialist support officers will contact this cohort impacted by the changes and offer advice and support.

Consultations 25. The public were consulted by online survey that commenced on the 1 September 2020 and closed on the 2 November 2020.

Alternative options considered and rejected (please specify) 26. There are many alternative options that were considered for changing the Council Tax Reduction scheme. The main ones that were rejected were:

a. Leaving the scheme as existing. Rejected as this would not enable the council to deliver any savings.

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b. Reducing the amount of support equally across all excess income ranges. Rejected because this would impact the most financially vulnerable in excess income ranges 1 and 2 that the council wishes to protect these as much as possible.

c. Maintaining six income ranges and lowering the support in excess income ranges 3-6. Rejected because this would not provide enough savings.

d. The deletion of excess income ranges 3-6 altogether. Rejected as this would remove 40% support from households in excess income range 3.

Appendices Attached Appendix 1 - Integrated Impact Assessment Appendix 2 - CTR Consultation Document Appendix 3 - CTR analysis of results presentation. Appendix 4 - CTR Working Age revised policy. Appendix 5 - Proposed weekly impact. Appendix 6 - Examples of CTR cases.

List of Background Papers - Local Government Act 1972, Section 100D There are no background papers to the report.

Implications - an appropriate officer must clear all statements

For CLMT only Legal and Finance are required Required Item Details Clearance Dated Agreed By Legal Provided that the requirements of the Council Paul McArthur, 9 Tax Reduction Scheme Regulations and any solicitor November other relevant financial regulations have been 2020 complied with then Luton Borough Council has the power to do this. It is noted an Integrated Impact Assessment has been carried out to identify and mitigate any equalities issues. Finance Savings will be closely monitored to ensure Darren 25th the affordability of the scheme. If the Lambert, November estimated total savings of £0.500m is not Finance 2020 achieved, there will be an impact on the Business Council’s budget in year, which will need to be Partner addressed by the service. COVID-19 impact will be significant and this makes it more essential to make savings at this time. Equalities / Universal Credit is known to have a financial Sandra Hayes 09/11/2020 Cohesion / impact households with children and in Service Inclusion particular those on low incomes renting from Manager (Social the private rented sector more than other Justice) households. This will impact on CTR.

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Item Details Clearance Dated Agreed By Those who could be negatively affected by Strategic loss of council tax reduction are individuals Community with an excess income that places them in Services range 3 or above. Luton Borough Council

This loss on its own may, or may not, be a manageable loss to an individual – each person has individual circumstances. However, these losses are part of an ongoing change to welfare reform, which will have an impact on people’s finances. To mitigate, A new flexible support fund that will help households and people with disabilities to obtain the skills and support they need to increase their household income and reduce or remove the need for them to access CTR altogether. Environment There are no direct impacts on the Keith Dove, 9th environment for this report. However given the Strategic November link between poverty and wellbeing Policy Adviser 2020 considered below, indirectly this could potentially impact on travel behaviour of residents. Health There is no direct impact on health but it is Lucy Hubber 11th well documented that poverty is a contributor MFPH November to poor health and therefore households with Deputy 2020 children may have worsening health Director of outcomes as a result of being on universal Public Health credit instead of legacy benefits. Service Director – Healthy Lives and Children’s Integrated Commissioning Public Health and Wellbeing

Optional Item Details Clearance Dated Agreed By Community Safety

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Item Details Clearance Dated Agreed By Staffing

Other

Page 126 of 410 Appendix 1 Integrated Impact Assessment Form (IIA)

The key aim of an impact assessment is to ensure that all Council policies, plans and strategies support the corporate mission statement

‘Enabling Luton to be proud, vibrant, ambitious and innovative’.

When do I need to do an IIA?

 An IIA must be started at the beginning of any project, policy or strategy, and cannot be finalised until such time as all consultations, as required, are undertaken.

Page 127 of 410 Appendix 1 Integrated Impact Assessment Form (IIA)

Proposal Title: Revised Council Tax Reduction

Lead Officer Name: Clive Jones Date of IIA: 13th October 2020

Date updated after consultation: Early draft Seen by: Maureen Drummond, Interim Equalities (Please send an early draft of your IIA to the SJU to Manager ensure all impacts are being considered at the appropriate time)

Finalised IIA Signed and seen by SJU : Name: Maureen Drummond Interim Equalities Manager Date

Names of all other contributors and stakeholders involved in the preparing of this proposal who have been consulted with and agreed this assessment: (Please note the IIA must not be carried out by one person) If there is any potential impact on staffing please include the name/s of the trade union representative/s involved in the preparation of this assessment or any supporting evidence of request to participate:

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Proposal Outline

Page 129 of 410 Appendix 1 Integrated Impact Assessment Form (IIA)

This IIA will consider the premise that Corporate Leadership Management Team agree to the options for consultation on the Council tax Reduction Scheme for 21/22, to go out to consultation between August 2020 and November 2020 to ensure the scheme remains affordable and targets support to the most financially vulnerable.

Information supporting the proposal (who, what, where, how1)

Analysis commissioned by the Council identifies that couples with children, lone parents and tenants living in private rented properties are likely to be amongst the groups most negatively financially impacted after the April 2016 welfare reform changes have been applied. Of those most highly impacted, those in work are the largest group (c.60%), with lone parents, carers and disabled people relatively equally sharing the remaining proportion (c.40%) of those most highly impacted. As of August 2020, this cohort consists of:  16,645 Housing Benefit and/or CTR claimants, comprising of; o 11,845 working age households, o 3,198 households in work, o 5,926 households with a disability, o 3,427 lone parent households, o 1,141 in temporary accommodation, o 3,730 in the private rented sector o 14,565 children

This evidence would suggest that the current CTR scheme (and the Councils other discretionary funding schemes) should be reviewed to ensure that the Council continues to support the people in most housing based financial need. A review of the scheme is necessary for the scheme to be assured as remaining affordable and supporting the most financially vulnerable.

Impact of full roll out of Universal Credit in Luton and CTR;

There are circa 3,495 CTR claimants (as of April 2019), in Luton on Universal Credit (Any changes to CTR need to cater for a mixed set of claimant circumstances). There are still 8,871 HB claimants still to transfer.

The impact of Universal Credit on household income, by household type

The impact of Universal Credit on household income, by economic status

This information should also be considered alongside our known information about poverty levels in the Town and the number of children affected. Our updated child poverty needs assessment confirmed that an estimated 16,000 children are in poverty in the Town, the number of food bank parcels given out continues to increase.

In the latest report from the Luton’s Foodbank on a set of KPIs, the report stated in regard to households and the number of those requesting help for the period December 2019;

Peak month comparison

Page 130 of 410 Appendix 1 Integrated Impact Assessment Form (IIA)

1 Breakdown of present users by ethnicity, age, gender, disability, religion/belief, sexuality (if recorded) Also, show areas in the town with the biggest and lowest needs. Greater emphasis is required at the start of the IIA on the service, how it is delivered now and how the new service will be delivered

Page 131 of 410 Appendix 1 Integrated Impact Assessment Form (IIA)

Period Total YoY diff Parcels for children parcels December 2017 790 42% December 2018 950 +20% 39% December 2019 +22% estimated

The revised CTR Scheme:

The Council in proposing the CTR scheme in 2020 will be as shown in the table below. This option has the following characteristics: a. Improves band 2 support for families and disabled resident households by 1% b. Improves band 2 support for other working households by 2% c. Introduces an even progressive scheme as a % of excess income d. Most claimants remain in scheme e. For CT band B maximum weekly increase is £21,28 per week in the highest f. Lowers the excess income allowed to £80 from £100 g. Makes available funding of around £1,000,000 to use for support and savings.

(8073) (218) (400) (599) (692) (333) (435) Count Income Income Income Income Income Income Income band 1 band 2 band 3 band 4 band 5 band 6 band 7 Client Description £0- £5- £15-£29.99 £30-£49.99 £50-£69.99 £70-£79.99 £80 and Group £4.99 £14.99 (was ( was above (was 74.99) 99.99) £100)

Existing % 90% 89% 88% 87% 86% 85% 0% Working £2.66 £2.93 £3.19 £3.46 £3.72 £3.99 £26.61 age Non Existing weekly payment Passported 90% 90% 70% 40% 15% 5% 0% disabled Proposed % and carers Proposed weekly payment £2.66 £2.66 £7.98 £15.96 £22.61 £25.28 £26.61 Weekly increase £0.00 -£0.27 £4.79 £12.50 £18.89 £21.28 £0.00 Existing % 90% 89% 88% 87% 86% 85% 0% Working Existing weekly payment £2.66 £2.93 £3.19 £3.46 £3.72 £3.99 £26.61 age Non 90% 90% 70% 40% 15% 5% 0% Passported Proposed % with £2.66 £2.66 £7.98 £15.96 £22.61 £25.28 £26.61 Proposed weekly payment children £0.00 -£0.27 £4.79 £12.50 £18.89 £21.28 £0.00 Weekly increase 75% 73% 70% 65% 45% 25% 0% Existing % Working £6.65 £7.18 £7.98 £9.31 £14.63 £19.95 £26.61 age Non Existing weekly payment Passported Proposed % 75% 75% 60% 40% 15% 5% 0% Proposed weekly payment £6.65 £6.65 £10.64 £15.96 £22.61 £25.28 £26.61 Weekly increase £0.00 -£0.53 £2.66 £6.65 £7.98 £5.32 £0.00

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Existing Scheme

Excess Excess Excess Excess Excess Excess Excess Income % Income % Income % Income % Income % Income % Income % band 1 Liabilty band 2 Liabilty band 3 Liabilty band 4 Liabilty band 5 Liabilty band 6 Liabilty band 7 Liabilty Client Group Claimants (claimants) awarded (claimants) awarded (claimants) awarded (claimants) awarded Claimants) awarded (claimants) awarded (claimants) awarded £0 and above Elderly 5373 (5373) 100% War £0 and 7 100% pensioners above (7) Working age £0 and Passported 4174 above 90% disabled and (4174) carers Working age £0 and Passported 1390 above 90% with children (1390) Working age £0 and 724 75% passported above (724) Working age Non £15-£29 £30-£49 £100 and Passported 707 £0-£4 (417) 90% £5-£14 (30) 89% 88% 87% £50-£74 (69) 86% £75-£99 (54) 85% 0% (48) (49) Above (40) disabled and carers Working age £100 and Non £0-£4 £5-£14 £15-£29 £30-£49 £50-£74 £75-£99 3594 90% 89% 88% 87% 86% 85% Above 0% Passported (1025) (141) (303) (531) (829) (489) (276) with children Working age £0-£24 £15-£29 £30-£49 £100 and Non 634 75% £5-£14 (40) 73% 70% 65% £50-£74 (75) 45% £75-£99 (20) 25% 0% (318) (86) (90) Above (5) Passported

Yellow indicates where the proposal is different to the existing CTR scheme.

This option will save the Council an estimated £1,145,009 based on current claimant numbers which will cover the loss of administration grant over the next two years. The remaining savings made in the collection fund are proposed to be allocated to a discretionary fund enabling anyone negatively impacted by the changes to apply for additional support. This discretionary fund will probably need additional funding to match the anticipated estimated demand as a result of UC.

A breakdown and analysis of the number of claimants who would lose or gain under the proposed option is provided below:

Page 133 of 410 Appendix 1 Integrated Impact Assessment Form (IIA)

Total Claimants Claimants number of impacted impacted Client Group claimants negatively positively Carer 254 254 0 Disabled 4,495 3,095 1,400 Children in the household* 4,380 1,013 3,367 Working non- dependant or other 1,467 1,351 116 Total 10,596 9179 2044

*If you have a child with a disability you are in the Disabled Client Group in the table above.

Page 134 of 410 Appendix 1 Integrated Impact Assessment Form (IIA)

Page 135 of 410 Appendix 1 Integrated Impact Assessment Form (IIA)

Once you have completed this process you should have a clearer picture of any potential significant impacts2, positive, negative or neutral, on the community and/or staff as a result of your proposal. The rest of the questions on this form will help you clarify impacts and identify an appropriate action plan.

Citizens/Community Staff (for HR related issues) Protected Groups Positive Negative Neutral Positive Negative Neutral Race X X Sex X X Disability X X Sexual Orientation X X Age X X Religion/Belief X X Gender Reassignment X X Pregnancy/Maternity X X Marriage/Civil Partnership X X (HR issues only) Care Responsibilities3 X X (HR issues only) Social & Health4 Impact on community cohesion X Impact on tackling poverty X Impact on health and wellbeing X Environment Impact on the quality of the natural X and built environment Impact on the low carbon agenda X Impact on the waste hierarchy X Economic/Business Impact on Luton’s economy and/or X businesses Impact on jobs X Impact on skills X

2 “Significant impact” means that the proposal is likely to have a noticeable effect on specific section(s) of the community greater than on the general community at large. 3 This is a Luton specific priority added to the 9 protected characteristics covered under the Equality Act and takes into account discrimination by association. 4 Full definitions can be found in section 3

Page 136 of 410 Appendix 1 Integrated Impact Assessment Form (IIA)

Please answer the following questions:

1. Research and Consultation

1.1. Have you made use of existing recent research, evidence and/or consultation to inform your proposal? Please insert links to documents as appropriate. Click here for local demographics and information www.counciltaxsupport.org http://www.cpag.org.uk/content/welfare-reform-early-impacts https://www.jrf.org.uk/report/impact-welfare-reform-social-landlords-and-tenants

https://www.gov.uk/government/publications/ssac-occasional-paper-12-the- cumulative-impact-of-welfare-reform-a-commentary

Click here for the LBC Consultation Portal See consultation page on luton.gov.uk

1.3. Have you carried out any specific consultation with citizens likely to be affected by the proposal? If yes, please insert details, links to documents, as appropriate above. Please show clearly who you consulted with, when you consulted and the outcomes from the consultation. Mitigations from consultation should be clearly shown in Action Plan at end of document. For advice and support from Consultation Team click here Consultation carried out between August 2019 and October 2019 with Luton residents has been. Feedback from the consultation is as follows:

76% agreed support for band 1 and 2 remains unchanged with 62% agreeing to them being merged. 69% want more skills and employment training provision and 47% more child care provision. Overall there is broad support for the change with 55% agreeing, against 38% wanting no change. Reducing the maximum excess income to £80 from £100 was split with 38% agreeing, 37% not and 25% don’t know. Conclusion: There is broad support for the changes proposed but natural concerns about those households that will have reduced support.

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Appendix 1 Integrated Impact Assessment Form (IIA)

2. Impacts Identified

2.3. Where you have identified a neutral* impact for any group, please explain why you have made this judgement. You need to be confident that you have provided a sufficient explanation to justify this judgement. Guidance Notes: By neutral impact we mean that there will be no noticeable impact on people sharing a characteristic There is no evidence currently available to suggest that the Policy will have a noticeable impact, either positive or negative, on people of pensionable age.

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Appendix 1 Integrated Impact Assessment Form (IIA)

3. Social & Health Impacts

3.1. If you have identified an impact on community cohesion5’, tackling poverty6 or health and wellbeing7, please describe here what this may be and who or where you believe could be affected, Please also ensure that you consider any possible impacts on Looked After Children. Guidance Notes: Please use this section to describe the social and health impacts and detail any specific actions or mitigations in the action plan below.

For advice & support from the Social Justice Unit click here

For advice and support from the Public Health team click here As the IIA shows above those most affected by the economic situation and welfare reform is lone parents. Financial difficulties/hardship can have a profound impact on people’s mental health and emotional wellbeing; therefore the choices put to the public have to also consider the outcome for such families/individuals.

Mitigation: A new flexible support fund that will help households and people with disabilities to obtain the skills and support they need to increase their household income and reduce or remove then from needing to access CTR altogether.

5 is the proposal likely to have a noticeable effect on relations within and between specific section(s) of the community, neighbourhoods or areas. 6 is the proposal likely to have a noticeable effect on households that are vulnerable to exclusion, e.g. due to poverty, low income and/or in areas of high deprivation 7 Is the proposal likely to have a positive or negative impact on health inequalities, the physical or mental health and wellbeing of an individual or group, or on access to health and wellbeing services? 13 Page 139 of 410

Appendix 1 Integrated Impact Assessment Form (IIA)

4. Environment Impacts

4.1. If you have identified any impacts related to the built and natural environment8, low carbon9 and waste minimisation please describe here what this may be and who or where you believe could be affected Guidance Notes: Is the proposal likely to impact on the waste hierarchy which includes issues shown in the table below:

Waste Hierarchy

For advice and support from the Strategy & Sustainability Team click here

8 Is the proposal likely to Impact on the built and natural environment covers issues such as heritage, parks and open space, cleanliness, design, biodiversity and pollution? 9 Is the proposal likely to impact on low carbon includes issues such as use of energy, fuel and transport. 14 Page 140 of 410

Appendix 1 Integrated Impact Assessment Form (IIA)

5. Economic Impacts

5.1. If you have identified any impacts related to Luton’s economy and businesses 10, creating jobs11 or improving skill levels 12, please describe here what this may be and who or where you believe could be affected Guidance Notes: Please use this section to describe the social impacts and detail any specific actions or mitigations in the action plan below. Please detail all actions that will be taken to enhance and maintain positive impacts and to mitigate any negative impacts relating to this proposal in the table below.

For advice and support on Economic Development click here A new flexible support fund that will help households and people with disabilities to obtain the skills and support they need to increase their household income and reduce or remove then from needing to access CTR altogether

10 Is the proposal likely to impact on Luton’s economy and businesses for example by creating an opportunity to trade with the Council, support new business opportunities? 11 Is the proposal likely to impact on the creation of new jobs in the local economy? This will also link to health and well-being and the reduction of poverty in the social box. 12 There are significant skills gaps in Luton’s economy. Is the proposal likely to create opportunities for up skilling the workforce or to create apprenticeships? 15 Page 141 of 410

Appendix 1 Integrated Impact Assessment Form (IIA)

Responsible Date Completed Action Deadline Intended Outcome Officer / Ongoing Scheme February Clive Jones Scheme 3rd February approved by 2020 recommended to Full 2020 Executive Council for adoption Scheme adopted February Clive Jones Scheme adopted February 2020 by Full Council 2020 Discretionary February Dev Gopal An additional amount February 2018. funding for DHP 2018 of funding approved increased in for Discretionary budget Housing Payments. proposals for 2018 Implementation April 2020 Clive Jones Support for those April 2020 of Flexible that may be Support Fund negatively impacted by the changes in the scheme

A review of the action plan will be prompted 6 months after the date of completion of this IIA.

Key Contacts Name Position Clive Jones Head of Revenues and Benefits Sue Nelson Service Director Customer Solutions

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Appendix 1 Integrated Impact Assessment Form (IIA)

Completed and signed IIA’s will be published on the internet once the democratic process is complete

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Page 144 of 410 Appendix 2

Council Tax Reduction Consultation 2020 WHY CHANGE COUNCIL TAX REDUCTION AGAIN SO SOON

Due to the COVID–19 pandemic the council has been forced to consider changes to services to enable it to balance its budget in 2021. One of these changes being considered is a change to the largest discretionary expenditure the council gives to support residents to pay their council tax. This is the council tax reduction scheme.

These proposed changes if and when approved will make available approximately £650,000 from April 2021 to be used to help with the budget gap.

We’re proposing three changes to council tax reduction for working-age people. We’d like your views before we finally decide. Pensioners are not affected by these proposals.

WHAT WE’RE ASKING We want your views on the proposals for three changes to council tax reduction – the benefit that helps about one quarter of our residents to pay their council tax. Currently, Pensioners can receive council tax reduction of up to 100% off their bill. Working-age people currently get support up to a maximum of 90% off their bill.

This change affects all working age households claiming council tax reduction. This consultation opens 1st September 2020 and closes on the 2nd November 2020.

HOW COUNCIL TAX REDUCTION IS CALCULATED Everyone has a maximum amount of weekly income they can receive, before their income starts to affect their council tax reduction.

This figure is called your applicable amount, and is compared against your income and capital to work out how much council tax reduction you receive.

Your applicable amount varies depending on your age, the size of your family, and any special needs you have (for example whether you are disabled).

The applicable amount has three main parts, these are:

1. An amount for you and your partner – your personal allowance

2. An amount for any dependent children – your children's personal allowance

3. A premium - an element which you may qualify for to cover any special needs you have

Once your personal allowances and allowances for your children have been worked out, if you meet the qualifying conditions, premiums can be added to make up your applicable amount.

More information about how to calculate your applicable amount can be found on the citizen’s advice website at www.citizensadvice.org.uk.benefits

Page 145 of 410 Once you have your applicable amount, your income is compared against this and if you have any excess weekly income this will decide what excess income range you fall into and what level of council tax reduction you will receive.

You will not need to determine your applicable amount if you receive any of the following:-

 Universal credit (except where there are additional earnings)

 Jobseekers allowance (income based)

 Employment and support allowance (income related)

 Guaranteed pension credit

 Income support.

This is because the assessment of your income and savings will already have been undertaken by the DWP or pension service. You will receive the maximum council tax reduction allowed, (excess income range 1) subject to any non-dependent deductions for other adults who live with you.

The current scheme is split into six excess income ranges and the level of support given is dependent on your household makeup. Group A are households that have children, carer responsibilities or a disabled person resident. Group B are singles or couples without children households.

Existing excess income range 1 £0 - £14.99 Group A 90% off your council tax Group B 75% off your council tax

Existing excess income range 2 £15 - £29.99 Group A 70% off your council tax Group B 60% off your council tax

Existing excess income range 3 £30 - £49.99 Group A 40% off your council tax Group B 40% off your council tax

Existing excess income range 4 £50 - £69.99 Group A 15% off your council tax Group B 15% off your council tax

Existing excess income range 5 £70 - £79.99 Group A 5% off your council tax Group B 5% off your council tax

Existing excess income range 6 £80 and over Group A 0% off your council tax Group B 0% off your council tax

We do not change your council tax reduction award until your excess income falls or rises into a different excess income range.

Page 146 of 410 WHATS PROPOSED

Proposed change 1 - The number of excess income ranges changing from six to four We are proposing to change the number of excess income ranges from six to four. Those in excess income range four will receive no support. This will mean that those with higher excess incomes that fall into the current excess income range four and five will no longer receive anything off their council tax bill.

Table 1: Existing excess income ranges Excess income Excess income Excess income Excess income Excess income Excess income range 1 range 2 range 3 range 4 range 5 range 6 £0-£14.99 £15-£29.99 £30-£49.99 £50-£69.99 £70-£79.99 £80 and above

Table 2: Proposed excess income ranges Excess income Excess income Excess income Excess income range 1 range 2 range 3 range 4 £0-£14.99 £15-£29.99 £30-£49.99 £50 and above

Proposed change 2 - Excess income above the applicable amount in the highest excess income range is proposed to change from £80 to £50 per week We are proposing to reduce the top excess income range from £80 per week to £50 per week. This will impact on those households that were receiving support of 15% or 5% with an excess income of £50 to £80 per week. Under this change they will no longer receive any money off their council tax bill. The largest group of people that receive council tax support in these ranges live in properties that are valued as council tax band B and for these households it would mean they would have to pay (based on the current level of council tax band B of £1438.66):

 £4.14 a week more if they were in excess income range four at 15% or,  £1.38 a week more if they were in excess income range five at 5% support.

For households with a disabled person resident or have a carer that fall into excess income range 4 we are proposing to continue awarding them 15%. This will mean there will be no change for circa 59 households.

Proposed change 3 - The level of support given in the excess income ranges is changing The council is proposing to increase the level of support given to households without children or disability in excess income range 1 from 75% to 80%. Current analysis shows that these households are in most financial crisis and of need of support. By bringing all other households support levels in excess income range 1 down from 90% to 80%, in excess income range 2 down from 70% to 60% and in excess income range 4 down from 15% to 0%, the council can afford to fund this change. Group A and Group B households will receive the same support. Group C households, those with a carer or disabled resident will continue to receive 15% support in excess income range 4.

Page 147 of 410 The level of support given in each excess income range is proposed to change as shown in Tables 3, 4 and 5.

Table 3 Group A: Households with children Excess Excess Excess Excess Excess Excess income income income income income income Existing excess income range 1 range 2 range 3 range 4 range 5 range 6 range £0-£14.99 £15-£29.99 £30-£49.99 £50-£69.99 £70-£79.99 £80 and over

Existing reduction given 90% 70% 40% 15% 5% 0% Excess Excess Excess Excess income income income income Proposed excess income range 1 range 2 range 3 range 4 range £0-£14.99 £15-£29.99 £30-£49.99 £50 and over Proposed reduction given 80% 60% 40% 0%

Group A households in excess income ranges 1, 2 4 and 5 will see a decrease in support.

Table 4 Group B: Single and Couples households without children Excess Excess Excess Excess Excess Excess income income income income income income Existing excess income range 1 range 2 range 3 range 4 range 5 range 6 range £0-£14.99 £15-£29.99 £30-£49.99 £50-£69.99 £70-£79.99 £80 and over

Existing reduction given 75% 60% 40% 15% 5% 0% Excess Excess Excess Excess income income income income Proposed excess income range 1 range 2 range 3 range 4 range £0-£14.99 £15-£29.99 £30-£49.99 £50 and over Proposed reduction given 80% 60% 40% 0%

Those households in Group B (singles and couples without children) on the lowest incomes in the existing excess income range 1 will see an increase in support from 75% to 80%. There will be a decrease in support for excess income ranges 4 and 5.

Table 5 Group C: Households with carer or disabled resident Excess Excess Excess Excess Excess Excess income income income income income income Existing excess income range 1 range 2 range 3 range 4 range 5 range 6 range £0-£14.99 £15-£29.99 £30-£49.99 £50-£69.99 £70-£79.99 £80 and over

Page 148 of 410 Those households that were in excess income range 4 and have a care or disabled resident will continue to receive the same level of support at 15%

ADDITIONAL SUPPORT REMAINS The flexible support fund that was created in April 2020 will continue to assist households on low incomes to improve their own financial position. The council is proactively seeking to help residents on council tax reduction to maximise their household income.

We will continue to support those households that see significant increases in their council tax payments as a result of these changes through this additional support. Please now complete the survey and tell us what you think about our proposals.

Page 149 of 410

Page 150 of 410 Appendix 3

Revising The Council Tax Reduction Scheme

Analysis of Consultation November 2020

Page 151 of 410 Current LIFT context

Page 152 of 410 Current context

Summary • Unemployment is rising fast due to COVID–19, 7% since February. • Because of the additional funding for UC (£20 per week), people are better off under UC. Will it remain after April 2021? • CTR only claims (people on UC) have grown by 11.8% since April 2020. • In year CT collection is down by circa 2.5%. • 13,597 households on CTR as of 6 November 2020. • 2,689 households on CTR that are in arears. (19.8%) • 1,817 households on CTR have a cash shortfall.(13.4%) • 529 households on CTR that have a cash shortfall are in arrears. (3.9%)

Page 153 of 410 Future estimate 2021

Data from Policy in Practice – October 2020 Best Case Worst Case APRIL 2021 - MODELLING A APRIL 2021 - MODELLING B Total predicted households in LIFT 19,360 Total predicted households in LIFT 22075 % increase on August 2020 16% % increase on August 2020 33%

Residents and Caseload Residents and Caseload % of furloughed workers expected to become unemployed (by April 2021) 10% % of furloughed workers expected to become unemployed (by April 2021) 20% Number of households already in LIFT that become unemployed 64 Number of households already in LIFT that become unemployed 128 Number of low-income residents expected to become unemployed 3,206 Number of low-income residents expected to become unemployed 6,412 New claims - i.e. number of low-income households expected to become New claims - i.e. number of low-income households expected to become unemployed 2,716 unemployed 5,431

Assuming all potential households are eligible and make a claim for CTS Assuming all potential households are eligible and make a claim for CTS CTS CTS CTS spend (£/month) 1.6M CTS spend (£/month) 1.8M CTS spend - increase on present cost (August) 444K CTS spend - increase on present cost (August) 671K CTS - total eligible households 16,507 CTS - total eligible households 19,222 CTS - total eligible households - increase on present (August) 2,716 CTS - total eligible households - increase on present (August) 5,431 CTS - eligible households (new) 2,716 CTS - eligible households (new) 5,431

Unemployment & financial resilience Unemployment & financial resilience % Unemployed households (either partner) 42% % Unemployed households (either partner) 49% Unemployed households (either partner) 8,166 Unemployed households (either partner) 10,881 % households in cash shortfall 13% % households in cash shortfall 20% Number of households in cash shortfall 2,546 Number of households in cash shortfall 4,359 Potential cost of scheme 2021 £19.2M £21.6M

That is a potential increase from the current spend of between £5.3M & £8.1M Page 154 of 410 Future estimate 2021

• We consider an optimistic and pessimistic scenario for unemployment: best case in which 10% of those on furlough become unemployed; worst case in which 20% of those on furlough become unemployed [based on Resolution Foundation estimates]. • Luton's caseload could rise to 19,360 in the best case scenario (22,075 in the worst case). However Luton may not have full visibility over the increase if these households do not take up CTR (or are ineligible). We know that there is c.18% visibility over UC households at the moment so if this were to continue into April 2021 the visible LIFT caseload would instead be (17,622). It is important to note, however, that if new UC claimants have close to zero employment income - rather than needing to claim due to low income - visibility might increase. This will depend on how the government responds to the unfolding economic crisis and whether this will lead to redundancies or reduced hours/pay. • Implications for unemployment: unemployment could increase from 33% in August to 42% (49% in the worst case) by April 2021, representing 8,166 (10,881) households. • implications for financial resilience: the percentage of households in cash shortfall could increase from 16% in August to 20% in the worst case by April 2021, representing 4,359 households. Page 155 of 410 Reason for change

• Due to COVID–19 there is a significant budget gap that needs to be met. CTR is the largest discretionary spend that could help meet part of the gap. • If we do not reduce CTR support the cost of the scheme could grow from £13.5m in October 2020 to £21.6m by April 2021

Page 156 of 410 Consultation process

• Consultation on preferred option via survey emails or letters sent out to every household inviting people to respond. • Consultation started 1 September and closed 2 November 2020. • Analysis of results will be presented to Executive in December. • Full Council decision in January 2021. • New scheme adopted from April 2021.

Page 157 of 410 Consultation proposal

The key features of the proposed change are shown in the comparison table below Description Current Proposed Scheme consultation Number of excess income ranges (Families, singles & couples) 6 4 Number of excess income ranges (Disabled & carer) 6 5 Excess income range 1 (Families, disabled & carer) 90% 80% Excess income range 2 (Families, disabled & carer) 70% 60% Excess income range 4 (Families, singles & couples) 15% 0% Excess income range 5 (Disabled & carer) 5% 0% Excess income range 1 (Singles and couples) 75% 80% Maximum excess income (Families, singles & couples) £80 (range 6) £50(range 4) Maximum excess income (Disabled & carer) £80 (range 6) £70(range 5)

Page 158 of 410 Comparison passported

Working age passported existing

Client group Range 1 Award Passported disabled & carers £0 & over 90% Passported with children £0 & over 90% Passported other £0 & over 90%

Working age passported proposed

Client group Range 1 Award Passported disabled & carers £0 & over 80% Passported with children £0 & over 80% Passported other £0 & over 80%

Page 159 of 410 Comparison non passported

Working age non passported existing Client group Range 1 Award Range 2 Award Range 3 Award Non Passported disabled & carers £0-£14.99 90% £15 -29.99 70% £30-£49.99 40% Non Passported with children £0-£14.99 90% £15 -29.99 70% £30-£49.99 40%

Client group Range 4 Award Range 5 Award Range 6 Award Non Passported disabled & carers £50-£69.99 15% £70-79.99 5% £80 & over 0% Non Passported with children £50-£69.99 15% £70-79.99 5% £80 & over 0% Working age non passported proposed Client group Range 1 Award Range 2 Award Range 3 Award Non Passported disabled & carers £0-£14.99 80% £15 -29.99 60% £30-£49.99 40% Non Passported with children £0-£14.99 80% £15 -29.99 60% £30-£49.99 40%

Client group Range 4 Award Range 5 Award Non Passported disabled & carers £50-£69.99 15% £70 & over 0% Non Passported with children £50 & over 0%

Page 160 of 410 Comparison non passported

Working age non passported other existing Client group Range 1 Award Range 2 Award Range 3 Award Non Passported other £0-£14.99 75% £15 -29.99 60% £30-£49.99 40%

Client group Range 4 Award Range 5 Award Range 6 Award Non Passported other £50-£69.99 15% £70-79.99 5% £80 & over 0%

Working age non passported other proposed Client group Range 1 Award Range 2 Award Range 3 Award Non Passported other £0-£14.99 80% £15 -29.99 60% £30-£49.99 40%

Client group Range 4 Award Range 5 Award Non Passported other £50 & over 0%

Page 161 of 410 The results

26.8% (274)

68.2% (697) 5% (51)

Survey Feedback Intermediate solution. Keep the banding, but halve the % support, so £50 excess would receive 7.5% and £80 excess would receive 2.5%. This will reduce the 'shock' of losing income. A further reduction to 0% could then be implemented in the following year. Eliminating people in the £50 to £80 per week above the applicable amount will unleash untold hardship to them. Its worthwhile that these people continue to receive the 15% and 5% support as they currently receive now.

I fully support the Council's efforts to reduce the budget deficit caused by Covid 19. However in my view the proposed changes to the largest discretionary expenditure will bear little fruit. Residents who, like me, pay the full Council Tax will say it's a good idea to try and balance the budget in this way and many of those who currently receive a reduction will throw up their hands in horror and say they cannot possibly pay any more. Very few will say "well yes I could afford to pay more" As a life-time resident of Luton I have noticed a decline in services such as street cleaning (rubbish everywhere) and weeds growing out of pavements and gutters. I support any means of trying to balance the budget to see improvements in the town's services. I would support the council asking residents to contribute a small one -off voluntary surcharge, say £5-£10 per household Page 162 of 410 The results

30.7% (314)

64.8% (662)

4.5% (46)

Survey Feedback I don't believe making savings to the detriment of those already struggling or just about coping is a ethically balanced or constructive way of balancing a budget. I would look more towards increasing income from large (not small) businesses such as vauxhall, the university, luton airport. Many have made significant investments in infrastructure including large building and expansion projects. It can be argued that this investment is good for the local community and has its benefits however this also shows they have access to significant resources which should benefit the local council in the upkeep of its area. Saving money by targetting those who have little of it will only make life difficult for them and make it harder for them to become self sufficient. I believe the council should focus on big business who makes more money. No, the scheme is supporting some selected households on low incomes and they need continued support as do some others who have paid their council tax for over 40 years and have now been made redundant but are not eligible because they have had the presence of mind to save a little I realise you are in a difficult position and would prefer this not to be reduced - but if you have to, then please consider it very carefully - so as not to cause further problems down the line. Evidence shows that support to 'at risk' families reduces future budgets for education welfare, youth justice and health care. Please don't take hasty decisions in the current crisis

Page 163 of 410 The results

34.9% (357)

60.4% (617)

4.7% (48)

Survey Feedback

1. Disabled allowance to remain at £80 (with no reduction) simply because more carers and disabled people will claim more benefits because carers will just give up trying if their money is diminished any further, 2. Reduce the excess CTR for everyone else from £80 to £70 or £65 and reduce gradually every year by £10 or £15 until you reach £50 then they can drop out of the support scheme . A sudden reduction will be too harsh and some may prefer to claim everything than work.

you to find another solution. LBC has a 'think tank' so use it or ask the public for suggestions on how to raise the money

Where there is a genuine need for disabled to receive support this should continue as living costs can be higher for those with a disability. For all other households I agree with the reduction.

Page 164 of 410 The results

32.5% (332)

63.8% (652)

3.7% (38) Survey Feedback

Prefer to keep it as it is and black bins being emptied weekly again, and not have to pay for proposed gardening waste collection (which would end up in the black bin in black bags if not collected).

This is totally totally wrong. As is the idea of keeping range 3 unchanged. The maximum reduction should be capped at 25%. That is everyone in these categories pays at least 75% .

People do not have the money right now and are living on the breadline

I agree in principle that changes maybe required but, again, look at individuals and not force people into further debt.

Page 165 of 410 The results

40.3% (412)

55.2% (564)

4.5% (46)

Survey Feedback

People with children struggle more than single individuals. clothes food and general life items for children as they grow are expensive. those with children and elderly who cannot work should receive more support

I prefer that you top up the percentage of families with children. Times are hard for all but looking after the next generation is most important.

Leave at 75%. Every little help unless administration costs due to it.

Page 166 of 410 The results

75.5% (772)

21.2% (217)

3.2% (33) Survey Feedback Disabled households already get more income than other households from the benefits they get so they should be able to pay towards if anything. Families with children are already suffering from lack of services provided to them, the little that familIes are able to save from reduced council tax bills helps families a lot from feeding to clothing their children or towards other bills. Plus the impact COVID19 has had on households already, why hurt them more and the impact will be worst on the children from parents being worst off and stressed will only lead to worst poverty rates and crime in Luton.

I believe that all of the above support should be continued and that the additional funds required should be raised from a general increase in Council Tax. Please note that I currently pay full council tax, being fortunate that I do not require any of the above support. I have retired due to ill health and support myself, my wife and son.

Page 167 of 410 Analysis of results

The current operating environment • The impact of COVID -19 has yet to be fully understood. In particular the landscape in terms of employment availability has changed dramatically since February when the plans were approved. • A total of 1,776 households were affected by the CTR changes which took effect in April 2020. As of September 2020, 20% of these households had a nil balance on their council tax account for 20/21 (meaning they have paid the bill in full) and overall 73% for the cohort (1,776 households) has been paid. The response to the consultation • Approximately one third of those that responded to the survey support the change. • Three quarters of the respondents to the survey wanted disabled and carer households to remain unchanged in excess income range 4.

Page 168 of 410 Additional Support

Additional support is in place and will continue:

• Detailed, individual assessment of household ability to manage the reduction in CTR support through budget management and/or income maximisation and supported access to existing provision to achieve this.

• Provision of additional employment/skills support services where gaps in existing services are identified.

• Provision of short term discretionary financial support to households unable to manage reduction in CTR despite engagement with a) and/or b) above.

Page 169 of 410

Page 170 of 410 Appendix 4

Luton Borough Council

The Council Tax Reduction Scheme Rules 2021 (working age applicants)

CONTENTS

PART 1 Introduction...... 4 1. Name and start of scheme ...... 4

2. Making an application for a reduction ...... 4

3. Procedure for applying for a discretionary reduction ...... 4

4. Disputes and appeals ...... 5

5. Applicants entitled to a maximum reduction under this scheme ...... 5

6. Entitlement for other eligible applicants ...... 6

7. Applicants excluded from this scheme ...... 6

PART 2 Amount of reduction for this scheme ...... 7 8. Weekly in year liability ...... 7

9. Levels of reduction ...... 7

PART 3 Calculating income and capital ...... 8 10. Applicant’s family and polygamous marriages ...... 8

11. Universal credit ...... 8

12. Average weekly earnings of employed earners ...... 9

13. Average weekly earnings of self-employed earners ...... 10

14. Average weekly income other than earnings ...... 10

15. Calculation of income other than earnings ...... 10

16. Capital treated as income ...... 11

17. Notional income ...... 11

18. Earned income and child care charges ...... 11

19. Calculation of average weekly income from tax credits ...... 12

1 Page 171 of 410 20. Calculation of capital ...... 12

21. Extended reductions ...... 13

22. Extended Reductions: Movers into an Authority’s Area ...... 14

23: Applicable amounts ...... 14

Appendix 1- Students ...... 17 1. Interpretation ...... 17

2. Students who are excluded from entitlement to a reduction ...... 21

3. Calculation of grant income ...... 23

4. Treatment of payments from access funds ...... 27

5. Income treated as capital ...... 28

Appendix 2 - When entitlement begins and changes of circumstances ...... 29 1. Date on which entitlement begins ...... 29

2. Making an application ...... 29

3. Date on which an application is made ...... 30

4. Back-dating of an application ...... 32

5. Information and evidence ...... 32

6. Amendment and withdrawal of application ...... 34

7. Duty to notify changes of circumstances ...... 34

8. Date on which change of circumstances is to take effect ...... 35

9. Correction of accidental errors ...... 36

10. Notification of decision ...... 36

11. Payment where there is joint and several liability ...... 37

12. Conditions for the use of electronic communication ...... 38

Appendix 3 - Glossary and definitions ...... 40 1. Glossary...... 40

2. Application of scheme ...... 54

3. Meaning of “couple” ...... 54

4. Polygamous marriages ...... 54

5. Meaning of “family” ...... 55

6. Circumstances in which a person is to be treated as responsible or not responsible for another ...... 55

7. Households ...... 56

8. Non-dependents ...... 57

9. Remunerative work ...... 61 2 Page 172 of 410 10. Child care costs ...... 62

11. Class of person excluded from this scheme: persons treated as not being in Great Britain ...... 68

12. Periods of absence from a dwelling ...... 70

13. Earnings of employed earners ...... 72

14. Earnings of self-employed earners ...... 73

15. Calculation of net profit of self-employed earners ...... 74 16. Calculation of deduction of tax and contributions of self-employed earners...... 76

17. Calculation of income other than earnings - student income ...... 77

18. Notional income exceptions ...... 79

19. Income treated as capital...... 82

20. Notional capital ...... 83

21. Disregard of change in tax, contributions etc...... 85

22. Earned income disregards ...... 86

Appendix 4 ...... 101 1. Capital Disregards ...... 101

Appendix 5 ...... 113 Personal allowances ...... 113

Premiums ...... 114

Disability premium ...... 115

Additional condition for the disability premium ...... 115

Severe disability premium ...... 117

Enhanced disability premium ...... 119

Disabled child premium ...... 120

Carer premium ...... 120

Persons in receipt of concessionary payments ...... 121

Persons in receipt of benefit for another...... 121

16. Amounts of Premiums Specified ...... 121

The components ...... 122

The Support Component ...... 123

Amount of Component ...... 123

Transitional Addition ...... 123

Amount of Transitional Addition ...... 125

3 Page 173 of 410

PART 1 Introduction

1. Name and start of scheme

This scheme may be cited as The Council Tax Reduction Scheme 2021 (working age applicants) and applies from 1 April 2021.

2. Making an application for a reduction

An application for Universal Credit as notified to us by the Department of Work and Pensions will be treated as an application for Council Tax Reduction. In all other cases an application must be made in writing or by means of electronic communication. An application that is made in writing must be made to a designated office on a properly completed form. If the form is not properly completed, the applicant will be asked to correctly complete the form and return it within 1 calendar month of the date of request. If the applicant fails to comply then the application will not be considered.

(1) The authority may terminate any reduction in relation to persons who fail to comply with the information requirements as in Appendix 2 paragraph 5.

(2) Those persons shall cease to be entitled to the reduction from the date that the information was requested or such earlier date on which entitlement to a reduction under this scheme ceases.

3. Procedure for applying for a discretionary reduction

Procedure for an application to the authority for a reduction under section 13A (1) (c) of the 1992 Act

(i) An application to the authority for a reduction under section 13A(1)(c) of the 1992 Act may be made:- (a) in writing; (b) by means of an electronic communication in accordance with Part 11 of Appendix 2; or (c) where the authority has published a telephone number for the purposes of receiving such applications by telephone (ii) Where:-

4 Page 174 of 410 (a) the authority has made a determination under section 13A(1)(c) in relation to a class of case in which liability is to be reduced; and (b) a person in that class would otherwise be entitled to a reduction under this scheme that person’s application for a reduction under this scheme may also be treated as an application for a reduction under section 13A (1) (c)

4. Disputes and appeals

An applicant may ask for a decision on their Council Tax Reduction to be revised if they dispute it. This request should be made in writing directly to Luton Borough Council and must clearly state why they feel the decision should be changed.

On receipt of a written dispute the authority must consider the matter to which the dispute relates and notify the applicant in writing of the outcome stating the steps taken and reasons for their decision within 2 months of the request.

If they are still dissatisfied or if no response has been received within 2 months of the request for a revision then they have a further 2 months to appeal to an independent tribunal. The request must be in writing and made directly to the Valuation Tribunal who administer Council Tax Reduction appeals.

The form that is required to lodge an appeal can be obtained from the Valuation Tribunal directly.

5. Applicants entitled to a maximum reduction under this scheme

The maximum reduction is the relevant percentage specified in income band 1. Applicants who fall into income band 1 are:

(1) applicants whose calculated weekly excess income (defined in Part 3) is within the income range for income band 1 of their respective client group; or

(2) an applicant in receipt of a passported benefit – i.Income Support ii.Job Seeker’s Allowance (Income Based) iii.Employment Support Allowance (Income Related) iv.Maximum Universal Credit, except where there are additional earnings.

5 Page 175 of 410 6. Entitlement for other eligible applicants

Where the applicant does not meet the criteria in paragraph (5), their entitlement will be based on the income band range in which their calculated excess weekly income falls.

7. Applicants excluded from this scheme

(a) Any person whose capital exceeds £16,000. Capital is to be calculated in accordance with Part 3, paragraph 20 of this scheme.

(b) Any student to whom Appendix 1 paragraph 2 applies

(c) Subject to paragraph (aa) persons subject to immigration control are not entitled to a reduction under this scheme. “Person subject to immigration control” has the meaning given in section 115 (9) of the Immigration and Asylum Act 1999.

(aa) A person who is a national of a state which has ratified the European Convention on social and Medical Assistance1 (done in Paris on 11 December 1953) or a state which has ratified the Council of Europe Social Charter (signed in Turin on 18 October 1961) and who is lawfully present in the United Kingdom is not a person subject to immigration control for the purpose of paragraph (c)

(d) Any applicant treated as not being in Great Britain2

(e) Any person whose sole main place of residence is not the property for which they are applying for Local Council Tax Reduction in Luton.

(f) Any person who is not liable to pay council tax in respect of the dwelling of which he is a resident as in (e)

(g) Who, subject to paragraph 12 of Appendix 3, is not absent from the dwelling throughout the day

(h) Any person who has not made an application as in paragraph 2a single applicant who is in receipt of state pension and in the case of a couple, where both the applicant and their partner are in receipt of state pension.

1 Cmd. 9512

2 See Appendix 3 paragraph 11 as to persons treated as not being in Great Britain.

6 Page 176 of 410

PART 2 Amount of reduction for this scheme

8. Weekly in year liability

Any council tax reduction will be applied to the annual liability. This is the calculated annual liability after any discounts and non dependent deductions have been applied and does not include any arrears, credits or other charges.

9. Levels of reduction

(1) the reduction applied will be equal to a percentage of the liability as referred to in paragraph (8)

(2) the percentage to be applied will be based on the income of the applicant and partner/s, according to specified income bands

(3) the maximum reduction is equivalent to the Band 1 percentage applied against the Council Tax liability.

(4) the Income Band is the number allocated to the excess income range and related percentage

(5) the Income Range is the applicant’s weekly income (as calculated under these rules) to which the Council Tax Reduction (CTR) percentage relates. Where the applicant’s calculated household weekly excess income falls on or within a range, then the related CTR percentage for their respective client group is applied against their liability

(6) the percentage is the figure used to calculate the amount of CTR

Income Income Income Client group range 1 award range 2 award range 3 award

Working age Passported disabled and carers £0 and over 80% N/A N/A N/A N/A

Working age Passported with children £0 and over 80% N/A N/A N/A N/A

Working age Passported £0 and over 80% N/A N/A N/A N/A

Working age Non Passported disabled and carers £0 - £14.99 80% £15 - £29.99 60% £30 - £49.99 40%

Working age Non Passported with children £0 - £14.99 80% £15 - £29.99 60% £30 - £49.99 40%

Working age Non Passported Other £0 - £14.99 80% £15 - £29.99 60% £30 - £49.99 40%

Income Income Income Client group range 4 award range 5 award range 6 award

Working age Passported disabled and carers N/A N/A N/A N/A N/A N/A

Working age Passported with children N/A N/A N/A N/A N/A N/A

Working age Passported N/A N/A N/A N/A N/A N/A

Working age Non Passported disabled and carers £50 - £69.99 15% £70 and over 0% £80 and over 0%

Working age Non Passported with children £50 and over 0% N/A N/A N/A N/A

Working age Non Passported Other £50 and over 0% N/A N/A N/A N/A

7 Page 177 of 410

PART 3 Calculating income and capital

10. Applicant’s family and polygamous marriages The income and capital of any partner or partners of the applicant is to be treated as income and capital of the applicant

11. Universal credit Treatment of Universal Credit:

(1) Where there is an award of universal credit which is not a maximum award, subject to sub-paragraphs (a) to (c), the amount of universal credit to be used as income in an assessment of council tax reduction is the amount of the award of universal credit together with any additional earnings.

(a) Monthly amounts should be multiplied by 12 and divided by 52 to calculate weekly amounts. (b) The authority may only adjust the amount of the income in cases where income and capital of t h e non-dependent is to be treated as the applicant’s if the authority determines that the relevant provision applies in the applicant’s case or such further reduction (if any) under section 13(A)(1)(c) of the 1992 Act (power of billing authority to reduce the amount of Council Tax payable) as the authority thinks fit. (c) If the only deduction from an applicant’s maximum award of universal credit is a sanction, this shall be ignored for the purposes of the council tax reduction calculation and the applicant shall be treated as if they were in receipt of maximum universal credit. (d) When calculating the additional earnings use the gross figure less: (1) National Insurance (2) Income Tax (3) 50% of any occupational pension contribution In all other cases the amount of the universal credit award to be taken into account as income will be the award amount after all deductions including any sanction (subject to paragraphs (a) and (b) above).

(2) Where there is an advance payment of universal credit this will be treated as income in an assessment of council tax reduction for the period to which the payment relates, any late notified advance payments will be treated as income for the period to which the payment relates and an adjustment will be made to the award of council tax reduction for that period.

8 Page 178 of 410

12. Average weekly earnings of employed earners

(1) Where the income of an applicant consists of gross earnings3 from employment as an employed earner his average weekly earnings should be estimated over a period immediately preceding the reduction week in which the application is made. (2) The period should be 5 weeks, if the applicant is paid weekly, 6 weeks if paid fortnightly or 2 months, if paid monthly. If the income fluctuates or the applicant has not been employed long enough, the authority will choose more suitable periods to assess from.

(3) If the period referred to in (1) does not exceed a week, the weekly amount is to be the amount of that payment. If it exceeds a week, the weekly amount is to be determined—

(a) in a case where that period is a month, by multiplying the amount of the payment by 12 and dividing the product by 52; (b) in any other case, by dividing the amount of the payment by the number equal to the number of days in the period to which it relates and multiplying the product by 7.

(4) When calculating earned income use the gross figure less (1) National Insurance (2) Income Tax (3) 50% of any occupational pension contribution

(5) Everyone who has earned income, other than those in receipt of Universal Credit will qualify for the standard earned income disregard. The disregard has different amounts, but whether you are a single claimant, lone parent or a couple, you only qualify for one amount. (a) Permitted work approved by the DWP: £140.00. per week (b) Lone Parents: £25 per week (c) Sickness or Disability: £20 per week (d) Carers: £20 per week (e) Special Occupations: £20 per week (f) Couples: £10 per week (g) Single Claimants: £5 per week (h) Additional Earned Income: £17.10 per week See Appendix 3 paragraph 22. For the conditions for each amount, and which one you qualify for.

3 See Appendix 3 paragraph 13 for a definition of ‘earnings’

9 Page 179 of 410 13. Average weekly earnings of self-employed earners (1) The average weekly earnings must be estimated by reference to the earnings from that employment over such period as is appropriate in order that his average weekly earnings may be estimated accurately but the length of the period must not in any case exceed a year4.

(2) The weekly amount of earnings of an applicant is to be determined by dividing his earnings over the assessment period by the number equal to the number of days in that period and multiplying the product by 7.

14. Average weekly income other than earnings (1) The income of an applicant which does not consist of earnings must, except where sub-paragraph (2) applies, be estimated over such period as is appropriate in order that his average weekly income may be estimated accurately but the length of the period must not in any case exceed 52 weeks and nothing in this paragraph authorises the authority to disregard any such income other than that specified in Appendix 3 Paragraph 23

(2) The period over which any benefit under the benefit Acts is to be taken into account is to be the period in respect of which that benefit is payable

(3) For the purpose of this paragraph income other than earning is to be calculated in accordance with paragraph 15 (Calculation of income other than earnings)

(4) In general the following types of students are excluded from reductions

(a) Full-time students, and (b) Students who are persons treated as not being in Great Britain5

Appendix 1 provides exemptions, details and definitions of students and their income

15. Calculation of income other than earnings (1) For the purposes of paragraph 14, the income of an applicant which does not consist of earnings to be taken into account must, subject to sub- paragraphs (2) to (5) be his gross income and any capital treated as income under paragraph 16 (capital treated as income). (2) There is to be disregarded from the calculation of an applicant’s gross income under sub-paragraph (1), any sum, where applicable specified in appendix 3 Paragraph 23 (3) Where the payment of any benefit under the benefit Acts is subject to any deduction by way of recovery the amount to be taken into account under sub- paragraph (1) must be the gross amount payable.

4 See Appendix 3 paragraphs (14), (15) and (16)

5 See paragraph Appendix 3 paragraph 11 as to persons treated as not being in Great Britain.

10 Page 180 of 410 (4) Where the applicant, or where he is a member of a couple, his partner is receiving a contributory employment and support allowance and that benefit has been reduced under regulation 63 of the Employment and Support Allowance Regulations 2008, the amount of that benefit to be taken into account is the amount as if it had not been reduced. (5) Where an award of any working tax credit or child tax credit under the Tax Credits Act 2002 is subject to a deduction by way of recovery of an overpayment of working tax credit or child tax credit which arose in a previous tax year, the amount to be taken into account is to be the amount of working tax credit or child tax credit awarded less the amount of that deduction.

16. Capital treated as income (1) Any capital payable by instalments which are outstanding at the date on which the application is made, or treated as made, or, at the date of any subsequent revision or suppression, must, if the aggregate of the instalments outstanding and the amount of the applicants capital exceeds £6,000 be treated as income and shall be calculated as if it were a weekly income of

(a) £1 for each £250 in excess of £6,000 but not exceeding £16,000 (b) £1 for any excess which is not a complete £250

Subject to appendix 3 paragraph 19

(2) Any payment received under an annuity is to be treated as income.

(3) Any earnings to the extent that they are not a payment of income is to be treated as income.

(4) Any Career Development Loan paid pursuant to section 2 of the Employment and Training Act 1973 is to be treated as income.

(5) Where an agreement or court order provides that payments must be made to the applicant in consequence of any personal injury to the applicant and that such payments are to be made, wholly or partly, by way of periodic payments, any such periodic payments received by the applicant, is to be treated as income.

17. Notional income Subject to Appendix 3 paragraph 18 an applicant is to be treated as possessing income of which the applicant has deprived himself for the purpose of securing entitlement to a reduction under a council tax reduction scheme or increasing the amount of the reduction.

18. Earned income and child care charges Subject to Appendix 3 paragraph 10, if the applicant works over 16 hours a

11 Page 181 of 410 week expenditure on child care is disregarded from their income up to £175 per week for one child or £300 per week for two or more children.

19. Calculation of average weekly income from tax credits The period over which a tax credit is to be taken into account is the period where the installment in respect of which payment of a tax credit is made is

(a) a daily installment, the period is 1 day, being the day in respect of which the installment is paid; (b) a weekly installment, the period is 7 days, ending on the day on which the installment is due to be paid; (c) a two weekly installment, the period is 14 days, commencing 6 days before the day on which the installment is due to be paid; (d) a four weekly installment, the period is 28 days, ending on the day on which the installment is due to be paid.

20. Calculation of capital (1) All capital held by the applicant and their partner/s is to be taken into account, except for capital treated as income as per paragraph 16 and disregarded capital as specified in Appendix 4. (2) Capital which an applicant possesses in the United Kingdom is to be calculated at its current market or surrender value less— (a) where there would be expenses attributable to the sale, 10 percent; and (b) the amount of any encumbrance secured on it.

(3) Capital which an applicant possesses in a country outside the United Kingdom must be calculated— (a) in a case where there is no prohibition in that country against the transfer to the United Kingdom of an amount equal to its current market or surrender value in that country, at that value; (b) in a case where there is such a prohibition, at the price which it would realise if sold in the United Kingdom to a willing buyer, less, where there would be expenses attributable to sale, 10 percent and the amount of any encumbrances secured on it.

(4) An applicant is to be treated as possessing capital of which he has deprived himself for the purpose of securing entitlement to a reduction or increasing the amount of that reduction. Notional capital is defined under Appendix 3 paragraph 20

(5) Except where an applicant possesses capital which is disregarded under Appendix 3 paragraph 20 (notional capital), where an applicant and one or more persons are beneficially entitled in possession to any capital asset they must be treated, in the absence of evidence to the contrary, as if each of them were entitled in possession to the whole beneficial interest therein in an equal share 12 Page 182 of 410

21. Extended reductions

(1) The applicant is entitled to an Extended Reduction (ER) if they meet the conditions set out in sub-paragraphs (4) or (5)

(2) An ER is awarded from the date the change takes effect, and it lasts for four weeks. In each of those four weeks, the amount of the ER is the greater of: (a) The amount awarded in the last full benefit week before the ER started. (b) The amount which would be the applicant's entitlement in that particular week if there were no such thing as ER.

(3) Throughout the ER, all changes in the applicant’s circumstances are ignored and no ER is awarded for council tax during any period where the applicant is not liable for council tax.

(4) The applicants who have been on a ‘qualifying income-related benefit’ will be entitled to an ER if: (a) the applicant or any partner starts employment or self-employment, or increases his or her hours or earnings; (b) this is expected to last for at least five weeks; (c) the applicant or partner has been entitled to Employment and Support Allowance income related (ESA(IR)), Job Seeker’s Allowance income based (JSA(IB)), Job Seeker’s Allowance contribution based (JSA(C)) or Income Support (IS) continuously for at least 26 weeks (or any combination of those benefits in that period); (d) Immediately before starting the job, etc, the applicant or partner was on ESA(IR), JSA(IB) or IS. At this point being on JSA(C) is not enough; and (e) Entitlement to ESA(IR), JSA(IB) or IS ceases as a result of starting the job, etc. (5) The applicants who have been on a 'qualifying contributory benefit’ will be entitled to an extended payment if: (a) the applicant or any partner starts employment or self-employment, or increases his or her hours or earnings; (b) this is expected to last for at least five weeks; (c) the applicant or partner has been entitled to Employment and Support Allowance contribution based (ESA(C)), Incapacity Benefit (IB) or Severe Disablement Allowance (SDA) continuously for at least 26 weeks (or any combination of those benefits in that period); (d) Immediately before starting the job, etc, the applicant or partner was on ESA(C), IB or SDA. And neither of them must be on ESA(IR), JSA(IB) or IS; and (e) Entitlement to ESA(C), IB or SDA ceases as a result of starting the job, etc.

13 Page 183 of 410

22. Extended Reductions: Movers into an Authority’s Area

Where—

(1) an application is made to the authority (“the current authority”) for a reduction under this scheme, and

(2) the applicant, or the partner of the applicant, is in receipt of an extended reduction from—

(a) another billing authority in England; or

(b) a billing authority in Wales, the current authority must reduce any reduction to which the applicant is entitled under this scheme by the amount of that extended reduction.

23: Applicable amounts (1) Subject to paragraphs (2) and (3), the applicable amount for a week is the aggregate of such of the following amounts as may apply in his case—

(a) an amount in respect of himself or, if he is a member of a couple, an amount in respect of both of them, determined in accordance with Part 1 paragraph 1 of Appendix 5;

(b) subject to paragraph (i) an amount in respect of up to two individuals who are either children or young persons who are members of his family, determined in accordance with Part 1 paragraph 3 of Appendix 5; (i) where the claimant has an award of child tax credit in respect of more than 2 individuals who are either children or young persons who are members of his family determined in accordance with Part 1 paragraph 3 of Appendix 5;

(c) the amount of any premiums which may be applicable to him, determined in accordance with Parts 2 and 3 of Appendix 5 (premiums);

(d) the amount of the support component, which may be applicable to him in accordance with Parts 4 and 5 of Appendix 5 (the components)

(f) the amount of any transitional addition which may be applicable to him in accordance with Parts 6 and 7 of Appendix 5 (transitional addition).

In Appendix 5

“converted employment and support allowance” means an employment and support allowance which is not income-related and to which a person is entitled as a result of a conversion decision within the meaning of the Employment and Support Allowance (Existing Awards) Regulations 2008;

“patient” means a person (other than a person who is serving a sentence of imprisonment or detention in a youth custody institution) who is regarded as 14 Page 184 of 410 receiving free in-patient treatment within the meaning of regulation 2(4) and (5) of the Social Security (Hospital In-Patients) Regulations 2005. Polygamous marriages:

(2) This paragraph applies where:-

(a) an applicant is a member of a polygamous marriage and does not have (alone or jointly with a party to a marriage), an award of universal credit.

(b) The applicable amount for a week of an applicant where this paragraph applies is the aggregate of such of the following amounts as may apply in his case: (i) the amount applicable to him and one of his partners determined in accordance with paragraph 1(3) of Appendix 5 as if he and that partner were a couple;

(ii) an amount equal to the difference between the amounts specified in sub-paragraphs (3) and (1)(b) of paragraph 1 of Appendix 5 in respect of each of his other partners;

(iii) an amount determined in accordance with paragraph 2 of Appendix 5 (main phase employment and support allowance) in respect of any child or young person for whom he or a partner of his is responsible and who is a member of the same household;

(iv) the amount of any premiums which may be applicable to him determined in accordance with Parts 2 and 3 of Appendix 5 (premiums);

(v) the amount of the support component, which may be applicable to him in accordance with Parts 4 and 5 of that Appendix 5 (the components);

(vi) the amount of any transitional addition which may be applicable to him in accordance with Parts 6 and 7 of that Schedule (transitional addition).

Applicable amount: persons who have an award of universal credit

(3) Subject to sub-paragraph (4), in determining the applicable amount for a week of an applicant who is not a pensioner

(a) who has, or

(b) who (jointly with his partner) has, an award of universal credit, the authority must use the calculation or estimate of the maximum amount of the applicant, or the applicant and his partner jointly (as the case may be), subject to the adjustment described in sub- paragraph (5).

15 Page 185 of 410 (4) In determining the applicable amount for a week of an applicant who is a member of a polygamous marriage, the fact that two people are husband and wife is to be disregarded if—

(a) one of them is a party to an earlier marriage that still subsists; and

(b) the other party to that earlier marriage is living in the same household.

(5) The adjustment referred to in sub-paragraph (3) is to multiply the maximum amount by 12 and divide the product by 52.

(6) In this paragraph “maximum amount” means the maximum amount calculated by the Secretary of State in accordance with section 8(2) of the Welfare Reform Act 2012(a).

16 Page 186 of 410

Appendix 1- Students

1. Interpretation (1) “academic year” means the period of twelve months beginning on 1st January, 1st April, 1st July or 1st September according to whether the course in question begins in the winter, the spring, the summer or the autumn respectively but if students are required to begin attending the course during August or September and to continue attending through the autumn, the academic year of the course is to be considered to begin in the autumn rather than the summer; (2) “access funds” means (a) grants made under section 68 of the Further and Higher Education Act 1992 for the purpose of providing funds on a discretionary basis to be paid to students; (b) grants made under sections 73(a) and (c) and 74(1) of the Education (Scotland) Act1980; (c) grants made under Article 30 of the Education and Libraries (Northern Ireland) Order 1993 or grants, loans or other payments made under Article 5 of the Further Education (Northern Ireland) Order 1997 in each case being grants, or grants, loans or other payments as the case may be, for the purpose of assisting students in financial difficulties; (d) discretionary payments, known as “learner support funds”, which are made available to students in further education by institutions out of funds provided by the Secretary of State under section 14 of the Education Act 2002 or the Chief Executive of Skills Funding under sections 100 and 101 of the Apprenticeships, Skills, Children and Learning Act 20096; or (e) Financial Contingency Funds made available by the Welsh Ministers;

(3) “college of further education” means a college of further education within the meaning of Part 1 of the Further and Higher Education (Scotland) Act 1992; “contribution” means (a) any contribution in respect of the income of a student or any person which the Secretary of State, the Scottish Ministers or an education authority takes into account in ascertaining the amount of a student’s grant or student loan; or (b) any sums, which in determining the amount of a student’s allowance or bursary in Scotland under the Education (Scotland) Act 1980, the Scottish Ministers or education authority takes into account being sums which the Scottish Ministers or education authority considers that

6 2009 c.22 17 Page 187 of 410 it is reasonable for the following persons to contribute towards the holder’s expenses— i. the holder of the allowance or bursary; ii. the holder’s parents; iii. the holder’s parent’s spouse, civil partner or a person ordinarily living with the holder’s parent as if he or she were the spouse or civil partner of that parent; or iv. the holder’s spouse or civil partner;

(4) “course of study” means any course of study, whether or not it is a sandwich course and whether or not a grant is made for attending or undertaking it; (5) “covenant income” means the gross income payable to a full-time student under a Deed of Covenant by his parent; (6) “education authority” means a government department, a local authority as defined in section 579 of the Education Act 1996 (interpretation), a local education authority as defined in section 123 of the Local Government (Scotland) Act 1973, an education and library board established under Article 3 of the Education and Libraries (Northern Ireland) Order 1986, anybody which is a research council for the purposes of the Science and Technology Act 1965 or any analogous government department, authority, board or body, of the Channel Islands, Isle of Man or any other country outside Great Britain;

(7) “full-time course of study” means a full-time course of study which

(a) is not funded in whole or in part by the Secretary of State under section 14 of the Education Act 2002, the Chief Executive of Skills Funding or by the Welsh Ministers or a full-time course of study which is not funded in whole or in part by the Scottish Ministers at a college of further education or a full-time course of study which is a course of higher education and is funded in whole or in part by the Scottish Ministers; (b) is funded in whole or in part by the Secretary of State under section 14 of the Education Act 2002, the Chief Executive of Skills Funding or by the Welsh Ministers if it involves more than 16 guided learning hours per week for the student in question, according to the number of guided learning hours per week for that student set out (i) in the case of a course funded by the Secretary of State under section 14 of the Education Act 2002 or the Chief Executive of Skills Funding, in the student’s learning agreement signed on behalf of the establishment which is funded by either of those persons for the delivery of that course; or (ii) in the case of a course funded by the Welsh Ministers, in a document signed on behalf of the establishment which is funded by that Council for the delivery of that course; or (c) is not higher education and is funded in whole or in part by the Scottish Ministers at a college of further education and involves— (i) more than 16 hours per week of classroom-based or workshop- based programmed learning under the direct guidance of teaching staff according to the number of hours set out in a document signed on behalf of the college; or 18 Page 188 of 410 (ii) 16 hours or less per week of classroom-based or workshop- based programmed learning under the direct guidance of teaching staff and additional hours using structured learning packages supported by the teaching staff where the combined total of hours exceeds 21 hours per week, according to the number of hours set out in a document signed on behalf of the college; (8) “full-time student” means a person attending or undertaking a full-time course of study and includes a student on a sandwich course; (9) “grant” (except in the definition of “access funds”) means any kind of educational grant or award and includes any scholarship, studentship, exhibition, allowance or bursary but does not include a payment from access funds or any payment to which sub paragraph 52 of Appendix 4 applies; (10) “grant income” means (i) any income by way of a grant; (ii) any contribution whether or not it is paid; (11) “higher education” means higher education within the meaning of Part 2 of the Further and Higher Education (Scotland) Act 1992; (12) “last day of the course” means (i) in the case of a qualifying course, the date on which the last day of that course falls or the date on which the final examination relating to that course is completed, whichever is the later; (ii) in any other case, the date on which the last day of the final academic term falls in respect of the course in which the student is enrolled; (13) “period of study” means (a) in the case of a course of study for one year or less, the period beginning with the start of the course and ending with the last day of the course; (b) in the case of a course of study for more than one year, in the first or, as the case may be, any subsequent year of the course, other than the final year of the course, the period beginning with the start of the course or, as the case may be, that year’s start and ending with either— (i) the day before the start of the next year of the course in a case where the student’s grant or loan is assessed at a rate appropriate to his studying throughout the year or, if he does not have a grant or loan, where a loan would have been assessed at such a rate had he had one; or (ii) in any other case, the day before the start of the normal summer vacation appropriate to his course; (iii) in the final year of a course of study of more than one year, the period beginning with that year’s start and ending with the last day of the course; (14) “periods of experience” means periods of work experience which form part of a sandwich course; (15) “qualifying course” means a qualifying course as defined for the purposes of Parts 2 and 4 of the Jobseeker’s Allowance Regulations 1996; (16) “ sandwich course” has the meaning prescribed in regulation 2(9) of the Education (Student Support) Regulations 2008, regulation 4(2) of the Education (Student Loans) (Scotland) Regulations 2007 or regulation 2(8) of

19 Page 189 of 410 the Education (Student Support) Regulations (Northern Ireland) 2007, as the case may be; (17) “ standard maintenance grant” means (a) except where paragraph (b) or (c) applies, in the case of a student attending or undertaking a course of study at the University of London or an establishment within the area comprising the City of London and the Metropolitan Police District, the amount specified for the time being in paragraph 2(2)(a) of Schedule 2 to the Education (Mandatory Awards) Regulations 20037 (“the 2003 Regulations”) for such a student; (b) except where paragraph (c) applies, in the case of a student residing at his parent’s home, the amount specified in paragraph 3 thereof; (c) in the case of a student receiving an allowance or bursary under the Education (Scotland) Act 1980, the amount of money specified as “standard maintenance allowance” for the relevant year appropriate for the student set out in the Student Support in Scotland Guide issued by the Student Awards Agency for Scotland, or its nearest equivalent in the case of a bursary provided by a college of further education or a local education authority; (d) in any other case, the amount specified in paragraph 2(2) of Schedule 2 to the 2003 Regulations other than in sub-paragraph (a) or (b) thereof; (18) “student” means a person, other than a person in receipt of a training allowance, who is attending or undertaking (a) a course of study at an educational establishment; or (b) a qualifying course; (19) “student loan” means a loan towards a student’s maintenance pursuant to any regulations made under section 22 of the Teaching and Higher Education Act 19988, section 73 of the Education (Scotland) Act 1980 or Article 3 of the Education (Student Support) (Northern Ireland) Order 1998 and includes, in Scotland, a young student’s bursary paid under regulation 4(1)(c) of the Students’ Allowances (Scotland) Regulations 2007. (20) For the purposes of the definition of “full-time student” in sub-paragraph (1), a person must be regarded as attending or, as the case may be, undertaking a full-time course of study or as being on a sandwich course (a) subject to sub-paragraph (3), in the case of a person attending or undertaking a part of a modular course which would be a full-time course of study for the purposes of this Part, for the period beginning on the day on which that part of the course starts and ending— (i) on the last day on which he is registered with the educational establishment as attending or undertaking that part as a full-time course of study; or (ii) on such earlier date (if any) as he finally abandons the course or is dismissed from it; (b) in any other case, throughout the period beginning on the date on which he starts attending or undertaking the course and ending on the last day of the course or on such earlier date (if any) as he finally abandons

7 S.I. 2003/1994; relevant amending instrument is S.I. 2008/1477.

8 1998 c.30. 20 Page 190 of 410 it or is dismissed from it. (21) For the purposes of paragraph (a) of sub-paragraph (2), the period referred to in that paragraph includes (a) where a person has failed examinations or has failed successfully to complete a module relating to a period when he was attending or undertaking a part of the course as a full- time course of study, any period in respect of which he attends or undertakes the course for the purpose of retaking those examinations or that module; (b) any period of vacation within the period specified in that paragraph or immediately following that period except where the person has registered with the educational establishment to attend or undertake the final module in the course and the vacation immediately follows the last day on which he is required to attend or undertake the course.

(22) “modular course” means a course of study which consists of two or more modules, the successful completion of a specified number of which is required before a person is considered by the educational establishment to have completed the course.

2. Students who are excluded from entitlement to a reduction

(1) The students who are excluded from entitlement to reduction under this scheme are, subject to sub-paragraphs (2) and (6),

(a) full time students; and (b) students who are persons treated as not being in Great Britain.

(2) Sub-paragraph 1 does not apply to a student – ‘

(a) who is a person on income support, an income-based jobseeker’s allowance or an income-related employment and support allowance; (b) who is a lone parent; (c) whose applicable amount would, but for this paragraph, include the disability premium or severe disability premium; (d) whose applicable amount would include the disability premium but for his being treated as capable of work by virtue of a determination made in accordance with regulations made under section 171E of the SSCBA; (e) who is, or is treated as, incapable of work and has been so incapable, or has been so treated as incapable, of work in accordance with the provisions of, and regulations made under, Part 12A of the SSCBA (incapacity for work) for a continuous period of not less than 196 days; and for this purpose any two or more separate periods separated by a break of not more than 56 days must be treated as one continuous period; (f) who has, or is treated as having, limited capability for work and has had, or been treated as having, limited capability for work in accordance with the Employment and Support Allowance Regulations 2008 for a continuous period of not less than 196 days, and for this purpose any two or more separate periods separated by a break of not more than 84 days must be treated as one continuous period; (g) who has a partner who is also a full-time student, if he or that partner is

21 Page 191 of 410 treated as responsible for a child or young person; (h) who is a single applicant with whom a child is placed by a local authority or voluntary organisation within the meaning of the Children Act 1989 or, in Scotland; (i) who is (ii) aged under 21 and whose course of study is not a course of higher education, (iii) aged 21 and attained that age during a course of study which is not a course of higher education, or (iv) a qualifying young person or child within the meaning of section 142 of the SSCBA (child and qualifying young person); (j) in respect of whom— (i) a supplementary requirement has been determined under paragraph 9 of Part 2 of Schedule 2 to the Education (Mandatory Awards) Regulations 2003; (ii) an allowance, or as the case may be, bursary has been granted which includes a sum under paragraph (1)(d) of regulation 4 of the Students’ Allowances (Scotland) Regulations 1999 or, as the case may be, under paragraph (1)(d) of regulation 4 of the Education Authority (Bursaries) (Scotland) Regulations 1995, in respect of expenses incurred; (iii) a payment has been made under or by virtue of regulations made under the Teaching and Higher Education Act 1998 (this only applies to an applicant until the end of the course during which the applicant attained the age of 21); (iv) a grant has been made under regulation 13 of the Education (Student Support) Regulations 2005 or under regulation 13 of the Education (Student Support) Regulations (Northern Ireland) 2000; or (v) a supplementary requirement has been determined under paragraph 9 of Schedule 6 to the Students Awards Regulations (Northern Ireland) 1999 or a payment has been made under Article 50(3) of the Education and Libraries (Northern Ireland) Order 1986, on account of his disability by reason of deafness.

(3) For the purposes of sub-paragraph (2), once sub-paragraph (2)(e) applies to a full-time student, if he then ceases, for a period of 56 days or less, to be incapable, or to be treated as incapable, of work, that sub-paragraph must, on his again becoming so incapable, or so treated as incapable, of work at the end of that period, immediately thereafter apply to him for so long as he remains incapable or is treated as remaining incapable, of work. (4) In sub-paragraph (2)(i) the reference to a course of higher education is a reference to a course of any description mentioned in Schedule 6 to the Education Reform Act 1988 c.40. (5) A full-time student to whom sub-paragraph (2)(i) applies must be treated as satisfying that sub-paragraph from the date on which he made a request for the supplementary requirement, allowance, bursary or payment as the case may be. (6) Sub-paragraph (2)(b) does not apply to a full-time student for the period specified in sub- paragraph (7) if—

22 Page 192 of 410 (a) at any time during an academic year, with the consent of the relevant educational establishment, he ceases to attend or undertake a course because he is (i) engaged in caring for another person; or (ii) ill; (b) he has subsequently ceased to be engaged in caring for that person or, as the case may be, he has subsequently recovered from that illness; and (c) he is not eligible for a grant or a student loan in respect of the period specified in sub- paragraph (7). (7) The period specified for the purposes of sub-paragraph (6) is the period, not exceeding one year, beginning on the day on which he ceased to be engaged in caring for that person or, as the case may be, the day on which he recovered from that illness and ending on the day before— (a) the day on which he resumes attending or undertaking the course; or (b) the day from which the relevant educational establishment has agreed that he may resume attending or undertaking the course, whichever first occurs.

3. Calculation of grant income

(1) The amount of a student’s grant income to be taken into account in assessing his income must, subject to sub-paragraphs (2) and (3), be the whole of his grant income.

(2) There must be excluded from a student’s grant income any payment— (i) intended to meet tuition fees or examination fees; (ii) in respect of the student’s disability; (iii) intended to meet additional expenditure connected with term time residential study away from the student’s educational establishment; (iv) on account of the student maintaining a home at a place other than that at which he resides during his course; (v) on account of any other person but only if that person is residing outside the United Kingdom and there is no applicable amount in respect of him; (i) intended to meet the cost of books and equipment; (ii) intended to meet travel expenses incurred as a result of his attendance on the course; (iii) intended for the child care costs of a child dependent; of higher education bursary for care leavers made under Part 3 of the Children Act 1989. (3) Where a student does not have a student loan and is not treated as possessing such a loan, there must be excluded from the student’s grant income (a) the sum of £303 per academic year in respect of travel costs; and (b) the sum of £390 per academic year towards the costs of

23 Page 193 of 410 books and equipment, whether or not any such costs are incurred.

(4) There must also be excluded from a student’s grant income the grant for dependents known as the parents’ learning allowance paid pursuant to regulations made under Article 3 of the Education (Student Support) (Northern Ireland) Order 1998 or section 22 of the Teaching and Higher Education Act 19989. (5) A student’s grant income must be apportioned— (a) in a case where it is attributable to the period of study, equally between the weeks in that period beginning with the reduction week, the first day of which coincides with, or immediately follows, the first day of the period of study and ending with the reduction week, the last day of which coincides with, or immediately precedes, the last day of the period of study; (b) in any other case, equally between the weeks in the period beginning with the reduction week, the first day of which coincides with, or immediately follows, the first day of the period for which it is payable and ending with the reduction week, the last day of which coincides with, or immediately precedes, the last day of the period for which it is payable. (6) Any grant in respect of dependents paid under section 63(6) of the Health Services and Public Health Act 1968 (grants in respect of the provision of instruction to officers of hospital authorities) and any amount intended for the maintenance of dependents under Part 3 of Schedule A2 to the Education (Mandatory Awards) Regulations 2003 must be apportioned equally over the period of 52 weeks or, if there are 53 reduction weeks (including part-weeks) in the year, 53.

(7) In a case where a student is in receipt of a student loan or where he could have acquired a student loan by taking reasonable steps but had not done so, any amount intended for the maintenance of dependents must be apportioned over the same period as the student’s loan is apportioned or, as the case may be, would have been apportioned.

(8) In the case of a student on a sandwich course, any periods of experience within the period of study must be excluded and the student’s grant income must be apportioned equally between the weeks in the period beginning with the reduction week, the first day of which immediately follows the last day of the period of experience and ending with the reduction week, the last day of which coincides with, or immediately precedes, the last day of the period of study.

(9) Where a student is in receipt of income by way of a grant during a period of study and a contribution has been assessed, the amount of his covenant income to be taken into account for that period and any summer vacation immediately following must be the whole amount of the covenant income less the amount of the contribution.

9 1998 c.30.

24 Page 194 of 410 (10) The weekly amount of the student’s covenant must be determined— (a) by dividing the amount of income whichever is reasonable in the circumstances; and (b) by disregarding £5 from the resulting amount.

(11) For the purposes of sub-paragraph (9), the contribution must be treated as increased by the amount (if any) by which the amount excluded falls short of the amount specified in paragraph 7(2) of Schedule 2 to the Education (Mandatory Awards) Regulations 2003 (travel expenditure).

(12) Where a student is not in receipt of income by way of a grant the amount of his covenant income must be calculated as follows— (a) any sums intended for any expenditure specified in paragraph 3(2)(a) to (e) necessary as a result of his attendance on the course must be disregarded; (b) any covenant income, up to the amount of the standard maintenance grant, which is not so disregarded, must be apportioned equally between the weeks of the period of study; (c) there must be disregarded from the amount so apportioned the amount which would have been disregarded under paragraph 3(2)(f) and (3) had the student been in receipt of the standard maintenance grant; and (d) the balance, if any, must be divided by 52 or 53 whichever is reasonable in the circumstances and treated as weekly income of which £5 must be disregarded.

(13) Where a student is in receipt of income by way of a grant and no contribution has been assessed, the amount of his covenanted income must be calculated in accordance with paragraphs (a) to (d) of sub-paragraph (1), except that—

(a) the value of the standard maintenance grant must be abated by the amount of such grant income less an amount equal to the amount of any sums disregarded under paragraph 3(2)(a) to (e); and (b) the amount to be disregarded must be abated by an amount equal to the amount of any sums disregarded under paragraph 3(2)(f) and (g) and (3).

(14) For the purposes of ascertaining income other than grant income, covenant income and loans treated as income, any amounts intended for any expenditure necessary as a result of his attendance on the course must be disregarded.

(15) A student loan is to be treated as income.

(16) In calculating the weekly amount of the loan to be taken into account as income (a) In respect of a course that is of a single academic year’s duration or less, a loan which is payable in respect of that period is to be apportioned equally between the weeks in the period beginning with (i) except in a case where sub-paragraph (ii) applies, the reduction week, the first day of which coincides with, or immediately follows, the 25 Page 195 of 410 first day of the single academic year; (ii) where the student is required to start attending the course in August or where the course is less than an academic year’s duration, the reduction week, the first day of which coincides with, or immediately follows, the first day of the course, and ending with the reduction week, the last day of which coincides with, or immediately precedes, the last day of the course; (b) in respect of an academic year of a course which starts other than on 1st September, a loan which is payable in respect of that academic year is to be apportioned equally between the weeks in the period— (i) beginning with the reduction week, the first day of which coincides with or immediately follows, the first day of that academic year, and (ii) ending with the reduction week, the last day of which coincides with or immediately precedes, the last day of that academic year, but excluding any reduction weeks falling entirely within the quarter during which, in the opinion of the authority, the longest of any vacation is taken and for the purposes of this paragraph, “quarter” has the same meaning as for the purposes of the Education (Student Support) Regulations 2005; (c) in respect of the final academic year of a course (not being a course of a single year’s duration), a loan which is payable in respect of that final academic year is to be apportioned equally between the weeks in the period beginning with— (i) except in a case where sub-paragraph (ii) applies, the reduction week, the first day of which coincides with, or immediately follows, the first day of that academic year; (ii) where the final academic year starts on 1st September, the reduction week, the first day of which coincides with, or immediately follows, the earlier of 1st September or the first day of the autumn term, and ending with the reduction week, the last day of which coincides with, or immediately precedes, the last day of the course; (d) in any other case, the loan is to be apportioned equally between the weeks in the period beginning with the earlier of— (i) the first day of the first reduction week in September; or (ii) the reduction week, the first day of which coincides with, or immediately follows the first day of the autumn term, and ending with the reduction week, the last day of which coincides with, or immediately precedes, the last day of June, and, in all cases, from the weekly amount so apportioned £10 is to be disregarded.

(17) A student is to be treated as possessing a student loan in respect of an academic year where— (a) a student loan has been made to him in respect of that year; or (b) he could acquire such a loan in respect of that year by taking reasonable steps to do so.

(18) Where a student is treated as possessing a student loan under sub- paragraph (3), the amount of the student loan to be taken into account as income must be, subject to sub-paragraph (5)—

26 Page 196 of 410 (a) in the case of a student to whom a student loan is made in respect of an academic year, a sum equal to— (i) the maximum student loan he is able to acquire in respect of that year by taking reasonable steps to do so; and (ii) any contribution whether or not it has been paid to him; (b) in the case of a student to whom a student loan is not made in respect of an academic year, the maximum student loan that would be made to the student if— (i) he took all reasonable steps to obtain the maximum student loan he is able to acquire in respect of that year; and (ii) no deduction in that loan was made by virtue of the application of a means test.

(19) There must be deducted from the amount of income taken into account under sub-paragraph (4) (a) the sum of £303 per academic year in respect of travel costs; and (b) the sum of £390 per academic year towards the cost of books and equipment, whether or not any such costs are incurred. (c) a loan for fees, known as a fee loan or a fee contribution loan, made pursuant to regulations made under Article 3 of the Education (Student Support) (Northern Ireland) Order 1998, section 22 of the Teaching and Higher Education Act 1998 or section 73(f) of the Education (Scotland) Act 1980, shall be disregarded as income.

4. Treatment of payments from access funds

(1) This paragraph applies to payments from access funds that are not payments to which paragraph 5(2) or (3) (income treated as capital) applies.

(2) A payment from access funds, other than a payment to which sub- paragraph (3) applies, must be disregarded as income.

(3) Subject to sub-paragraph (4) of this paragraph and appendix 3 paragraph 23 sub paragraph 40 (a) any payments from access funds which are intended and used for an item of food, ordinary clothing or footwear, household fuel, or rent of a single applicant or, as the case may be, of the applicant or any other member of his family, and (b) any payments from access funds which are used for any council tax or water charges for which that applicant or member is liable, must be disregarded as income to the extent of £20 per week. (4) Where a payment from access funds is made— (a) on or after 1st September or the first day of the course, whichever first occurs, but before receipt of any student loan in respect of that year and that payment is intended for the purpose of bridging the period until receipt of the student loan; or (b) before the first day of the course to a person in anticipation of that person becoming a student, that payment must be disregarded as income.

27 Page 197 of 410

(5) Where the applicant or his partner is a student and, for the purposes of assessing a contribution to the student’s grant or student loan, the other partner’s income has been taken into account, an amount equal to that contribution must be disregarded for the purposes of assessing that other partner’s income.

(6) Where any part of a student’s income has already been taken into account for the purposes of assessing his entitlement to a grant or student loan, the amount taken into account must be disregarded in assessing that student’s income.

5. Income treated as capital

(1) Any amount by way of a refund of tax deducted from a student’s covenant income must be treated as capital.

(2) An amount paid from access funds as a single lump sum must be treated as capital.

(3) An amount paid from access funds as a single lump sum which is intended and used for an item other than food, ordinary clothing or footwear, household fuel or rent, or which is used for an item other than any council tax or water charges for which that applicant or member is liable, must be disregarded as capital but only for a period of 52 weeks from the date of the payment.

(4) In calculating a student’s income the authority must disregard any change in the standard maintenance grant, occurring in the recognised summer vacation appropriate to the student’s course, if that vacation does not form part of his period of study from the date on which the change occurred to the end of that vacation.

28 Page 198 of 410 Appendix 2 - When entitlement begins and changes of circumstances

1. Date on which entitlement begins

(1) Subject to paragraph (7), any person by whom or in respect of whom an application for a reduction under this scheme is made and who is otherwise entitled to that reduction is so entitled from the reduction week following the date on which that application is made or is treated as made.

(2) The authority must make a decision on an application for a reduction under this scheme within 14 days of paragraphs 2, 3 and 5 being satisfied, or as soon as reasonably practicable thereafter.

(3) Where a person is otherwise entitled to a reduction under this scheme and becomes liable for the first time for the authority’s council tax in respect of a dwelling of which he is a resident in the reduction week in which his application is made or is treated as made, he is so entitled from that reduction week.

2. Making an application

(1) In the case of— (a) a couple or (subject to paragraph (b)) members of a polygamous marriage an application is to be made by whichever one of them they agree should so apply or, in default of agreement, by such one of them as the authority determines; or (b) in the case of members of a polygamous marriage to whom Part 3 paragraph (10) applies, an application is to be made by whichever one of the parties to the earliest marriage that still subsists they agree should so apply or, in default of agreement, by such one of them as the authority determines. (2) Where a person who is liable to pay council tax in respect of a dwelling is unable for the time being to act, and— (a) a deputy has been appointed by the Court of Protection with power to claim, or as the case may be, receive benefit on his behalf; or (b) an attorney with a general power or a power to apply or, as the case may be, receive benefit, has been appointed by that person under the Powers of Attorney Act 197110, the Enduring Powers of Attorney Act 198511 or the Mental Capacity Act 2005 or otherwise, that deputy, judicial factor, guardian or attorney, as the case may be, may make an application on behalf of that person. (3) Where a person who is liable to pay council tax in respect of a dwelling is unable for the time being to act and sub-paragraph (2) does not apply to him, the authority may, upon written application made to them by a person

10 1971 c.27. 11 1985 c.29. 29 Page 199 of 410 who, if a natural person, is over the age of 18, appoint that person to exercise on behalf of the person who is unable to act, any right to which that person might be entitled under this scheme and to receive and deal on his behalf with any sums payable to him.

(4) Where a person who is liable to pay council tax in respect of a dwelling is for the time being unable to act and the Secretary of State has appointed a person to act on his behalf under regulation 33 of the Social Security (Claims and Payments) Regulations 1987 (persons unable to act), the authority may if that person agrees, treat him as if he had been appointed by them under sub-paragraph (3).

(5) Where the authority has made an appointment under sub-paragraph (3) or treated a person as an appointee under sub-paragraph (4) (a) it may at any time revoke the appointment; (b) the person appointed may resign his office after having given four weeks’ notice in writing to the authority of his intention to do so; (c) any such appointment must terminate when the authority is notified of the appointment of a person mentioned in sub-paragraph (2).

(6) Anything required by this scheme to be done by or to any person who is for the time being unable to act may be done by or to the persons mentioned in sub-paragraph (2) above or by or to the person appointed or treated as appointed under this paragraph and the receipt of any such person so appointed shall be a good discharge to the authority for any sum paid. (7) The authority must— (a) inform any person making an application of the duty imposed by paragraph 6(1)(a); (b) explain the possible consequences (including prosecution) of failing to comply with that duty; and (c) set out the circumstances a change in which might affect entitlement to the reduction or its amount.

3. Date on which an application is made

(1) Subject to paragraph (6), the date on which an application is made is— (a) in a case where (i) an award of income support, income-based jobseeker’s allowance, income- related employment and support allowance or an award of universal credit has been made to the applicant or his partner, and (ii) the application is made within one month of the date on which the claim for that income support, jobseeker’s allowance, employment and support allowance or universal credit was received, the first day of entitlement to income support, an income-based jobseeker’s allowance, an income-related employment and support allowance or universal credit arising from that claim; (b) in a case where (i) an applicant or his partner is a person on income support,

30 Page 200 of 410 an income-based jobseeker’s allowance or an income-related employment and support allowance or has an award of universal credit, (ii) the applicant becomes liable for the first time to pay council tax in respect of the dwelling which he occupies as his home, and (iii) the application to the authority is received at the designated office within one month of the date of the change, the date on which the change takes place (c) in a case where (i) the applicant is the former partner of a person who was, at the date of his death or their separation, entitled to a reduction under this scheme, and (ii) where the applicant makes an application for a reduction under this scheme within one month of the date of the death or the separation, the date of the death or separation. (d) except where paragraph (c) is satisfied, in a case where a properly completed application is received within one month (or such longer period as the authority considers reasonable) of the date on which an application form was issued to the applicant following the applicant first notifying, by whatever means, the authority of an intention to make an application, The date of the first notification (e) in any other case, the date on which the application is received at the designated office. (2) For the purposes only of sub-paragraph (1)(a) a person who has been awarded an income- based jobseeker’s allowance or an income-related employment and support allowance is to be treated as entitled to that allowance for any days which immediately precede the first day in that award and on which he would, but for regulations made under— (a) in the case of income-based jobseeker’s allowance, paragraph 4 of Schedule 1 to the Jobseekers Act 1995 (waiting days); or (b) in the case of income-related employment and support allowance, paragraph 2 of Schedule 2 to the Welfare Reform Act 2007 (waiting days), have been entitled to that allowance.

(3) Except in the case of an application made by a person treated as not being in Great Britain, where a person has not become liable for council tax to the authority but it is anticipated that he will become so liable within the period of 8 weeks (the relevant period), he may apply for a reduction under this scheme at any time in that period in respect of that tax and, provided that liability arises within the relevant period, the authority is to treat the application as having been made on the day on which the liability for the tax arises.

(4) Except in the case of an application made by a person treated as not being in Great Britain, where the applicant is not entitled to a reduction under this scheme in the reduction week immediately following the date of his application but the authority is of the opinion that unless there is a change of circumstances he will be entitled to a reduction under this scheme

31 Page 201 of 410 for a period beginning not later than the thirteenth reduction week following the date on which the application is made, the authority may treat the application as made on a date in the reduction week immediately preceding the first reduction week of that period of entitlement and award a reduction accordingly.

4. Back-dating of an application

(1) Where an applicant

(a) makes an application under this scheme which includes (or which he subsequently requests should include) a period before the application is made; and

(b) from a day in that period, up to the date he made the application (or subsequently requested that the application should include a past period), the applicant had continuous good cause for failing to make an application (or request that the application should include that period), the application is to be treated as made on the date determined in accordance with sub-paragraph (2).

(2) That date is the latest of

(a) the first day from which the applicant had continuous good cause; (b) the day 1 month before the date the application was made; (c) the day 1 month before the date when the applicant requested that the application should include a past period.

5. Information and evidence

(1) Subject to sub-paragraph (3), a person who makes an application for a reduction under this scheme must satisfy sub-paragraph (2) in relation both to himself and to any other person in respect of whom he is making the application.

(2) This sub-paragraph is satisfied in relation to a person if— (a) the application is accompanied by— (i) a statement of the person’s national insurance number and information or evidence establishing that that number has been allocated to the person; or (ii) information or evidence enabling the authority to ascertain the national insurance number that has been allocated to the person; or (b) the person has made an application for a national insurance number to be allocated to him and the application for the reduction is accompanied by (i) evidence of the application for a national insurance number to be so allocated; and (ii) the information or evidence enabling it to be so allocated.

32 Page 202 of 410 (3) Sub-paragraph (2) does not apply (a) in the case of a child or young person in respect of whom an application for a reduction is made; (b) to a person who (i) is a person treated as not being in Great Britain for the purposes of this scheme12; (ii) is subject to immigration control within the meaning of section 115(9)(a) of the Immigration and Asylum Act 1999; and (iii) has not previously been allocated a national insurance number.

(4) Subject to sub-paragraph (6), a person who makes an application, or a person to whom a reduction under this scheme has been awarded, must furnish such certificates, documents, information and evidence in connection with the application or the award, or any question arising out of the application or the award, as may reasonably be required by the authority in order to determine that person’s entitlement to, or continuing entitlement to a reduction under this scheme and must do so within one month of the authority requiring him to do so or such longer period as the authority may consider reasonable.

(5) Nothing in this paragraph requires a person to furnish any certificates, documents, information or evidence relating to a payment to which sub-paragraph (7) applies.

(6) Where a request is made under sub-paragraph (4), the authority must— (a) inform the applicant or the person to whom a reduction under this scheme has been awarded of his duty under paragraph 7 (duty to notify change of circumstances) to notify the authority of any change of circumstances; and (b) without prejudice to the extent of the duty owed under paragraph 6, indicate to him either orally or by notice or by reference to some other document available to him on application and without charge, the kind of change of circumstances which is to be notified.

(7) This sub-paragraph applies to any of the following payments— (a) a payment which is (i) disregarded under Part 3 paragraph 14(4) or Appendix 4 (ii) made under or by the Trusts, the Fund, the Eileen Trust, MFET Limited, the Skipton Fund, the Caxton Foundation, the London Bombings Relief Charitable Fund; the London Emergency Trust, the We Love Manchester Emergency fund, the Grenfell Tower charitable funds, the Grenfell Tower residents’ Discretionary Fund, the Windrush Compensation scheme or an approved blood scheme. (aa) a Grenfell Tower support payment (iii) a payment which is disregarded under paragraph 27 of Appendix 4

12 As to which, see paragraph 11.

33 Page 203 of 410 (payments made under certain trusts and certain other payments), other than a payment under the Independent Living Fund (2006).

6. Amendment and withdrawal of application

(1) A person who has made an application may amend it at any time before a decision has been made on it by a notice in writing delivered or sent to the designated office. The application amended is to be treated as if it had been amended in the first instance.

(2) A person who has made an application may withdraw it by notice to the designated office at any time before a decision has been made on it. Any notice of withdrawal given has effect when it is received.

7. Duty to notify changes of circumstances

(1) Subject to sub-paragraph (3), the applicant (or any person acting on his behalf) must comply with sub-paragraph (2) if there is a relevant change of circumstances at any time— (a) between the making of an application and a decision being made on it, or (b) after the decision is made (where the decision is that the applicant is entitled to a reduction under this scheme) including at any time while the applicant is in receipt of such a reduction.

(2) The applicant (or any person acting on his behalf) must notify any change of circumstances which the applicant (or that person) might reasonably be expected to know might affect his entitlement to, or the amount of, a reduction under this scheme (a “relevant change of circumstances”) by giving notice to the authority— (a) in writing; or (b) by any other means which the authority agrees to accept in any particular case, within a period of 1 calendar month beginning with the day on which the change occurs, or as soon as reasonably practicable after the change occurs, whichever is later.

(3) The duty imposed on a person by sub-paragraph (1) does not extend to notifying— (a) changes in the amount of council tax payable to the authority; (b) changes in the age of the applicant or that of any member of his family; (c) in the case of an applicant in receipt of a relevant benefit, changes in circumstances which affect the amount of the benefit but not the amount of the reduction under this scheme to which he is entitled, other than the cessation of that entitlement to the benefit.

(4) For the purposes of sub-paragraph (3)(c) “relevant benefit” means income support, an income-based jobseeker’s allowance or an income- related employment and support allowance or maximum universal credit.

34 Page 204 of 410 (5) Notwithstanding sub-paragraph (3)(b) or (c) an applicant is required by sub-paragraph (1) to notify the authority of any change in the composition of his family arising from the fact that a person who was a member of his family is now no longer such a person because he has ceased to be a child or young person.

8. Date on which change of circumstances is to take effect

(1) A change of circumstances which affects entitlement to, or the amount of, a reduction under this scheme (“change of circumstances”), takes effect from the first day of the reduction week following the date on which the change actually occurs.

(2) Where that change is cessation of entitlement to any benefit under the benefit Acts, the date on which the change actually occurs is the day immediately following the last day of entitlement to that benefit.

(3) Subject to sub-paragraph (4), where the change of circumstances is a change in the amount of council tax payable, it takes effect from the day on which it actually occurs. (4) Where the change of circumstances is a change in the amount a person is liable to pay in respect of council tax in consequence of regulations under section 13 of the 1992 Act (reduced amounts of council tax) or changes in the discount to which a dwelling may be subject under section 11 or 11A of that Act13 (discounts), it takes effect from the day on which the change in amount has effect. (5) Where the change of circumstances is the applicant’s acquisition of a partner, the change takes effect on the day on which the acquisition takes place. (6) Where the change of circumstances is the death of an applicant’s partner or their separation, it takes effect on the day the death or separation occurs. (7) If two or more changes of circumstances occurring in the same reduction week would, but for this paragraph, take effect in different reduction weeks in accordance with sub-paragraphs (1) to (6) they take effect from the day to which the appropriate sub-paragraph from (3) to (6) above refers, or, where more than one day is concerned, from the earlier day. (8) Where the change of circumstances is that income, or an increase in the amount of income, other than a benefit or an increase in the amount of a benefit under the SSCBA, is paid in respect of a past period and there was no entitlement to income of that amount during that period, the change of circumstances takes effect from the first day on which such income, had it been paid in that period at intervals appropriate to that income, would have fallen to be taken into account for the purposes of this scheme. (9) Without prejudice to sub-paragraph (8), where the change of

13 Section 11A was inserted by section 75(1) of the Local Government Act 2003 (c.26).

35 Page 205 of 410 circumstances is the payment of income, or arrears of income, in respect of a past period, the change of circumstances takes effect from the first day on which such income, had it been timorously paid in that period at intervals appropriate to that income, would have fallen to be taken into account for the purposes of this scheme. (10) Where the applicant fails to comply with paragraph 6 sub paragraph 2 and the new decision is advantageous to the applicant, the date of the notification of the change in circumstances shall be treated as the date on which the change of circumstances occurred.

9. Correction of accidental errors

(1) Accidental errors in a relevant decision, or a revised decision, or the record of such a decision, may be corrected by the authority at any time.

(2) A correction made to a relevant decision, or a revised decision, or the record of such a decision, shall be deemed to be part of the decision, or of that record, and the authority shall give a written notice of the correction as soon as practicable to the applicant.

(3) Any correction resulting in a reduction of an award that is as a result of Local Authority error will be deemed as non recoverable and will be met by Section 13a (1)(c) of the 1992 Act

10. Notification of decision

(1) The authority must notify in writing any person affected by a decision made by it under this scheme— (a) in the case of a decision on an application, forthwith or as soon as reasonably practicable thereafter; (b) in any other case, within 14 days of that decision or as soon as reasonably practicable thereafter.

(2) Where the decision is to award a reduction the notification under sub- paragraph (1) must include a statement— (a) informing the person affected of the duty to notify the authority of any change of circumstance; (b) explaining the possible consequences (including prosecution) of failing to comply with that duty; and (c) setting out the circumstances a change in which might affect entitlement to the reduction or its amount.

(3) Where the decision is to award a reduction, the notification under sub- paragraph (1) must include a statement as to how that entitlement is to be discharged.

(4) In any case, the notification under sub-paragraph (1) must inform the person affected of the procedure by which an appeal may be made and must refer the person to the provisions in this scheme relating to the procedure for making an appeal.

36 Page 206 of 410 (5) A person affected to whom the authority sends or delivers a notification of decision may, within one month of the date of the notification of that decision request in writing the authority to provide a written statement setting out the reasons for its decision on any matter set out in the notice. (6) The written statement referred to in sub-paragraph (5) must be sent to the person requesting it within 14 days or as soon as reasonably practicable thereafter. (7) For the purposes of this paragraph a person is to be treated as a person affected by a decision of the authority under this scheme where the rights, duties or obligations of that person are affected by that decision and the person falls within sub-paragraph (8). (8) This sub-paragraph applies to— (a) the applicant; (b) in the case of a person who is liable to pay council tax in respect of a dwelling and is unable for the time being to act— (c) a deputy appointed by the Court of Protection with power to claim, or as the case may be, receive benefit on his behalf; or (i) an attorney with a general power or a power to apply or, as the case may be, receive benefit, has been appointed by that person under the Powers of Attorney Act 1971, the Enduring Powers of Attorney Act 1985 or the Mental Capacity Act 2005 or otherwise, (d) a person appointed by the authority under paragraph 3(3).

11. Payment where there is joint and several liability

(1) Where— (a) a person is entitled to a reduction under this scheme in respect of his liability for the authority’s council tax as it has effect in respect of a financial year; (b) the person entitled to the reduction is jointly and severally liable for the council tax; and (c) the authority determines that discharging his entitlement by reducing the amount of his liability to which regulation 20(2) of the Council Tax (Administration and Enforcement) Regulations 1992 refers would be inappropriate, it may make a payment to him of the amount of reduction to which he is entitled, rounded where necessary to the nearest penny. (2) Subject to sub-paragraph (3), any payment made under sub-paragraph (1) must be made to the person who is entitled to the reduction. (3) Where a person other than the person who is entitled to the reduction under this scheme made the application for the reduction and that first person is a person acting pursuant to an appointment under paragraph 2(3) (persons appointed to act for a person unable to act) or is treated as having been so appointed by virtue of paragraph 2(5), the amount of the reduction may be paid to that person.

37 Page 207 of 410 12. Conditions for the use of electronic communication

(1) The authority may use an electronic communication in connection with applications for, and awards of, reductions under this scheme. (2) A person other than the authority may use an electronic communication in connection with the matters referred to in sub-paragraph (1) if the conditions specified in sub-paragraphs (3) to (6) are satisfied. (3) The first condition is that the person is for the time being permitted to use an electronic communication by an authorisation given by means of a direction of the Chief Executive of the authority. (4) The second condition is that the person uses an approved method of— (a) authenticating the identity of the sender of the communication; (b) electronic communication; (c) authenticating any application or notice delivered by means of an electronic communication; and (d) subject to sub-paragraph (7), submitting to the authority any information.

(5) The third condition is that any information sent by means of an electronic communication is in a form supplied for the purposes of this Part of this Schedule. (6) The fourth condition is that the person maintains such records in written or electronic form as may be specified in a direction given by the Chief Executive of the authority. (7) Where the person uses any method other than the method approved of submitting any information, that information is to be treated as not having been submitted. (8) In this “approved” means approved by means of a direction given by the Chief Executive of the authority for the purposes of this Part of this Schedule. (9) The authority may use intermediaries in connection with (a) the delivery of any information by means of an electronic communication; and (b) the authentication or security of anything transmitted by such means, and may require other persons to use intermediaries in connection with those matters.

(10) Any information which is delivered by means of an electronic communication is to be treated as having been delivered in the manner or form required by any provision of this scheme, on the day the conditions imposed— (a) by this Part; and (b) by or under an enactment, are satisfied.

(11) The authority may determine that any information is to be treated as delivered on a different day (whether earlier or later) from the day provided for in sub-paragraph (10). (12) Information must not be taken to have been delivered to an official 38 Page 208 of 410 computer system by means of an electronic communication unless it is accepted by the system to which it is delivered.

(13) If it is necessary to prove, for the purpose of any legal proceedings, the identity of—

(1) the sender of any information delivered by means of an electronic communication to an official computer system; or (2) the recipient of any such information delivered by means of an electronic communication from an official computer system, the sender or recipient, as the case may be, is to be presumed to be the person whose name is recorded as such on that official computer system.

(14) If it is necessary to prove, for the purpose of any legal proceedings, that the use of an electronic communication has resulted in the delivery of any information this must be presumed to have been the case where— (a) any such information has been delivered to the authority, if the delivery of that information has been recorded on an official computer system; or (b) any such information has been delivered by the authority, if the delivery of that information has been recorded on an official computer system. (15) If it is necessary to prove, for the purpose of any legal proceedings, that the use of an electronic communication has resulted in the delivery of any such information, this must be presumed not to be the case, if that information delivered to the authority has not been recorded on an official computer system. (16) If it is necessary to prove, for the purpose of any legal proceedings, when any such information sent by means of an electronic communication has been received, the time and date of receipt must be presumed to be that recorded on an official computer system. (17) If it is necessary to prove, for the purpose of any legal proceedings, the content of any information sent by means of an electronic communication, the content must be presumed to be that recorded on an official computer system.

39 Page 209 of 410

Appendix 3 - Glossary and definitions

1. Glossary

(1) In this scheme -

 “the 1992 Act” means the Local Government Finance Act 1992;

 the treatment of benefits within this scheme only applies to those specifically named benefits which are issued in the United Kingdom and do not include any other payments, including those received from outside the United Kingdom, which may be analogous to those benefits;

 this scheme may be also referred to by the authority as Council Tax Discount or Council Tax Reduction Discount or a variation on these;

 “information” includes an application, certificate, notice or other evidence;

 “official computer system” means a computer system maintained by or on behalf of the authority for the sending, receiving, processing or storing of any information.

 “adoption leave” means a period of absence from work on ordinary or additional adoption leave by virtue of section 75A or 75B of the Employment Rights Act 199614;

 “an AFIP” means an armed forces independence payment payable in accordance with an armed and reserve forces compensation scheme established under section 1(2) of the Armed Forces (Pensions and Compensation) Act 200415;

 “applicant” means a person who has made an application;

 “application” means an application for a reduction under this scheme;  “approved blood scheme” means a scheme established or approved by the Secretary of State, or a trust established with funds provided by the secretary of State, for the purpose of providing compensation in respect of

14 1996 c.18. Sections 75A and 75B were inserted by section 3 of the Employment Act 2002 (c.22) and amended by the Work and Families Act 2006 (c.18), Schedule 1, paragraphs 33 and 34. 15 2004 c.32. 40 Page 210 of 410 a person having been infected from contaminated blood products.

 “assessment period” means such period as is set out in paragraph 13 Part 3 over which income falls to be calculated;

 “attendance allowance” means— (i) an attendance allowance under Part 3 of the SSCB16; (ii) an increase of disablement pension under section 104 or 105 of that Act; (iii) a payment by virtue of article 14, 15, 16, 43 or 44 of the Personal Injuries (Civilians) Scheme 198317 or any analogous payment; or (iv) any payment based on need for attendance which is paid as part of a war disablement pension;

 “the authority” means Luton Borough Council, whose area this scheme has effect by virtue of paragraph 4(6) of Schedule 1A to the 1992 Act;

 basic rate” has the meaning given by the Income Tax Act 200718;

 “the benefit Acts” means the SSCBA, the Jobseekers Act 199519, the State Pension Credit Act 200220 and the Welfare Reform Act 200721;

 “care home” has the meaning given by section 3 of the Care Standards Act 200022 and in Scotland means a care home service within the meaning given by section 2(3) of the Regulation of Care (Scotland) Act 2001 23and in Northern Ireland means a nursing home within the meaning of Article 11 of the Health and Personal Social Services (Quality, Improvement and Regulation) (Northern Ireland) Order 200324 or a residential care home within the meaning of Article 10 of that Order;

 “the Caxton Foundation” means the charitable trust of that name established on 28th March 2011 out of funds provided by the Secretary of State for the benefit of certain persons suffering from hepatitis C and other persons eligible for payment in accordance with its provisions;

 “child” means a person under the age of 16;

 “child benefit” has the meaning given by section 141 of the SSCBA25;

16 1992 c.4. See sections 64 to 67 of that Act in relation to attendance allowance; relevant amendments are referenced elsewhere in these Regulations. 17 S.I. 1983/686; relevant amending instruments are S.I. 1984/1675, 2001/420. 18 2007 c.3. Section 989 defines basic rate by reference to section 6(2) of that Act. Section 6(2) was amended by section 5 of the Finance Act 2008 (c.9) and section 6 of, and paragraphs 1 and 2 of Schedule 2 to, the Finance Act 2009 (c.10). 19 1995 c.18. 20 2002 c.16 21 2007 c.5. 22 2000 c.14. Section 3 was amended by paragraphs 1 and 4 of Schedule 5 to the Health and Social Care Act 2008 (c.14). 23 2001 asp 8. 24 S.I. 2003/431 (N.I. 9). 25 Section 141 was amended by section 1 of the Child Benefit Act 2005 (c.6). 41 Page 211 of 410  “child tax credit” means a child tax credit under section 8 of the Tax Credits Act 200226;

 “close relative” means a parent, parent-in-law, son, son-in-law, daughter, daughter-in-law, step-parent, step-son, step-daughter, brother, sister, or if any of the preceding persons is one member of a couple, the other member of that couple;

 “concessionary payment” means a payment made under arrangements made by the Secretary of State with the consent of the Treasury which is charged either to the National Insurance Fund or to a Departmental Expenditure Vote to which payments of benefit or tax credits under the benefit Acts or the Tax Credits Act 200227 are charged;

 “contributory employment and support allowance” means an allowance under Part 1 of the Welfare Reform Act 2007(d) as amended by the provisions of Schedule 3, and Part 1 of Schedule 14, to the Welfare Reform Act 2012(e) that remove references to an income-related allowance and a contributory allowance under Part 1 of the Welfare Reform Act 2007 as that Part has effect apart from those provisions;”;

 “council tax benefit” means council tax benefit under Part 7 of the SSCBA;

 “couple” has the meaning given by paragraph 3;

 “designated office” means the office of the authority designated by it for the receipt of applications— (i) by notice upon or with a form supplied by it for the purpose of making an application; or (ii) by reference upon or with such a form to some other document available from it and sent by electronic means or otherwise on application and without charge; or (iii) by any combination of the provisions set out in paragraphs (a) and (b);

 “disability living allowance” means a disability living allowance under section 71 of the SSCBA28;

 “Disabled or long term sick” means that the applicant or their partner are – (a) Blind or have recently regained their sight ; or (b) are in receipt of any of; (i) disability living allowance; or (ii) any benefit which is treated as attendance allowance; or (iii) war pensioner's mobility supplement; or (iv) the disability element or severe disability element of working tax

26 2002 c.21; section 8 is repealed by the Welfare Reform Act 2012 (c.5), Schedule 14, Part 1 (not yet in force). 27 2002 c.21. 28 1992 c.4. Section 71 was amended by section 67(1) of the Welfare Reform and Pensions Act 1999 (c.30) and repealed by section 90 of the Welfare Reform Act 2012 (not yet in force). 42 Page 212 of 410 credit; or (v) severe disablement allowance; or (vi) incapacity benefit payable at the long-term rate, or if they are terminally ill the short-term higher rate or; (vii) in receipt of PIP. In the case of items (v) and (vi) the applicant or any partner must be 'in receipt' of that benefit and not merely entitled to it. In certain circumstances the premium can continue if one of the qualifying benefits in (i) or (ii) is lost due to a period in hospital; or (c) are treated as long-term sick in the way described later in this paragraph ; or (d) have an invalid vehicle supplied by the NHS or get DWP payments for car running costs.

 “earnings” has the meaning given by paragraphs 13, 14, 15 and 16 as the case may be;

 “the Eileen Trust” means the charitable trust of that name established on 29th March 1993 out of funds provided by the Secretary of State for the benefit of persons eligible for payment in accordance with its provisions;

 “electronic communication” has the same meaning as in section 15(1) of the Electronic Communications Act 200029;

 “employed earner” is to be construed in accordance with section 2(1)(a) of the SSCBA30 and also includes a person who is in receipt of a payment which is payable under any enactment having effect in Northern Ireland and which corresponds to statutory sick pay or statutory maternity pay;

 “the Employment, Skills and Enterprise Scheme” means a scheme under section 17A (schemes for assisting persons to obtain employment: “work for your benefit” schemes etc.) of the Jobseekers Act 199531 known by that name and provided pursuant to arrangements made by the Secretary of State that is designed to assist the applicants for jobseekers allowance to obtain employment, including self-employment, and which may include for any individual work-related activity (including work experience or job search);

 “employment zone” means an area within Great Britain designated for the purposes of section 60 of the Welfare Reform and Pensions Act 199932 and an “employment zone programme” means a programme established for such an area or areas designed to assist the applicants for a jobseeker’s allowance to obtain sustainable employment;

 “enactment” includes an enactment comprised in, or in an instrument

29 2002 c.7; that definition was amended by the Communications Act 2003 (c.21), Schedule 17, paragraph 158. 30 Section 2(1)(a) was amended by the Income Tax (Earnings and Pensions) Act 2003, Schedule 6, paragraphs 169 and 171 (c.1). 31 Section 17A was inserted by the Welfare Reform Act 2009 (c.24), section 1 and amended by the Welfare Reform Act 2012 (c.5), Schedule 7, paragraphs 1 and 4, and Schedule 14, Parts 1 and 3 (not yet in force). The section is repealed by Part 4 of Schedule 14 to that Act (not yet in force). 32 1999 c.30. 43 Page 213 of 410 made under, an Act of the Scottish Parliament;

 “extended reduction” means a reduction under this scheme for which a person is eligible under Part 3, 21;

 “extended reduction period” means the period for which a person is in receipt of an extended reduction in accordance Part 3, 21;

 “extended reduction (qualifying contributory benefits)” means a reduction under this scheme for which a person is eligible in accordance with Part 3, paragraph 21;

 “family” has the meaning given by paragraph 5;  “the Fund” means moneys made available from time to time by the Secretary of State for the benefit of persons eligible for payment in accordance with the provisions of a scheme established by him on 24th April 1992;

 A 'gap' means a period during which the person either is capable of work or is disqualified from incapacity benefit. After the qualifying period is completed, there are further 'linking rules';

 ““the Grenfell Tower charitable funds” means the funds identified in the document entitled “Charity Commission for England and Wales – Grenfell Tower charitable funds update – 29th January 2019”

 ““the Grenfell Tower Residents’ Discretionary Fund” means the £5 million fund announced on 16th June 2017 and administered by Westminster City Council for the benefit of households affected by the fire at Grenfell Tower on 14th June 2017;”;

 ““Grenfell Tower support payment” means any payment made by the council of the Royal Borough of Kensington and Chelsea to an individual as a result of the fire at Grenfell Tower on 14th June 2017;”;

 “guaranteed pension credit” is to be construed in accordance with sections 1 and 2 of the State Pension Credit Act 2002;

 “a guaranteed income payment” means a payment made under article 15(1)(c) (injury benefits) or 29(1)(a) (death benefits) of the Armed Forces and Reserve Forces (Compensation Scheme) Order 201133;

 “housing benefit” means housing benefit under Part 7 of the SSCBA;

 'Incapable of work' means the same here as it does for incapacity benefit - and this decision is always made by the Job Centre Plus office.

 “an income-based jobseeker’s allowance” and “a joint-claim jobseeker’s allowance” have the meanings given by section 1(4) of the Jobseekers Act 199534;

33 S.I. 2011/517. 34 1995 c.18. Section 1(4) was amended by the Welfare Reform and Pensions Act 1999, Schedule 7, paragraphs 1 and 2(1) and (4); the Civil Partnership Act 2004 (c33); section 4 of the Welfare Reform Act 2009 (c.24), and is repealed by the Welfare Reform Act 2012, Schedule 14, Part 1 (not yet in force). 44 Page 214 of 410  “income-related employment and support allowance” means an income-related allowance under Part 1 of the Welfare Reform Act 2007;

 “independent hospital”— (a) in England means a hospital as defined by section 275 of the National Health Service Act 200635 that is not a health service hospital as defined by that section; (b) in Wales has the meaning given by section 2 of the Care Standards Act 200036; and (c) in Scotland means an independent health care service as defined by section 10F of the National Health Service (Scotland) Act 197837;  “the Independent Living Fund (2006)” means the Trust of that name established by a deed dated 10th April 2006 and made between the Secretary of State for Work and Pensions of the one part and Margaret Rosemary Cooper, Michael Beresford Boyall and Marie Theresa Martin of the other part;

 “invalid carriage or other vehicle” means a vehicle propelled by a petrol engine or by electric power supplied for use on the road and to be controlled by the occupant;

 ‘Linking rules’ means that once a person has completed the qualifying period, there are linking rules as follows:  the applicant does not qualify for a disability premium during a gap;  after a gap of eight weeks or less, the person qualifies for a disability premium straight away;  after a gap of more than eight weeks, the person does not qualify for a disability premium until they have completed a fresh qualifying period. Breaks in HB/CTR during the qualifying period or after it do not affect this rule.

 “the London Bombings Relief Charitable Fund” means the company limited by guarantee (number 5505072), and registered charity of that name established on 11th July 2005 for the purpose of (amongst other things) relieving sickness, disability or financial need of victims (including families or dependents of victims) of the terrorist attacks carried out in London on 7th July 2005;

 “the London Emergencies Trust” means the company of that name (number 09928465) incorporated on the 23rd December 2015 and the registered charity of that name (number 1172307) established on 28 March 2017

 “lone parent” means a person who has no partner and who is responsible for and a member of the same household as a child or young person;

 'Long-term sick’. The applicant (but not the applicant’s partner) counts as long-term sick and qualifies for the disability premium if he or she:

35 2006 c.41. The definition of “health service hospital” has been amended by the Health and Social Care Act 2012 (c.7), Schedule 4, paragraph 138 (not yet in force). 36 2000 c.14; section 2 was amended by the Health and Social Care Act 2008 (c.14), Schedule 5, paragraphs 1 and 3. 37 1978 c.29; section 10F was inserted by section 108 of the Public Services Reform (Scotland) Act 2010 (asp 8). 45 Page 215 of 410 (a) is incapable of work; and (b) has been incapable of work for a 'qualifying period' of:  28 weeks (196 days) if they are terminally ill, or  52 weeks (364 days) in any other case.

 “the Macfarlane (Special Payments) Trust” means the trust of that name, established on 29th January 1990 partly out of funds provided by the Secretary of State, for the benefit of certain persons suffering from hemophilia;

 “the Macfarlane (Special Payments) (No. 2) Trust” means the trust of that name, established on 3rd May 1991 partly out of funds provided by the Secretary of State, for the benefit of certain persons suffering from hemophilia and other beneficiaries;  “the Macfarlane Trust” means the charitable trust, established partly out of funds provided by the Secretary of State to the Hemophilia Society, for the relief of poverty or distress among those suffering from hemophilia;

 “main phase employment and support allowance” means an employment and support allowance where the calculation of the amount payable in respect of the applicant includes a component under section 2(1)(b) or 4(2)(b) of the Welfare Reform Act 200738 or the applicant is a member of the work-related activity group ;

 “maternity leave” means a period during which a woman is absent from work because she is pregnant or has given birth to a child, and at the end of which she has a right to return to work either under the terms of her contract of employment or under Part 8 of the Employment Rights Act 199639;

 “maximum council tax reduction amount” means the amount determined in accordance with Part 1 paragraph 5 and Part 2 paragraph 9;

 “maximum universal credit” for the purposes of these rules is where the monthly award of Universal Credit that a customer receives is the same amount as the monthly calculation of their maximum possible entitlement under Universal credit before any earnings, non-earned income and non- dependent deductions or sanctions are deducted.

 “member of a couple” means a member of a married or unmarried couple;

 member of the work-related activity group” means a person who has or is treated as having limited capability for work under either— (a) Part 5 of the Employment and Support Allowance Regulations 2008 other than by virtue of regulation 30 of those Regulations; or

 (b) Part 4 of the Employment and Support Regulations 2013 other than by virtue of regulation 26 of the those Regulations;”MFET Limited” means the company limited by guarantee (number 7121661) of that name, established for the purpose in particular of making payments in

38 Section 2(1)(b) is amended by the Welfare Reform Act 2012, Schedule 23, paragraph 24 (not yet in force); section 4 is repealed by Part 1 of Schedule 14 to that Act (not yet in force). 39 1996 c.18. 46 Page 216 of 410 accordance with arrangements made with the Secretary of State to persons who have acquired HIV as a result of treatment by the NHS with blood or blood products;

 “mover” means an applicant who changes the dwelling in which the applicant is resident, and in respect of which the applicant is liable to pay council tax, from a dwelling in the area of the authority to a dwelling in the area of a second authority;

 “net earnings” means such earnings as are calculated in accordance Part 3, paragraph 12 and Appendix 3 paragraph 13, as the case may be;

 “net profit” means such profit as is calculated in accordance with Part 3, paragraph 13 and Appendix 3 paragraphs 14-16 ;  “new dwelling” means, for the purposes of the definition of “second authority” the dwelling to which an applicant has moved, or is about to move, in which the applicant will be resident;

 “non-dependent” has the meaning given by appendix 3, paragraph 8;

 “occasional assistance” means any payment or provision made by a local authority, the Welsh Ministers or the Scottish Ministers for the purposes of— (a) meeting, or helping to meet an immediate short-term need— (i) arising out of an exceptional event or exceptional circumstances, or (ii) that needs to be met to avoid a risk to the well-being of an individual, and (b) enabling qualifying individuals to establish or maintain a settled home, and— (i) “local authority” has the meaning given by section 270(1) of the Local Government Act 197240; and (ii) “qualifying individuals” means individuals who have been, or without the assistance might otherwise be— (aa) in prison, hospital, an establishment providing residential care or other institution, or (bb) homeless or otherwise living an unsettled way of life; and “local authority” means a local authority in England within the meaning of the Local Government Act 197241;

 “occupational pension” means any pension or other periodical payment under an occupational pension scheme but does not include any discretionary payment out of a fund established for relieving hardship in particular cases;

 “occupational pension scheme” has the same meaning as in section 1 of

40 1972 c. 70. The definition of local authority was amended by section 102 of, and paragraph 8 of Schedule 16 and Schedule 41 1972 c.70. See section 270(1) of that Act for the definition of “local authority”; a relevant amendment was made to that definition by the Local Government Act 1985 (c.51), Schedule 17 47 Page 217 of 410 the Pension Schemes Act 199342;

 “parental bereavement leave” means leave under section 80EA of the Employment Rights Act 1996(2);  “partner”, in relation to a person, means— (a) where that person is a member of a couple, the other member of that couple; (b) subject to paragraph (c), where that person is polygamously married to two or more members of his household, any such member to whom he is married; or (c) where that person is polygamously married and has an award of universal credit with the other party to the earliest marriage that still subsists, that other party to the earliest marriage;

 “paternity leave” means a period of absence from work on paternity leave by virtue of section 80A or 80B of the Employment Rights Act 1996

 “pension fund holder” means with respect to a personal pension scheme or an occupational pension scheme, the trustees, managers or scheme administrators, as the case may be, of the scheme concerned;

 “pensionable age” has the meaning given by the rules in paragraph 1 of Schedule 4 to the Pensions Act 199543;

 “pensioner” has the meaning given by Appendix 3, paragraph 2.

 “person on income support” means a person in receipt of income support;

 “person treated as not being in Great Britain” has the meaning given Appendix 3, paragraph 11;

 “person who is not a pensioner” has the meaning given by Appendix 3, paragraph 2.

 “person in receipt of any benefit” is so if, and only if, it is paid in respect of him and is to be so regarded only for any period in respect of which that benefit is paid.

 “personal independence payment” has the meaning given by Part 4 of the Welfare Reform Act 201244;

 “personal pension scheme” means— (a) a personal pension scheme as defined by section 1 of the Pension Schemes Act 199345; (b) an annuity contract or trust scheme approved under section 620 or

42 1993 c.48. The definition of “occupational pension scheme” was substituted by section 239 of the Pensions Act 2004 (c.35) and amended by S.I. 2007/3014 43 1995 c.26; paragraph 1 has been amended by the State Pension Credit Act 2002 (c.16), Schedule 2, paragraph 39; the Welfare Reform Act 2007, Schedule 3, paragraph 13; the Pensions Act 2007 (c.22), Schedule 3, paragraph 4; and section 1 of the Pensions Act 2011 (c.19). 44 2012 c.5. 45 1993 c.48; the definition of “personal pension scheme” was substituted by section 239 of the Pensions Act 2004 (c.35) and amended by the Finance Act 2007 (c.11), Schedule 20, paragraph 23 and Schedule 27, Part 3. 48 Page 218 of 410 621 of the Income and Corporation Taxes Act 198846 or a substituted contract within the meaning of section 622(3) of that Act which is treated as having become a registered pension scheme by virtue of paragraph 1(1)(f) of Schedule 36 to the Finance Act 200447; (c) a personal pension scheme approved under Chapter 4 of Part 14 of the Income and Corporation Taxes Act 1988 which is treated as having become a registered pension scheme by virtue of paragraph 1(1)(g) of Schedule 36 to the Finance Act 2004;

 “policy of life insurance” means any instrument by which the payment of money is assured on death (except death by accident only) or the happening of any contingency dependent on human life, or any instrument evidencing a contract which is subject to payment of premiums for a term dependent on human life;  polygamous marriage” means any marriage to which Appendix 3, paragraph 4; applies;

 “qualifying age for state pension credit” means (in accordance with section 1(2)(b) and (6) of the State Pension Credit Act 200248)— (a) in the case of a woman, pensionable age; or (b) in the case of a man, the age which is pensionable age in the case of a woman born on the same day as the man;

 “qualifying contributory benefit” means— (a) severe disablement allowance; (b) incapacity benefit; (c) contributory employment and support allowance;

 “qualifying income-related benefit” means— (a) income support; (b) income-based jobseeker’s allowance; (c) income-related employment and support allowance;

 'Qualifying period’ need not be continuous. Any number of periods can be added together so long as the gap between each is eight weeks or less (104 weeks or less, in the case of a 'welfare to work beneficiary').

 “qualifying person” means— (a) a person in respect of whom payment has been made from the Fund, the Eileen Trust, MFET Limited, the Skipton Fund, the Caxton Foundation, the Scottish Infected Blood Support Scheme, an approved blood scheme, the London Emergencies Trust, the We Love Manchester Emergency Fund, the Grenfell Tower charitable funds, the Grenfell Tower Residents’ Discretionary Fund, the Windrush Compensation Scheme or the London Bombings Relief Charitable Fund; or

46 1988 c.1. 47 2004 c.12. 48 2002 c.16. 49 Page 219 of 410 (b) a person who has received a Grenfell Tower support payment;”.

 “reduction week” means a period of seven consecutive days beginning with a Monday and ending with a Sunday;

 “relative” means a close relative, grandparent, grandchild, uncle, aunt, nephew or niece; “relevant week”, in relation to any particular day, means the week within which the day in question falls;

 “remunerative work” has the meaning given by Appendix 3, paragraph 9

 “savings credit” is to be construed in accordance with sections 1 and 3 of the State Pension Credit Act 200249;

 “the Scottish Infected Blood Scheme” means the scheme of that name administered by the Common Services Agency (constituted under section 10 of the National Health Service (Scotland) Act 1978(b))

 “second authority” means the authority to which a mover is liable to make payments for the new dwelling;

 “self-employed earner” is to be construed in accordance with section 2(1)(b) of the SSCBA; “self-employment route” means assistance in pursuing self-employed earner’s employment whilst participating in— (a) an employment zone programme; (b) a programme provided by or under arrangements made pursuant to section 2 of the Employment and Training Act 197350 (functions of the Secretary of State) or (c) the Employment, Skills and Enterprise Scheme;

 “shared parental leave” means leave under section 75E or 75G of the Employment Rights Act 1996;

 “single applicant” means an applicant who neither has a partner nor is a lone parent;

 “the Skipton Fund” means the ex-gratia payment scheme administered by the Skipton Fund Limited, incorporated on 25th March 2004, for the benefit of certain persons suffering from hepatitis C and other persons eligible for payment in accordance with the scheme’s provisions;

 “sports award” means an award made by one of the Sports Councils named in section 23(2) of the National Lottery etc. Act 199351 out of sums allocated to it for distribution under that section;

 “the SSCBA” means the Social Security Contributions and Benefits Act 199252;

49 2002 c.16. Section 3 was amended by the Civil Partnership Act 2004 (c.33), Schedule 24, paragraph 140 and S.I. 2002/1792. 50 1973 c.50. Section 2 was substituted by section 25(1) of the Employment Act 1988 (c.19) and repealed in part by the Employment Act 1989 (c.38), Schedule 7, Part 1. 51 1993 c.39; subsection (2) was amended by S.I. 1996/3095, 1999/1663. 52 1992 c.4. 50 Page 220 of 410  “state pension credit” means state pension credit under the State Pension Credit Act 200253; “student” has the meaning given by paragraph 1;  “statutory parental bereavement pay” means a payment to which a person is entitled in accordance with section 171ZZ6 of the Social Security Contribution and Benefits Act 1992;

 “tax year” means a period beginning with 6th April in one year and ending with 5th April in the next;

 “training allowance” means an allowance (whether by way of periodical grants or otherwise) payable— (a) out of public funds by a Government department or by or on behalf of the Secretary of State, Skills Development Scotland, Scottish Enterprise or Highlands and Islands Enterprise, the Chief Executive of Skills Funding or the Welsh Ministers; (b) to a person for his maintenance or in respect of a member of his family; and (c) for the period, or part of the period, during which he is following a course of training or instruction provided by, or in pursuance of arrangements made with, that department or approved by that department in relation to him or so provided or approved by or on behalf of the Secretary of State, Skills Development Scotland, Scottish Enterprise or Highlands and Islands Enterprise or the Welsh Ministers, but it does not include an allowance paid by any Government department to or in respect of a person by reason of the fact that he is following a course of full-time education, other than under arrangements made under section 2 of the Employment and Training Act 197354, or is training as a teacher;

 “the Trusts” (except where the context otherwise requires) means the Macfarlane Trust, the Macfarlane (Special Payments) Trust and the Macfarlane (Special Payments) (No. 2) Trust and “Trustees” is to be construed accordingly;

 “universal credit” has the meaning given by section 1 of the Welfare Reform Act 201255;

 “voluntary organisation” means a body, other than a public or local authority, the activities of which are carried on otherwise than for profit;

 “war disablement pension” means any retired pay or pension or allowance payable in respect of disablement under an instrument specified in section 639(2) of the Income Tax (Earnings and Pensions) Act 200356;

 “war pension” means a war disablement pension, a war widow’s pension

53 2002 c.16. 54 1973 c.50; section 2 was substituted by the Employment Act 1988 (c.19), section 25 and amended by the Employment Act 1989 (c.38), Schedule 7, Part 1. 55 2012 c.5. 56 2003 c.1; subsection (2) was inserted by the Finance Act 2005 (c.7), section 19. ( 51 Page 221 of 410 or a war widower’s pension;

 “war widow’s pension” means any pension or allowance payable to a woman as a widow under an instrument specified in section 639(2) of the Income Tax (Earnings and Pensions) Act 2003 in respect of the death or disablement of any person;

 “war widower’s pension” means any pension or allowance payable to a man as a widower or to a surviving civil partner under an instrument specified in section 639(2) of the Income Tax (Earnings and Pensions) Act 2003 in respect of the death or disablement of any person;

 “water charges” means (a) As respects England and Wales, any water and sewerage charges under Chapter 1 of Part 5 of the Water Industry Act 199157, (b) As respects Scotland, any water and sewerage charges established by Scottish Water under a charges scheme made under section 29A of the Water Industry (Scotland) Act 2002(a), in so far as such charges are in respect of the dwelling which a person occupies as his home

 “the We Love Manchester Emergency Fund” means the registered charity of that name (number 1173260) established on the 30th May 2017

 “the Windrush Compensation Scheme” means— (a) the scheme of that name operated by the Secretary of State for the purpose of compensating individuals who have suffered loss in connection with being unable to demonstrate their lawful status in the United Kingdom; and (b) the policy entitled “Windrush Scheme: Support in urgent and exceptional circumstances” which was operated by the Secretary of State for the purpose of compensating individuals who, for urgent and exceptional reasons, required support in advance of the scheme referred to in paragraph (a) of this definition becoming operational;”;

 “working tax credit” means i n so far as such charges are in respect of the dwelling which a person occupies as his home; a working tax credit under section 10 of the Tax Credits Act 200258;

 “young person” means a person who falls within the definition of qualifying young person in section 142 of the SSCBA59; (2) in this scheme, where an amount is to be rounded to the nearest penny, a fraction of a penny must be disregarded if it is less than half a penny and must otherwise be treated as a whole penny; (3) for the purpose of this scheme, a person is on an income-based jobseeker’s allowance on any day in respect of which an income-based jobseeker’s allowance is payable to him and on any day -

58 2002 c.21. 59 Section 142 was amended by section 1 of the Child Benefit Act 2005 (c.6). 52 Page 222 of 410 (a) in respect of which he satisfies the conditions for entitlement to an income-based jobseeker’s allowance but where the allowance is not paid because of a reduction in accordance with section 19 or 19A or regulations made under section 17A or 19B of the Jobseekers Act 199560 (circumstances in which a jobseeker’s allowance is not payable); (b) which is a waiting day for the purposes of paragraph 4 of Schedule 1 to that Act and which falls immediately before a day in respect of which an income-based jobseeker’s allowance is payable to him or would be payable to him but for section 19 or 19A or regulations made under section 17A or 19B of that Act; or (c) in respect of which an income-based jobseeker’s allowance would be payable but for a restriction imposed pursuant to section 6B, 7, 8 or 9 of the Social Security Fraud Act 200161 (loss of benefit provisions). (4) for the purposes of this scheme, a person is on an income-related employment and support allowance on any day in respect of which an income-related employment and support allowance is payable to him and on any day - (a) in respect of which he satisfies the conditions for entitlement to an income-related employment and support allowance but where the allowance is not paid in accordance with section 18 of the Welfare Reform Act 200762 (disqualification); or (b) which is a waiting day for the purposes of paragraph 2 of Schedule 2 to that Act (employment and support allowance: supplementary provisions) and which falls immediately before a day in respect of which an income-related employment and support allowance is payable to him or would be payable to him but for section 18 of that Act (5) for the purposes of this scheme, two persons must be taken to be estranged only if their estrangement constitutes a breakdown of the relationship between them; (6) in this scheme, references to any person in receipt of state pension credit includes a person who would be in receipt of state pension credit but for regulation 13 of the State Pension Credit Regulations 200263 (small

60 1995 c.18; section 19 (together with sections 19A to 19C), has been substituted by section 46 of the Welfare Reform Act 2012 (c.5) but that amendment is not yet in force (sections 19A to 19C are however); section 17A has been repealed by Part 4 of Schedule 14 to that Act although that provision is not yet in force. In the meantime amendments have been made to section 17A by sections 48 and 59 of, and Schedules 7 and 14 to, the 2012 Act. 61 2001 c.11; section 6B was amended by sections 9, 24 and 58 of, and paragraphs 9 and 10 of Schedule 2 and Part 1 of Schedule 7 to, the Welfare Reform Act 2009 (c.24); sections 31, 113, 118, 119, 121 and 147 of, paragraphs 56 and 58 of Schedule 2, paragraphs 15 and 16 of Schedule 3, Parts 1 and 12 of Schedule 14, to the Welfare Reform Act 2012 (c.5), of which only those made by section 113 (to subsection (1)(b)) are in force. Section 7 was amended by section 14 of, and Part 3 of Schedule 3 to, the State Pension Credit Act 2002 (c.16); sections 28 and 49 of, and paragraph 23 of Schedule 3 to, the Welfare Reform Act 2007 (c.5); sections 9, 24 and 58 of, and paragraphs 9 and 11 of Schedule 2, Part 1 of Schedule 4 and Part 1 of Schedule 7 to, the Welfare Reform Act 2009 (of which those made by sections 9, 31 and Schedule 7 are not yet in force); S.I. 2011/2298; sections 31, 118, 119 and 147 of, and paragraphs 56 and 59 of Schedule 2, paragraphs 15 and 17 of Schedule 3 and Part 1 of Schedule 14 to, the Welfare Reform Act 2012, none of which are yet in force. Section 8 has been repealed by section 147 of, and Part 1 of Schedule 14, to the Welfare Reform Act 2012, but that repeal is not yet in force. Amendments have also been made by sections 1, 24, and 58 of, and Part 1 of Schedule 4 and Part 3 of Schedule 7 to, the Welfare Reform Act 2009; sections 31, 48, 113 and 147 of, and paragraphs 56 and 60 of Schedule 2, paragraph 12 of Schedule 7 and Part 12 of Schedule 14 to, the Welfare Reform Act 2012, of which only those made by section 113 are in force. Section 9 was amended by section 14 of, and Part 3 of Schedule 2 to, the State Pension Credit Act 2002; sections 28 of, and paragraph 23 of Schedule 3 to, the Welfare Reform Act 2007; sections 9 and 58 of, and Part 1 of Schedule 7 to, the Welfare Reform Act 2009, none of which are in force; sections 31, 113 and 147 of, and paragraphs 56 and 61 of Schedule 2 and Part 1 of Schedule 14 to, the Welfare Reform Act 2012, of which only those made by section 113 are in force. 62 2007 c.5

63 S.I. 2002/1792. 53 Page 223 of 410 amounts of state pension credit). (7) In these Rules, references to a person in class A, B or C (as the case may be) is a reference to class A, B or C described in Rules 13, 14 and 15. (8) References in these Rules to an applicant participating as a service user are to (a) a person who is being consulted by or on behalf of— (i) a body which has a statutory duty to provide services in the field of health, social care or social housing; or

(ii) a body which conducts research or undertakes monitoring for the purpose of planning or improving such services, in their capacity as a user, potential user, carer of a user or person otherwise affected by the provision of those services; or

(b) the carer of a person consulted as described in sub-paragraph.

2. Application of scheme

This scheme applies to persons who are not pensioners. In this scheme a person is a “person who is not a pensioner” if— (a) he has not attained the qualifying age for state pension credit; or (b) he has attained the qualifying age for state pension credit and he, or if he has a partner, his partner, is— (i) a person on income support, on an income-based jobseeker’s allowance or on an income-related employment and support allowance, or (ii) a person with an award of universal credit.

3. Meaning of “couple”

(1) In this scheme “couple” means— (a) a man and woman who are married to, or in a civil partnership with each other and are members of the same household; (b) a man and woman who are not married to, or in a civil partnership with each other but are living together as husband and wife; (c) two people of the same sex who are civil partners of each other and are members of the same household; or (d) two people of the same sex who are not civil partners of each other but are living together as if they were civil partners. (2) Two people of the same sex are to be treated as living together as if they were civil partners if, and only if, they would be treated as living together as husband and wife were they of opposite sexes.

4. Polygamous marriages

(1) This paragraph applies to any case where 54 Page 224 of 410

(a) a person is a husband or wife by virtue of a marriage entered into under a law which permits polygamy; and (b) either party to the marriage has for the time being any spouse additional to the other party. (2) For the purposes of paragraph 3 (meaning of “couple”) neither party to the marriage is to be taken to be a member of a couple.

5. Meaning of “family”

(1) In this scheme “family” means— (a) a couple; (b) a couple and a member of the same household for whom one of them is or both are responsible and who is a child or a young person; or (c) a person who is not a member of a couple and a member of the same household for whom that person is responsible and who is a child or a young person. (2) The references to a child or young person in sub-paragraph (1)(b) and (c) include a child or young person in respect of whom section 145A of the SSCBA64 applies for the purposes of entitlement to child benefit, but only for the period prescribed under section 145A(1). (3) The references to a young person in sub-paragraph (1)(b) and (c) do not include a young person who is— (a) on income support, an income-based jobseeker’s allowance or an income-related employment and support allowance, or has an award of universal credit; (b) a person to whom section 6 of the Children (Leaving Care) Act 200065 (exclusion from benefits) applies; or (c) entitled to an award of universal credit.

6. Circumstances in which a person is to be treated as responsible or not responsible for another

(1) A person is to be treated as responsible for a child or young person who is normally living with him, including a child or young person to whom paragraph 6(2) applies. (2) Where a child or young person spends equal amounts of time in different households, or where there is a question as to which household he is living in, the child or young person must be treated for the purposes of sub- paragraph (1) as normally living with (a) the person who is receiving child benefit in respect of that child or young person, or (b) if there is no such person— (i) where only one claim for child benefit has been made in respect of him, the person who made that claim, or

64 Section 145A inserted by the Tax Credits Act 2002 (c.21), section 55(1). 65 2000 c.35. 55 Page 225 of 410 (ii) in any other case the person who has the primary responsibility for him. (3) For the purposes of this scheme a child or young person is the responsibility of only one person in any reduction week and any person other than the one treated as responsible for the child or young person under this paragraph is to be treated as not so responsible.

7. Households

(1) Subject to sub-paragraphs (2) and (3), an applicant and any partner and, where the applicant or his partner is treated (by virtue of paragraph 7) as responsible for a child or young person, that child or young person and any child of that child or young person, are to be treated as members of the same household notwithstanding that any of them is temporarily absent from that household.

(2) A child or young person is not be treated as a member of the applicant’s household where he is— (a) placed with the applicant or his partner by a local authority under section 22C or 23(2)(a) of the Children Act 198966 or by a voluntary organisation under section 59(1)(a) of that Act or section 81(2) of the Social Services and Well-being (Wales) Act 2014 (ways in which looked after children are to be accommodated and maintained (c) (b) placed with the applicant or his partner prior to adoption; or (c) placed for adoption with the applicant or his partner in accordance with the Adoption and Children Act 200267 or the Adoption Agencies (Scotland) Regulations 200968 or the Adoption (Northern Ireland) Order 198769. (3) Subject to sub-paragraph (4), sub-paragraph (1) does not apply to a child or young person who is not living with the applicant and who (a) is being looked after by a local authority under a relevant enactment; or (b) has been placed with a person other than the applicant prior to adoption; or (c) has been placed for adoption in accordance with the Adoption and Children Act 2002 or the Adoption Agencies (Scotland) Regulations 2009. (4) The authority must treat a child or young person to whom sub-paragraph (3)(a) applies as being a member of the applicant’s household in any reduction week where (a) that child or young person lives with the applicant for part or all of that reduction week; (b) the authority considers that it is reasonable to do so taking into account the nature and frequency of that child’s or young person’s visits.

66 1989 c.41; section 23 was substituted by sections 22A to 22F by section 8(1) of the Children and Young Persons Act 2008 (c.23). Section 22C is in force in England but not yet in force in Wales. Section 59(1)(a) was amended by section 49 of the Children Act 2004 (c.31) and paragraph 2 of Schedule 1 to the Children and Young Persons Act 2008. 67 2002 c.38. 68 S.I. 2009/154. 69 S.I. 1987/2203 (N.I. 22). 56 Page 226 of 410 (5) In this paragraph “relevant enactment” means (a) the Army Act 195570; (b) the Air Force Act 195571; (c) the Naval Discipline Act 195772; (d) the Matrimonial Proceedings (Children) Act 195873; (e) the Social Work (Scotland) Act 196874; (f) the Family Law Reform Act 196975; (g) the Children and Young Persons Act 196976; (h) the Matrimonial Causes Act 197377; (i) the Children Act 197578; (j) the Domestic Proceedings and Magistrates’ Courts Act 197879; (k) the Adoption and Children (Scotland) Act 200780; (l) the Family Law Act 198681; (m) the Children Act 1989; (n) the Children (Scotland) Act 199582; and (o) the Legal Aid, Sentencing and Punishment of Offenders Act 201283.

8. Non-dependents

(1) In this scheme, “non-dependent” means any person, except someone to whom sub- paragraph (2) applies, who normally resides with an applicant or with whom an applicant normally resides. (2) This paragraph applies to (a) any member of the applicant’s family; (b) if the applicant is polygamously married (i) where the applicant has (alone or jointly with his partner) an award of universal credit, any— (aa) party to such a marriage other than the applicant’s partner; and (bb) any child or young person who is a member of his household and for whom he or his partner or another party to the polygamous marriage is responsible; or (ii) in any other case, any partner of his and any child or young person who is a member of his household and for whom he or one of his partners is responsible;

70 1955 c.18. 71 1955 c.19. 72 1957 c.53. 73 1958 c.40. 74 1968 c.49. 75 1969 c.46. 76 1969 c.54. 77 1973 c.18. 78 1975 c.72; this Act was repealed in respect of England and Wales by Schedule 15 to the Children Act 1989 (c.41). It continues to have effect in Scotland. 79 1978 c.22.

80 2007 asp 4. 81 1986 c.55. 82 1995 c.36. 83 2012 c.10. 57 Page 227 of 410 (c) a child or young person who is living with the applicant but who is not a member of his household by virtue of sub paragraph 6 (d) subject to sub-paragraph (3), any person who, with the applicant, is jointly and severally liable to pay council tax in respect of a dwelling for any day under section 6 or 7 of the 1992 Act (persons liable to pay council tax); (e) subject to sub-paragraph (3), any person who is liable to make payments on a commercial basis to the applicant or the applicant’s partner in respect of the occupation of the dwelling; (f) a person who lives with the applicant in order to care for him or a partner of his and who is engaged by a charitable or voluntary organisation which makes a charge to the applicant or his partner for the services provided by that person. (3) Excepting persons to whom sub-paragraph (2)(a) to (c) and (f) refer, a person to whom any of the following paragraphs applies is a non-dependent (a) a person who resides with the person to whom he is liable to make payments in respect of the dwelling and either— (i) that person is a close relative of his or his partner; or (ii) the tenancy or other agreement between them is other than on a commercial basis; (b) a person whose liability to make payments in respect of the dwelling appears to the authority to have been created to take advantage of a council tax reduction scheme except someone who was, for any period within the eight weeks prior to the creation of the agreement giving rise to the liability to make such payments, otherwise liable to make payments of rent in respect of the same dwelling; (c) a person who becomes jointly and severally liable with the applicant for council tax in respect of a dwelling and who was, at any time during the period of eight weeks prior to his becoming so liable, a non- dependent of one or more of the other residents in that dwelling who are so liable for the tax, unless the change giving rise to the new liability was not made to take advantage of a council tax reduction scheme. (4) A non-dependent deduction is taken from the calculated Council Tax Liability before the income band percentage reduction is applied as follows- (a) Subject to the following provisions of this paragraph, the non- dependent deductions referred to in paragraph 4 are: (i) in respect of a non-dependent aged 18 or over in remunerative work, £12.40 (ii) in respect of a non-dependent aged 18 or over to whom paragraph (i) does not apply, £4.05 (b) In the case of a non-dependent aged 18 or over to whom sub- paragraph (a)(i) applies, where it is shown to the appropriate authority that his normal gross weekly income is- (i) less than £217.00, the deduction to be made under this paragraph is that specified in subparagraph (a)(ii) (ii) not less than £217.00 but less than £377.00, the deduction to be made under this paragraph is £8.25; (iii) not less than £377.00 but less than £469.00, the deduction to be 58 Page 228 of 410 made under this paragraph is £10.35. (5) Only one deduction is to be made under this paragraph in respect of a couple or, as the case may be, members of a polygamous marriage (other than where there is an award of universal credit) and, where, but for this paragraph, the amount that would fall to be deducted in respect of one member of a couple or polygamous marriage is higher than the amount (if any) that would fall to be deducted in respect of the other, or any other, member, the higher amount is to be deducted. (6) In applying the provisions of sub-paragraph (2) in the case of a couple or, as the case may be, a polygamous marriage, regard must be had, for the purpose of that sub-paragraph, to the couple’s or, as the case may be, all members of the polygamous marriage’s joint weekly gross income. (7) Where in respect of a day (a) a person is a resident in a dwelling but is not himself liable for Council tax in respect of that dwelling and that day; (b) other residents in that dwelling (the liable persons) have joint and several liability for council tax in respect of that dwelling and that day otherwise than by virtue of section 9 of the 1992 Act (liability of spouses and civil partners); and (c) the person to whom paragraph (a) refers is a non-dependent of two or more of the liable persons, the deduction in respect of that non-dependent must be apportioned equally between those liable persons. (8) No deduction is to be made in respect of any non-dependents occupying an applicant’s dwelling if the applicant or his partner is (a) blind or treated as blind by virtue of Appendix 5 paragraph 9 (additional condition for the disability premium); or (b) receiving in respect of himself (i) attendance allowance, or would be receiving that allowance but for- (aa) a suspension of benefit in accordance with regulations under section 113(2) of the SSCBA; or (bb) an abatement as a result of hospitalisation; or (ii) the care component of the disability living allowance, or would be receiving that component but for- (aa) a suspension of benefit in accordance with regulations under section 113(2) of the SSCBA; or (bb) an abatement as a result of hospitalisation; or (iii) the daily living component of personal independence payment, or would be receiving that allowance but for a suspension of benefit in accordance with regulations under section 86 of the Welfare Reform Act 2012 (hospital in-patients); or (iv) an AFIP, or would be receiving that payment but for a suspension of it in accordance with any terms of the armed and reserve forces compensation scheme which allows for a suspension because a person is undergoing medical treatment in a hospital or similar institution. (9) No deduction is to be made in respect of a non-dependent if

59 Page 229 of 410 (a) although he resides with the applicant, it appears to the authority that his normal home is elsewhere; or (b) he is in receipt of a training allowance paid in connection with youth training established under section 2 of the Employment and Training Act 1973 or section 2 of the Enterprise and New Towns (Scotland) Act 1990; or (c) he is a full-time student within the meaning of Appendix 1 or (d) he is not residing with the applicant because he has been a patient for a period in excess of 52 weeks, and for these purposes- (i) “patient” has the meaning given in Appendix 3 paragraph 12(6), and (ii) where a person has been a patient for two or more distinct periods separated by one or more intervals each not exceeding 28 days, he is to be treated as having been a patient continuously for a period equal in duration to the total of those distinct periods. (10) No deduction is to be made in respect of a non-dependent (a) who is on income support, an income-based jobseeker’s allowance or an income-related employment and support allowance; (b) to whom Schedule 1 to the 1992 Act applies (persons disregarded for purposes of discount) but this paragraph does not apply to a non- dependent who is a student to whom paragraph 4 of that Schedule refers; or (c) who is entitled to an award of universal credit where the award is calculated on the basis that the person does not have any earned income (d) for the purposes of sub-paragraph 8(c), “earned income” has the meaning given in regulation 52 of the Universal Credit Regulations 2013 (11) In the application of sub-paragraph (2) there is to be disregarded from the non-dependent’s weekly gross income (a) any attendance allowance, disability living allowance, personal independence payment or an AFIP received by him; (b) any payment made under or by the Trusts, the Fund, the Eileen Trust, MFET Limited, the Skipton Fund, the Caxton Foundation the Scottish Infected Blood Support Scheme, an approved blood scheme, the London Emergencies Trust, the We love Manchester Emergency Fund, the Grenfell Tower charitable funds, the Grenfell Tower Residents’ Discretionary Fund, the Windrush Compensation Scheme or the Independent Living Fund (2006) which, had his income fallen to be calculated under part 3 paragraph 15 (calculation of income other than earnings: would have been disregarded under paragraph 14 of part 3 and (ba) any Grenfell Tower support payment which is paid as income in kind (see sub-paragraph (28(1)); (c) any payment which, had his income fallen to be calculated under part 3 paragraph 15 ,would have been disregarded under paragraph 14 of part 3 (payments made under certain trusts and certain other payments). (d) any payment made under or by a trust, established for the purpose of giving relief and assistance to disabled persons whose disabilities were caused by the fact that during their mothers pregnancy she had taken a preparation containing the drug known as Thalidomide, and which is approved by the Secretary of State.

60 Page 230 of 410

9. Remunerative work

(1) Subject to the following provisions of this paragraph, a person must be treated for the purposes of this scheme as engaged in remunerative work if he is engaged, or, where his hours of work fluctuate, he is engaged on average, for not less than 16 hours a week, in work for which payment is made or which is done in expectation of payment. (2) Subject to sub-paragraph (3), in determining the number of hours for which a person is engaged in work where his hours of work fluctuate, regard must be had to the average of hours worked over— (a) if there is a recognisable cycle of work, the period of one complete cycle (including, where the cycle involves periods in which the person does no work, those periods but disregarding any other absences); (b) in any other case, the period of 5 weeks immediately prior to the date of application, or such other length of time as may, in the particular case, enable the person’s weekly average hours of work to be determined more accurately. (3) Where, for the purposes of sub-paragraph (2)(a), a person’s recognisable cycle of work at a school, other educational establishment or other place of employment is one year and includes periods of school holidays or similar vacations during which he does not work, those periods and any other periods not forming part of such holidays or vacations during which he is not required to work must be disregarded in establishing the average hours for which he is engaged in work. (4) Where no recognisable cycle has been established in respect of a person’s work, regard must be had to the number of hours or, where those hours will fluctuate, the average of the hours, which he is expected to work in a week. (5) A person must be treated as engaged in remunerative work during any period for which he is absent from work referred to in sub-paragraph (1) if the absence is either without good cause or by reason of a recognised, customary or other holiday. (6) A person on income support, an income-based jobseeker’s allowance or an income-related employment and support allowance for more than 3 days in any reduction week is to be treated as not being in remunerative work in that week. (7) A person must not be treated as engaged in remunerative work on any day on which the person is on maternity leave, paternity leave, shared parental leave, parental bereavement leave or adoption leave, or is absent from work because he is ill. (8) A person must not be treated as engaged in remunerative work on any day on which he is engaged in an activity in respect of which— (a) a sports award has been made, or is to be made, to him; and (b) no other payment is made or is expected to be made to him.

61 Page 231 of 410 10. Treatment of child care charges

(1) This paragraph applies where a claimant is incurring relevant child care charges and

(a) is a lone parent and is engaged in remunerative work; (b) is a member of a couple both of whom are engaged in remunerative work; or (c) is a member of a couple where one member is engaged in remunerative work and the other (i) is incapacitated; (ii) is an in-patient in hospital; or (iii) is in prison (whether serving a custodial sentence or remanded in custody awaiting trial or sentence). (d) and is not in receipt of Universal Credit

(2) For the purposes of paragraph (1) and subject to paragraph (4), a person to whom paragraph (3) applies shall be treated as engaged in remunerative work for a period not exceeding 28 weeks during which he (a) is paid statutory sick pay; (b) is paid short-term incapacity benefit at the lower rate under sections 30A to 30E of the Act; (ba) is paid an employment and support allowance; (c) is paid income support on the grounds of incapacity for work under regulation 4ZA of, and paragraph 7 or 14 of Schedule 1B to, the Income Support Regulations; or (d) is credited with earnings on the grounds of incapacity for work or limited capability for work under regulation 8B of the Social Security (Credits) Regulations 1975.

(3) This paragraph applies to a person who was engaged in remunerative work immediately before (a) the first day of the period in respect of which he was first paid statutory sick pay, short-term incapacity benefit, an employment and support allowance or income support on the grounds of incapacity for work; or (b) the first day of the period in respect of which earnings are credited, as the case may be.

(4) In a case to which paragraph (2)(c) or (d) applies, the period of 28 weeks begins on the day on which the person is first paid income support or on the first day of the period in respect of which earnings are credited, as the case may be.

(5) Relevant child care charges are those charges for care to which paragraphs (6) and (7) apply, and shall be calculated on a weekly basis in accordance with paragraph (10).

(6) The charges are paid by the claimant for care which is provided

62 Page 232 of 410 (a) in the case of any child of the claimant´s family who is not disabled, in respect of the period beginning on that child´s date of birth and ending on the day preceding the first Monday in September following that child´s fifteenth birthday; or

(b) in the case of any child of the claimant´s family who is disabled, in respect of the period beginning on that person´s date of birth and ending on the day preceding the first Monday in September following that person´s sixteenth birthday.

(7) The charges are paid for care which is provided by one or more of the care providers listed in paragraph (8) and are not paid

(a) in respect of the child´s compulsory education;

(b) by a claimant to a partner or by a partner to a claimant in respect of any child for whom either or any of them is responsible in accordance with regulation 20 (circumstances in which a person is treated as responsible or not responsible for another); or

(8) The care to which paragraph (7) refers may be provided

(a) out of school hours, by a school on school premises or by a local authority

(i) for children who are not disabled in respect of the period beginning on their eighth birthday and ending on the day preceding the first Monday in September following their fifteenth birthday; or

(ii) for children who are disabled in respect of the period beginning on their eighth birthday and ending on the day preceding the first Monday in September following their sixteenth birthday;

(b) by a child care provider approved in accordance with the Tax Credit (New Category of Child Care Provider) Regulations 1999;

(d) by a person who is excepted from registration under Part 2 of the Children and Families (Wales) Measure 2010 because the child care that person provides is in a school or establishment referred to in article 11, 12 or 14 of the Child Minding and Day Care Exceptions (Wales) Order 2010; or

(e) by

(i) persons registered under section 59(1) of the Public Services Reform (Scotland) Act 2010; or

63 Page 233 of 410 (ii) local authorities registered under section 83(1),

where the care provided is child minding or day care of children within the meaning of that Act; or

(f) by a person prescribed in regulations made pursuant to section 12(4) of the Tax Credits Act or

(g) by a person who is registered under Chapter 2 or 3 of Part 3 of the Childcare Act 2006; or

(h) by any of the schools mentioned in section 34(2) of the Childcare Act 2006 in circumstances where the requirement to register under Chapter 2 of Part 3 of that Act does not apply by virtue of section 34(2) of that Act; or

(i) by any of the schools mentioned in section 53(2) of the Childcare Act 2006 in circumstances where the requirement to register under Chapter 3 of Part 3 of that Act does not apply by virtue of section 53(2) of that Act; or

(j) by any of the establishments mentioned in section 18(5) of the Childcare Act 2006 in circumstances where the care is not included in the meaning of “childcare” for the purposes of Part 1 and Part 3 of that Act by virtue of that subsection; or

(k) by a foster parent or kinship carer under the Fostering Services Regulations 2002, the Fostering Services (Wales) Regulations 2003 or the Looked After Children (Scotland) Regulations 2009 in relation to a child other than one whom the foster parent is fostering or kinship carer is looking after; or

(l) by a domiciliary care worker under the Domiciliary Care Agencies Regulations 2002 or the Domiciliary Care Agencies (Wales) Regulations 2004; or

(m) by a person who is not a relative of the child wholly or mainly in the child’s home.

In sub-paragraphs (6) and (8)(a), “the first Monday in September’ means the Monday which first occurs in the month of September in any year.

(9) Relevant child care charges shall be estimated over such period, not exceeding a year, as is appropriate in order that the average weekly charge may be estimated accurately having regard to information as to the amount of that charge provided by the child minder or person providing the care.

(10) For the purposes of paragraph (1)(c) the other member of a couple is incapacitated where

(a) the claimant´s applicable amount includes a disability premium on account of the other member's incapacity or the support component or the

64 Page 234 of 410 work-related activity component on account of his having limited capability for work; (b) the claimant´s applicable amount would include a disability premium on account of the other member´s incapacity but for that other member being treated as capable of work by virtue of a determination made in accordance with regulations made under section 171E of the Act;

(ba) the claimant’s applicable amount would include the support component or the work-related activity component on account of the other member having limited capability for work but for that other member being treated as not having limited capability for work by virtue of a determination made in accordance with the Employment and Support Allowance Regulations or the Employment and Support Allowance Regulations 2013;

(c) the claimant (within the meaning of regulation 2) is, or is treated as, incapable of work and has been so incapable, or has been so treated as incapable, of work in accordance with the provisions of, and regulations made under, Part 12A of the Act (incapacity for work) for a continuous period of not less than 196 days; and for this purpose any two or more separate periods separated by a break of not more than 56 days shall be treated as one continuous period;

(ca) the claimant (within the meaning of regulation 2(1)) has, or is treated as having, limited capability for work and has had, or been treated as having, limited capability for work in accordance with the Employment and Support Allowance Regulations or the Employment and Support Allowance Regulations 2013 for a continuous period of not less than 196 days and for this purpose any two or more separate periods separated by a break of not more than 84 days must be treated as one continuous period;

(d) there is payable in respect of him one or more of the following pensions or allowances

(i) long-term incapacity benefit or short-term incapacity benefit at the higher rate under Schedule 4 to the Act; (ii) attendance allowance under section 64 of the Act; (iii) severe disablement allowance under section 68 of the Act; (iv) disability living allowance under section 71 of the Act; (v) increase of disablement pension under section 104 of the Act; (vi) a pension increase paid as part of a war disablement pension or under or an industrial injuries scheme which is analogous to an allowance or increase of disablement pension under head (ii), (iv) or (v) above;

(vii) main phase employment and support allowance;

65 Page 235 of 410 (viii) personal independence payment; (ix) armed forces independence payment; (e) a pension, allowance or payment to which head (ii), (iv), (v), (vi) or (viii) of sub-paragraph (d) above refers was payable on account of his incapacity but has ceased to be payable in consequence of his becoming a patient, which in this regulation shall mean a person (other than a person who is serving a sentence of imprisonment or detention in a youth custody institution) who is regarded as receiving free in-patient treatment within the meaning of regulation 2(4) and (5) of the Social Security (Hospital In- Patients) Regulations 2005; (f) sub-paragraph (d) or (e) would apply to him if the legislative provisions referred to in those subparagraphs were provisions under any corresponding enactment having effect in Northern Ireland; or (g) he has an invalid carriage or other vehicle provided to him by the Secretary of State under section 5(2)(a) of and Schedule 2 to the National Health Service Act 1977 or by Scottish Ministers under section 46 of the National Health Service (Scotland) Act 1978 or provided by the Department of Health, Social Services and Public Safety in Northern Ireland under Article 30(1) of the Health and Personal Social Services (Northern Ireland) Order 1972. (11) For the purposes of paragraph (10), once paragraph (10)(c) applies to the claimant, if he then ceases, for a period of 56 days or less, to be incapable, or to be treated as incapable, of work, that paragraph shall, on his again becoming so incapable, or so treated as incapable, of work at the end of that period, immediately thereafter apply to him for so long as he remains incapable, or is treated as remaining incapable, of work. (12) For the purposes of paragraph (10), once paragraph (10)(ca) applies to the claimant, if he then ceases, for a period of 84 days or less, to have, or to be treated as having, limited capability for work, that paragraph is, on his again having, or being treated as having, limited capability for work at the end of that period, immediately thereafter to apply to him for so long as he has, or is treated as having, limited capability for work. (13) For the purposes of paragraphs (6) and (8)(a), a person is disabled if he is a person (a) in respect of whom disability living allowance is payable, or has ceased to be payable solely because he is a patient; (b) who is registered as blind in a register compiled under section 29 of the National Assistance Act 1948 (welfare services) or, in Scotland, has been certified as blind and in consequence he is registered as blind in a register maintained by or on behalf of a council constituted under section 2 of the Local Government (Scotland) Act 1994; (c) who ceased to be registered as blind in such a register within the period beginning 28 weeks before the first Monday in September following that person´s fifteenth birthday and ending on the day preceding the first Monday in September following that person´s sixteenth birthday;

66 Page 236 of 410 (d) in respect of whom personal independence payment is payable, or has ceased to be payable solely by virtue of regulations made under section 86(1) (hospital in-patients) of the 2012 Act.; or (e) in respect of whom armed forces independence payment is payable. (14) For the purposes of Sub-paragraph (1) a person on maternity leave, paternity leave, shared parental leave, parental bereavement leave or adoption leave shall be treated as if she is engaged in remunerative work for the period specified in sub-paragraph (b) (“the relevant period’) provided that (a) in the week before the period of maternity leave, paternity leave, shared parental leave, parental bereavement leave or adoption leave began she was in remunerative work; (b) the claimant is incurring relevant child care charges within the meaning of paragraph (5); and (c) she is entitled to statutory maternity pay under section 164 of the Act, statutory paternity pay by virtue of section 171ZA or 171ZB of the Act, , statutory adoption pay by virtue of section 171ZL of the Act, maternity allowance under section 35 of the Act, statutory shared parental pay by virtue of section 171ZU or 171ZV of the Act or qualifying support; statutory parental bereavement pay by virtue of section 171ZZ6 of that Act (15) For the purpose of sub paragraph 14 the relevant period shall begin on the day on which the person´s maternity leave, paternity leave, shared parental leave, parental bereavement leave or adoption leave commences and shall end on (a) the date that leave ends; (b) if no child care element of working tax credit is in payment on the date that entitlement to maternity allowance, qualifying support, statutory maternity pay, ordinary or additional statutory paternity pay, or statutory shared parental pay, statutory parental bereavement pay or statutory adoption pay, the date that entitlement ends; or (c) if a child care element of working tax credit is in payment on the date that entitlement to maternity allowance, qualifying support, statutory maternity pay, ordinary or additional statutory paternity pay or statutory shared parental pay, statutory parental bereavement pay or statutory adoption pay or ends, the date that entitlement to that award of the child care element of working tax credit ends, whichever shall occur first. (16) In sub paragraphs (14) and (15) (a) “qualifying support’ means income support to which that person is entitled by virtue of paragraph 14B of Schedule 1B to the Income Support Regulations; and (b) “child care element’ of working tax credit means the element of working tax credit prescribed under section 12 of the Tax Credits Act (child care element).

67 Page 237 of 410 (17) In this paragraph “applicant” does not include an applicant (a) who has, or (b) who (jointly with his partner) has, an award of universal credit

11. Class of person excluded from this scheme: persons treated as not being in Great Britain

(1) The class of person described in this paragraph consists of any person treated as not being in Great Britain.

(2) Except where a person falls within sub-paragraph (5) or (6), a person is to be treated as not being in Great Britain if the person is not habitually resident in the United Kingdom, the Channel Islands, the Isle of Man or the Republic of Ireland. (3) A person must not be treated as habitually resident in the United Kingdom, the Channel Islands, the Isle of Man or the Republic of Ireland unless the person has a right to reside in one of those places. (4) For the purposes of sub-paragraph (3), a right to reside does not include a right which exists by virtue of, or in accordance with (a) regulation 13 of the EEA Regulations (aa) regulation 14 of the EEA Regulations, but only in case where the right exists under that regulation because the person is (i) a jobseeker for the purpose of the definition of “qualified person” in regulation 6(1) of those Regulations, or (ii) a family member (within the meaning of regulation 7 of those Regulations) of such a jobseeker; Or (b) regulation 16 of the EEA Regulations, but only in a case where the right exists under that regulation because the applicant satisfies the criteria in paragraph 5 of that regulation (4A) For the purposes of paragraph (3), a right to reside does not include a right which exists by virtue of a person having been granted limited leave to enter, or remain in, the United Kingdom under the Immigration Act 1971(1) by virtue of— (a) article 3 (grant of leave to EEA and Swiss nationals) of the Immigration (European Economic Area Nationals) (EU Exit) Order 2019(2) made under section 3A of that Act; (b) Appendix EU to the immigration rules made under section 3(2) of that Act; or (c) being a person with a Zambrano right to reside as defined in Annex 1 of Appendix EU to the immigration rules made under section 3(2) of that Act.”;

(5) A person falls within this sub-paragraph if the person is— 68 Page 238 of 410 (a) a qualified person for the purposes of regulation 6 of the EEA Regulations as a worker, or a self-employed person; (b) a family member of a person referred to in paragraph (a) within the meaning of regulation 7(1)(a), (b) or (c) of the EEA Regulations; (c) a person who has a right to reside permanently in the United Kingdom by virtue of regulation 15(1)(c), (d) or (e) of the EEA Regulations; (d) a person recorded by the Secretary of State as a refugee within the definition in Article 1 of the Convention relating to the Status of Refugees done at Geneva on 28th July 1951, as extended by Article 1(2) of the Protocol relating to the Status of Refugees done at New York on 31st January 1967; (e) a person who has been granted, or who is deemed to have been granted, leave outside the rules made under section 3(2) of the Immigration Act 197184 where that leave is- (i) discretionary leave to enter or remain in the United Kingdom, (ii) leave to remain under the Destitution Domestic Violence concession85 which came into effect on 1st April 2012, or (iii) leave deemed to have been granted by virtue of regulation 3 of the Displaced Persons (Temporary Protection) Regulations 200586; (f) a person who has humanitarian protection granted under those rules; (g) a person who is not a person subject to immigration control within the meaning of section 115(9) of the Immigration and Asylum Act 199987 and who is in the United Kingdom as a result of his deportation, expulsion or other removal by compulsion of law from another country to the United Kingdom. (h) in receipt of income support or on an income-related employment and support allowance; or

(ha) in receipt of an income-based jobseeker’s allowance and has a right to reside other than a right to reside falling within paragraph (4); or

(i) the person makes a new application for a reduction under an authority’s scheme established under section 13A(2) of the Local Government Finance Act 1992; or (ii) the person ceases to be entitled to an income-based jobseeker’s allowance. This does not apply to a person who, on 31st March 2015, liable to pay council tax at a reduced rate by virtue of a council tax reduction under an authority’s scheme established under section 13A(2) of the Act and is entitled to an income-based jobseeker’s allowance, until the first of the

84 1971 c.77.

85 The Destitution Domestic Violence concession is published by the Home Office at http://www.ukba.homeoffice.gov.uk/.

86 S.I. 2005/1379 as amended by S.I. 2013/630 and other amending instruments

87 1999 c.33. 69 Page 239 of 410 events in sub-paragraphs (i) and (ii) occurs.

(6) A person falls within this sub-paragraph if the person is a Crown servant or member of Her Majesty’s forces posted overseas. (7) A person mentioned in sub-paragraph (6) is posted overseas if the person is performing overseas the duties of a Crown servant or member of Her Majesty’s forces and was, immediately before the posting or the first of consecutive postings, habitually resident in the United Kingdom. (8) In this paragraph “claim for asylum” has the same meaning as in section 94(1) of the Immigration and Asylum Act 199988; “EEA Regulations” means the Immigration (European Economic Area) Regulations . “2016(3).

12. Periods of absence from a dwelling

(1) A person is not absent from a dwelling in relation to any day which falls within a period of temporary absence from that dwelling. (2) In sub-paragraph (1), a “period of temporary absence” means—

(a) a period of absence not exceeding 4 weeks, beginning with the first whole day on which a person resides in residential accommodation where and for so long as— (i) the person resides in that accommodation; (ii) the part of the dwelling in which he usually resided is not let or sub-let; and (iii) that period of absence does not form part of a longer period of absence from the dwelling of more than 52 weeks, where he has entered the accommodation for the purpose of ascertaining whether it suits his needs and with the intention of returning to the dwelling if it proves not to suit his needs; (b) a period of absence not exceeding 4 weeks, beginning with the first whole day of absence from the dwelling, where and for so long as— (i) the person intends to return to the dwelling; (ii) the part of the dwelling in which he usually resided is not let or sub-let; and (iii) that period is unlikely to exceed 4 weeks; and (c) a period of absence not exceeding 52 weeks, beginning with the first whole day of that absence, where and for so long as— (i) the person intends to return to the dwelling; (ii) the part of the dwelling in which he usually resided is not let or sub-let; (iii) the person is a person to whom sub-paragraph (3) applies; and

88 Relevant amendments to section 94(1) have been made by section 44 of the Nationality, Immigration and Asylum Act 2002 (c.41) but those provisions are not in force. Other amendments have been made but they are not relevant to these Regulations. 70 Page 240 of 410 (iv) the period of absence is unlikely to exceed 52 weeks or, in exceptional circumstances, is unlikely substantially to exceed that period. (3) This sub-paragraph applies to a person who (a) is detained in custody on remand pending trial or required, as a condition of bail, to reside— (i) in a dwelling, other than the dwelling referred to in sub- paragraph (1), or (ii) in premises approved under section 13 of the Offender Management Act 200789, or is detained in custody pending sentence upon conviction; (b) is resident in a hospital or similar institution as a patient; (c) is undergoing, or whose partner or dependent child is undergoing, in Great Britain or elsewhere, medical treatment, or medically approved convalescence, in accommodation other than residential accommodation; (d) is following, in Great Britain or elsewhere, a training course; (e) is undertaking medically approved care of a person residing in Great Britain or elsewhere; (f) is undertaking the care of a child whose parent or guardian is temporarily absent from the dwelling normally occupied by that parent or guardian for the purpose of receiving medically approved care or medical treatment; (g) is, in Great Britain or elsewhere, receiving medically approved care provided in accommodation other than residential accommodation; (h) is a student; (i) is receiving care provided in residential accommodation and is not a person to whom sub- paragraph (2)(a) applies; or (j) has left the dwelling he resides in through fear of violence, in that dwelling, or by a person who was formerly a member of the family of the person first mentioned. (4) This sub-paragraph applies to a person who is (a) detained in custody pending sentence upon conviction or under a sentence imposed by a court (other than a person who is detained in hospital under the provisions of the Mental Health Act 198390, or, in Scotland, under the provisions of the Mental Health (Care and Treatment) (Scotland) Act 200391 or the Criminal Procedure (Scotland) Act 199592 or, in Northern Ireland, under Article 4 or 12 of the Mental Health (Northern Ireland) Order 198693); and (b) on temporary release from detention in accordance with Rules made under the provisions of the Prison Act 195294 or the Prisons (Scotland) Act 198995. (5) Where sub-paragraph (4) applies to a person, then, for any day when

89 2007 c.21. 90 1983 c.20. 91 2003 asp 13 92 1995 c.46 93 S.I. 1986/595 (N.I. 4). 94 1952 c.52. 95 1989 c.45. 71 Page 241 of 410 he is on temporary release (a) if such temporary release was immediately preceded by a period of temporary absence under sub-paragraph (2)(b) or (c), he must be treated, for the purposes of sub-paragraph (1), as if he continues to be absent from the dwelling, despite any return to the dwelling; (b) for the purposes of sub-paragraph (3)(a), he must be treated as if he remains in detention; (c) if he does not fall within paragraph (a), he is not to be considered to be a person who is liable to pay council tax in respect of a dwelling of which he is a resident. (6) In this paragraph “medically approved” means certified by a medical practitioner; “patient” means a person who is undergoing medical or other treatment as an in-patient in any hospital or similar institution; “residential accommodation” means accommodation which is provided in (a) a care home; (b) an independent hospital; (c) an establishment run by the Abbeyfield Society including all bodies corporate or unincorporated which are affiliated to that society; or (d) an establishment managed or provided by a body incorporated by Royal Charter or constituted by Act of Parliament other than a local social services authority; “training course” means a course of training or instruction provided wholly or partly by or on behalf of or in pursuance of arrangements made with, or approved by or on behalf of, Skills Development Scotland, Scottish Enterprise, Highlands and Islands Enterprise, a government department or the Secretary of State. 13. Earnings of employed earners

(1) Subject to sub-paragraph (2), “earnings”, in the case of employment as an employed earner of a person, means any remuneration or profit derived from that employment and includes (a) any bonus or commission; (b) any payment in lieu of remuneration except any periodic sum paid to an applicant on account of the termination of his employment by reason of redundancy; (c) any payment in lieu of notice or any lump sum payment intended as compensation for the loss of employment but only in so far as it represents loss of income; (d) any holiday pay except any payable more than 4 weeks after termination or interruption of the employment; (e) any payment by way of a retainer; (f) any payment made by the applicant’s employer in respect of expenses not wholly, exclusively and necessarily incurred in the performance of the duties of the employment, including any payment made 72 Page 242 of 410 by the applicant’s employer in respect of (i) travelling expenses incurred by the applicant between his home and place of employment; (ii) expenses incurred by the applicant under arrangements made for the care of a member of his family owing to the applicant’s absence from home; (g) the amount of any payment by way of a non-cash voucher which has been taken into account in the computation of a person’s earnings in accordance with Part 5 of Schedule 3 to the Social Security (Contributions) Regulations 200196; (h) statutory sick pay and statutory maternity pay payable by the employer under the SSCBA; (i) statutory paternity pay payable under Part 12ZA of that Act; (j) statutory adoption pay payable under Part 12ZB of that Act; (ja) statutory shared parental pay under Part 12ZC of that Act; (jb) statutory parental bereavement pay under part 12ZD of that Act;

(2) Earnings does not include (a) subject to sub-paragraph (3), any payment in kind; (b) any payment in respect of expenses wholly, exclusively and necessarily incurred in the performance of the duties of the employment; (c) any occupational pension; (d) any payment in respect of expenses arising out of the applicant’s participation in a service user group. (3) Sub-paragraph (2)(a) does not apply in respect of any non-cash voucher referred to in sub- paragraph (1)(l). 14. Earnings of self-employed earners

(1) Subject to sub-paragraph (2), “earnings”, in the case of employment as a self-employed earner of a person who is not a pensioner, means the gross income of the employment. (2) “Earnings” does not include any payments made in respect of a person accommodated with the applicant under arrangements made by a local authority or voluntary organisation and payments made to the applicant by a health authority, local authority or voluntary organisation in respect of persons temporarily in the applicant’s care, nor does it include any sports award. (3) This paragraph applies to (a) royalties or other sums paid as a consideration for the use of, or the right to use, any copyright, design, patent or trade mark; or (b) any payment in respect of any (i) book registered under the Public Lending Right Scheme 1982; or (ii) work made under any international public lending right scheme that is analogous to the Public Lending Right Scheme 1982, where the

96 S.I. 2001/1004. 73 Page 243 of 410 applicant is the first owner of the copyright, design, patent or trade mark, or an original contributor to the book or work concerned. (4) Where the applicant’s earnings consist of any items to which sub- paragraph (3) applies, those earnings must be taken into account over a period equal to such number of weeks as is equal to the number obtained (and any fraction is to be treated as a corresponding fraction of a week) by dividing the earnings by— (a) the amount of reduction under this scheme to which the applicant would have been entitled had the payment not been made, plus (b) an amount equal to the total of the sums which would fall to be disregarded from the payment under paragraph 12(4)

15. Calculation of net profit of self-employed earners

(1) For the purposes of Part 3 paragraphs 12 and 13 the earnings of an applicant to be taken into account must be (a) in the case of a self-employed earner who is engaged in employment on his own account, the net profit derived from that employment; (b) in the case of a self-employed earner who is not a pensioner whose employment is carried on in partnership or is that of a share fisherman within the meaning of the Social Security (Mariners’ Benefits) Regulations 197597, his share of the net profit derived from that employment, less (i) an amount in respect of income tax and of social security contributions payable under the SSCBA calculated in accordance with Appendix 3 sub paragraph (16) (deduction of tax and contributions for self-employed earners); and (ii) one-half of the amount calculated in accordance with sub-paragraph (11) in respect of any qualifying premium.

(2) There must be disregarded from the net profit of an applicant who is not a pensioner, any sum, where applicable, specified in Part 3 paragraph 12(4). (3) For the purposes of sub-paragraph (1)(a) the net profit of the employment must, except where sub-paragraph (9) applies, be calculated by taking into account the earnings of the employment over the assessment period less (a) subject to sub-paragraphs (5) to (8), any expenses wholly and exclusively incurred in that period for the purposes of that employment; (b) an amount in respect of (i) income tax; and (ii) social security contributions payable under the SSCBA, calculated in accordance with Appendix 3 paragraph (16) (deduction of tax and contributions for self- employed earners); and (c) one-half of the amount calculated in accordance with sub-paragraph (11) in respect of any qualifying premium.

97 S.I. 1975/529.

74 Page 244 of 410 (4) For the purposes of sub-paragraph (1)(b) the net profit of the employment is to be calculated by taking into account the earnings of the employment over the assessment period less, subject to sub-paragraphs (5) to (8), any expenses wholly and exclusively incurred in that period for the purposes of the employment.

(5) Subject to sub-paragraph (6), no deduction is to be made under sub- paragraph (3)(a) or (4), in respect of (a) any capital expenditure; (b) the depreciation of any capital asset; (c) any sum employed or intended to be employed in the setting up or expansion of the employment; (d) any loss incurred before the beginning of the assessment period; (e) the repayment of capital on any loan taken out for the purposes of the employment; (f) any expenses incurred in providing business entertainment; and (g) in the case of an applicant who is not a pensioner, any debts, except bad debts proved to be such, but this paragraph does not apply to any expenses incurred in the recovery of a debt.

(6) A deduction is to be made under sub-paragraph (3)(a) or (4) in respect of the repayment of capital on any loan used for (a) the replacement in the course of business of equipment or machinery; or (b) the repair of an existing business asset except to the extent that any sum is payable under an insurance policy for its repair. (7) The authority must refuse to make a deduction in respect of any expenses under sub- paragraph (3)(a) or (4) where it is not satisfied given the nature and the amount of the expense that it has been reasonably incurred. (8) For the avoidance of doubt (a) a deduction must not be made under sub-paragraph (3)(a) or (4) in respect of any sum unless it has been expended for the purposes of the business; (b) a deduction must be made there under in respect of— (i) the excess of any value added tax paid over value added tax received in the assessment period; (ii) any income expended in the repair of an existing business asset except to the extent that any sum is payable under an insurance policy for its repair; (iii) any payment of interest on a loan taken out for the purposes of the employment. (9) Where an applicant is engaged in employment as a child minder the net profit of the employment is to be one-third of the earnings of that employment, less (a) an amount in respect of

75 Page 245 of 410 (i) income tax; and (ii) social security contributions payable under the SSCBA, calculated in accordance with Appendix 3 paragraph (16) (deduction of tax and contributions for self- employed earners); and (b) one-half of the amount calculated in accordance with sub-paragraph (11) in respect of any qualifying premium. (10) For the avoidance of doubt where an applicant is engaged in employment as a self- employed earner and he is also engaged in one or more other employments as a self-employed or employed earner any loss incurred in any one of his employments must not be offset against his earnings in any other of his employments. (11) The amount in respect of any qualifying premium is to be calculated by multiplying the daily amount of the qualifying premium by the number equal to the number of days in the assessment period; and for the purposes of this paragraph the daily amount of the qualifying premium must be determined (a) where the qualifying premium is payable monthly, by multiplying the amount of the qualifying premium by 12 and dividing the product by 365; (b) in any other case, by dividing the amount of the qualifying premium by the number equal to the number of days in the period to which the qualifying premium relates. (12) In this paragraph, “qualifying premium” means any premium which is payable periodically in respect of a personal pension scheme and is so payable on or after the date of application. (13) Subject to paragraph 13(a), after an initial trading period of one year, if the applicant’s self-employed income is NIL, then they will be assessed as earning the weekly equivalent of 30 hours per week at the hourly rate of £5 less any net weekly earnings from employed earnings. (a) Where a self-employed applicant is subject to a minimum income floor98 in the assessment of their universal credit award, the earned income figure provided in the universal credit award assessment is to be used as their total net earnings, subject to Part 3 paragraph (a).

16. Calculation of deduction of tax and contributions of self- employed earners

(1) The amount to be deducted in respect of income tax under paragraph 15(3)(b)(i) or 15(9)(a)(i) (calculation of net profit of self-employed earners) must be calculated— (a) on the basis of the amount of chargeable income, and (b) as if that income were assessable to income tax at the basic rate of tax applicable to the assessment period less only the personal relief to which the applicant is entitled under sections 35 to 37 of the Income Tax Act

98 As defined in The Universal Credit Regulations 2013

76 Page 246 of 410 200799 (personal allowances) as is appropriate to his circumstances. (2) But, if the assessment period is less than a year, the earnings to which the basic rate of tax is to be applied and the amount of the personal reliefs deductible under this paragraph must be calculated on a pro rata basis. (3) The amount to be deducted in respect of social security contributions under paragraph 15(3)(b)(ii) or 15(9)(a)(ii) is the total of (a) the amount of Class 2 contributions payable under section 11(1) or, as the case may be, 11(3) of the SSCBA at the rate applicable to the assessment period except where the applicant’s chargeable income is less than the amount specified in section 11(4) of that Act (small earnings exception) for the tax year applicable to the assessment period; but if the assessment period is less than a year, the amount specified for that tax year must be reduced pro rata; and (b) the amount of Class 4 contributions (if any) which would be payable under section 15 of the SSCBA (Class 4 contributions recoverable under the Income Tax Acts) at the percentage rate applicable to the assessment period on so much of the chargeable income as exceeds the lower limit but does not exceed the upper limit of profits and gains applicable for the tax year applicable to the assessment period; but if the assessment period is less than a year, those limits must be reduced pro rata. (4) In this paragraph “chargeable income” means— (a) except where paragraph (b) applies, the earnings derived from the employment less any expenses deducted under sub-paragraph (3)(a) or, as the case may be, (5) of paragraph 15; (b) in the case of employment as a child minder, one-third of the earnings of that employment.

17. Calculation of income other than earnings - student income

(1) Sub-paragraphs (2) and (3) apply where— (a) a relevant payment has been made to a person in an academic year; and (b) that person abandons, or is dismissed from, his course of study before the payment to him of the final instalment of the relevant payment. (2) Where a relevant payment is made quarterly, the amount of a relevant payment to be taken into account for the assessment period for the purposes of Part 3 paragraph 15(1) in respect of a person to whom sub paragraph (2) applies, is to be calculated by applying the formula

[A-(B x C)] / D

99 2007 c.3; the heading and subsection (1) of section 35 were amended by section 4 of the Finance Act 2012 (c.14) (“2012 Act”); subsections (2) and (4) were inserted by section 4 of the Finance Act 2009 (c.10). In section 36, the heading and subsection (2) were amended by, subsection (1) substituted by, and subsection (2A) inserted by section 4 of the 2012 Act; subsection (2) has also been amended by S.I. 2011/2926 and section 4 of the Finance Act 2009. In section 37, the heading and subsection (2) were amended by, subsection (1) substituted by, and subsection (2A) inserted by section 4 of the 2012 Act; subsection (2) has also been amended by S.I. 2011/2926 and section 4 of the Finance Act 2009. 77 Page 247 of 410

where (a) A = the total amount of the relevant payment which that person would have received had he remained a student until the last day of the academic term in which he abandoned, or was dismissed from, his course, less any deduction under Appendix 1 paragraph (3)(costs of travel, books and equipment); (b) B = the number of reduction weeks from the reduction week immediately following that which includes the first day of that academic year to the reduction week which includes the day on which the person abandoned, or was dismissed from, his course; (c) C = the weekly amount of the relevant payment, before the application of the £10 disregard, which would have been taken into account as income under paragraph 3 Appendix 1 (treatment of student loans) had the person not abandoned or been dismissed from, his course and, in the case of a person who was not entitled to a reduction under this scheme immediately before he abandoned or was dismissed from his course, had that person, at that time, been entitled to housing benefit; (d) D = the number of reduction weeks in the assessment period. (3) Where a relevant payment is made by two or more instalments in a quarter, the amount of a relevant payment to be taken into account for the assessment period for the purposes of Part 3 paragraph 15(1) in respect of a person to whom sub-paragraph (2) applies, is to be calculated by applying the formula in sub-paragraph (3) but as if (a) A = the total amount of relevant payments which that person received, or would have received, from the first day of the academic year to the day the person abandoned the course, or was dismissed from it, less any deduction under Appendix 1 paragraph (3) (4) In this paragraph “academic year” and “student loan” have the same meanings as in Appendix 1 (students); “assessment period” means— (a) in a case where a relevant payment is made quarterly, the period beginning with the reduction week which includes the day on which the person abandoned, or was dismissed from, his course and ending with the reduction week which includes the last day of the last quarter for which an instalment of the relevant payment was payable to that person; (b) in a case where the relevant payment is made by two or more instalments in a quarter, the period beginning with the reduction week which includes the day on which the person abandoned, or was dismissed from, his course and ending with the reduction week which includes— (i) the day immediately before the day on which the next instalment of the relevant payment would have been due had the payments continued; or (ii) the last day of the last quarter for which an instalment of the relevant payment was payable to that person, whichever of those dates is earlier;

78 Page 248 of 410 “quarter” in relation to an assessment period means a period in that year beginning on— (a) 1st January and ending on 31st March; (b) 1st April and ending on 30th June; (c) 1st July and ending on 31st August; or (d) 1st September and ending on 31st December; “relevant payment” means either a student loan or an amount intended for the maintenance of dependents. (5) For the avoidance of doubt there must be included as income to be taken into account under Part 3 paragraph 15(1) (a) any payment to which Appendix 3 13(2) applies; or (b) in the case of an applicant who is receiving support under section 95 or 98 of the Immigration and Asylum Act 1999 including support provided by virtue of regulations made under Schedule 9 to that Act, the amount of such support provided in respect of essential living needs of the applicant and his dependents (if any) as is specified in regulations made under paragraph 3 of Schedule 8 to the Immigration and Asylum Act 1999.

18. Notional income exceptions

(1) Except in the case of— (a) a discretionary trust; (b) a trust derived from a payment made in consequence of a personal injury; (c) a personal pension scheme, occupational pension scheme or a payment made by the Board of the Pension Protection Fund where the applicant has not attained the qualifying age for state pension credit; (d) any sum to which Appendix 4 sub paragraph 47(2) applies which is administered in the way referred to in sub paragraph 49(1)(a); (e) any sum to which sub paragraph 48(a) of Appendix 4 refers; (f) rehabilitation allowance made under section 2 of the Employment and Training Act 1973; (g) child tax credit; (h) working tax credit, or (i) any sum to which sub-paragraph (9) applies, any income which would become available to the applicant upon application being made, but which has not been acquired by him, is to be treated as possessed by the applicant but only from the date on which it could be expected to be acquired were an application made. (2) Any payment of income, other than a payment of income specified in sub-paragraph (3), made (a) to a third party in respect of a single applicant or a member of the family (but not a member of the third party’s family) must, where that payment is a payment of an occupational pension, a pension or other periodical payment made under a personal pension scheme or a 79 Page 249 of 410 payment made by the Board of the Pension Protection Fund, be treated as possessed by that single applicant or, as the case may be, by that member; (b) to a third party in respect of a single applicant or in respect of a member of the family (but not a member of the third party’s family) must, where it is not a payment referred to in paragraph (a), be treated as possessed by that single applicant or by that member to the extent that it is used for the food, ordinary clothing or footwear, household fuel or rent of that single applicant or, as the case may be, of any member of that family or is used for any council tax or water charges for which that applicant or member is liable; (c) to a single applicant or a member of the family in respect of a third party (but not in respect of another member of that family) must be treated as possessed by that single applicant or, as the case may be, that member of the family to the extent that it is kept or used by him or used by or on behalf of any member of the family. (3) Sub-paragraph (2) does not apply in respect of a payment of income made

(a) under or by the Macfarlane Trust, the Macfarlane (Special Payments) Trust, the Macfarlane (Special Payments) (No. 2) Trust, the Fund, the Eileen Trust, MFET Limited, the Skipton Fund, the Caxton Foundation, the Scottish Infected Blood Support Scheme, an approved blood scheme, the London Emergencies Trust, the We Love Manchester Emergency Fund, the Grenfell Tower charitable funds, the Grenfell Tower Residents’ Discretionary Fund,the Independent Living Fund (2006); the London Bombings Charitable relief fund, the Windrush Compensation Scheme (aa) a Grenfell Tower support payment (b) pursuant to section 19(1)(a) of the Coal Industry Act 1994100 (concessionary coal); (c) pursuant to section 2 of the Employment and Training Act 1973 in respect of a person’s participation (i) in an employment programme specified in regulation 75(1)(a)(ii) of the Jobseeker’s Allowance Regulations 1996101; (ii) in a training scheme specified in regulation 75(1)(b)(ii) of those Regulations; (iii) in the Intense Activity Period specified in regulation 75(1)(a)(iv) of those Regulations; (iv) in a qualifying course within the meaning specified in regulation 17A(7) of those Regulations; or (v) in the Flexible New Deal specified in regulation 75(1)(a)(v) of those Regulations; (d) in respect of a person’s participation in the Work for Your Benefit Pilot Scheme;

100 1994 c.21.

101 S.I. 1996/207.

80 Page 250 of 410 (e) in respect of a person’s participation in the Mandatory Work Activity Scheme; (f) in respect of an applicant’s participation in the Employment, Skills and Enterprise Scheme; (g) under an occupational pension scheme, in respect of a pension or other periodical payment made under a personal pension scheme or a payment made by the Board of the Pension Protection Fund where— (i) a bankruptcy order has been made in respect of the person in respect of whom the payment has been made or, in Scotland, the estate of that person is subject to sequestration or a judicial factor has been appointed on that person’s estate under section 41 of the Solicitors (Scotland) Act 1980102; (ii) the payment is made to the trustee in bankruptcy or any other person acting on behalf of the creditors; and (iii) the person referred to in sub-paragraph (i) and any member of his family does not possess, or is not treated as possessing, any other income apart from that payment. (4) Where an applicant is in receipt of any benefit under the benefit Acts and the rate of that benefit is altered with effect from a date on or after 1st April in any year but not more than 14 days thereafter, the authority must treat the applicant as possessing such benefit at the altered rate from either 1st April or the first Monday in April in that year, whichever date the authority selects, to the date on which the altered rate is to take effect. (5) Subject to sub-paragraph (6), where (a) an applicant performs a service for another person; and (b) that person makes no payment of earnings or pays less than that paid for a comparable employment in the area, the authority must treat the applicant as possessing such earnings (if any) as is reasonable for that employment unless the applicant satisfies the authority that the means of that person are insufficient for him to pay or to pay more for the service. (6) Sub-paragraph (5) does not apply (a) to an applicant who is engaged by a charitable or voluntary organisation or who is a volunteer if the authority is satisfied in any of those cases that it is reasonable for him to provide those services free of charge; or (b) in a case where the service is performed in connection with (i) the applicant’s participation in an employment or training programme in accordance with regulation 19(1)(q) of the Jobseeker’s Allowance Regulations 1996, other than where the service is performed in connection with the applicant’s participation in the Intense Activity Period specified in regulation 75(1)(a)(iv) of those Regulations; or (ii) the applicant’s or the applicant’s partner’s participation in an employment or training programme as defined in regulation 19(3) of those Regulations for which a training allowance is not payable or,

102 1980 c.46.

81 Page 251 of 410 where such an allowance is payable, it is payable for the sole purpose of reimbursement of travelling or meal expenses to the person participating in that programme; or (c) to an applicant who is participating in a work placement approved by the Secretary of State (or a person providing services to the Secretary of State) before the placement starts. In sub paragraph 6 (c) “Work placement” means practical work experience which is not undertaken in expectation of payment. (7) Where an applicant is treated as possessing any income under any of sub-paragraphs (2) to (6), the foregoing provisions of this Part apply for the purposes of calculating the amount of that income as if a payment had actually been made and as if it were actual income which he does possess. (8) Where an applicant is treated as possessing any earnings under sub- paragraph (5) the foregoing provisions of this Part apply for the purposes of calculating the amount of those earnings as if a payment had actually been made and as if they were actual earnings which he does possess except that Appendix 3 paragraph 13 do not apply and his net earnings are to be calculated by taking into account those earnings which he is treated as possessing, less (a) an amount in respect of income tax equivalent to an amount calculated by applying to those earnings the basic rate of tax applicable to the assessment period less only the personal relief to which the applicant is entitled under sections 35 to 37 of the Income Tax Act 2007103 (personal allowances) as is appropriate to his circumstances; but, if the assessment period is less than a year, the earnings to which the basic rate of tax is to be applied and the amount of the personal relief deductible under this sub-paragraph is to be calculated on a pro rata basis; (b) an amount equivalent to the amount of the primary Class 1 contributions that would be payable by him under the SSCBA in respect of those earnings if such contributions were payable; and (c) one-half of any sum payable by the applicant by way of a contribution towards an occupational or personal pension scheme. (9) Sub-paragraphs (1),(2) and (5) do not apply in respect of any amount of income other than earnings, or earnings of an employed earner, arising out of the applicant’s participation in a service user group.

19. Income treated as capital

The following should be treated as income (1) Any amount by way of a refund of income tax deducted from profits or emoluments chargeable to income tax under Schedule D or E is to be treated as capital. (2) Any holiday pay which is not earnings under paragraph 13(1)(d) (earnings of employed earners) is to be treated as capital.

103 2007 c.3; the heading and subsection (1) of section 35 were amended by section 4 of the Finance Act 2012 (c.14) (“2012 Act”); subsections (2) and (4) were inserted by section 4 of the Finance Act 2009 (c.10). In section 36, the heading and subsection (2) were amended by, subsection (1) substituted by, and subsection (2A) inserted by section 4 of the 2012 Act; subsection (2) has also been amended by S.I. 2011/2926 and section 4 of the Finance Act 2009. In section 37, the heading and subsection (2) were amended by, subsection (1) substituted by, and subsection (2A) inserted by section 4 of the 2012 Act; subsection (2) has also been amended by S.I. 2011/2926 and section 4 of the Finance Act 2009. 82 Page 252 of 410 (3) Except any income derived from capital disregarded under Appendix 4 (capital disregards); any income derived from capital is to be treated as capital but only from the date it is normally due to be credited to the applicant’s account. (4) In the case of employment as an employed earner, any advance of earnings or any loan made by the applicant’s employer is to be treated as capital. (5) Any charitable or voluntary payment which is not made or due to be made at regular intervals, other than a payment which is made under or by the Trusts, the Fund, the Eileen Trust, MFET Limited, the Skipton Fund, the Caxton Foundation, the Scottish Infected Blood Support Scheme, an approved blood scheme, the London Emergencies Trust, the We Love Manchester Emergency Fund, the Grenfell Tower charitable funds, the Grenfell Tower Residents’ Discretionary Fund, the Independent Living Fund (2006), the London Bombings Charitable Relief Fund, the Windrush Compensation Scheme (a) a Grenfell Tower support payment (6) There is to be treated as capital the gross receipts of any commercial activity carried on by a person in respect of which assistance is received under the self-employment route, but only in so far as those receipts were payable into a special account during the period in which that person was receiving such assistance.

(7) Any arrears of subsistence allowance which are paid to an applicant as a lump sum must be treated as capital. (8) Any arrears of working tax credit or child tax credit must be treated as capital. (9) Any Arrears of Universal Credit must be treated as capital

20. Notional capital

(1) An applicant is to be treated as possessing capital of which he has deprived himself for the purpose of securing entitlement to a reduction or increasing the amount of that reduction (2) Except in the case of (a) a discretionary trust, (b) a trust derived from a payment made in consequence of a personal injury; (c) any loan which would be obtained only if secured against capital disregarded (d) a personal pension scheme, occupational pension scheme or a payment made by the Board of the Pension Protection Fund; or (e) compensation for the death of one or both parents where the person concerned is under the age of 18. (f) child tax credit; or (g) working tax credit, any capital which would become available to the applicant upon application being made, but which has not been acquired by him, is to be treated as possessed by him but only from the date on which it could be 83 Page 253 of 410 expected to be acquired were an application made. (3) Any payment of capital, other than a payment of capital specified in sub-paragraph (6), made (a) to a third party in respect of a single applicant or a member of the family (but not a member of the third party’s family) must, where that payment is a payment of an occupational pension, a pension or other periodical payment made under a personal pension scheme or a payment made by the Board of the Pension Protection Fund, be treated as possessed by that single applicant or, as the case may be, by that member; (b) to a third party in respect of a single applicant or in respect of a member of the family (but not a member of the third party’s family) must, where it is not a payment referred to in paragraph (a), be treated as possessed by that single applicant or by that member to the extent that it is used for the food, ordinary clothing or footwear, household fuel or rent of that single applicant or, as the case may be, of any member of that family or is used for any council tax or water charges for which that applicant or member is liable; (c) to a single applicant or a member of the family in respect of a third party (but not in respect of another member of the family) must be treated as possessed by that single applicant or, as the case may be, that member of the family to the extent that it is kept or used by him or used by or on behalf of any member of the family. (4) Sub-paragraph (3) does not apply in respect of a payment of capital made (a) under or by any of the Trusts, the Fund, the Eileen Trust, MFET Limited, the Independent Living Fund (2006), the Skipton Fund, the Caxton Foundation, The Scottish Infected Blood Support Scheme, an approved blood scheme, The London Emergencies Trust, The We Love Manchester Emergency Fund, the Grenfell Tower charitable funds, the Grenfell Tower Residents’ Discretionary Fund, the Independent Living Fund (2006), the London Bombings Relief Charitable Fund, the Windrush Compensation Scheme (aa) a Grenfell Tower support payment (b) pursuant to section 2 of the Employment and Training Act 1973 in respect of a person’s participation— (i) in an employment programme specified in regulation 75(1)(a)(ii) of the Jobseeker’s Allowance Regulations 1996; (ii) in a training scheme specified in regulation 75(1)(b)(ii) of those Regulations; (iii) in the Intense Activity Period specified in regulation 75(1)(a)(iv) of those Regulations; (iv) in a qualifying course within the meaning specified in regulation 17A(7) of those Regulations; or (v) in the Flexible New Deal specified in regulation 75(1)(a)(v) of those Regulations; (c) in respect of a person’s participation in the Work for Your Benefit Pilot Scheme; (d) in respect of a person’s participation in the Mandatory Work Activity Scheme; 84 Page 254 of 410 (e) in respect of an applicant’s participation in the Employment, Skills and Enterprise Scheme; (f) under an occupational pension scheme, in respect of a pension or other periodical payment made under a personal pension scheme or a payment made by the Board of the Pension Protection Fund where (i) a bankruptcy order has been made in respect of the person in respect of whom the payment has been made or, in Scotland, the estate of that person is subject to sequestration or a judicial factor has been appointed on that person’s estate under section 41 of the Solicitors (Scotland) Act 1980; (ii) the payment is made to the trustee in bankruptcy or any other person acting on behalf of the creditors; and (iii) the person referred to in sub-paragraph (i) and any member of his family does not possess, or is not treated as possessing, any other income apart from that payment.

(5) Where an applicant stands in relation to a company in a position analogous to that of a sole owner or partner in the business of that company, he may be treated as if he were such sole owner or partner and in such a case (a) the value of his holding in that company must, notwithstanding Part 3 paragraph 20 (calculation of capital) be disregarded; and (b) he must, subject to sub-paragraph (6), be treated as possessing an amount of capital equal to the value or, as the case may be, his share of the value of the capital of that company and the foregoing provisions of this Chapter apply for the purposes of calculating that amount as if it were actual capital which he does possess. (6) For so long as the applicant undertakes activities in the course of the business of the company, the amount which he is treated as possessing under sub-paragraph (5) is to be disregarded.

21. Disregard of change in tax, contributions etc.

In calculating the applicant’s income the authority may disregard any legislative change (a) in the basic or other rates of income tax; (b) in the amount of any personal tax relief; (c) in the rates of social security contributions payable under the SSCBA or in the lower earnings limit or upper earnings limit for Class 1 contributions under that Act, the lower or upper limits applicable to Class 4 contributions under that Act or the amount specified in section 11(4) of that Act (small earnings exception in relation to Class 2 contributions); (d) in the amount of tax payable as a result of an increase in the weekly rate of Category A, B, C or D retirement pension or any addition thereto or any graduated pension payable under the SSCBA; (e) in the maximum rate of child tax credit or working tax credit, for a period not exceeding 30 reduction weeks beginning with the reduction week immediately following the date from which the change is effective.

85 Page 255 of 410 22. Earned income disregards An earned income disregard is applied where the following conditions are satisfied (a) ‘Permitted Work’ approved by the DWP The disregard is £140.00. per week if you are in ‘permitted work’. This means work the DWP has agreed you can do while you are receiving:

(i) ESA (C) (ii) Incapacity benefit: (iii) severe disablement allowance; or (iv) national insurance credits instead of those benefits

If you are a couple and only one of you is in permitted work, it is disregarded from that one’s earned income. But if it is less than £140.00 per week, the balance up to £20 per week is disregarded from the other one’s earned income. This disregard is set at 16 times the national living wage so when that goes up the £140.00 per week increases.

(b) Lone Parents Unless (a) applies to you, the disregard is £25 per week if you are a lone parent

(c) Sickness or disability Unless (a) or (b) apply to you, the disregard is £20 per week if your applicable amount includes: (i) a work-related activity component (ii) a support component (iii) a disability premium (iv) a severe disability premium

(d) Carers: Unless (a) to (c) apply to you, the disregard is £20 per week if your applicable amount includes a carer premium.

If you are a couple and only one of you is a carer, it is disregarded from the carer’s earned income, but if it less than £20 per week, the balance up to £10 per week is disregarded from the other one’s earned income.

(e) Special Occupations: Unless (a) to (d) apply to you, the disregard is £20 per week if you or your partner are: (i) a part-time fire-fighter; (ii) a part-time lifeboat worker; (iii) an auxiliary coastguard; or (iv) a member of the Territorial Army or similar reserve forces

(f) Couples: For all other couples, the disregard is £10 per week.

(g) Single Claimants 86 Page 256 of 410 For all other single claimants, the disregard is £5 per week

(h) Additional Earned Income

You qualify for the additional earned income disregard if you meet one or more of the conditions (a) to (d) below (a) You receive working tax credit and it includes the WTC ’30 hour element’ If you are a couple, at least one of you has to qualify for the WTC 30 hour element. (b) You: (i) are aged 25 or more; and (ii) work at least 30 Hours per week If you are a couple, at least one of you has to meet both halves of this condition. (c) You: (i) are responsible for one or more children or young persons; and (ii) work at least 16 hours per week If you are a couple, only one of you has to work at least 16 hours per week (d) You: (i) qualify for a work-related activity component, a support component, or a disability premium; and (ii) work at least 16 hours per week. If you are a couple, at least one of you has to meet each half of this condition (but it need not be the same one who meets both halves).

For condition (a) you have to be on WTC (and getting the WTC 30 hour element). For conditions (b) to (d) you don’t have to be on WTC (but they are the same as the conditions used in WTC for getting the 30 hour element)

23. Sums disregarded in the calculation of income other than earnings:

1. Any payment made to the applicant in respect of any child care, travel or other expenses incurred, or to be incurred, by him in respect of his participation in the Work for Your Benefit Pilot Scheme.

2. Any payment made to the applicant in respect of any travel or other expenses incurred, or to be incurred, by him in respect of his participation in the Mandatory Work Activity Scheme.

3. Any payment made to the applicant in respect of any travel or other expenses incurred, or to be incurred, by him in respect of his participation in the Employment, Skills and Enterprise Scheme.

4. Any amount paid by way of tax on income which is to be taken into account under regulation 30 of the Income Tax Act 2007.

5. Any payment in respect of any expenses incurred or to be incurred by an applicant who is (a) engaged by a charitable or voluntary organisation, or 87 Page 257 of 410 (b) a volunteer, if he otherwise derives no remuneration or profit from the employment and is not to be treated as possessing any earnings under Appendix 3 Paragraph 18 (4)

6. Any payment in respect of expenses arising out of the applicant’s participation in a service user group.

7. In the case of employment as an employed earner, any payment in respect of expenses wholly, exclusively and necessarily incurred in the performance of the duties of the employment.

8. Where an applicant is on income support, an income-based jobseeker’s allowance or an income-related employment and support allowance, the whole of his income.

9. Where the applicant is a member of a joint-claim couple for the purposes of the Jobseekers Act and his partner is on an income-based jobseeker’s allowance, the whole of the applicant’s income.

10. Where the applicant, or the person who was the partner of the applicant on 31st March 2003, was entitled on that date to income support or an income- based jobseeker’s allowance but ceased to be so entitled on or before 5th April 2003 by virtue only of regulation 13 of the Housing Benefit (General) Amendment (No. 3) Regulations 1999 as in force at that date, the whole of his income.

11. Any disability living allowance, personal independence payment or an AFIP.

12. Any concessionary payment made to compensate for the non-payment of (a) any payment specified in paragraph 11 or 14; (b) income support; (c) an income-based jobseeker’s allowance; (d) an income-related employment and support allowance.

13. Any mobility supplement under article 20 of the Naval, Military and Air Forces Etc. (Disablement and Death) Service Pensions Order 2006 (including such a supplement by virtue of any other scheme or order) or under article 25A of the Personal Injuries (Civilians) Scheme 1983 or any payment intended to compensate for the non-payment of such a supplement.

14. Any attendance allowance.

15. Any payment to the applicant as holder of the Victoria Cross or of the George Cross or any analogous payment.

16. (1) any payment

(a) by way of an education maintenance allowance made pursuant to

88 Page 258 of 410 (i) regulations made under section 518 of the Education Act 1996 (payment of school expenses; grant of scholarships etc.); (ii) regulations made under section 49 or 73(f) of the Education (Scotland) Act 1980 (power to assist persons to take advantage of educational facilities);

(iii) directions made under section 73ZA of the Education (Scotland) Act 1980 and paid under section 12(2)(c) of the Further and Higher Education (Scotland) Act 1992;

(b) corresponding to such an education maintenance allowance, made pursuant to (i) section 14 or section 181 of the Education Act 2002 (power of Secretary of State and the Welsh Ministers to give financial assistance for purposes related to education or childcare, and allowances in respect of education or training); or (ii) regulations made under section 181 of that Act; or

(2) Any payment, other than a payment to which sub-paragraph (1) applies, made pursuant to

(a) regulations made under section 518 of the Education Act 1996; (b) regulations made under section 49 of the Education (Scotland) Act 1980; or (c) directions made under section 73ZA of the Education (Scotland) Act 1980 and paid under section 12(2)(c) of the Further and Higher Education (Scotland) Act 1992, in respect of a course of study attended by a child or a young person or a person who is in receipt of an education maintenance allowance or other payment made pursuant to any provision specified in sub-paragraph (1).

17. Any payment made to the applicant by way of a repayment under regulation 11(2) of the Education (Teacher Student Loans) (Repayment etc.) Regulations 2002.

18. (1) Any payment made pursuant to section 2 of the 1973 Act or section 2 of the Enterprise and New Towns (Scotland) Act 1990 except a payment—

(a) made as a substitute for income support, a jobseeker’s allowance, incapacity benefit, severe disablement allowance or an employment and support allowance; (b) of an allowance referred to in section 2(3) of the Employment and Training Act 1973 or section 2(5) of the Enterprise and New Towns (Scotland) Act 1990; or (c) intended to meet the cost of living expenses which relate to any one or more of the items specified in sub-paragraph (2) whilst an applicant is 89 Page 259 of 410 participating in an education, training or other scheme to help him enhance his employment prospects unless the payment is a Career Development Loan paid pursuant to section 2 of the 1973 Act and the period of education or training or the scheme, which is supported by that loan, has been completed.

(2) The items specified in this sub-paragraph for the purposes of sub- paragraph (1)(c) are food, ordinary clothing or footwear, household fuel or rent of the applicant or, where the applicant is a member of a family, any other member of his family, or any council tax or water charges for which that applicant or member is liable.

19. (1) Subject to sub-paragraph (2), any of the following payments (a) a charitable payment; (b) a voluntary payment; (c) a payment (not falling within paragraph (a) or (b) above) from a trust whose funds are derived from a payment made in consequence of any personal injury to the applicant;

(d) a payment under an annuity purchased (i) pursuant to any agreement or court order to make payments to the applicant; or (ii) from funds derived from a payment made, in consequence of any personal injury to the applicant; or (e) a payment (not falling within paragraphs (a) to (d)) received by virtue of any agreement or court order to make payments to the applicant in consequence of any personal injury to the applicant.

(2) Sub-paragraph (1) does not apply to a payment which is made or due to be made by (a) a former partner of the applicant, or a former partner of any member of the applicant’s family; or

(b) the parent of a child or young person where that child or young person is a member of the applicant’s family.

20. Subject to paragraph 40, the whole of any of the following, namely

(a) a war disablement pension (except insofar as such a pension falls to be disregarded under paragraph 13 or 14); (b) a war widow’s pension or war widower’s pension; (c) a pension payable to a person as a widow, widower or surviving civil partner under any power of Her Majesty otherwise than under an enactment to make provision about pensions for or in respect of persons who have been disabled or have died in consequence of service as members of the armed forces of the Crown; (d) a guaranteed income payment and, if the amount of that payment has been abated to less than £10 by a pension or payment falling within article 31(1)(a) or (b) of the Armed Forces and Reserve Forces (Compensation 90 Page 260 of 410 Scheme) Order 2005, so much of that pension or payment as would not, in aggregate with the amount of any guaranteed income payment disregarded, exceed £10; (e) a payment made to compensate for the non-payment of such a pension or payment as is mentioned in any of the preceding sub-paragraphs;

(f) a pension paid by the government of a country outside Great Britain which is analogous to any of the pensions or payments mentioned in paragraphs (a) to (d) above; (g) pension paid to victims of National Socialist persecution under any special provision made by the law of the Federal Republic of Germany, or any part of it, or of the Republic of Austria.

21. Subject to paragraph 40, £15 of any (a) widowed mother’s allowance paid pursuant to section 37 of the SSCBA; (b) widowed parent’s allowance paid pursuant to section 39A of the SSCBA.

22. (1) Any income derived from capital to which the applicant is or is treated under part 3 paragraph 20 as beneficially entitled but, subject to sub- paragraph (2), not income derived from capital disregarded under paragraphs 4, 5, 7, 11, 17 or 30 to 33 of Appendix 4 (capital Disregards) . (2) Income derived from capital disregarded under paragraphs 5, 7 or 30 to 33 of Appendix 4 (Capital Disregards) but only to the extent of (a) any mortgage repayments made in respect of the dwelling or premises in the period during which that income accrued; or (b) any council tax or water charges which the applicant is liable to pay in respect of the dwelling or premises and which are paid in the period during which that income accrued. (3) The definition of “water charges” in appendix 3 (1) (Glossary) applies to sub-paragraph (2) of this paragraph with the omission of the words “in so far as such charges are in respect of the dwelling which a person occupies as his home”.

23. Where the applicant makes a parental contribution in respect of a student attending a course at an establishment in the United Kingdom or undergoing education in the United Kingdom, which contribution has been assessed for the purposes of calculating (a) under, or pursuant to regulations made under powers conferred by, section 22 of the Teaching and Higher Education Act 1998, that student’s award; (b) under regulations made in exercise of the powers conferred by section 49 of the Education (Scotland) Act 1980, that student’s bursary, scholarship, or other allowance under that section or under regulations made in exercise of the powers conferred by section 73 of that Act of 1980, any payment to that student under that section; or (c) the student’s student loan, 91 Page 261 of 410 an amount equal to the weekly amount of that parental contribution, but only in respect of the period for which that contribution is assessed as being payable.

24. (1) Where the applicant is the parent of a student aged under 25 in advanced education who either

(a) is not in receipt of any award, grant or student loan in respect of that education; or (b) is in receipt of an award bestowed by virtue of the Teaching and Higher Education Act 1998, or regulations made thereunder, or a bursary, scholarship or other allowance under section 49(1) of the Education (Scotland) Act 1980, or a payment under section 73 of that Act of 1980,and the applicant makes payments by way of a contribution towards the student’s maintenance, other than a parental contribution falling within paragraph 23, an amount specified in subparagraph (2) in respect of each week during the student’s term. (2) For the purposes of sub-paragraph (1), the amount must be equal to (a) the weekly amount of the payments; or (b) the amount by way of a personal allowance for a single applicant under 25 less the weekly amount of any award, bursary, scholarship, allowance or payment referred to in sub-paragraph (1)(b),whichever is less. 25. Any payment made to the applicant by a child or young person or a non- dependant. 26. Where the applicant occupies a dwelling as his home and the dwelling is also occupied by a person other than one to whom paragraph 25 or 27 refers and there is a contractual liability to make payments to the applicant in respect of the occupation of the dwelling by that person or a member of his family—

(a) where the aggregate of any payments made in respect of any one week in respect of the occupation of the dwelling by that person or a member of his family, or by that person and a member of his family, is less than £20, the whole of that amount; or (b) where the aggregate of any such payments is £20 or more per week, £20. 27. Where the applicant occupies a dwelling as his home and he provides in that dwelling board and lodging accommodation, an amount, in respect of each person for which such accommodation is provided for the whole or any part of a week, equal to (a) where the aggregate of any payments made in respect of any one week in respect of such accommodation provided to such person does not exceed £20, 100 per cent of such payments;

(b) where the aggregate of any such payments exceeds £20, £20 and 50 per cent of the excess over £20.

92 Page 262 of 410 28. (1) Any income in kind, except where paragraph 54(10)(b) (provision of support under section 95 or 98 of the Immigration and Asylum Act 1999 in the calculation of income other than earnings) applies.

(2) The reference in sub-paragraph (1) to “income in kind” does not include a payment to a third party made in respect of the applicant which is used by the third party to provide benefits in kind to the applicant. 29. Any income which is payable in a country outside the United Kingdom for such period during which there is a prohibition against the transfer to the United Kingdom of that income. 30. (1) Any payment made to the applicant in respect of a person who is a member of his family (a) pursuant to regulations under section 2(6)(b), 3 or 4 of the Adoption and Children Act 2002 or in accordance or with a scheme approved by the Scottish Ministers under section 51A of the Adoption (Scotland) Act 1978 (schemes for payments of allowances to adopters) or in accordance with an adoption allowance scheme made under section 71 of the Adoption and Children (Scotland) Act 2007 (adoption allowances schemes); (b) which is a payment made by a local authority in pursuance of section 15(1) of, and paragraph 15 of Schedule 1 to, the Children Act 1989 (local authority contribution to a child’s maintenance where the child is living with a person as a result of a residence order) or in Scotland section 50 of the Children Act 1975 (payments towards maintenance of children); (c) which is a payment made by an authority, as defined in Article 2 of the Children (Northern Ireland) Order 1995, in pursuance of Article 15 of, and paragraph 17 of Schedule 1 to, that Order (contribution by an authority to child’s maintenance); (d) in accordance with regulations made pursuant to section 14F of the Children Act 1989 (special guardianship support services); (2) Any payment, other than a payment to which sub-paragraph (1)(a) applies, made to the applicant pursuant to regulations under section 2(6)(b), 3 or 4 of the Adoption and Children Act 2002. 31. Any payment made to the applicant with whom a person is accommodated by virtue of arrangements made (a) by a local authority under

(i) section 23(2)(a) of the Children Act 1989 (provision of accommodation and maintenance for a child whom they are looking after), (ii) section 26 of the Children (Scotland) Act 1995 (manner of provision of accommodation to child looked after by local authority), or

(iii) regulations 33 or 51 of the Looked After Children (Scotland) Regulations 2009 (fostering and kinship care allowances and fostering allowances); or

93 Page 263 of 410 (b) by a voluntary organisation under section 59(1)(a) of the Children Act 1989 (provision of accommodation by voluntary organisations).

32. Any payment made to the applicant or his partner for a person (“the person concerned”), who is not normally a member of the applicant’s household but is temporarily in his care, by

(a) a health authority; (b) a local authority but excluding payments of housing benefit made in respect of the person concerned; (c) a voluntary organisation; (d) the person concerned pursuant to section 26(3A) of the National Assistance Act 1948 (e) a primary care trust established under section 16A of the National Health Service Act 1977 or established by an order made under section 18(2)(c) of the National Health Service Act 2006; or (f) a Local Health Board established under section 11 of the National Health Service (Wales) Act 2006.

33. Any payment made by a local authority in accordance with section 17, 23B, 23C or 24A of the Children Act 1989 or, as the case may be, section 12 of the Social Work (Scotland) Act 1968 or section 22, 29 or 30 of the Children (Scotland) Act 1995 (provision of services for children and their families and advice and assistance to certain children).

34. (1) Subject to sub-paragraph (2), any payment (or part of a payment) made by a local authority in accordance with section 23C of the Children Act 1989 or section 29 of the Children (Scotland) Act 1995 (local authorities’ duty to promote welfare of children and powers to grant financial assistance to persons in, or formerly in, their care) to a person (“A”) which A passes on to the applicant. (2) Sub-paragraph (1) applies only where A (a) was formerly in the applicant’s care, and (b) is aged 18 or over, and (c) continues to live with the applicant. 35. (1) Subject to sub-paragraph (2), any payment received under an insurance policy taken out to insure against the risk of being unable to maintain repayments (a) on a loan which is secured on the dwelling which the applicant occupies as his home; or (b) under a regulated agreement as defined for the purposes of the Consumer Credit Act 1974 or under a hire-purchase agreement or a conditional sale agreement as defined for the purposes of Part 3 of the Hire-Purchase Act 1964. (2) A payment referred to in sub-paragraph (1) is only to be disregarded to the extent that the payment received under that policy does not exceed the amounts, calculated on a weekly basis, which are used to

94 Page 264 of 410 (a) maintain the repayments referred to in sub-paragraph (1)(a) or, as the case may be, (1)(b); And

(b) meet any amount due by way of premiums on (i) that policy; or (ii) in a case to which sub-paragraph (1)(a) applies, an insurance policy taken out to insure against loss or damage to any building or part of a building which is occupied by the applicant as his home and which is required as a condition of the loan referred to in sub- paragraph (1)(a). 36. Any payment of income which by virtue of appendix 3 paragraph 19 (income treated as capital) is to be treated as capital. 37. Any (a) social fund payment made pursuant to Part 8 of the SSCBA (the social fund); or (b) occasional assistance.

38. Any payment under Part 10 of the SSCBA (Christmas bonus for pensioners). 39. Where a payment of income is made in a currency other than sterling, any banking charge or commission payable in converting that payment into sterling. 40. The total of an applicant’s income or, if he is a member of a family, the family’s income and the income of any person which he is treated as possessing under part 3 paragraph 10 (calculation of income and capital of members of applicant’s family and of a polygamous marriage) to be disregarded under appendix 1 (students) paragraph 3, sub paragraph 10(b) and sub paragraph 12(d), sub paragraph 16 (treatment of student loans), paragraph 4 sub paragraph 3 (treatment of payments from access funds) and paragraphs 20 and 21 must in no case exceed £20 per week. 41. (1) Any payment made under or by any of the Trusts, the Fund, the Eileen Trust, MFET Limited, the Skipton Fund, the Caxton Foundation, the Scottish Infected Blood Support Scheme, an approved blood scheme, the London Emergencies Trust, the We Love Manchester Emergency Fund, the Grenfell Tower charitable funds, the Grenfell Tower Residents’ Discretionary Fund the London Bombings Relief Charitable Fund or the Independent Living Fund (2006). (a) a Grenfell Tower support payment (2) Any payment by or on behalf of a person who is suffering or who suffered from haemophilia or who is or was a qualifying person, which derives from a payment made under or by any of the Trusts to which sub- paragraph (1) refers and which is made to or for the benefit of (a) that person’s partner or former partner from whom he is not, or where that person has died was not, estranged or divorced or with whom he has formed a civil partnership that has not been dissolved or, where that 95 Page 265 of 410 person has died, had not been dissolved at the time of that person’s death; (b) any child who is a member of that person’s family or who was such a member and who is a member of the applicant’s family; or

(c) any young person who is a member of that person’s family or who was such a member and who is a member of the applicant’s family.

(3) Any payment by or on behalf of the partner or former partner of a person who is suffering or who suffered from haemophilia or who is or was a qualifying person provided that the partner or former partner and that person are not, or if either of them has died were not, estranged or divorced or, where the partner or former partner and that person have formed a civil partnership, the civil partnership has not been dissolved or, if either of them has died, had not been dissolved at the time of the death, which derives from a payment made under or by any of the Trusts to which sub-paragraph (1) refers and which is made to or for the benefit of (a) the person who is suffering from haemophilia or who is a qualifying person; (b) any child who is a member of that person’s family or who was such a member and who is a member of the applicant’s family; or (c) any young person who is a member of that person’s family or who was such a member and who is a member of the applicant’s family.

(4) Any payment by a person who is suffering from haemophilia or who is a qualifying person, which derives from a payment under or by any of the Trusts to which sub-paragraph (1) refers, where (a) that person has no partner or former partner from whom he is not estranged or divorced or with whom he has formed a civil partnership that has not been dissolved, nor any child or young person who is or had been a member of that person’s family; and

(b) the payment is made either (i) to that person’s parent or step-parent, or (ii) where that person at the date of the payment is a child, a young person or a student who has not completed his education and has no parent or step-parent, to his guardian, but only for a period from the date of the payment until the end of two years from that person’s death. (5) Any payment out of the estate of a person who suffered from haemophilia or who was a qualifying person, which derives from a payment under or by any of the Trusts to which subparagraph refers, where

(a) that person at the date of his death (the relevant date) had no partner or former partner from whom he was not estranged or divorced or with whom he has formed a civil partnership that has not been dissolved, nor any child or young person who was or had been a member of his family; and 96 Page 266 of 410 (b) the payment is made either (i) to that person’s parent or step-parent, or

(ii) where that person at the relevant date was a child, a young person or a student who had not completed his full-time education and had no parent or step-parent, to his guardian, but only for a period of two years from the relevant date. (6) In the case of a person to whom or for whose benefit a payment referred to in this paragraph is made, any income which derives from any payment of income or capital made under or deriving from any of the Trusts. (7) For the purposes of sub-paragraphs (2) to (6), any reference to the Trusts is to be construed as including a reference to the Fund, the Eileen Trust, MFET Limited, the Skipton Fund, the Caxton Foundation, the Scottish Infected Blood Support Scheme, an Approved Blood Scheme, the London Emergencies Trust, the We Love Manchester Emergency Fund, the Grenfell Tower charitable funds, the Grenfell Tower Residents’ Discretionary Fund the London Bombings Relief Charitable Fund or the Independent Living Fund (2006). the Windrush Compensation Scheme (a) a Grenfell Tower support payment 42. Any housing benefit.

43. Any payment made by the Secretary of State to compensate for the loss (in whole or in part) of entitlement to housing benefit. 44. Any payment to a juror or witness in respect of attendance at a court other than compensation for loss of earnings or the loss of a benefit payable under the Benefit Acts 45. Any payment in consequence of a reduction of council tax under section 13 of the 1992 Act (reduction of liability for council tax). 46. (1) Any payment or repayment made

(a) as respects England, under regulation 5, 6 or 12 of the National Health Service (Travel Expenses and Remission of Charges) Regulations 2003 (travelling expenses and health service supplies); (b) as respects Wales, under regulation 5, 6 or 11 of the National Health Service (Travelling Expenses and Remission of Charges) (Wales) Regulations 2007 (travelling expenses and health service supplies);

(c) as respects Scotland, under regulation 3, 5 or 11 of the National Health Service (Travelling Expenses and Remission of Charges) (Scotland) (No. 2) Regulations 2003 (travelling expenses and health service supplies).

(2) Any payment or repayment made by the Secretary of State for Health, the Scottish Ministers or the Welsh Ministers which is analogous to a payment or repayment mentioned in sub-paragraph (1).

97 Page 267 of 410 47. Any payment made to such persons entitled to receive benefits as may be determined by or under a scheme made pursuant to section 13 of the Social Security Act 1988 in lieu of vouchers or similar arrangements in connection with the provision of those benefits (including payments made in place of healthy start vouchers, milk tokens or the supply of vitamins).

48. Any payment made by either the Secretary of State for Justice or by the Scottish Ministers under a scheme established to assist relatives and other persons to visit persons in custody.

49. (1) Where an applicant’s applicable amount includes an amount by way of family premium, £15 of any payment of maintenance, other than child maintenance, whether under a court order or not, which is made or due to be made by the applicant’s former partner, or the applicant’s partner’s former partner.

(2) For the purpose of sub-paragraph (1) where more than one maintenance payment falls to be taken into account in any week, all such payments must be aggregated and treated as if they were a single payment.

(3) A payment made by the Secretary of State in lieu of maintenance must, for the purpose of sub-paragraph (1), be treated as a payment of maintenance made by a person specified in sub-paragraph (1).

50. (1) Any payment of child maintenance made or derived from a liable relative where the child or young person in respect of whom the payment is made is a member of the applicant’s family, except where the person making the payment is the applicant or the applicant’s partner.

(2) In sub-paragraph (1) “child maintenance” means any payment towards the maintenance of a child or young person, including any payment made voluntarily and payments made under

(a) the Child Support Act 1991; (b) the Child Support (Northern Ireland) Order 1991; (c) a court order; (d) a consent order; (e) a maintenance agreement registered for execution in the Books of Council and Session or the sheriff court books;

“liable relative” means a person listed in regulation 54 (interpretation) of the Income Support (General) Regulations 1987, other than a person falling within sub-paragraph (d) of that definition. 51. Any payment (other than a training allowance) made, whether by the Secretary of State or any other person, under the Disabled Persons (Employment) Act 1944 to assist disabled persons to obtain or retain employment despite their disability. 52. Any guardian’s allowance. 53. (1) If the applicant is in receipt of any benefit under Part 2, 3 or 5 of the SSCBA, any increase in the rate of that benefit arising under Part 4 (increases 98 Page 268 of 410 for dependants) or section 106(a) (un employability supplement) of that Act, where the dependant in respect of whom the increase is paid is not a member of the applicant’s family. (2) If the applicant is in receipt of any pension or allowance under Part 2 or 3 of the Naval, Military and Air Forces Etc. (Disablement and Death) Service Pensions Order 2006, any increase in the rate of that pension or allowance under that Order, where the dependant in respect of whom the increase is paid is not a member of the applicant’s family.

54. Any supplementary pension under article 23(2) of the Naval, Military and Air Forces Etc. (Disablement and Death) Service Pensions Order 2006 (pensions to surviving spouses and surviving civil partners) and any analogous payment made by the Secretary of State for Defence to any person who is not a person entitled under that Order. 55. In the case of a pension awarded at the supplementary rate under article 27(3) of the Personal Injuries (Civilians) Scheme 1983 (pensions to widows, widowers or surviving civil partners), the sum specified in paragraph 1(c) of Schedule 4 to that Scheme. 56. (1) Any payment which is (a) made under any of the Dispensing Instruments to a widow, widower or surviving civil partner of a person (i) whose death was attributable to service in a capacity analogous to service as a member of the armed forces of the Crown; and (ii) whose service in such capacity terminated before 31st March 1973; and (b) equal to the amount specified in article 23(2) of the Naval, Military and Air Forces Etc. (Disablement and Death) Service Pensions Order 2006.

(2) In this paragraph “the Dispensing Instruments” means the Order in Council of 19th December 1881, the Royal Warrant of 27th October 1884 and the Order by His Majesty of 14th January 1922 (exceptional grants of pay, non-effective pay and allowances). 57. Any council tax benefit to which the applicant is entitled. 58. Except in a case which falls under Appendix 3 Paragraph 22 , where the applicant is a person who satisfies any of the conditions of sub-paragraph (h) of that paragraph, any amount of working tax credit up to £17.10. 59. Any payment made under section 12B of the Social Work (Scotland) Act 1968, or under sections 12A to 12D of the National Health Service Act 2006 (direct payments for health care) or under regulations made under section 57 of the Health and Social Care Act 2001 (direct payments). 60. (1) Subject to sub-paragraph (2), in respect of a person who is receiving, or who has received, assistance under the self-employment route, any payment to that person (a) to meet expenses wholly and necessarily incurred whilst carrying on the commercial activity; 99 Page 269 of 410 (b) which is used or intended to be used to maintain repayments on a loan taken out by that person for the purpose of establishing or carrying on the commercial activity, in respect of which such assistance is or was received.

(2) Sub-paragraph (1) applies only in respect of payments which are paid to that person from the special account. 61. (1) Any payment of a sports award except to the extent that it has been made in respect of any one or more of the items specified in sub-paragraph (2). (2) The items specified for the purposes of sub-paragraph (1) are food, ordinary clothing or footwear, household fuel or rent of the applicant or where the applicant is a member of a family, any other member of his family, or any council tax or water charges for which that applicant or member is liable. (3) For the purposes of sub-paragraph (2) “food” does not include vitamins, minerals or other special dietary supplements intended to enhance the performance of the person in the sport in respect of which the award was made. 62. Where the amount of subsistence allowance paid to a person in a reduction week exceeds the amount of income-based jobseeker’s allowance that person would have received in that reduction week had it been payable to him, less 50p, that excess amount. 63. In the case of an applicant participating in an employment zone programme, any discretionary payment made by an employment zone contractor to the applicant, being a fee, grant, loan or otherwise. 64. Any discretionary housing payment paid pursuant to regulation 2(1) of the Discretionary Financial Assistance Regulations 2001. 65. (1) Any payment made by a local authority or by the Welsh Ministers, to or on behalf of the applicant or his partner relating to a service which is provided to develop or sustain the capacity of the applicant or his partner to live independently in his accommodation. (2) For the purposes of sub-paragraph (1) “local authority” includes, in England, a county council. 66. Any payment of child benefit.

100 Page 270 of 410

Appendix 4

Capital disregards

Capital Disregards

(1) Any payment made to the applicant in respect of any child care, travel or other expenses incurred, or to be incurred, by him in respect of his participation in the Work for Your Benefit Scheme but only for 52 weeks beginning with the date of receipt of the payment.

(2) Any payment made to the applicant in respect of any travel or other expenses incurred, or to be incurred, by him in respect of his participation in the Mandatory Work Activity Scheme but only for 52 weeks beginning with the date of receipt of the payment.

(3) Any payment made to the applicant in respect of any travel or other expenses incurred, or to be incurred, by him in respect of his participation in the Employment, Skills and Enterprise Scheme but only for 52 weeks beginning with the date of receipt of the payment.

(4) The dwelling together with any garage, garden and outbuildings, normally occupied by the applicant as his home including any premises not so occupied which it is impracticable or unreasonable to sell separately, but only one dwelling is to be disregarded under this paragraph.

(5) Any premises acquired for occupation by the applicant which he intends to occupy as his home within 26 weeks of the date of acquisition or such longer period as is reasonable in the circumstances to enable the applicant to obtain possession and commence occupation of the premises.

(6) Any sum directly attributable to the proceeds of sale of any premises formerly occupied by the applicant as his home which is to be used for the purchase of other premises intended for such occupation within 26 weeks of the date of sale or such longer period as is reasonable in the circumstances to enable the applicant to complete the purchase.

(7) Any premises occupied in whole or in part (a) by a partner or relative of a single applicant or any member of the family as his home where that person has attained the qualifying age for state pension credit or is incapacitated; (b) by the former partner of the applicant as his home; but this provision does not apply where the former partner is a person from whom the applicant is estranged or divorced or with whom he had formed a civil partnership that has been dissolved. (8) Where an applicant is on income support, an income-based jobseeker’s allowance or an income-related employment support allowance, the whole of

101 Page 271 of 410 his capital. (9) Where the applicant is a member of a joint-claim couple for the purposes of the jobseekers Act 1995 and his partner is on income-based jobseekers allowance, the whole of the applicant’s capital

(10) Any future interest in property of any kind, other than land or premises in respect of which the applicant has granted a subsisting lease or tenancy, including sub-leases or sub-tenancies.

(11) (1) The assets of any business owned in whole or in part by the applicant and for the purposes of which he is engaged as a self-employed earner, or if he has ceased to be so engaged, for such period as may be reasonable in the circumstances to allow for disposal of any such asset. (2) The assets of any business owned in whole or in part by the applicant where (a) he is not engaged as a self-employed earner in that business by reason of some disease or bodily or mental disablement; but (b) he intends to become engaged or, as the case may be, re-engaged as a self-employed earner in that business as soon as he recovers or is able to become engaged or re-engaged in that business, for a period of 26 weeks from the date on which the application for a reduction under this scheme is made, or is treated as made, or, if it is unreasonable to expect him to become engaged or re- engaged in that business within that period, for such longer period as is reasonable in the circumstances to enable him to become so engaged or re-engaged. (3) In the case of a person who is receiving assistance under the self- employment route, the assets acquired by that person for the purpose of establishing or carrying on the commercial activity in respect of which such assistance is being received. (4) In the case of a person who has ceased carrying on the commercial activity in respect of which assistance was received as specified in sub- paragraph (3), the assets relating to that activity for such period as may be reasonable in the circumstances to allow for disposal of any such asset.

(12) (1) Subject to sub-paragraph (2), any arrears of, or any concessionary payment made to compensate for arrears due to the non-payment of— (a) any payment for disability living allowance, personal independence payment, AFIP , any attendance allowance or Any mobility supplement under article 20 of the Naval, Military and Air Forces Etc. (Disablement and Death) Service Pensions Order 2006 (including such a supplement by virtue of any other scheme or order) or under article 25A of the Personal Injuries (Civilians) Scheme 1983 or any payment intended to compensate for the non-payment of such a supplement. (b) an income-related benefit under Part 7 of the SSCBA; (c) an income-based jobseeker’s allowance; (d) any discretionary housing payment paid pursuant to regulation 2(1) of the Discretionary Financial Assistance Regulations 2001; (e) working tax credit and child tax credit; (f) an income-related employment and support allowance, (g) Universal Credit 102 Page 272 of 410 but only for a period of 52 weeks from the date of the receipt of arrears or of the concessionary payment. (2) In a case where the total of any arrears and, if appropriate, any concessionary payment referred to in sub-paragraph (1) relating to one of the specified payments, benefits or allowances amounts to £5,000 or more (referred to in this sub-paragraph and in sub-paragraph (3) as “the relevant sum”) and is (a) paid in order to rectify or to compensate for, an official error as defined in regulation 1(2) of the Housing Benefit and Council Tax Benefit (Decisions and Appeals) Regulations 2001; and (b) received by the applicant in full on or after 14th October 2001, sub- paragraph (1) has effect in relation to such arrears or concessionary payment either for a period of 52 weeks from the date of receipt, or, if the relevant sum is received in its entirety during the period of an award of a reduction under this scheme, for the remainder of that period if that is a longer period. (3) For the purposes of sub-paragraph (2), “the period of an award of a reduction under this scheme” means (a) the award in which the relevant sum is first received (or the first part thereof where it is paid in more than one installment); and (b) where that award is followed by one or more further awards which, or each of which, begins immediately after the end of the previous award, such further award provided that for that further award the applicant (i) is the person who received the relevant sum; or (ii) is the partner of the person who received the relevant sum, or was that person’s partner at the date of his death.

(13) Any sum (a) paid to the applicant in consequence of damage to, or loss of the home or any personal possession and intended for its repair or replacement; or (b) acquired by the applicant (whether as a loan or otherwise) on the express condition that it is to be used for effecting essential repairs or improvement to the home, which is to be used for the intended purpose, for a period of 26 weeks from the date on which it was so paid or acquired or such longer period as is reasonable in the circumstances to effect the repairs, replacement or improvement.

(14) Any sum (a) deposited with a housing association as defined in section 1(1) of the Housing Associations Act 1985 as a condition of occupying the home; (b) which was so deposited and which is to be used for the purchase of another home, for the period of 26 weeks or such longer period as may be reasonable in the circumstances to enable the applicant to complete the purchase.

(15) Any personal possessions except those which have been acquired by the applicant with the intention of reducing his capital in order to secure entitlement to a reduction under this scheme or to increase the amount of that reduction. 103 Page 273 of 410

(16) The value of the right to receive any income under an annuity or the surrender value (if any) of such an annuity.

(17) Where the funds of a trust are derived from a payment made in consequence of any personal injury to the applicant or applicant’s partner, the value of the trust fund and the value of the right to receive any payment under that trust.

(18) (1) Any payment made to the applicant or the applicant’s partner in consequence of any personal injury to the applicant or, as the case may be, the applicant’s partner. (2) But sub-paragraph (1) (a) applies only for the period of 52 weeks beginning with the day on which the applicant first receives any payment in consequence of that personal injury; (b) does not apply to any subsequent payment made to him in consequence of that injury (whether it is made by the same person or another); (c) ceases to apply to the payment or any part of the payment from the day on which the applicant no longer possesses it; (d) does not apply to any payment from a trust where the funds of the trust are derived from a payment made in consequence of any personal injury to the applicant.

(3) For the purposes of sub-paragraph (2)(c), the circumstances in which an applicant no longer possesses a payment or a part of it include where the applicant has used a payment or part of it to purchase an asset. (4) References in sub-paragraphs (2) and (3) to the applicant are to be construed as including references to his partner (where applicable). (19) The value of the right to receive any income under a life interest or from a life rent. (20) Any earnings derived from employment which are payable in a country outside the United Kingdom for such period during which there is a prohibition against the transfer to the United Kingdom of those earnings.

(21) The surrender value of any policy of life insurance.

(22) Where any payment of capital falls to be made by installments, the value of the right to receive any outstanding installments.

(23) Any payment made by a local authority in accordance with section 17, 23B, 23C or 24A of the Children Act 1989 or, as the case may be, section 12 of the Social Work (Scotland) Act 1968 or sections 22, 29 or 30 of the Children (Scotland) Act 1995 (provision of services for children and their families and advice and assistance to certain children).

(24) (1) Subject to sub-paragraph (2), any payment (or part of a payment) made by a local authority in accordance with section 23C of the Children Act 1989 or section 29 of the Children (Scotland) Act 1995 (local authorities’ duty to promote welfare of children and powers to grant financial assistance to persons in, or formerly in, their care) to a person (“A”) which A passes on to the applicant. (2) Sub-paragraph (1) applies only where A (a) was formerly in the applicant’s care, and 104 Page 274 of 410 (b) is aged 18 or over, and (c) continues to live with the applicant.

(25) Any (a) social fund payment made pursuant to Part 8 of the SSCBA (the social fund); or (b) occasional assistance.

(26) Any refund of tax which falls to be deducted under section 369 of the Income and Corporation Taxes Act 1988 (deduction of tax from certain loan interest) on a payment of relevant loan interest for the purpose of acquiring an interest in the home or carrying out repairs or improvements to the home.

(27) Any capital which by virtue of paragraph 16 (Capital treated as income) or appendix 1 (3) Calculation of grant income is to be treated as income.

(28) Where any payment of capital is made in a currency other than sterling, any banking charge or commission payable in converting that payment into sterling.

(29) (1) Any payment made under or by the Trusts, the Fund, the Eileen Trust, MFET Limited, the Independent Living Fund (2006), the Skipton Fund, the Caxton Foundation, The Scottish Infected Blood Support Scheme, an approved blood scheme, The London Emergencies Trust, the We Love Manchester Emergency Fund, the Grenfell Tower Charitable funds, the Grenfell Tower Residents’ Discretionary Fund, the Windrush Compensation Scheme the London Bombings Relief Charitable Fund,(collectively referred to in this paragraph as the trusts,

(1A) Any Grenfell Tower support payment

(2) Any payment by or on behalf of a person who is suffering or who suffered from hemophilia or who is or was a qualifying person, which derives from a payment made under or by any of the Trusts to which sub- paragraph (1) refers or from a Grenfell Tower support payment and which is made to or for the benefit of (a) that person’s partner or former partner from whom he is not, or where that person has died was not, estranged or divorced or with whom he has formed a civil partnership that has not been dissolved or, where that person has died, had not been dissolved at the time of that person’s death; (b) any child who is a member of that person’s family or who was such a member and who is a member of the applicant’s family; or

(c) any young person who is a member of that person’s family or who was such a member and who is a member of the applicant’s family.

(3) Any payment by or on behalf of the partner or former partner of a person who is suffering or who suffered from hemophilia or who is or was a qualifying person which derives from a payment made under or by any of the Trusts to which sub-paragraph (1) refers, or from a Grenfell Tower support payment and which is made to or for the benefit of—

(a) the person who is suffering from hemophilia or who is a qualifying person; (b) any child who is a member of that person’s family or who was such a 105 Page 275 of 410 member and who is a member of the applicant’s family; or (c) any young person who is a member of that person’s family or who was such a member and who is a member of the applicant’s family.

(4) Sub-paragraph (3) does not apply if

(a) the partner or former partner and that person are not, or if either of them has died were not, estranged or divorced, or

(b) where the partner or former partner and that person have formed a civil partnership, the civil partnership has not been dissolved or, if either of them has died, had not been dissolved at the time of the death.

(5) Any payment by a person who is suffering from hemophilia or who is a qualifying person, which derives from a payment under or by any of the Trusts to which sub-paragraph (1) refers or from a Grenfell Tower support payment, where (a) that person has no partner or former partner from whom he is not estranged or divorced or with whom he has formed a civil partnership that has not been dissolved, nor any child or young person who is or had been a member of that person’s family; and (b) the payment is made either (i) to that person’s parent or step-parent; or

(ii) where that person at the date of the payment is a child, a young person or a student who has not completed his full-time education and has no parent or step-parent, to his guardian, but only for a period from the date of the payment until the end of two years from that person’s death.

(6) Any payment out of the estate of a person who suffered from hemophilia or who was a qualifying person, which derives from a payment under or by any of the Trusts to which sub- paragraph (1) refers, or from a Grenfell Tower support payment where (a) that person at the date of his death (the relevant date) had no partner or former partner from whom he was not estranged or divorced or with whom he had formed a civil partnership that had not been dissolved, nor any child or young person who was or had been a member of his family; and (b) the payment is made either

(i) to that person’s parent or step-parent; or

(7) In the case of a person to whom or for whose benefit a payment referred to in this paragraph is made, any capital resource which derives from (a) any payment of income or capital made under or deriving from any of the Trusts; or (b) a Grenfell Tower Support payment

106 Page 276 of 410 (30) (1) Where an applicant has ceased to occupy what was formerly the dwelling occupied as the home following his estrangement or divorce from, or dissolution of his civil partnership with, his former partner, that dwelling for a period of 26 weeks from the date on which he ceased to occupy that dwelling or, where the dwelling is occupied as the home by the former partner who is a lone parent, for so long as it is so occupied.

(2) In this paragraph “dwelling” includes any garage, garden and outbuildings, which were formerly occupied by the applicant as his home and any premises not so occupied which it is impracticable or unreasonable to sell separately, in particular, in Scotland, any croft land on which the dwelling is situated.

(31) Any premises where the applicant is taking reasonable steps to dispose of those premises, for a period of 26 weeks from the date on which he first took such steps, or such longer period as is reasonable in the circumstances to enable him to dispose of those premises.

(32) Any premises which the applicant intends to occupy as his home, and in respect of which he is taking steps to obtain possession and has sought legal advice, or has commenced legal proceedings, with a view to obtaining possession, for a period of 26 weeks from the date on which the first sought such advice or first commenced such proceedings whichever is the earlier, or such longer period as is reasonable in the circumstances to enable him to obtain possession and commence occupation of those premises.

(33) Any premises which the applicant intends to occupy as his home to which essential repairs or alterations are required in order to render them fit for such occupation, for a period of 26 weeks from the date on which the applicant first takes steps to effect those repairs or alterations, or such longer period as is necessary to enable those repairs or alterations to be carried out.

(34) Any payment made by the Secretary of State to compensate for the loss (in whole or in part) of entitlement to housing benefit.

(35) The value of the right to receive an occupational or personal pension.

(36) The value of any funds held under a personal pension scheme.

(37) The value of the right to receive any rent except where the applicant has a reversionary interest in the property in respect of which rent is due.

(38) Any payment in kind made by a charity or under or by the Trusts, the Fund, MFET Limited, the Skipton Fund, the Caxton Foundation, The Scottish Approved Blood Support Scheme, an approved blood scheme, the London Emergencies trust, The We Love Manchester Emergency Fund, the Grenfell Tower charitable funds, the Grenfell Tower Residents’ Discretionary Fund the Independent Living Fund (2006), the London Bombings Relief Charitable Fund. the Windrush Compensation Scheme. (a) a Grenfell Tower support payment

(39) Any payment made pursuant to section 2 of the Employment and Training Act 1973 or section 2 of the Enterprise and New Towns (Scotland) Act 1990, but only for the period of 52 weeks beginning on the date of receipt of the payment.

(40) Any payment in consequence of a reduction of council tax under section 13 of the 1992 Act (reduction of liability for council tax), but only for a period of 52 weeks from the date of the receipt of the payment.

107 Page 277 of 410 (41) Any grant made in accordance with a scheme made under section 129 of the Housing Act 1988 or section 66 of the Housing (Scotland) Act 1988 (schemes for payments to assist local housing authority and local authority tenants to obtain other accommodation) which is to be used

(a) to purchase premises intended for occupation as his home; or (b) to carry out repairs or alterations which are required to render premises fit for occupation as his home, for a period of 26 weeks from the date on which he received such a grant or such longer period as is reasonable in the circumstances to enable the purchase, repairs or alterations to be completed and the applicant to commence occupation of those premises as his home.

(42) Any arrears of supplementary pension which is disregarded but only for a period of 52 weeks from the date of receipt of the arrears.

(43 (1) Any payment or repayment made

(a) as respects England, under regulation 5, 6 or 12 of the National Health Service (Travel Expenses and Remission of Charges) Regulations 2003 (travelling expenses and health service supplies);

(b) as respects Wales, under regulation 5, 6 or 11 of the National Health Service (Travelling Expenses and Remission of Charges) (Wales) Regulations 2007 (travelling expenses and health service supplies);

(2) Any payment or repayment made by the Secretary of State for Health, the Scottish Ministers or the Welsh Ministers which is analogous to a payment or repayment mentioned in sub-paragraph (1), but only for a period of 52 weeks from the date of receipt of the payment or repayment.

(44) Any payment made to such persons entitled to receive benefits as may be determined by or under a scheme made pursuant to section 13 of the Social Security Act 1988 in lieu of vouchers or similar arrangements in connection with the provision of those benefits (including payments made in place of healthy start vouchers, milk tokens or the supply of vitamins), but only for a period of 52 weeks from the date of receipt of the payment.

(45) Any payment made under Part 8A of the SSCBA (entitlement to health in pregnancy grant).

(46) Any payment made either by the Secretary of State for Justice or by Scottish Ministers under a scheme established to assist relatives and other persons to visit persons in custody, but only for a period of 52 weeks from the date of the receipt of the payment.

(47) Any payment (other than a training allowance) made, whether by the Secretary of State or any other person, under the Disabled Persons (Employment) Act 1944 to assist disabled persons to obtain or retain employment despite their disability.

(48) Any payment made by a local authority under section 3 of the 108 Page 278 of 410 Disabled Persons (Employment) Act 1944 to homeworkers assisted under the Blind Homeworkers’ Scheme.

(49) (1) Any sum of capital to which sub-paragraph (2) applies and

(a) which is administered on behalf of a person by the High Court or the County Court under Rule 21.11(1) of the Civil Procedure Rules 1998 or by the Court of Protection;

(b) which can only be disposed of by order or direction of any such court; or

(c) where the person concerned is under the age of 18, which can only be disposed of by order or direction prior to that person attaining age 18.

(2) This sub-paragraph applies to a sum of capital which is derived from (a) an award of damages for a personal injury to that person; or

(b) compensation for the death of one or both parents where the person concerned is under the age of 18.

(50) Any sum of capital administered on behalf of a person in accordance with an order made under section 13 of the Children (Scotland) Act 1995, or under Rule 36.14 of the Ordinary Cause Rules 1993 or under Rule 128 of those Rules, where such sum derives from

(a) award of damages for a personal injury to that person; or (b) compensation for the death of one or both parents where the person concerned is under the age of 18.

(51) Any payment to the applicant as holder of the Victoria Cross or George Cross.

(52) In the case of a person who is receiving, or who has received, assistance under the self- employment route, any sum of capital which is acquired by that person for the purpose of establishing or carrying on the commercial activity in respect of which such assistance is or was received but only for a period of 52 weeks from the date on which that sum was acquired.

(53) (1) Any payment of a sports award for a period of 26 weeks from the date of receipt of that payment except to the extent that it has been made in respect of any one or more of the items specified in sub-paragraph (2).

(2) The items specified for the purposes of sub-paragraph (1) are food, ordinary clothing or footwear, household fuel or rent of the applicant or, where the applicant is a member of a family, any other member of his family, or any council tax or water charges for which that applicant or member is liable.

(3) For the purposes of sub-paragraph (2) “food” does not include vitamins, minerals or other special dietary supplements intended to enhance the performance of the person in the sport in respect of which the award was made.

(54) (1) Any payment

(a) by way of an education maintenance allowance made pursuant to

(i) regulations made under section 518 of the Education Act 1996;

109 Page 279 of 410

(ii) regulations made under section 49 or 73(f) of the Education (Scotland) Act 1980;

(iii) directions made under section 73ZA of the Education (Scotland) Act 1980 and paid under section 12(2)(c) of the Further and Higher Education (Scotland) Act 1992;

(b) corresponding to such an education maintenance allowance, made pursuant to

(i) section 14 or section 181 of the Education Act 2002 (power of Secretary of State and the Welsh Ministers to give financial assistance for purposes related to education or childcare, and allowances in respect of education or training); or

(ii) regulations made under section 181 of that Act; or

(2) Any payment, other than a payment to which sub-paragraph (1) applies, made pursuant to (a) regulations made under section 518 of the Education Act 1996;

(b) regulations made under section 49 of the Education (Scotland) Act 1980; or

(c) directions made under section 73ZA of the Education (Scotland) Act 1980 and paid under section 12(2)(c) of the Further and Higher Education (Scotland) Act 1992, in respect of a course of study attended by a child or a young person or a person who is in receipt of an education maintenance allowance or other payment made pursuant to any provision specified in sub-paragraph (1).

(55) In the case of an applicant participating in an employment zone programme, any discretionary payment made by an employment zone contractor to the applicant, being a fee, grant, loan or otherwise, but only for the period of 52 weeks from the date of receipt of the payment.

(56) Any arrears of subsistence allowance paid as a lump sum but only for the period of 52 weeks from the date of receipt of the payment.

(57) Where an ex-gratia payment of £10,000 has been made by the Secretary of State on or after 1st February 2001 in consequence of the imprisonment or internment of (a) the applicant; (b) the applicant’s partner; (c) the applicant’s deceased spouse or deceased civil partner; or (d) the applicant’s partner’s deceased spouse or deceased civil partner, by the Japanese during the Second World War,

(58) (1) Subject to sub-paragraph (2), the amount of any trust payment made to an applicant or a member of an applicant’s family who is

(a) a diagnosed person; (b) the diagnosed person’s partner or the person who was the

110 Page 280 of 410 diagnosed person’s partner at the date of the diagnosed person’s death; (c) a parent of a diagnosed person, a person acting in place of the diagnosed person’s parents or a person who was so acting at the date of the diagnosed person’s death; or (d) a member of the diagnosed person’s family (other than his partner) or a person who was a member of the diagnosed person’s family (other than his partner) at the date of the diagnosed person’s death.

(2) Where a trust payment is made to

(a) a person referred to in sub-paragraph (1)(a) or (b), that sub- paragraph applies for the period beginning on the date on which the trust payment is made and ending on the date on which that person dies;

(b) a person referred to in sub-paragraph (1)(c), that sub-paragraph applies for the period beginning on the date on which the trust payment is made and ending two years after that date;

(c) a person referred to in sub-paragraph (1)(d), that sub-paragraph applies for the period beginning on the date on which the trust payment is made and ending

(i) two years after that date; or (ii) on the day before the day on which that person (aa) ceases receiving full-time education; or (bb) attains the age of 20, whichever is the latest.

(3) Subject to sub-paragraph (4), the amount of any payment by a person to whom a trust payment has been made or of any payment out of the estate of a person to whom a trust payment has been made, which is made to an applicant or a member of an applicant’s family who is

(a) the diagnosed person’s partner or the person who was the diagnosed person’s partner at the date of the diagnosed person’s death;

(b) a parent of a diagnosed person, a person acting in place of the diagnosed person’s parents or a person who was so acting at the date of the diagnosed person’s death; or

(c) a member of the diagnosed person’s family (other than his partner) or a person who was a member of the diagnosed person’s family (other than his partner) at the date of the diagnosed person’s death, but only to the extent that such payments do not exceed the total amount of any trust payments made to that person.

(4) Where a payment as referred to in sub-paragraph (3) is made to

(a) a person referred to in sub-paragraph (3)(a), that sub-paragraph applies for the period beginning on the date on which that payment is made and ending on the date on which that person dies;

(b) a person referred to in sub-paragraph (3)(b), that sub-paragraph applies for the period beginning on the date on which that payment is made and ending two years after that date; or

(c) person referred to in sub-paragraph (3)(c), that sub-paragraph applies for the period beginning on the date on which that payment is made and ending 111 Page 281 of 410

(i) two years after that date; or (ii) on the day before the day on which that person (aa) ceases receiving full-time education; or (bb) attains the age of 20,

whichever is the latest.

(5) In this paragraph, a reference to a person

(a) being the diagnosed person’s partner; (b) being a member of a diagnosed person’s family; (c) acting in place of the diagnosed person’s parents,

at the date of the diagnosed person’s death includes a person who would have been such a person or a person who would have been so acting, but for the diagnosed person residing in a care home, an Abbeyfield Home or an independent hospital on that date.

(6) In this paragraph

“diagnosed person” means a person who has been diagnosed as suffering from, or who, after his death, has been diagnosed as having suffered from, variant Creutzfeld-Jakob disease;

“relevant trust” means a trust established out of funds provided by the Secretary of State in respect of persons who suffered, or who are suffering, from variant Creutzfeld-Jakob disease for the benefit of persons eligible for payments in accordance with its provisions;

“trust payment” means a payment under a relevant trust.

(59) The amount of any payment, other than a war pension, to compensate for the fact that the applicant, the applicant’s partner, the applicant’s deceased spouse or deceased civil partner or the applicant’s partner’s deceased spouse or deceased civil partner

(a) was a slave labourer or a forced labourer; (b) had suffered property loss or had suffered personal injury; or (c) was a parent of a child who had died, during the Second World War.

(60) (1) Any payment made by a local authority, or by the Welsh Ministers, to or on behalf of the applicant or his partner relating to a service which is provided to develop or sustain the capacity of the applicant or his partner to live independently in his accommodation.

(2) For the purposes of sub-paragraph (1) “local authority” includes in England a county council.

(61) Any payment made under regulations made under section 57 of the Health and Social Care Act 2001 or under section 12B of the Social Work (Scotland) Act 1968, or under sections 12A to 12D of the National Health Service Act 2006 (direct payments for health care) or under sections 31 to 33 of the Care Act 2014(direct payments)

(62) Any payment made to the applicant pursuant to regulations under section 2(6)(b), 3 or 4 of the Adoption and Children Act 2002.

112 Page 282 of 410 (63) Any payment made to the applicant in accordance with regulations made pursuant to section 14F of the Children Act 1989 (special guardianship support services).

(64) Any payment made under or by a trust, established for the purpose of giving relief and assistance to disabled persons whose disabilities were caused by the fact that during their mothers pregnancy she had taken a preparation containing the drug known as Thalidomide, and which is approved by the Secretary of State.

Appendix 5

Applicable amounts

Personal allowances

1. The amounts specified in column (2) below in respect of each person or couple specified in column (1) are the amounts specified for the purposes of part 3, 23, paragraph (1)(a) and paragraph 2(b)(i)(ii)

Column (1) Column (2) Person or couple Amount (1) A single applicant who— (1) (a) is entitled to main phase employment and Support (a) £74.35 allowance (b) is aged not less than 25 (b) £74.35 (c) is aged not less than 18 but less than 25 (c) £58.90 (2) Lone Parent (2) £74.35 (3) Couple (3) £116.80

2. For the purposes of paragraph 1 an applicant is entitled to main phase employment and support allowance if

(a) paragraph 18 is satisfied in relation to the applicant; or

(b) the applicant is entitled to a converted employment and support allowance.

3. (1) The amounts specified in column (2) below in respect of each person specified in column (1) are, for the relevant period specified in column (1), the amounts specified for the purposes of part 3, 23, paragraph (1)(b)(i)(ii) and paragraph (2)(b)(iii)

Column (1) Column (2) Child or Young person Amount Person in respect of the period- (a) beginning on that person’s date of birth and (a) £68.27

113 Page 283 of 410 ending on the day preceding the first Monday in September following that persons sixteenth Birthday (b) beginning on the first Monday in September (b) £68.27 following that person’s sixteenth birthday and ending on the day preceding that persons twentieth birthday

(2) In column (1) of the table in sub-paragraph (3), “the first Monday in September” means the Monday which first occurs in the month of September in any year. Premiums

4. Except as provided in paragraph 5, the premiums specified for the purposes of part 3, 23, paragraphs (1)(c) and 2(b)(iv) (premiums), applicable to an applicant who satisfies the condition specified in paragraphs 8 to 13 in respect of that premium.

5. Subject to paragraph 6, where an applicant satisfies the conditions in respect of more than one premium in this Part of this Schedule, only one premium is applicable to him and, if they are different amounts, the higher or highest amount applies.

6. The following premiums, namely

(a) a severe disability premium to which paragraph 10 applies; (b) an enhanced disability premium to which paragraph 11 applies; (c) a disabled child premium to which paragraph 12 applies; and (d) a carer premium to which paragraph 13 applies, may be applicable in addition to any other premium which may apply under this Schedule.

7. (1) Subject to sub-paragraph (2) of appendix 5, for the purposes of this Part once a premium is applicable to an applicant under this Part, a person is to be treated as being in receipt of any benefit for

(a) in the case of a benefit to which the Social Security (Overlapping Benefits) Regulations 1979 applies, any period during which, apart from the provisions of those Regulations, he would be in receipt of that benefit; and

(b) any period spent by a person in undertaking a course of training or instruction provided or approved by the Secretary of State under section 2 of the Employment and Training Act 1973 or by Skills Development Scotland, Scottish Enterprise or Highlands and Islands Enterprise under section 2 of the Enterprise and New Towns (Scotland) Act 1990 for any period during which he is in receipt of a training allowance.

(2) For the purposes of the carer premium under paragraph 13, a person is to be treated as being in receipt of carer’s allowance, only if and for so long as the person in respect of whose care the allowance has been claimed

114 Page 284 of 410 remains in receipt of attendance allowance, or the care component of disability living allowance at the highest or middle rate prescribed in accordance with section 72(3) of the SSCBA or the daily living component of personal independence payment payable under Part 4 of the Welfare Reform Act 2012.

Disability premium

8. The condition is that

(a) where the applicant is a single applicant or a lone parent, he has not attained the qualifying age for state pension credit and the additional condition specified in paragraph 9 is satisfied; or (b) where the applicant has a partner, either (i) the applicant has not attained the qualifying age for state pension credit and the additional condition specified in paragraph 9(1)(a) or (b) is satisfied by him; or

(ii) his partner has not attained the qualifying age for state pension credit and the additional condition specified in paragraph 9(1)(a) is satisfied by his partner. Additional condition for the disability premium

9. (1) Subject to sub-paragraph (2) and paragraph 7, the additional condition referred to in paragraph 8 is that either

(a) the applicant or, as the case may be, his partner

(i) is in receipt of one or more of the following benefits: attendance allowance, disability living allowance, personal independence payment, an AFIP, the disability element or the severe disability element of working tax credit as specified in regulation 20(1)(b) and (f) of the Working Tax Credit (Entitlement and Maximum Rate) Regulations 2002 .mobility supplement, long-term incapacity benefit under Part 2 of the SSCBA or severe disablement allowance under Part 3 of that Act but, in the case of long-term incapacity benefit or severe disablement allowance, only where it is paid in respect of him; or

(ii) was in receipt of long-term incapacity benefit under Part 2 of the SSCBA when entitlement to that benefit ceased on account of the payment of a retirement pension under that Act and the applicant remained continuously entitled to (aa) council tax benefit (in relation to the period prior to 1st April 2015, and (bb) a reduction under this scheme (in relation to the period commencing on 1st April 2015),

115 Page 285 of 410 and if the long-term incapacity benefit was payable to his partner, the partner is still a member of the family; or (iii) was in receipt of attendance allowance or disability living allowance but payment of benefit has been suspended in accordance with regulations made under section 113(2) of the SSCBA or otherwise abated as a consequence of the applicant or his partner becoming a patient within the meaning of paragraph 58(11)(i) (treatment of child care charges); or (iv) was in receipt of personal independence payment, but payment of that benefit has been suspended in accordance with section 86 of the Welfare Reform Act 2012 as a consequence of the applicant becoming a patient within the meaning of paragraph 58 (11)(i) (treatment of child care charges); or (v) was in receipt of an AFIP, but payment has been suspended in accordance with any terms of the armed and reserve forces compensation scheme which allow for suspension because a person is undergoing medical treatment in a hospital or similar institution; or (vi) he has an invalid carriage or other vehicle provided to him by the Secretary of State or a clinical commissioning group under paragraph 9 of Schedule 1 to the National Health Service Act 2006 or under section 46 of the National Health Service (Scotland) Act 1978 or provided by the Department of Health, Social Services and Public Safety in Northern Ireland under Article 30(1) of the Health and Personal Social Services (Northern Ireland) Order 1972; or (vii) is blind and in consequence registered in a register compiled by a local authority under section 29 of the National Assistance Act 1948 (welfare services) or, in Scotland, has been certified as blind and in consequence he is registered in a register maintained by or on behalf of a council constituted under section 2 of the Local Government (Scotland) Act 1994; or (b) the applicant (i) is, or is treated as, incapable of work in accordance with the provisions of, and regulations made under, Part 12A of the SSCBA (incapacity for work); and (ii) has been incapable, or has been treated as incapable, of work for a continuous period of not less than:- (aa) in the case of an applicant who is terminally ill within the meaning of section 30B(4) of the SSCBA, 196 days; (bb) in any other case, 364 days.

(2) For the purposes of sub-paragraph (1)(a)(vii), a person who has ceased to be registered as blind on regaining his eyesight is nevertheless to be treated as blind and as satisfying the additional condition set out in that sub- paragraph for a period of 28 weeks following the date on which he ceased to be so registered.

116 Page 286 of 410 (3) For the purposes of sub-paragraph (1)(b), once the disability premium is applicable to an applicant by virtue of his satisfying the additional condition specified in that provision, if he then ceases, for a period of 8 weeks or less, to be treated as incapable of work or to be incapable of work he is, on again becoming so incapable of work, immediately thereafter to be treated as satisfying the condition in sub-paragraph (1)(b).

(4) For the purposes of sub-paragraph (1)(b), once the disability premium is applicable to an applicant by virtue of his satisfying the additional condition specified in that provision, he is to continue to be treated as satisfying that condition for any period spent by him in undertaking a course of training provided under section 2 of the Employment and Training Act 1973 or section 2 of the Enterprise and New Towns (Scotland) Act 1990 or for any period during which he is in receipt of a training allowance.

(5) For the purposes of sub-paragraph (1)(b), where any two or more periods of incapacity are separated by a break of not more than 56 days, those periods are to be treated as one continuous period.

(6) For the purposes of this paragraph, a reference to a person who is or was in receipt of long-term incapacity benefit includes a person who is or was in receipt of short-term incapacity benefit at a rate equal to the long- term rate by virtue of section 30B(4)(a) of the Act (short-term incapacity benefit for a person who is terminally ill), or who would be or would have been in receipt of short-term incapacity benefit at such a rate but for the fact that the rate of short-term incapacity benefit already payable to him is or was equal to or greater than the long-term rate

(7) In the case of an applicant who is a welfare to work beneficiary (a person to whom regulation 13A(1) of the Social Security (Incapacity for Work) (General) Regulations 1995 applies, and who again becomes incapable of work for the purposes of Part 12A of the SSCBA)

(a) the reference to a period of 8 weeks in sub-paragraph (3); and (b) the reference to a period of 56 days in sub-paragraph (5),

in each case is to be treated as a reference to a period of 104 weeks.

(8) The applicant is not entitled to the disability premium if he has, or is treated as having, limited capability for work.

Severe disability premium

10. (1) The condition is that the applicant is a severely disabled person.

(2) For the purposes of sub-paragraph (1), an applicant is to be treated as being a severely disabled person if, and only if (a) in the case of a single applicant, a lone parent or an applicant who is treated as having no partner in consequence of sub-paragraph (3)

117 Page 287 of 410 (i) he is in receipt of attendance allowance, or the care component of disability living allowance at the highest or middle rate prescribed in accordance with section 72(3) of the SSCBA, or the daily living component of personal independence payment payable at either rate under Part 4 of the Welfare Reform Act 2012, or an AFIP; and

(ii) subject to sub-paragraph (4), he has no non-dependents aged 18 or over normally residing with him or with whom he is normally residing; and (iii) no person is entitled to, and in receipt of, a carer’s allowance under section 70 of the SSCBA in respect of caring for him;

(b) in the case of an applicant who has a partner (i) the applicant is in receipt of attendance allowance, or the care component of disability living allowance at the highest or middle rate prescribed in accordance with section 72(3) of the SSCBA or the daily living component of personal independence payment payable at either rate under Part 4 of the Welfare Reform Act 2012, or an AFIP; and (ii) his partner is also in receipt of such an allowance or, if he is a member of a polygamous marriage, all the partners of that marriage are in receipt of such an allowance; and (iii) subject to sub-paragraph (4), the applicant has no non-dependents aged 18 or over normally residing with him or with whom he is normally residing, and either a person is entitled to and in receipt of a carer’s allowance in respect of caring for only one of a couple or, in the case of a polygamous marriage, for one or more but not all the partners of the marriage, or as the case may be, no person is entitled to and in receipt of such an allowance in respect of caring for either member of a couple or any partner of a polygamous marriage.

(3) Where an applicant has a partner who does not satisfy the condition in sub-paragraph (2)(b)(ii), and that partner is blind or is treated as blind within the meaning of paragraph 9(1)(a)(vii) and (2), that partner is to be treated for the purposes of sub-paragraph (2)(b)(ii) as if he were not a partner of the applicant. (4) For the purposes of sub-paragraph (2)(a)(ii) and (2)(b)(iii) no account is to be taken of (a) a person receiving attendance allowance, or disability living allowance by virtue of the care component at the highest or middle rate prescribed in accordance with section 72(3) 116 of the SSCBA, or the daily living component of personal independence payment payable at either rate prescribed in accordance with Part 4 of the Welfare Reform Act 2012; or (b) a person who is blind or is treated as blind within the meaning of paragraph 9 (1)(a)(vii) and (2). (5) For the purposes of sub-paragraph (2)(b) a person is to be treated (a) as being in receipt of attendance allowance, or the care component of disability living allowance at the highest or middle rate prescribed in 118 Page 288 of 410 accordance with section 72(3) of the SSCBA, or the daily living component of personal independence payment payable at either rate under Part 4 of the Welfare Reform Act 2012, or an AFIP if he would, but for his being a patient for a period exceeding 28 days, be so in receipt;

(b) as being entitled to and in receipt of a carer’s allowance if he would, but for the person for whom he was caring being a patient in hospital for a period exceeding 28 days, be so entitled and in receipt. (6) For the purposes of sub-paragraph (2)(a)(iii) and (2)(b), no account is to be taken of an award of carer’s allowance to the extent that payment of such an award is back-dated for a period before the date on which the award is first paid. (7) In sub-paragraph (2)(a)(iii) and (b), references to a person being in receipt of a carer’s allowance include references to a person who would have been in receipt of that allowance but for the application of a restriction under section 6B or 7 of the Social Security Fraud Act 2001(a) (loss of benefit provisions). Enhanced disability premium

11. (1) Subject to sub-paragraph (2), the condition is that

(a) the Secretary of State has decided that the applicant has, or is to be treated as having, limited capability for work-related activity; or (b) the care component of disability living allowance is, or would be payable at the highest rate prescribed under section 72(3) of the SSCBA, but for a suspension of benefit in accordance with regulations made under section 113(2) of the SSCBA or but for an abatement as a consequence of hospitalisation be payable at the highest rate prescribed under section 72(3) of the SSCBA in respect of (i) the applicant; or (ii) a member of the applicant’s family, who has not attained the qualifying age for state pension credit; or

(c) the daily living component of personal independence payment is, or would be payable at either rate under Part 4 of the Welfare Reform Act 2012, but for a suspension of benefit in accordance with section 86 of the Welfare Reform Act 2012 in respect of: (i) the applicant; or (ii) a member of the applicant’s family, who has not attained the qualifying age for state pension credit.

(2) Where the condition in sub-paragraph (1) ceases to be satisfied because of the death of a child or young person, the condition is that the applicant or partner is entitled to child benefit in respect of that person under section 145A of the SSCBA (entitlement after death of child or qualifying young person).

119 Page 289 of 410 (3) The condition is not satisfied if the person to whom sub-paragraph (1) refers is:- (a) an applicant who: (i) is not a member of a couple or a polygamous marriage; and

(ii) is a patient within the meaning of appendix 3,10 paragraph (9)(f) (treatment of child care charges) and has been for a period of more than 52 weeks; or (b) a member of a couple or a polygamous marriage where each member is a patient within the meaning of appendix 3,10 paragraph (9)(f) and has been for a period of more than 52 weeks.

Disabled child premium

12. The condition is that a child or young person for whom the applicant or a partner of his is responsible and who is a member of the applicant’s household

(a) is in receipt of disability living allowance or personal independence payment or is no longer in receipt of such allowance because he is a patient, provided that the child or young person continues to be a member of the family; or (b) is blind or treated as blind within the meaning of paragraph 9; or (c) is a child or young person in respect of whom section 145A of the SSCBA (entitlement after death of child or qualifying young person) applies for the purposes of entitlement to child benefit but only for the period prescribed under that section, and in respect of whom a disabled child premium was included in the applicant’s applicable amount immediately before the death of that child or young person, or ceased to be included in the applicant’s applicable amount because of that child or young person’s death. Carer premium

13. (1) The condition is that the applicant or his partner is, or both of them are, entitled to a carer’s allowance under section 70 of the SSCBA. (2) Where a carer premium is awarded but:- (a) the person in respect of whose care the carer’s allowance has been awarded dies; or (b) in any other case the person in respect of whom a carer premium has been awarded ceases to be entitled to a carer’s allowance, the condition for the award of the premium is to be treated as satisfied for a period of eight weeks from the relevant date specified in sub-paragraph (3).

(3) The relevant date for the purposes of sub-paragraph (2) is:-

120 Page 290 of 410 (a) where sub-paragraph (2)(a) applies, the Sunday following the death of the person in respect of whose care a carer’s allowance has been awarded or the date of death if the death occurred on a Sunday; (b) in any other case, the date on which the person who has been entitled to a carer’s allowance ceases to be entitled to that allowance.

(4) Where a person who has been entitled to a carer’s allowance ceases to be entitled to that allowance and makes an application for a reduction, the condition for the award of the carer premium is to be treated as satisfied for a period of eight weeks from the date on which:- (a) the person in respect of whose care the carer’s allowance has been awarded dies; or (b) in any other case, the person who has been entitled to a carer’s allowance ceased to be entitled to that allowance.

Persons in receipt of concessionary payments

14. For the purpose of determining whether a premium is applicable to a person under paragraphs 9 to 13, any concessionary payment made to compensate that person for the non-payment of any benefit mentioned in those paragraphs is to be treated as if it were a payment of that benefit.

Persons in receipt of benefit for another

15. For the purposes of this Part of Appendix 5, a person is to be regarded as being in receipt of any benefit if, and only if, it is paid in respect of him and is to be so regarded only for any period in respect of which that benefit is paid. Amounts of Premiums Specified

16. Premium Amount (1) Disability Premium (1) a) where the applicant satisfies the condition in (a) £34.95 paragraph 8(a); (b) where the applicant satisfies the condition in (b) £49.80 paragraph 8(b). (2) Severe Disability Premium:- (2) (a) where the applicant satisfies the condition in (a) £66.95 paragraph 10(2)(a); b) where the applicant satisfies the condition in paragraph 10(2)(b):- (i) in a case where there is someone in receipt of a (b)(i) £66.95 carer’s allowance or if he or any partner satisfies that condition only by virtue of paragraph 11(5); (ii) in a case where there is no-one in receipt of such an (b)(ii) £133.90 allowance.

121 Page 291 of 410

(3) Disabled Child Premium. In respect of each child or young person in respect of whom the condition specified in paragraph 12 is satisfied (3) £65.52

(4) Carer Premium 4) £37.50 In respect of each person who satisfies the condition specified in paragraph 13 (5) Enhanced disability premium (5)

(a) in respect of each child or young person in respect of (a) £26.60 whom the conditions in paragraph 11 are satisfied;

(b) in respect of each person who is neither (b) £17.10 (i) a child or young person nor (ii) a member of a couple or a polygamous marriage, in respect of whom the conditions specified in paragraph 11 are satisfied; (c) where the applicant is a member of a couple or a c) £24.50 polygamous marriage and the conditions specified in paragraph 11 are satisfied in respect of a member of that couple or polygamous marriage

The components

17. Subject to paragraph 19 the applicant is entitled to the component in paragraph 20 if (a) the applicant or the applicant’s partner has made a claim for employment and support allowance; (b) the Secretary of State has decided that the applicant or the applicant’s partner has, or is to be treated as having, limited capability for work or limited capability for work-related activity; and (c) either: (i) the assessment phase as defined in section 24(2) of the Welfare Reform Act has ended; or (ii) regulation 7 of the Employment and Support Allowance Regulations 2008 (circumstances where the condition that the assessment phase has ended before entitlement to the support component or the work related activity component arises does not apply) applies.

18. Subject to paragraph 19, the applicant is entitled to the component in paragraph 20 if the applicant or his partner is entitled to a converted employment and support allowance. 19. (1) The applicant has no entitlement under paragraph 20 if the applicant is entitled to the disability premium under paragraphs 8 and 9.

122 Page 292 of 410 (2) Where the applicant and the applicant’s partner each satisfies paragraph 20, the component to be included in the applicant’s applicable amount is that which relates to the applicant. The Support Component 20. The applicant is entitled to the support component if the Secretary of State has decided that the applicant or the applicant’s partner has, or is to be treated as having, limited capability for work-related activity.

Amount of Component 21. The amount of the support component is £39.20

Transitional Addition 22. (1) The applicant is entitled to the transitional addition calculated in accordance with paragraph 25 where the applicant or the applicant’s partner (“the relevant person”):- (a) is entitled to a converted employment and support allowance; or (b) is appealing a conversion decision as described in regulation 5(2)(b) of the Employment and Support Allowance (Transitional Provisions, Housing Benefit and Council Tax Benefit) (Existing Awards) (No. 2) Regulations 2008 and:-

(i) is treated as having limited capability for work by virtue of regulation 30 of the Employment and Support Allowance Regulations 2008 as modified by the Employment and Support Allowance (Transitional Provisions, Housing Benefit and Council Tax Benefit) (Existing Awards) (No. 2) Regulations 2008; and (ii) is not in receipt of an income-related employment and support allowance, unless the amount of the transitional addition calculated in accordance with paragraph 28 would be nil. (2) The applicant’s entitlement to a transitional addition by virtue of this paragraph ends on any of the following (a) the reduction of the transitional addition to nil in accordance with paragraph 26; (b) the termination of the applicant’s award of reduction under this scheme; (c) the relevant person ceasing to meet the requirements of sub- paragraph (1)(a) or (b), as the case may be;

(d) the applicant or the applicant’s partner becoming entitled to an income-related employment and support allowance, an income-based jobseeker’s allowance or income support;

(e) 5th April 2020.

23. (1) This paragraph applies where 123 Page 293 of 410 (a) the applicant’s entitlement to a transitional addition ends, by virtue of the termination of the applicant’s award of reduction, under:-

(i) paragraph 22(2)(b); (ii) sub-paragraph (3)(b); or (iii) paragraph 24(3)(b);

(b) within 12 weeks of that termination but before 5th April 2020 the applicant again becomes entitled to a reduction under this scheme; (c) in the reduction week in which the applicant again becomes entitled to a reduction under this scheme the relevant person is entitled to an employment and support allowance which is not income-related; and (d) at the date on which the applicant again becomes entitled to a reduction under this scheme, neither the applicant nor the applicant’s partner is entitled to an income-related employment and support allowance, an income-based jobseeker’s allowance or income support. (2) Where this paragraph applies, the applicant is entitled, with effect from the day on which the applicant again becomes entitled to a reduction under this scheme, to a transitional addition of the amount of the transitional addition that would have applied had the applicant’s entitlement to a transitional addition not ended (but taking account of the effect which any intervening change of circumstances would have had by virtue of paragraph 26), unless the amount of the transitional addition would be nil. (3) The applicant’s entitlement to a transitional addition by virtue of this paragraph ends on any of the following:- (a) the reduction of the transitional addition to nil in accordance with paragraph 26; (b) the termination of the applicant’s award of a reduction under this scheme; (c) the relevant person no longer being entitled to the employment and support allowance referred to in sub-paragraph (1)(c); (d) the applicant or the applicant’s partner becoming entitled to an income-related employment and support allowance, an income-based jobseeker’s allowance or income support;

(e) 5th April 2020 24. (1) This paragraph applies where: (a) the applicant’s entitlement to a transitional addition ends, by virtue of the relevant person ceasing to be entitled to an employment and support allowance, under:- (i) paragraph 22(2)(c); (ii) paragraph 23(3)(c); or (iii) sub-paragraph (3)(c);

124 Page 294 of 410 (b) before 5th April 2020 the relevant person again becomes entitled to an employment and support allowance which is not income-related;

(c) at the date on which the relevant person again becomes entitled to an employment support allowance which is not income-related regulation 145(1) of the Employment and Support Allowance Regulations 2008 applies to the relevant person; and (d) at the date on which the relevant person again becomes entitled to an employment support allowance which is not income-related, neither the applicant nor the applicant’s partner is entitled to an income- related employment and support allowance, an income-based jobseeker’s allowance or income support. (2) Where this paragraph applies, the applicant is entitled, with effect from the day that the relevant person’s entitlement to employment and support allowance takes effect for the purposes of a reduction under this scheme, to a transitional addition of the amount of the transitional addition that would have applied had the applicant’s entitlement to a transitional addition not ended (but taking account of the effect which any intervening change of circumstances would have had by virtue of paragraph 26), unless the amount of the transitional addition would be nil. (3) The applicant’s entitlement to a transitional addition by virtue of this paragraph ends on any of the following (a) the reduction of the transitional addition to nil in accordance with paragraph 26; (b) the termination of the applicant’s award of a reduction under this scheme; (c) the relevant person no longer being entitled to the employment and support allowance referred to in sub-paragraph (1)(b); (d) the applicant or the applicant’s partner becoming entitled to an income-related employment and support allowance, an income-based jobseeker’s allowance or income support; (e) 5th April 2020.

Amount of Transitional Addition

25. (1) Subject to paragraph 26, the amount of the transitional addition is the amount by which Amount A exceeds Amount B. (2) Where a conversion decision as described in regulation 5(2)(a) of the Employment and Support Allowance (Transitional Provisions, Housing Benefit and Council Tax Benefit) (Existing Awards) (No. 2) Regulations 2010 (“the 2010 Regulations”) is made in respect of the relevant person:- (a) Amount A is the basic amount that would have applied on the day that decision took effect had that decision not been made; and

125 Page 295 of 410 (b) Amount B is the basic amount that applied on that day as a result of that decision.

(3) Where the relevant person is appealing a conversion decision as described in regulation 5(2)(b) of the 2010 Regulations and is treated as having limited capability for work by virtue of regulation 30 of the Employment and Support Allowance Regulations 2008 as modified by the 2010 Regulations (a) Amount A is the basic amount that would have applied on the day the relevant person was first treated as having limited capability for work if the relevant person had not been so treated; and (b) Amount B is the basic amount that applied on that day as a result of the relevant person being so treated. (4) In this paragraph and paragraph 26, “basic amount” means the aggregate of such amounts as may apply in the applicant’s case in accordance with paragraph 23(1)(a) to (e) or paragraph 24(1)(a) to (f) (applicable amounts). 26. (1) Subject to sub-paragraph (2), where there is a change of circumstances which leads to an increase in the applicant’s basic amount, the transitional addition that applies immediately before the change of circumstances must be reduced by the amount by which Amount C exceeds Amount D. (2) If Amount C exceeds Amount D by more than the amount of the transitional addition that applies immediately before the change of circumstances, that transitional addition must be reduced to nil. (3) Amount C is the basic amount that applies as a result of the increase. (4) Amount D is the basic amount that applied immediately before the increase.

126 Page 296 of 410 Appendix 5

£0 - £14.99 Excess Average Average income weekly weekly Council tax Number of range 1 Average amount left increased band claims Council tax percentage award to pay payment Total Saving Current 90% £913 £6.15 Band A 2432 £ 1,233.13 £1.95 £246,826 Proposed 80% £812 £8.10 Current 90% £1,141 £5.73 Band B 1960 £ 1,438.66 £2.44 £248,446 Proposed 80% £1,014 £8.17 Current 90% £1,336 £5.93 Band C 689 £ 1,644.17 £2.85 £102,282 Proposed 80% £1,188 £8.78 Current 90% £1,483 £7.04 Band D 150 £ 1,849.70 £3.17 £24,723 Proposed 80% £1,319 £10.21 Current 90% £1,797 £8.93 Band E 33 £ 2,260.74 £3.84 £6,588 Proposed 80% £1,597 £12.76 Current 90% £1,535 £21.86 Band F 3 £ 2,671.79 £3.28 £512 Proposed 80% £1,364 £25.14 Total 5267 Proposed 80% £2.92 £629,377

£15 - £29.99 Excess Average Average income weekly weekly Council tax Number of range 2 Average amount left increased band claims Council tax percentage award to pay payment Total Saving Current 70% £749.81 £9.29 Band A 115 £ 1,233.13 £2.06 £12,318.35 Proposed 60% £642.70 £11.35 Current 70% £884.15 £10.66 Band B 115 £ 1,438.66 £2.43 £14,525.32 Proposed 60% £757.84 £13.09 Current 70% £1,014.88 £12.10 Band C 49 £ 1,644.17 £2.79 £7,104.15 Proposed 60% £869.90 £14.89 Current 70% £1,174.92 £12.98 Band D 10 £ 1,849.70 £3.23 £1,678.45 Proposed 60% £1,007.07 £16.20 Total 289 Proposed 60% £2.63 £35,626.27

£30 - £49.99 Excess Average Average income weekly weekly Council tax Number of range 3 Average amount left increased band claims Council tax percentage award to pay payment Total Saving Current 40% £432.87 £15.39 Band A 174 £ 1,233.13 £0.00 £0.00 Proposed 40% £432.87 £15.39 Current 40% £514.18 £17.78 Band B 234 £ 1,438.66 £0.00 £0.00 Proposed 40% £514.18 £17.78 Current 40% £587.25 £20.33 Band C 84 £ 1,644.17 £0.00 £0.00 Proposed 40% £587.25 £20.33 Current 40% £595.36 £24.12 Band D 12 £ 1,849.70 £0.00 £0.00 Proposed 40% £595.36 £24.12 Current 40% £777.21 £28.53 Band E 6 £ 2,260.74 £0.00 £0.00 Proposed 40% £777.21 £28.53 Current 40% £1,108.31 £30.07 Band F 1 £ 2,671.79 £0.00 £0.00

Page 297 of 410 Band F 1 £ 2,671.79 £0.00 £0.00 Proposed 40% £1,108.31 £30.07 Total 511 Proposed 40% £0.00 £0.00

£50 and above Excess Average Average income weekly weekly Council tax Number of range 4 Average amount left increased band claims Council tax percentage award to pay payment Total Saving Current 15% £162.62 £20.59 Band A 109 £ 1,233.13 £3.13 £17,725.49 Proposed 0% £0.00 £23.71 Current 15% £197.46 £23.87 Band B 173 £ 1,438.66 £3.80 £34,161.21 Proposed 0% £0.00 £27.67 Current 15% £218.11 £27.42 Band C 75 £ 1,644.17 £4.19 £16,358.35 Proposed 0% £0.00 £31.62 Current 15% £251.73 £30.73 Band D 21 £ 1,849.70 £4.84 £5,286.28 Proposed 0% £0.00 £35.57 Current 15% £351.68 £36.71 Band E 3 £ 2,260.74 £6.76 £1,055.44 Proposed 0% £0.00 £43.48 Total 381 Proposed 0% £4.54 £74,586.77

£50 and Carer or above Excess Average Average Disabled income weekly weekly Council tax Number of range 4 Average amount left increased Total cost of band claims Council tax percentage award to pay payment exemption Current 15% £154.14 £20.75 Band A 14 £ 1,233.13 £0.00 £2,158.03 Proposed 15% £154.14 £20.75 Current 15% £200.76 £23.81 Band B 34 £ 1,438.66 £0.00 £6,825.70 Proposed 15% £200.76 £23.81 Current 15% £220.24 £27.38 Band C 9 £ 1,644.17 £0.00 £1,982.14 Proposed 15% £220.24 £27.38 Current 15% £287.73 £30.04 Band D 2 £ 1,849.70 £0.00 £575.46 Proposed 15% £287.73 £30.04 Total 59 Proposed 15% £0.00 £11,541.33

£0 - £14.99 Excess Average Average income weekly weekly Council tax Number of range 1 Average amount left decreased band claims Council tax percentage award to pay payment Total Cost Current 75% £738.98 £9.50 Band A 767 £ 1,233.13 -£0.95 -£37,786.70 Proposed 80% £788.25 £8.56 Current 75% £873.25 £10.87 Band B 448 £ 1,438.66 -£1.12 -£26,080.94 Proposed 80% £931.46 £9.75 Current 75% £1,015.55 £12.09 Band C 170 £ 1,644.17 -£1.30 -£11,509.61 Proposed 80% £1,083.26 £10.79 Current 80% £1,066.95 £15.05 Band D 24 £ 1,849.70 -£1.37 -£1,707.12 Proposed 80% £1,138.08 £13.69 Current 75% £1,444.51 £15.70 Band E 8 £ 2,260.74 -£1.85 -£770.41

Page 298 of 410 Band E 8 £ 2,260.74 -£1.85 -£770.41 Proposed 80% £1,540.81 £13.84 Current 75% £1,039.04 £31.40 Band F 1 £ 2,671.79 -£1.33 -£69.27 Proposed 80% £1,108.31 £30.07 Current 75% £2,238.28 £8.34 Band G 1 £ 2,671.79 -£2.87 -£149.22 Proposed 80% £2,387.50 £5.47 Total 1419 Proposed 80% -£1.54 -£78,073.27

Page 299 of 410 Page 300 of 410 Page 301 of 410 Total claims affected negatively Total claims affected positively Total Saving 5,878 1419 £649,975.05

Page 302 of 410 Appendix 6

Examples Council Tax Reduction cases showing the impact of proposed changes in April 2021

These examples are based on real council tax reduction (CTR) awards but personal details have been removed to protect identity.

The following excess income ranges are used to calculate what percentage of CTR is awarded off your council tax bill.

Existing Excess Income Ranges

Table 1: Passported Range 1 £0 & over 90%

Table 2: Non passported families disabled and carer households Range 1 Range 2 Range 3 Range 4 Range 5 Range 6 £0-£14.99 £15-£29.99 £30-£49.99 £50-£69.99 £70-£79.99 £80 & over 90% 70% 40% 15% 5% 0%

Table 3: Non passported other Range 1 Range 2 Range 3 Range 4 Range 5 Range 6 £0-£14.99 £15-£29.99 £30-£49.99 £50-£69.99 £70-£79.99 £80 & over 75% 60% 40% 15% 5% 0%

Proposed Excess Income Ranges Table 4: Passported Range 1 £0 & over 80%

Table 5: Non passported disabled and carer households Range 1 Range 2 Range 3 Range 4 Range 5 £0-£14.99 £15-£29.99 £30-£49.99 £50-£69.99 £70 & over 80% 60% 40% 15% 0%

Table 6: Non passported family and other households Range 1 Range 2 Range 3 Range 4 £0-£14.99 £15-£29.99 £30-£49.99 £50 & over 80% 60% 40% 0%

Government Applicable amount

We work out your council tax reduction entitlement by comparing the income (this includes your wages and some benefits), you get each week with your 'Applicable Amount'. Your Applicable Amount is what the Government says you and your household need to live on each week. The Applicable Amount will be higher for some people. This may be if you are a pensioner, disabled, or you are a one-parent family.

Page 303 of 410 How do you calculate household income?

We count the money that you and your partner earn from work after removal of money for Tax, National Insurance and half of any money paid into a pension fund. To this figure we add any other income that you might have. For example:

 a pension from a former employer;  tax credits; or  other state benefits.

We disregarded some types of income:

 Disability Living Allowance;  Personal Independence Payments;  Attendance Allowance;  Child Benefit.

Savings between £6,000 and £16,000 will be counted as income. £1 in income is counted for each £250 of savings in excess of £6,000 but not exceeding £16,000. Savings over £16,000 prevent you claiming CTR.

How do you calculate CTR?

Your council tax reduction award depends on your household composition, the benefits you are on if any, and what range your excess income above the government applicable amount falls into.

If you are a household on a passported benefit such as:

i. Income Support ii. Job Seeker’s Allowance (Income Based) iii. Employment Support Allowance (Income Related) iv. Maximum Universal Credit, except where there are additional earnings.

Under the proposals, households on passported benefits receive 80% of their council tax in CTR regardless of their excess income, (table 4 above).

If you are a household not on passported benefits with a disabled resident or carer present then you will be awarded CTR depending on what excess income range you fall into. This can be as much as 80% under the proposals for excess income of between £0 and 14.99 per week reducing as per table 5 shows above to 0% if your excess income is £70 or over per week.

For all other households not on passported benefits (singles, lone parents and couples with children), then you will be awarded CTR depending on what excess income range you fall into. This can be as much as 80% under the proposals for excess income of between £0 and 14.99 per week reducing as per table 6 shows above to 0% if your excess income is £50 or over per week.

Page 304 of 410 Example 1

Household composition: Adult with severe disability living with and caring for elderly Existing Council Tax Reduction Calculation father living in a Band B property Item Amount Government Applicable Amount Calculation Household Income £216.21 Applicable Amount £235.10 Weekly Allowance Excess Income £0.00 Amount Income range 1 Personal Allowance £74.35 Weekly Council Tax to pay £27.66 ESA Component £39.20 before CTR CTR awarded (90%) £24.90 Enhanced Disability Premium £17.10 Council tax to pay £2.76 Severe Disability Premium £66.95 Carers Premium £37.50 Proposed Council Tax Reduction Calculation Applicable Amount £235.10 Item Amount Household Income Household Income £216.21 Applicable Amount £235.10 Income used in Excess Income £0.00 Income CTR calculation Income range 1 Employment support Weekly Council Tax to pay Disregarded £27.66 allowance (Income related) before CTR Carers Allowance £67.25 CTR awarded (80%) £22.13 Child Tax Credit £148.96 Council tax to pay £5.53 PIP Daily Living Component Weekly Increase to pay £2.77 Disregarded (Enhanced rate)

PIP Mobility Component ( Disregarded Standard rate) Change: Lowering of excess income range 1 to 80%. Total income per week £216.21 This household will pay an additional £2.77 per week.

Page 305 of 410 Example 2

Household Composition: Working couple, both working with 2 children living in a Band C property

Government Applicable Amount Calculation Existing Council Tax Reduction Calculation Weekly Allowance Amount Item Amount Personal Allowance £116.80 Household Income £348.11 Dependants Allowance £133.80 Applicable Amount £250.60 Applicable Amount £250.60 Excess Income £97.51 Income range 6 Weekly Council Tax to pay Household Income £31.62 before CTR Income used CTR awarded (0%) £0 Income in CTR Council tax to pay £31.62 calculation Child Benefit Disregarded Proposed Council Tax Reduction Calculation Child Tax Credit £117.79

Earnings £148.87 Item Amount Working Tax Credit £39.31 Household Income £348.11 Partner Earnings £42.14 Applicable Amount £250.60 Excess Income £97.51 Total income per week £348.11 Income range 4 Weekly Council Tax to pay £31.62 before CTR CTR awarded (0%) £0.00 Council tax to pay £32.62

Weekly Increase to pay £0

Change: Lowering of excess income to £50.

This household remains unable to claim CTR because its excess income is above £50.

Page 306 of 410 Example 3

Household Composition: Working couple, Existing Council Tax Reduction Calculation one self employed, with 1 child living in a

Band C property Item Amount Household Income £233.85 Government Applicable Amount Applicable Amount £183.70 Calculation Excess Income £50.15

Income range 4 Weekly Allowance Weekly Council Tax to pay Amount £31.62 before CTR Personal Allowance £116.80 CTR awarded (15%) £4.74 Dependants Allowance £66.90 Council tax to pay £26.88 Applicable Amount £183.70

Proposed Council Tax Reduction Household Income Calculation

Income Item Amount Income used in CTR Household Income £233.85 calculation Child Benefit Disregarded Applicable Amount £183.70 Child Tax Credit £64.06 Excess Income £50.15 Self Employed Earnings £77.61 Income band 4 Weekly Council Tax to pay Working Tax Credit £92.18 £31.62 before CTR CTR awarded (0%) £0 Total income per week £233.85 Council tax to pay £31.62 Weekly Increase to pay £4.74

Change: Reduced percentage for income

range 4 from 15% to 0%.

This household will have to pay £4.74 more council tax per week.

Page 307 of 410 Example 4

Household Composition: Adult with severe disability living in a band A property

Government Applicable Amount Calculation Current Council Tax Reduction Calculation

Weekly Allowance Item Amount Amount Household Income £147.05 Personal Allowance £74.35 Applicable Amount £141.30 Severe Disability Premium £66.95 Excess Income £5.75 Applicable Amount £141.30 Income range 1 Weekly Council Tax to pay £23.71 Household Income before CTR

CTR awarded (90%) £21.34 Income used Income in CTR Council tax to pay £1.87 calculation

DLA Care (Middle) Disregarded Employment and Support Proposed Council Tax Reduction £147.05 Allowance Calculation

Total income per week £147.05 Item Amount Household Income £147.05 Applicable Amount £141.30 Excess Income £5.75

Income range 1 Weekly Council Tax to pay £23.71 before CTR CTR awarded (80%) £18.97

Council tax to pay £4.74

Weekly increase to pay £2.87

Change: Income range 1 changed from 90%

to 80%.

This household will pay £2.87 per week more council tax.

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Intr oduce Item No: 12 Report For: Executive Date of Meeting: 07 December 2020 Report Of: Service Director, Public Protection Report Author: Ricky Devlin Subject: Implementation of charge for Garden Waste Lead Executive Member(s): Cllr Tom Shaw Wards Affected: All Consultations: Councillors ☐ Scrutiny ☐ Stakeholders  Others ☐

Recommendations 1. Executive is recommended to:

(i) Approve the proposal to introduce an annual charge for the discretionary collection of kerbside garden waste, with effect from 1st March 2021.

(ii) Approve the proposal to operate a chargeable kerbside garden waste collection on a seasonal basis during the months from beginning of February to end of November in all subsequent years.

(iii) Approve that the annual charge will be set at £40 per bin.

(iv) Agree to review the annual charge in accordance with the annual scale of charges review for subsequent years.

Background 2. In July 2020 the council was forced to set an emergency budget to bridge a circa £49 million deficit in its finances due to the COVID-19 pandemic. As part of the budget that was set, the Council’s Executive agreed to explore and consult upon introducing a chargeable garden waste collection model to generate an estimated £300k saving.

3. Under the Controlled Waste Regulations 2012 and Environmental Protection Act 1990, it is statutory responsibility for local authorities to make arrangements for the collection of garden waste however there is no duty to provide this service free of charge to the user.

4. Benchmarking data demonstrates that approximately 65% of English councils (212) charge for a garden waste collection service, with 17 moving to a chargeable service in the last 12 months

5. Charges vary across councils from £14 to £96 per annum, however the national average is approximately £46 per annum.

6. Analysis of neighbouring local authorities shows the following collection models and charges:

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Authority Name Frequency Bin Size Charge Concessions of offered Collection Central Fortnightly 240 litre Free N/A Bedfordshire (at present) Council Bedford Borough Fortnightly 240 litre Free N/A Council (at present) North Hertfordshire Fortnightly 240 litre £40 per annum Yes-only on Council first bin Dacorum Borough Fortnightly 240 litre Free None Council (at present) but do offer additional bins at an additional cost of £35 if the resident wishes to pay St. Albans District Fortnightly 240 litre Proposed None and City Council subject to approval £45 per annum Northampton Fortnightly 240 litre £42 per annum None Council

Current Position 7. The Council currently provide a free and discretionary garden waste collection service to approx. 64,000 of the 83,000 homes within the borough, alongside its statutory waste and recycling collections. Over 20% of residents live in flats and communal managed areas that do not currently benefit from the garden waste collections service as there is either no waste produced due to the type of property or the waste that is produced is disposed of by the communal land owner.

8. The current cost of providing the kerbside garden waste collection including 12 staff, 4 vehicles, management and administrative support is circa £600,000. In addition there is a cost for composting of the garden waste collected.

9. In Luton, residents are supplied with a 240 litre garden waste brown bin. Kerbside garden waste is currently collected from those to whom the service is available, fortnightly for a period of 9 months between March and November.

10. There are currently four x 3 person collection crews that collect garden waste that consist of 4 x LGV drivers and 8 x refuse collection operatives. Of these staff 9 have secured positions in the street cleansing team. The remaining 3 posts are currently vacant. In addition at peak times of year additional crews can be reassigned from other duties if they have capacity to assist in collection of garden waste.

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Goals and Objectives 11. The primary focus is to continue to provide a highly valued garden waste collection service to the residents of Luton who wish to opt-in to the scheme.

Proposal 12. Should Executive approve a chargeable garden waste service, the existing free service will end immediately. At the current time garden waste collections are suspended for the winter months, but a chargeable service will commence from the beginning of March 2021.

13. The service would run on an opt-in basis which residents would only subscribe to if they wished to use the new customer focussed service.

14. Collections would continue to remain fortnightly on a seasonal basis between the months of February through to November each year. This would be an increase of one month in comparison to the current free service.

15. The fee proposed per resident of £40 for this service has been determined to cover the cost of operating the scheme, the administration and collection of the garden waste. Costs of disposal of the waste based on volume of waste collected are not factored in to this charge.

16. The fee will be subject to ongoing annual review based upon an analysis of costs and take up. No concessions will be offered.

17. Payment options will be by card, either via the online webpage or over the phone for those without access to the internet.

18. Residents would receive a permit for each subscribed bin which would need to be applied to the body of the bin. The permit along with in-cab collection software will determine and identify to collection crews who is in the scheme.

19. The scheme would have a dedicated email address for customer queries and complaints.

20. Existing bins will not be removed from customers who choose not to subscribe unless they specifically request this.

21. All new and replacement garden waste bins will incur a charge of £20 unless the loss or damage has been caused by the council.

22. Residents who choose not to opt-in to the scheme would still continue to have other options available to them to dispose of their garden waste. These options include;

 Home compost- the Council already offers a subsidised home composting container. To further support the aims of this proposal free home composting containers will be offered to 2000 households through community groups representing the elderly and disabled and then more widely to all residents.  Self-delivery of waste to one of the two tidy tips within the town

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23. Taking into consideration projected uptake of the service (consultation responses), it is envisaged that 22% or 14,000 households would subscribe to the service, although it is the experience of other Local Authorities that once a scheme is implemented uptake increases. In Luton we would expect the uptake to increase over time to 35% of households.

24. All operating costs relating to the new service would be covered by the fees charged.

25. Information will be provided to households who subscribe to the service and garden waste presented for collection will be examined prior to collection, with advice stickers and leaflets provided to those taking part.

26. Permission to appoint staff required to deliver the seasonal service will be sought from Administration & Regulation when the level of subscription to the service is known. In addition there would be associated support and administration costs in relation to running the service, including dealing with customer queries and sending/renewing permit labels and welcome letters

Key Risks 27. The table below highlights key risks and control measures in place if the subscription service is approved by members;

Risk: Control: Residents will begin to dispose of their  Information to be provided to garden waste in the their household waste residents to encourage the use of bin, increasing landfill costs to the authority free or subsidised home composting containers or self-delivery of garden waste tidy tips Increase in Fly-tipping due to reduced  Information to be provided to provision to dispose of garden waste residents to encourage the use of free or subsidised home composting bins or self-delivery of garden waste tidy tips  Utilise enforcement powers

Environmental issues due to increase in  Information to be provided to residents burning garden waste residents to encourage the use of free or subsidised home composting bins or self-delivery of garden waste tidy tips Risk of not achieving projected saving of  Advertise the service to generate £300k customers  Ensure pricing is correct and service is delivered in a prompt and customer focussed manner Reduced customer satisfaction and  Ensure that decisions regarding the complaints service are communicated timely and effectively.

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Consultations 28. A public consultation was carried out via the council’s website/paper copy between the dates of Monday 28th September and Sunday 25th October 2020. In total there were 2722 responses to the consultation, 2720 via the online portal and 2 paper responses.

29. A social media campaign was carried out to raise awareness of the consultation and ask residents to give us their views.

30. Residents were asked to give their views on how they would like to see the service operate, how much they would be willing to pay, how likely they would be to subscribe to the proposed chargeable service what they would do with their garden waste if they did not subscribe. Residents were also given the opportunity to propose alternative options for the council to consider.

31. A full analysis report can be found in Appendix 1, however a summary of responses are as below:

32. The responses to the consultation suggest that approx. 22% of households would either likely or very likely subscribe to the new service, suggesting a projected customer base of circa 14k customers. 65% of respondents said that they were either unlikely or very unlikely to subscribe to the proposed service.

33. Respondents were asked on the likelihood that they would subscribe to the service at different price levels, the results were as listed in the table below;

Cost Very Likely Unlikely Very Not Sure Not Unlikely Answered Likely

£35 - £44 14% 15% 13% 51% 7% 1%

£45 - £54 5% 7% 11% 69% 3% 5%

£55 or Over 3% 3% 7% 78% 3% 5%

34. Based on the 29% of respondents that said that they were either likely or very likely to subscribe at £35-£44, it is envisaged that the cost recovery price of £40 determined for this service is likely to achieve a positive take up from residents.

35. Respondents were also asked on the likelihood that they would continue to use the service during the winter months of December and January. Only 16% of respondents said they were likely or very likely use the service, whilst the majority (83%) said they were unlikely or very unlikely to use it during the winter months. These responses show very little uptake in the winter months and indicate that a service would not be used or required by most during this time.

36. Respondents were also asked if they would be prepared to pay extra if the service was to run through the winter months of December and January at different price points. 7% said they would be willing to pay an extra £5, 3% said they would be willing

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to pay an extra £10, 1% said they would willing to pay £15 and 0% said they would be willing to pay over £15.

37. However a large proportion of respondents (77%) said they would not require the service in the winter months. This again indicates that the service would not be used or required in the winter months.

38. Respondents were asked how they would like to see the proposed service operate. 58% said that they would like to see the service run seasonal between February to November, whilst 19% said they would like to see the service run all year round.

39. Respondents were asked the likelihood of subscribing to more than one bin. Only 4% said that were either likely or very likely to subscribe to more than one bin whilst 93% said they would be unlikely or very unlikely to subscribe to more than one bin.

40. Respondents were asked what they would do with their garden waste if they did not subscribe to the proposed chargeable service. Of the 2722 responses, 37% said they would take it to the HWRC (Tidy tip), 15% said they would home compost their waste, and 41% said they would do something else.

41. A breakdown of responses that selected other is in the table below;

Respondents said they would dispose of garden waste in their domestic waste bin (black bin) 41% Respondents said they would Fly-tip their garden waste 10% Respondents said that they would burn their garden waste 7% Respondents said they were unsure on what they would do with their garden waste 8% Respondents said they hire a third party contractor to remove their garden waste 1% Respondents said they would contaminate other bins 1% Selected other but then did not answer 32% Total 100%

Alternative options considered and rejected 42. The consultation responses provided alternate options to consider based on responses.

 Continue to provide the service for free Due to the increased financial pressures facing the Council and the need to prioritise key services, charging for garden waste collections is an important way to reduce costs and prioritise essential Council services. This was rejected as it would not produce the savings required as set out in the emergency budget.

 Reduce the current free service to less frequent collections. Under the current free service, garden waste is collected from households every fortnight however, a less frequent collection was considered to enable the service to still be provided free every four weeks. This was rejected as it would not produce the savings required as set out in the emergency budget.

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Appendices Attached Appendix 1 - Consultation results/analysis

Appendix 2 - Integrated Impact Assessment

List of Background Papers - Local Government Act 1972, Section 100D There are no background papers associated with this report.

Implications - an appropriate officer must clear all statements

For CLMT only Legal and Finance are required Required Item Details Clearance Dated Agreed By Legal The Council is permitted to charge for Raj Popat, 12th discretionary services by virtue of Principal November Section 93 of the Local Government Act 2003, Solicitor 2020 however, the annual income must not exceed the actual cost of the service.

The Controlled Waste (England and Wales) Regulations 2012 allows a charge to be made for the collection of household garden waste.

In proposing revised arrangements for the collection of household garden waste, the Council is required to have regard to the provisions of the Equalities Act 2010 and s.17 of the Crime & Disorder Act 1998. Nothing within the proposals to charge for the collection of household garden waste contravenes the provisions of these Acts.

Finance The emergency budget approved by Council in Darren 17th July 2020 included a proposal to introduce a Lambert. November charge for green waste collection with the aim Finance 2020 of saving £300k. In order to generate £300k at Business a subscription rate of £40 per household per Partner annum would require 7,500 households to subscribe. The income would cover the cost of the service.

The cost of the 2,000 free compost bins is estimated at £25,000 and will be contained within the approved capital programme.

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Item Details Clearance Dated Agreed By

In addition to income, the department has also offered savings of circa £500k in a review of recycling stream collections for garden and glass waste. This would be achieved by £320k in salary savings and £180k in vehicle reductions.

After analysing consultation responses and forecasting potential uptake of the new service model, it is expected that the department will meet these targets. Equalities / There are no associated implications identified Sandra 17/11/2020 Cohesion / as this is a non-statutory service that the Hayes Inclusion council have no legal obligation to provide. Service (Social However, following discussion with the Service Manager Justice) Director they have agreed to make provision of 2000 free compost bins to community targeting Policy, the elderly /disabled groups in the first instance Community, Engagement Luton Council

Environment As part of the proposed introduction of a charge Keith Dove, 16th for the collection of garden waste, it is Strategic November envisaged that residents may consider Policy 2020 alternative methods of disposal of garden Adviser waste. The risks relating to this can be mitigated by the offer of free composting bins to up to 2000 households and ongoing education and advice regarding responsible disposal of waste.

As a result of the projected reduction of households requiring the service, collection vehicles would be reduced would lead to a positive impact on the environment Health There are no associated implications identified Lucy Hubber 12th Director November Public 2020 Health

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Optional Item Details Clearance Dated Agreed By Community There are no associated implications identified Vicky 12th Safety Hawkes November 2020 Staffing LBC staff currently employed in the collection of Angela 19th garden waste have all secured alternative roles Claridge November in the Cleansing Team. As stated in the report, 2020 permission to appoint staff to deliver a garden waste service will need to be sought from Administration & Regulation Committee. Other

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Page 318 of 410 Appendix 1

Consultation Report

Consultation on the proposal to charge for household garden waste collections:

This report was created by Ricky Devlin on Monday 26 October 2020 and includes 2722 responses.  2720 via the online portal  2 paper responses

The consultation ran from 28/09/2020 to 25/10/2020 (4 Weeks)

Contents

Question 1 How often would you say that you currently use the council’s free garden waste collection Page 2 service? Question 2 How likely are you to subscribe to the proposed chargeable garden waste service? Page 2

Question 3 How likely are you to use a paid for garden waste collection service from February to Pages 3-4 November if the annual cost were: 1. Likelihood of using service against costs - £35 - £44 2. Likelihood of using service against costs - £45 - £54 3. Likelihood of using service against costs - £55 or over

Question 4 How likely are you to use the service during the winter months of December and January? Page 4

Question 5 How much extra would you be willing to pay to continue the garden waste collection service Page 5 throughout the winter months of December and January?

Question 6 How would you like to see the proposed chargeable service operate? Page 5

Question 7 How likely are you to pay for more than one bin? Page 6

Question 8 What are you likely to do with your garden waste if you do not subscribe to the new service? Page 6-7

Question 9 The Council is offering subsidised home compost bins for Luton residents. How likely are you Page 7 to buy a home compost bin through the scheme?

Question 10 Do you have any suggestions about the proposed changes to the collection of household Page 7-8 garden waste for example alternative options?

Question 11 Do you have any other comments you wish to make regarding the future of the council’s waste, Page 8 recycling and street cleansing services?

Question 12 What ward do you live in? Page 9

Question 13 Which of the following group’s best describes you? Page 9

Question 14 Which age group do you belong to? Page 10

Question 15 Do you have/or are have you been classed as having a disability? Page 10

Question 16 Please state which of the following best describes your disability. Pages 11

Page 319 of 410 Page | 1

Question 1: How often would you say that you currently use the council’s free garden waste collection service?

(2722 Reponses to this question)

Question 2: How likely are you to subscribe to the proposed chargeable garden waste service?

Likelihood of signing up to the waste collection service

(2722 Reponses to this question)

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Question 3: How likely are you to use a paid for garden waste collection service from February to November if the annual cost were:

Likelihood of using service against costs - £35 - £44

(2722 Reponses to this question)

Q3. How likely are you to use a paid for garden waste collection service from February to November if the annual cost were £35 - £44 60.00%

50.00%

40.00%

30.00% 51% 20.00%

10.00% 14% 15% 13% 7% 0.00% 1% Very likely Likely Unlikely Very Unlikely Not sure Not Answered

Likelihood of using service against costs - £45 - £54

(2722 Reponses to this question)

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Likelihood of using service against costs - £55 or Over

(2722 Reponses to this question)

Question 4: How likely are you to use the service during the winter months of December and January?

(2722 Reponses to this question)

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Question 5: How much extra would you be willing to pay to continue the garden waste collection service throughout the winter months of December and January?

(2713 Reponses to this question)

Question 6: How would you like to see the proposed chargeable service operate?

(2722 Reponses to this question)

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Question 7: How likely are you to pay for more than one bin?

(2722 Reponses to this question)

Question 8: What are you likely to do with your garden waste if you do not subscribe to the new service?

(2722 Reponses to this question)

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Of the 41 % of responses that selected other, the most popular responses were;

Question 9: The Council is offering subsidised home compost bins for Luton residents. How likely are you to buy a home compost bin through that scheme?

(2722 Reponses to this question)

Question 10: Do you have any suggestions about the proposed changes to the collection of household garden waste for example alternative options?

Alternative options?

Of the 1540 responses to this part of the consultation, the most popular themes were;

1. A large proportion of respondents felt that the council tax that they already pay should cover the cost of the service to keep it free. (25%) 2. Respondents showing concerns over potential fly tipping if a chargeable garden wastes service was introduced. (21%) 3. Respondents stating that they would rather see the service reduced to a free collection every 4 weeks if it meant keeping it free of charge. (14%) Page 325 of 410 Page | 7

4. Respondents stating that the current free fortnightly service should continue and no changes should be made. (11%) Other less common responses included;

 Some would prefer to a rise in council tax and the service remains free  Some would like to see less money wasted on other services and the airport  Some would like concessions to be made available for low income households and pensioners if a chargeable service is introduced.  Some said that they would expect to see a reduction in council tax if the free service was discontinued.  Some would like to see creation of communal drop of points and the service to remain free.

Question 11: Do you have any other comments you wish to make regarding the future of the council’s waste, recycling and street cleansing services?

Any other comments?

A large proportion of responses to this question were based on the proposed change to make the garden waste collection service chargeable and were similar in response to the answers in question 10 although the question did not ask this.

Of the 1314 responses to this part of the consultation, the most popular themes were;

1. Respondents showing concerns over potential fly tipping if a chargeable garden wastes service was introduced. (21%) 2. A proportion of respondents felt that the council tax that they already pay should cover the cost of the service to keep it free. (15%)

Other less common but more relevant responses to the question;  Enforcement Respondents would like to see more enforcement around waste services  Food Waste Respondents would like to see the introduction of food waste to all areas of the town  Weekly Refuse Collection Respondents would like to see the re-introduction of weekly domestic waste collection  Education relating to recycling and home composting Respondents would like to see more information or education around recycling and composting  Increase in recycling collection Respondents would like to see an increase in the frequency of recycling collections  Thank you or Compliments to services Some respondents used this question to thank the departments for their services

In addition to responses to the consultation, a dedicated email address was set up which allowed respondents to send in questions or concerns relating to the proposal.

One of the emails received was from Bedfordshire Fire and Rescue Service and stated the following;

“Although Bedfordshire FRS will not be directly affected by this we do predict an indirect impact on us with regards to fires outside. During Lockdown whilst some tidy tips and collections ceased we noticed an increase in people burning waste in their gardens, on a number of occasions these spread to fences, sheds and Summer houses”.

“As a minimum we would like to see LBC increase their safety messaging in line with any reduced service”.

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Question 12: What ward do you live in?

(2722 Reponses to this question)

Question 13: Which of the following group’s best describes you?

Ethnicity

(2722 Reponses to this question)

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Question 14: Which age group do you belong to?

(2722 Reponses to this question)

Question 15: Do you have/or have you been classed as having a disability?

(2722 Reponses to this question)

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Question 16: Please state which of the following best describes your disability?

(2722 Reponses to this question)

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Page 330 of 410 Appendix 2 Integrated Impact Assessment Form (IIA)

The key aim of an impact assessment is to ensure that all Council policies, plans and strategies support the corporate mission statement that

‘The needs of Luton’s people will be first in everything we do’.

When do I need to do an IIA?

 An IIA must be started at the beginning of any project, policy or strategy, and cannot be finalised until such time as all consultations, as required, are undertaken.

Page 331 of 410 Appendix 2 Integrated Impact Assessment Form (IIA)

Proposal Title: Charging for Garden Waste collection Lead Officer Name: Ricky Devlin Date of IIA: 25th August 2020

Date updated after consultation: 26th October 2020 Early draft Seen by: (Please send an early draft of your IIA to the SJU to ensure all impacts are being considered at the appropriate time)

Finalised IIA Signed and seen by SJU : Name: Sandra Hayes Date 17th November 2020

Names of all other contributors and Ricky Devlin stakeholders involved in the preparing of James Lucas this proposal who have been consulted with and agreed this assessment: (Please note the IIA must not be carried out by one person) If there is any potential impact on staffing please include the name/s of the trade union representative/s involved in the preparation of this assessment or any supporting evidence of request to participate:

Page 332 of 410 Appendix 2 Integrated Impact Assessment Form (IIA)

Proposal Outline

Information supporting the proposal (who, what, where, how). Breakdown of present users by ethnicity, age, gender, disability, religion/belief, sexuality (if recorded). Show areas in the town with the biggest and lowest needs. Greater emphasis is required at the start of the IIA on the service, how it is delivered now and how the new service will be delivered.

Page 333 of 410 Appendix 2 Integrated Impact Assessment Form (IIA)

If agreed by members, an introduction of a chargeable garden waste collection service would begin in March 2021.

Current Service

1. The council currently provide a free and discretional service to approx. 64,000 of the 83,000 homes within the borough, flats and communal managed areas do not currently benefit from this service as there is either no waste produced due to the type of property or the waste that is produced is disposed of by the communal land owner.

2. Collections currently take place fortnightly between the months of March and November (9 months) each year on a seasonal basis.

3. Residents are currently supplied with a 240 litre brown bin for the collection of their garden waste.

4. There are currently four x 3 person collection crews that collect garden waste that consist of 4 x LGV Drivers (L4) and 8 x Refuse collection operatives (L2). (12 Staff)

Proposed Service

5. Should Executive approve a chargeable garden waste service, the existing free service will end immediately. At the current time garden waste collections are suspended for the winter months, but a chargeable service will commence from the beginning of March 2021.

6. The service would run on an opt-in basis which residents would only subscribe to if they wished to continue using the service.

7. Collections would continue to remain fortnightly on a seasonal basis between the months of February through November each year. This would be an increase of one month in comparison to the current free service.

8. Residents would be charged a fee of £40 per bin annually and no concessions will be offered.

9. Payment options will be by card, either via the online webpage or over the phone for those without access to the internet.

10. Residents would receive a permit for each subscribed bin which would need to be applied to the body of the bin. The permit along with in-cab collection software will determine and identify to collection crews who is in the scheme.

11. The scheme would have a dedicated email address for customer queries and complaints.

12. Existing bins will not be removed from customers who choose not to subscribe unless they specifically request this.

13. All new and replacement garden waste bins will incur a charge of £20 unless the loss or damage has been caused by the council.

14. Residents who choose not to opt-in to the scheme would still continue to have other options available to them to dispose of their garden waste. These options include;

 Home compost through the councils free or subsidised home composting container  Self-delivery of waste to one of the two tidy tips within the town

Page 334 of 410 Appendix 2 Integrated Impact Assessment Form (IIA)

Citizens/Community Staff (for HR related issues) Protected Groups Positive Negative Neutral Positive Negative Neutral Race X X Gender X X Disability X X Sexual Orientation X X Age X X Religion/Belief X X Gender Reassignment X X Pregnancy/Maternity X X Marriage/Civil Partnership X X

(HR issues only) Care Responsibilities2 X X

(HR issues only) Social & Health3 Impact on community cohesion X Impact on tackling poverty X Impact on health and wellbeing X Environment Impact on the quality of the natural X and built environment Impact on the low carbon agenda X Impact on the waste hierarchy X Economic/Business Impact on Luton’s economy and/or X businesses Impact on jobs X Impact on skills X

Page 335 of 410 Appendix 2 Integrated Impact Assessment Form (IIA)

Please answer the following questions:

1. Research and Consultation

1.1. Have you made use of existing recent research, evidence and/or consultation to inform your proposal? Please insert links to documents as appropriate. Click here for local demographics and information A public consultation was carried out via the council’s website/paper copy between the dates of Monday 28th September and Sunday 25 October 2020 (4 Weeks). In total there were 2722 responses to the consultation, 2720 via the online portal and 2 paper responses.

A full copy of the analysis report can be found at Appendix 2 that accompanies this document.

Click here for the LBC Consultation Portal A public consultation was carried out via the council’s website/paper copy between the dates of Monday 28th September and Sunday 25 October 2020 . In total there were 2722 responses to the consultation, 2720 via the online portal and 2 paper responses.

A full copy of the analysis report can be found at Appendix 2 that accompanies this document.

1.3. Have you carried out any specific consultation with citizens likely to be affected by the proposal? If yes, please insert details, links to documents, as appropriate above. Please show clearly who you consulted with, when you consulted and the outcomes from the consultation. Mitigations from consultation should be clearly shown in Action Plan at end of document. For advice and support from Consultation Team click here A public consultation was carried out via the council’s website/paper copy between the dates of Monday 28th September and Sunday 25 October 2020. In total there were 2722 responses to the consultation, 2720 via the online portal and 2 paper responses.

A full copy of the analysis report can be found at attached to the report at Appendix 2.

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Appendix 2 Integrated Impact Assessment Form (IIA)

2. Impacts Identified

2.2. Where you have identified a negative impact please explain the nature of this impact and why you feel the proposal may be negative. Outline what the consequences will be against each group identified. You will need to identify whether mitigation is available, what it is and how it could be implemented. Specific actions to be detailed in action plan below. Guidance Notes: By negative impact we mean is there likely to be a noticeable detrimental effect on people sharing a characteristic? It is possible that some groups such as the elderly or disabled may have difficulties accessing the option of disposing of garden waste at the Household Waste Recycling Centres. To mitigate this this the Council has committed to offering up to 2000 compost bins free of charge which in the first instance will be offered through community organisations representing these groups. 2.3. Where you have identified a neutral* impact for any group, please explain why you have made this judgement. You need to be confident that you have provided a sufficient explanation to justify this judgement. Guidance Notes: By neutral impact we mean that there will be no noticeable impact on people sharing a characteristic Communities; The service will still be provided to residents on an opt-in basis. Therefore will have a neutral impact on the community.

Staff; There will be no full time redundancies as a result of the implementation of this proposal, therefore will have a neutral impact on staff.

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Appendix 2 Integrated Impact Assessment Form (IIA)

3. Social & Health Impacts

For advice & support from the Social Justice Unit click here

For advice and support from the Public Health team click here No associated impacts

Appendix 2 Integrated Impact Assessment Form (IIA)

4. Environment Impacts

Waste Hierarchy

For advice and support from the Strategy & Sustainability Team click here Impact on the low carbon agenda; POSITIVE As a result of the projected reduction of households requiring the service, collection vehicles would be reduced which would lead to a positive impact on the environment.

Impact on the quality of the natural and built environment; NEGATIVE As part of the proposed introduction of a charge for the collection of garden waste, it is envisaged that there may be an increase in fly-tipping and/or garden fires where people seek to find alternative measures to dispose of their garden waste. However, as there is alternatives in place in the form of residents being able to home compost or dispose of their waste at the towns HWRC (Tidy Tip), the impact is envisaged to be low to medium.

7 Is the proposal likely to Impact on the built and natural environment covers issues such as heritage, parks and open space, cleanliness, design, biodiversity and pollution. 8 Is the proposal likely to impact on low carbon includes issues such as use of energy, fuel and transport. 9 Page 339 of 410

Appendix 2 Integrated Impact Assessment Form (IIA)

5. Economic Impacts

For advice and support on Economic Development click here Impact on Luton’s economy and/or businesses; POSITIVE If introduced the scheme would provide extra revenue to the council.

Appendix 2 Integrated Impact Assessment Form (IIA)

Responsible Date Completed Action Deadline Intended Outcome Officer / Ongoing Need to monitor Ongoing Waste To ensure that Ongoing alternative method Management alternative methods of of disposal for the Officers disposal continue to be 65% of residents made readily available who indicate they to mitigate the risk of a are unlikely to buy negative impact on the into the garden environment. waste recycling scheme.

A review of the action plan will be prompted 6 months after the date of completion of this IIA.

Key Contacts Name Position James Lucas Refuse Collection Manager Alex Greene Service Manager-Street Scene

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Appendix 2 Integrated Impact Assessment Form (IIA)

Next Steps  All Executive Reports, where relevant, must have an IIA attached  All report authors must complete the IIA section of Executive Reports (equalities, cohesion, inclusion, health, economic, business and environment)  All reports are to be forwarded to the Social Justice Unit, Public Health and Strategy & Sustainability Unit for sign off in time for Executive deadline  On the rare occasion that the Social Justice Unit are unable to sign off the report, e.g. recommendations are in breach of legislation, a statement will be submitted by Social Justice Unit Manager or Equality and Diversity Policy Manager

Completed and signed IIA’s will be published on the internet once the democratic process is complete

Useful Documents Corporate Plan Equality Charter Social Justice Framework

Family Poverty Strategy Joint Strategic Needs Assessment (JSNA) Community Involvement Strategy

12 Page 342 of 410

Item No: 13 Report For: Executive Date of Meeting: 07 December 2020 Report Of: Director of Public Health Report Author: Luke O’Byrne, Service Manager Adult Commissioning, and Beth Capper, Public Health Registrar Subject: Adult Social Care Market Position Statement 2020 Lead Executive Member(s): Cllrs Javed Hussain & Khtija Malik Wards Affected: Click here to enter text. Consultations: Councillors  Scrutiny ☐ Stakeholders ☐ Others ☐

Recommendations 1. That the Executive recommended to review and endorse the priorities to develop the Adult Social Care Market and related elements of the Housing Market in Luton, together with the overall content of the updated Market Position Statement for publication.

Background 2. Under the Care Act 2014, Local Authorities have a duty to undertake market shaping for adult social care. Best practice is considered to be developing and engaging the market through a Market Position Statement. The Market Position Statement sets out:

 information on direction of travel and policy intent  key information and statistics on needs, demand and trends  information from consumer research and other sources about people’s needs and wants  information to put the authority’s needs in a national context  an indication of current and future authority resourcing and financial forecasts  a summary of supply and demand, ambitions for quality improvements and new types of services and innovations  details of and cross-references to our commissioning intentions, strategies and practices.

The Current Position 3. Luton Borough Council last published a Market Position Statement in 2016. This is still publicly available on the website but is now significantly out of date.

4. The impact of Covid-19 on the Council, including Luton’s adult social care market, is profound. While it is a challenging time to update our Market Position Statement, it is also critical that we continue to engage with the market to communicate how we are responding to the impact of Covid-19 and to share our priorities for the next 3 years.

Page 343 of 410 [Type here]

Goals and Objectives 5. The updated Market Position Statement sets out 8 priorities for adult social care in Luton, together with key messages to the market about shaping the future of services. The document also sets out a high-level timeline for work across service areas and client groups over the next 3 financial years.

Proposal 6. To publish the updated Market Position Statement on Luton Borough Council’s website and disseminate to relevant stakeholders in the adult social care market as a tool in market shaping, sharing the Council’s priorities and ambitions over the next 3 years.

Key Risks 7. The impact of Covid-19 is already considerably affecting the work that the Department is doing; it has already impacted services and will continue to do so. This impact will be felt long term and the MPS is responding to this and will adapt as the impacts continues to develop and emerge.

8. Specific risks include:

- Achieving plans while addressing the continuing impact of Covid

- Meeting statutory responsibilities with shrinking resources

- Focussing on development and delivery of proactive work plans while responding to day-to-day issues

- Shifting to more preventative ways of working

Consultations 9. Internal: The following teams and Departments have contributed to this updated Market Position Statement: Commissioning Team, Public Health Team, Adult Social Care, Housing, CLMT.

10. External: External engagement with specific services and client-groups will be undertaken as part of the dissemination process. The Market Position Statement is a ‘live’ document with the purpose of facilitating conversation as part of market shaping.

Alternative options considered and rejected (please specify) 11. Do nothing: Keep the 2016 Market Position Statement on the Luton website and accept that it does not reflect our current state: Rejected: In a time of significant turmoil in adult social care it is even more important to engage with the market and share as up-to-date information as possible. Such an out-of-date Market Position Statement potentially leaves us in breach of our duties under the Care Act.

12. Remove the current 2016 Market Position Statement from our website and have no publicly available statement on the market available: Rejected: Under the Care Act 2014, Luton has a duty to market shaping in adult social care and the Market Position Statement is seen as a mechanism to do this.

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Appendices Attached Appendix A – Luton’s Market Position Statement 2020

Appendix B - Integrated Impact Assessment

List of Background Papers - Local Government Act 1972, Section 100D There are no background papers to the report.

Implications - an appropriate officer must clear all statements

For CLMT only Legal and Finance are required Required Item Details Clearance Dated Agreed By Legal Under the Care Act 2014, Local Authorities Vicky Sowah 11 have a duty to undertake market shaping for Principal November adult social care. The MPS is a means for Solicitor 2020 discharging that duty. There are no adverse legal implications associated with endorsing the content for publication of the updated MPS. Finance Due to of significant savings required over the Atif Iqbal 12/11/20 two years to deliver a balanced budget position, any proposal with any budget implications will need to be agreed by the Executive. Equalities / Happy to sign this off as it’s about developing Sandra Hayes 11/11/2020 Cohesion / a market statement and we will advise on the Service Inclusion developing IIA in due course Manager (Social Justice) Policy, Community, Engagement Environment There are no direct environmental implications Keith Dove, 11th of the updated Market Position Statement. Strategic November However the application of some of the eight Policy Adviser 2020 priorities could potentially result in both positive (e.g. priority 3-new approaches to home care and priority 5-more use of technology) and negative (e.g. priority 2- support people to live at home for as long as possible) indirect impacts on carbon emissions and/or reducing waste. Health This updated Market Position Statement is an Sally 11/11/2020 important component of supporting an Cartwright, effective and active adult social care market, Service critical to providing quality social care support. Director – Healthcare and

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Item Details Clearance Dated Agreed By Adults Commissioning Optional Item Details Clearance Dated Agreed By Community Safety Staffing

Other

Page 346 of 410 Appendix A

Shaping the Adult Social Care market: Luton’s Market Position Statement

Page 347 of 410 1 Executive Summary (1)

Introduction

This updated Market Position Statement gives a view of the provision of Adult Social Care Services and support in Luton, and our understanding of current need as well as estimated future need.

This is and must be a live document: the need and demand for adult social care is always dynamic, and this is especially true during the Covid-19 pandemic which we know is having and will continue to have a profound effect on our population and their need for adult social care and consequently on our market providing adult social care services and support. The nature and scale of significant changes in our demographics, people’s needs and expectations, legislation and financial pressures requires us to work differently and more sustainability to help those with social care needs, their families and carers to have a better quality of life. We aim to have a community based operating model for our adult social care services, with our Side by Side programme focusing on strength-based conversations and collaboration with people, their families and carers.

Luton Borough Council’s shared vision for Luton 2040 is of: – a town built on fairness, where our residents can reach their full potential and our strong and diverse community can support all our people to enjoy a good quality of life. Luton will be a vibrant, resilient and sustainable town where we work together to ensure no-one has to live in poverty.

We want to ensure that our adult social care services and support serve our vision for Luton 2040. We want our strong and diverse community to be inclusive and accepting of all people, and for all adults, whatever their physical or mental health needs, to reach their full potential. This includes having services that can support the range of personal needs of an individual, whether that relates to language, or religious observances, or dietary requirements. And it includes having people with the range of physical and mental health needs we see in Luton as an integral part of our community.

A recent Healthwatch report (2019) showed that Luton residents from Asian ethnic groups were three times more likely to rate easy access to the information I need to help me make decisions about my health and care’ as more important than Luton residents from White British groups. We need our socialPage care 348 support of 410 to be relevant and accessible to everyone. 2 Executive Summary (2)

The aims of Luton’s Social Care Delivery Model are to: • To change the culture in ASC to focus more on people’s strengths, gifts, assets. We want to ‘listen hard’ to understand what matters to people, not what is the matter with people. We see neighbourliness and neighbours as the ‘glue’ that holds people and communities together. • To bend the curve of demand and constrain costs. • To improve the experience in the adult social care journey, eliminating queues, waiting lists and lengthy form led assessments

We have already seen evidence of this new strategy delivering change: with positive change in staff behaviours and feedback, improved information flow with soft intelligence to support decision making. And importantly, people using the services have given great feedback and queues and waiting lists have reduced – bringing tangible direct benefits to people needing adult social care support. We also seen evidence that early intervention and prevention, better triaging and more effective signposting, is reducing the level of activity required in long term care and complex case management. We will continue to embed the Three Conversations model in to the Council’s ways of working and culture. We know that particular in areas such as commissioning for the third sector and Local Area Coordination, we need to do more work and this will be a focus over the next 12 months.

Challenges ahead The COVID-19 pandemic has profoundly impacted the physical and emotional health of our population in Luton, and will bring significant economic ramifications which will impact at an individual, community and system level. The Council has projected a £XXX drop in its 2020 budget and has been forced to make difficult decisions regarding its services. We need to meet out statutory responsibilities with shrinking resources. We will focus on a proactive work plan and maintain our shift towards more preventative ways of working. The savings plan within Adult Social Care is likely to impact across the breadth of our services: we will monitor the assessment of the impact and our likely to need to respond, adapt and review as an ongoing approach.

A focus on value for money will be a priority across our adult social care market, as we look to ensure quality in our services but reduce waste. For example, just in the area of learning disability and autism spectrum disorder we currently fund 33 out of borough placement because we do not have adequate provision for those individuals in our town. This is likely to have a psychological as well as financial impact on those individuals and their families in visiting and maintaining their relationship, and it also places a significant costly burden on the Council. Much of this is preventable with sufficient appropriate provision within our Page 349 of 410 own borough. We recognise we will need to continually monitor our delivery, to ensure these plans can be achieved with the3 continuing impact of COVID-19 including the impact of efficiencies on our staff capacity. Executive Summary (3)

In the next year, Luton Borough Council will be reviewing its transport assistance service (across children’s services, Special Educational Needs and Disability and adult social care) to identify improvements and address inefficiencies within the programme.

Priorities for adult social care Luton Borough Council has identified 8 priorities to take forward across Adult Social Care; these can only be achieved through working closely with the adult social care market as well as other stakeholders including Luton Clinical Commissioning Group (CCG). In addition to these 8 priorities, we have set out for each service area, or group of people who receive adult social care, what direction and activities we are planning to take over the next three financial years to develop our services in that area. There are areas where our strategy is clearly defined and implementation will be the focus – for example, to support people with learning disabilities and improving support for those transition from children’s to adults social care services. Luton’s SEND strategy includes a priority to improve transition and opportunities for 16-25 year olds with a Written Statement of Action for delivery. There are other areas where we will first need to co-produce a strategy - for example, for people with neurodiversity and for carers - and this will be the initial focus in order to agree and determine the most important next steps.

Working together Having an adult social care system that enables our residents to live to their full potential requires a coordinated approach across Council departments as well as with external stakeholders, including the CCG, our adult social care market and the voluntary and community sector who play such a vital role in delivering community support and infrastructure. We also need to ensure close engagement with our service users and their networks, whether families, friends or formal carers. We know that there are some areas within adult social care where we do that well, and we know that there are some areas where we need do that even more effectively.

We will work to routinely bring together colleagues in Commissioning, Adult Social Care, Public Health, Children’s services, Housing and Social Justice to have a proactive approach to planning care provision and support. This will help understand and anticipate current and future demand – for example, improving our transitions between children’s and adults’ services. We currently have a number of Partnership Forums in place that bring together people affected by a particular issue. We want to see these develop with co-production at their heart. The Dementia Action Alliance is an example of where this works well.

Our response to Covid-19 has stimulated closer working across and within agencies and organisations. For example, regular Provider meetings for the residential and nursing care market to provide updates, create space for discussion and emerging priorities and give notice for any changes planned. We know that many organisations and providers within the market are working more closely with each other, to respond to the urgent needPage to 350 support of 410 our most vulnerable affected by Covid-19. We want to build on this progress, and maintain this collaborative approach. 4 Our 8 priorities for Adult Social Care: 1 & 2

1. Manage the impacts of Covid-19 with resilience planning across social care The impact of Covid-19 across Luton’s population, and the Council’s services, is already being felt but we can’t know yet the full extent of it. Some ASC services, such as day centres, have had to close temporarily and we know that will have had a direct impact on our informal carers, who will experience even greater demands on their physical and mental resources to support their loved ones. We know the significant pressure that our residential and nursing homes have been under, and have been working closely with them throughout this period to help them to best support our vulnerable populations. We anticipate that there will be a long- term impact on both the need and demand for adult social care support, across the board. For some, there are already issues with under-occupancy and the challenges to financial stability that go with that. For others, there will be longer-term implications for the demand on services – either a reduction or an increase. We know that the strain on our mental health provision has been significant, and that is likely to continue at least in the short term.

We will need to scope, model and estimate the impact of Covid-19 across ASC and develop resilience plans for the range of services likely to be most affected. This will involve our commissioning, care management and quality teams and we will need to draw on some of Luton’s wider population health strategic ambitions to consider how we respond as a Council.

2. Support people to live at home independently for as long as sensibly possible We know that the majority of people want to say in their own homes for as long as possible, or to be supported to live independently through housing-related support. For some, this will be about small interventions that act as a preventative measure. For example, linking them to support mechanisms within the community through programmes like Side by Side, or through our frailty project which reaches out to those people who are milearning disability or moderately frail to support with adaptations or support to keep them well. Avoiding preventable admissions is critical, but where short term admissions do take place, we want to prioritise safe, early discharge and successful completion of rehabilitation programmes. For others, the role of digital and technology is likely to be important.

We are interested in exploring digital solutions to promoting independent living, from medication reminders to digital alarm monitoring systems to assistive devices. We want to encourage more people eligible to receive direct payments and personal health budgets, to choose how best to support themselves to live independently. For example, for some people with dementia purchasing the support of a PA can transform their day to day lives and help them continue to pursue their interests.

We know that informal carers play a significant role in support people to live independently at home, and the pressure on them has Page 351 of 410 increased during Covid-19. We will co-produce a carer’s strategy to ensure we are supporting our carers and preventing burn5-out amongst those providing an incredible support. Our 8 priorities for Adult Social Care: 3 & 4

3. Testing new approaches to delivering home care Appropriate and quality home care is a critical component of supporting people to live at home independently, including the effective use of digital technology. We need to understand how home care can work effectively to support increased number of people to continue to live independently. We anticipate that there could be a decrease in home care needed if we get things like reablement support and early preventative interventions through community approaches right. We are interested in exploring principles like those in the Buurtzorg model of home care, integrating health and social care approaches in the community. We will work with Luton’s CCG to consider how community health and social care can complement a shared aim of supporting people to live as independently as possible.

Introducing and expanding digital and assistive technologies to our home care provision in Luton will bring benefits and reassurances to those receiving home care, as well as their families and carers, and it can also bring efficiencies as well as help identify needs quickly.

4. Ensure Luton has the right supply of appropriate housing and accommodation for its changing demographic While Luton has a comparatively young population, the overall population is growing and the number of people aged 65+ years is projected to rise by 38% in the next 15 years to 38,400 people by 2035. In addition, we have a growing population of people aged under 65 years who are managing physical and or mental health conditions which mean they may require housing or accommodation support.

We want to work upstream, acting preventatively to stop avoidable accommodation or housing crises. However, we recognise that there will also be need and we want to ensure that people get appropriate support that meets their specific needs. We know that, for example, some of our sheltered housing stock is not sufficiently accessible. We also know that we struggle to place people with complex needs, particularly with some physical impairments, in housing support within Luton leading to a high number of out of borough placements particularly for people with learning disability. We will ensure that a specific quota of our housing stock is ring-fenced for people with adult social care needs, to enable more rapid and appropriate provision for people with specific needs within our existing stock.

In Luton, we are rolling out Housing First, an initiative to provide housing and personal support to homeless people with complex needs. We are committed to reducing homelessness through ensuring appropriate hostel provision and access to sheltered housing. The Luton Homeless Partnership and Penrose synergy is a great example of this. We want to build on and develop best Page 352 of 410 practice approaches to addressing the challenge of homelessness, which we know has become an increasing issue given the 6wider impact of the Covid-19 pandemic. Our 8 priorities for Adult Social Care: 5 & 6

5. Maintain and extend the expanded use of technology across social care settings There is a wide range of possible technological innovations that could be tried and tested across social care settings. And there are assistive technologies and small innovations that are now well-established and proven that should be becoming business as usual. We believe both are important, but we know we still have some way to progress in securing the ‘bread and butter’ of technology is in place in Luton and being used well. We want to focus there, with a view to expanding to broader innovations in the longer term.

In some ways, Covid-19 has forced our hand towards more innovative approaches to communication and monitoring – and this has brought some great advantages. We know technology is not a replacement to important face to face support, but it can be a great complement to it. We want our care providers to be using tools like the Canary Assessment, or for our community teams to be linking with providers and professionals using things like iPads, delivering immediate and tailored support in an efficient way. We think direct payments can be used to support independence through technology, and are keen to look at best practice and implementation in this area.

6. Ensure Value for Money to contribute to Luton’s economic recovery plan Luton’s financial position is challenging. The impact of Covid-19 on London Luton Airport Limited is acute, and as a result there will be a knock-on effect on funding of a number of sectors and services, particularly amongst the voluntary and community sector.

The Council has already set in train a number of changes in adult social care, in line with a savings directive. Consistent due diligence across all services, including new providers, will be important to not only ensuring quality but also focusing on value for money. We know that our overall placements process and activity has some areas of inefficiency which we will need to address - this includes the way in which our transitions arrangements work. We will move to align our approaches to frameworks and due diligence across children’s and adults’ services. We also know that we support a significant number of people out of borough at a much higher cost than we believe necessary if we had the appropriate provision for them within Luton. Returning people to Luton safely and sustainability will be a big priority for us over the next two years.

Page 353 of 410 7 Our 8 priorities for Adult Social Care: 7 & 8

7. Support a coordinated and preventative approach to people with mental health and substance misuse issues Supporting people with dual diagnosis and complex life stories lives is a high priority across the Council. We recognise the complexity of the commissioning arrangements of mental health and substance misuse services within the Council and wider partners and that these require a joined up approach and close working with the different providers involved in a person’s support journey.

We want to build on the mental health strategies underway across Luton, Bedfordshire and Milton Keynes, such as Luton’s Reimagining Mental Health, and ensure a close alignment with adult social care services. For example, we have a good system in place across different teams to communicate about the needs of individuals with learning disability who are likely to require placements or support as circumstances change and needs arise. However, we know that our pipeline for communication about the emerging needs of people with complex mental health conditions is not so developed. We want to establish good working relationships and processes across the Council, with other commissioners and with providers that will see support joined up, to ensure preventative and timely support.

8. Support quality through strengthened quality assurance processes and developing the social care workforce We know that ensuring quality will require working closely with the adult social care market to understand how best the Council can support quality improvement approaches. We are revising our quality assurance processes, to have a more holistic approach to service quality reviews and to clarify and strengthen our escalation processes. We will work in partnership with providers to enhance the quality of people’s care and to address issues where services are inadequate or need improvement.

We have a high turnover of staff in our social care workforce; we want to support skill development to improve workforce retention. This will range from upskilling care workers with some elements of nursing care (through exploring nursing apprenticeships) to supporting management development to ensuring that relevant care settings have specific trainings appropriate for the people using their services – for example, all care home staff to receive dementia awareness training. We want to develop and retain good staff within Luton; this is vital to delivering good quality care to our population who receive adult social care support.

Page 354 of 410 Please get in touch with us via [email protected] to discuss any of the details in this Market Position Statement.8 Contents

• Background (Slide 10) • Luton 2040 (Slide 11 & 12) • Population (Slide 13 & 14) • Priorities for adult social care (Slides 15 - 19) • Collaboration and partnership working (Slide 20) • Thematic areas (Slide 21 - 43) • Cross-cutting issues (Slides 44 & 45) • Timeline for delivery (Slides 46 - 51) • KPIs (Slide 52)

Page 355 of 410 9 Background

• Market shaping of adult social care services is a Local Authority duty under the Care Act 2014 “communicate needs and supply analysis to provide the market with sufficient signals, intelligence and understanding to react effectively and meet demand and encourage a continuing dialogue with stakeholders and providers”. • A Market Position Statement (MPS) is considered best practice but it is as much about the process as the output • Luton’s MPS was last fully reviewed in 2016, and some areas require updating • The remit is adult social care but wider integrated and support services should be included • MPS guidance recommends the content includes: – information on direction of travel and policy intent – key information and statistics on needs, demand and trends, (including for specialised services, personalisation, integration, housing, community services, information services and advocacy, and carers’ services), – information from consumer research and other sources about people’s needs and wants – information to put the authority’s needs in a national context – an indication of current and future authority resourcing and financial forecasts – a summary of supply and demand, the authority’s ambitions for quality improvements and new types of services and innovations – details of, or cross-references to the local authority’s own commissioning intentions, strategies and practices. Page 356 of 410 10 Page 357 of 410 • Proactive and early intervention for people who are frail and older to reduce social isolation and support people to live independently • Appropriate support for people with broader social care support needs and ensure housing is decent, safe and secure • More households living in non-decent housing or temporary accommodation • Proactive engagement to provide greater support for mental wellbeing and reduced social isolation • A coordinated approach across services to reduce the number of cases of drug and alcohol related harm • Working collaboratively across the formal and informal sector to increase resilience and capacity in the community • Page 358 of 410 More services delivered by or in partnership with community organisations 12 Luton’s population: 2020-2035 (1)

Luton is home to around 214,700 people and this is expected to increase by around 30,000 people over the next 20 years. Luton has a younger population profile relative to national averages, including the East of England average. However, the population is expected to grow across all age categories to 2035. Some of our key population characteristics include: • Luton is a super-diverse town and one of only three majority non White British towns in the UK • Luton has a large South Asian population and a growing Eastern European population • Luton has the 3rd youngest population in the country • High population churn with approximately 50% of population either not born or not living in Luton at the time of the 2011 Census • Luton’s population is projected to increase by 17 per cent in the next 20 years, with its fastest increase in the population of older people. The map shows the most densely populated areas of Luton are in the We know that in Luton struggling households are situated in areas centre of the town. With an area of 4,336 hectares, the ONS which fall amongst the top 10% deprived nationally (based on the population figure translates into a population density of 48 people index of multiple deprivation 2019). These areas are Farley, per hectare across the borough. This figure is greater than many Northwell and South , highlighted in the map below. London Boroughs.

Page 359 of 410 13 Luton’s population: 2020-2035 (2)

Population, projected to 2035 2020 2025 2030 2035 Luton’s population pyramid shows age and gender of the People aged 18-24 19,500 20,300 23,100 24,100 resident population of Luton compared to the East of People aged 25-34 35,200 32,400 31,200 32,800 England and the whole of England and shows Luton has a People aged 35-44 33,000 34,900 33,500 31,400 younger population for both genders under the age of 45 years. People aged 45-54 26,200 27,100 29,900 31,500 People aged 55-64 22,300 23,900 23,800 24,600 Total population aged 18-64 136,200 138,600 141,500 144,400 People aged 65-69 7,700 8,900 10,400 10,500 People aged 70-74 6,600 6,900 7,900 9,300 People aged 75-79 5,000 5,900 6,100 7,100 People aged 80-84 4,400 4,200 5,000 5,200 People aged 85-89 2,600 3,000 3,000 3,700 People aged 90 and over 1,500 1,800 2,300 2,600 Total population 65 and over 27,800 30,700 34,700 38,400 Total population - all ages 223,800 230,900 236,700 242,000

Page 360 of 410 14 Priorities for adult social care (1)

Priority What will this involve? What do we want the market to do? 1. Manage the • Understand the impact of Covid-19 on need and We will work with: impacts of demand of ASC (year on year comparisons of ASC - Providers who are able to provide quality and value for Covid-19 with service usage; total frail population; implications for money Day Opportunities including employment and resilience demand, capacity, occupancy, financial sustainability and developmental options as alternatives to Day Centres planning across risk of provider failure) for people with a learning disability. social care • Develop Resilience Plans for Day Services, (including - Providers to develop solutions to changing market Transport) Home Care and Care Homes (including need e.g. dual registration of residential/nursing Nursing Beds), across commissioning, care management homes and quality - Providers to understand and respond to the impact of • Use Population Health information to shape service Covid-19 on Adult Social Care services responses

Page 361 of 410 15 Priorities for adult social care (2)

Priority What will this involve? What do we want the market to do? 2. Support • Provide evidence based information that supports people to remain We will work with: people to live independent (eg, Falls, Healthy living) - Providers to support people to live at home • Scope digital and assistive tech interventions that can support independently (e.g. through workforce independently independence e.g. medication reminders development, specialist requirements – for as long as • Promoting access to direct payments and Pre Paid cards including support for people with learning sensibly • Community connections: Work in partnership with LCCG, CCS, Total disability, independence strategies and possible Wellbeing and ELFT and voluntary sector organisations to support connections in to their communities and proactive and preventative programmes to support independence digital solutions) and wellbeing, such as Social Prescribing, Side by Side and Local Area - Voluntary sector organisations to consider Coordination and early-intervention (avoidance admission and rapid how they might work together and with discharge) in frailty projects system partners in ways including shared • We will identify particular health risks that need to inform our objectives, management teams and preventative approach premises and how we can support this. • We will scope what skills this will require in our social care workforce - Residential and Nursing Homes, Home Care and engage with the market to support this providers and Voluntary Sector organisations • Improve care for those discharged from hospital with short-term about how they can assist with avoiding rehabilitation needs admissions, facilitating earlier discharges and improving the percentage of people who successfully complete reablement programmes

Page 362 of 410 16 Priorities for adult social care (3)

Priority What will this involve? What do we want the market to do? 3. Test new • Exploring principles for integrated health and social care models We will work with providers to: approaches to (such as those in the Buurtzorg model), in collaboration with the - Explore the potential to use technology to delivering CCG, including working with providers to consider reducing remotely monitor people’s progress and scope home care overall care hours over time for people starting packages by using the impact this has on care package hours and community approaches. This could apply to Reablement/Rehab reducing double up visits services or people with longer term home care packages. - Develop good practice in digital or technological • Link with the Double up work (also linked to technology) approaches in home care - Understand the impact of Covid on demand for home-care and how this might have a wider impact

4. Ensure • A joined up approach across the Council, including with housing, We will work with : Luton has the social care and public health, to ensure the Luton population has - Housing (and care providers) who are able to right supply of the information and advice and choices available to support provide high quality, appropriate appropriate independent living accommodation options at a cost that meets housing and • Reduce the need for out of area placements due to unavailability our value for money framework to support accommodati of housing stock and accommodation supply in Luton and scope people to move back into Luton from out of on for its whether there is a supply challenge as a result of inadequate area placements. changing upstream support leading to avoidable demand - We will scope the opportunity to work with the demographic • Ensure provision is considered and appropriate for both singles private sector to secure accommodation in and couples and families, across all groups borough. • Preventing homelessness through ensuring appropriate hostel - Providers to collaborate and use best practice provision for homeless around preventing homelessness and access to • Ensure sufficient and appropriate provision of sheltered housing sheltered housing • Reviewing contract arrangements for housing that is not CQC registered Page 363 of 410 17 Priorities for adult social care (4)

Priority What will this involve? What do we want the market to do? 5. Maintain and • Build on innovations in remote support during Covid and We are interested in: extend the more broadly to support activity such as placements, - Hearing from providers who have experience in supporting expanded use of assessments/reassessments and potentially for some people through the use of technology in ways that support technology across elements of the quality monitoring work e.g. the use of iPads people to maintain their independence and improve social care in Care Homes and use of the Canary Assessment Tools monitoring and value for money settings • Pilot further tech innovations in Sheltered Accommodation - Integrating good and best practice in digital and e.g. Alexa devices to prompt medication reminders technological innovations into business as usual • Pilot extended tech use in people’s homes build on Care Lines products • Scoping how use of direct payments can support independence through technology 6. Ensure Value • Review Out of Area Placements (particularly for people with a We will work with: for Money to Learning Disability– residential and respite) to quantity - Care (and housing) providers who are able to provide high contribute to numbers, gaps in provision and overall unmet need to quality personalised care at a cost that meets our value for Luton’s economic identify necessary steps to return people to Luton, safely and money framework to support people to move back into recovery plan sustainably – this will need to include broader consideration Luton from out of area placements. of the role of care placements - Providers to improve quality assurance and due diligence • Review contracting arrangements to move away from spot processes in collaboration with Luton’s Quality Assurance & contracts to fixed terms to supply both stability for people in Care Placements Team placements and opportunities for contracting at greater scale with financial efficiencies • Ensure quality assurance and consistent due diligence across all services, including new providers • Review overall placements process and activity to ensure value for money is secured • Securing value for money through rolling out pre-payment cards for direct payments • Changes in allocated hours for Housing Related Support (2021) • Work with the Children’s team to align approaches with regard to frameworks and due diligence and value for money to support the process of transition in to adultsPage social 364 careof 410 18 Priorities for adult social care (5)

Priority What will this involve? What do we want the market to do? 7. Support a • More integrated planning (given contracts are managed We will work with: coordinated and within separate teams) across relevant Council - Partners from across Luton to support people to preventative departments and stakeholders e.g. ResoLUTiONs, Penrose become more integrated into their communities approach to Synery and STEPS including work and developmental options people with • Alignment with wider mental health strategies underway - A broad range of partners on the Reimagining Mental mental health across Luton (Community Framework; Reimagining Health and Transforming Care programmes and on and substance Mental Health Implementation of the Dual Diagnosis Protocol misuse issues

8. Support • Revision to service quality reviews and escalation We will work with providers to: quality through processes - Engage and collaborate with our Quality Assurance strengthened • Support skill-development in the Social Care Workforce and Care Placements Team as they undertake quality (links to CCS/CCG work, ADASS workforce strategy and changes to quality assurance processes assurance BLMK workforce team, Council apprenticeship levy) - Take steps to improve recruitment and retention processes and including a specific management programme as well as practices, including investment in workforce developing the service-specific training based on people with different development social care needs - We will work with providers, Skills for Care and the workforce • Maximise benefit of PAMS tools as part of quality BLMK Workforce Team to develop programmes that approaches support people to further develop their leadership • Scope partnerships between clinical and social care skills and abilities and enable passporting of training workforce e.g. nursing apprenticeships to further develop and development between provider organisations carers • Consider how training and quality approaches are sufficiently broad to be appropriate to range of providers (including non-commissioned services)

Page 365 of 410 19 Collaboration and partnership working

Public sector People who use and are affected by adult social care These priorities will require a coordinated response across the Council services (including Commissioning, Public Health, Social Care, Housing, Social We have Partnership groups that bring together people Justice) as well as Luton Clinical Commissioning Group. who use adult social care services. Some of those work better than others: we will be refreshing our approach to Provider network these to ensure a truly co-production approach to Our Provider networks are critical and over the next 6 months we will be collaboration. engaging with the sector and market to share this resource and discuss readiness for supporting Luton’s population with adult social care needs Working with others beyond Luton over the next 5 years, including discussing our shift to Preventative Geographical boundaries can be artificial when approaches and ambitions regard impact and metrics. considering how people are best supported through Adult Social Care. Luton Borough Council will be working closely Third sector with its neighbouring authorities within the Bedford, We recognise the huge contribution made by the local voluntary and Luton, Milton Keynes (BLMK) Integrated Care System community sector in Luton, both formally commissioned and non- footprint to consider and address service areas that cross commissioned services. The impact of Covid-19 is significant: we want to borders. Luton Council will also collaborate with work closely with our colleagues in the third sector to identify how best colleagues across the East of England regional network to we can support them. Building on the strengths and assets in out share and learn best practice approaches in adult social community is integral to our future working – already prioritised through care, and understand the impacts of Covid-19 at a wider our Side by Side programme and Local Area Coordination. scale to act early to support our local market.

What do we need to do?

• Establish regular joint forums across the Council to collaborate on specific work areas and identify areas for increased financial control • Engage with Providers and third sector to share our approach and vision and work together to understand opportunities and barriers • Review our partnership forums to support co-production approaches • Scope opportunities to share learning, insight and best practice across a wider geography (BMLK/EOE) Page 366 of 410 20 Carers

• Carers Central holds an umbrella contract to support carers in Luton. • Luton has been working with a draft Carers strategy developed with partners and led by Carers Central that requires review. This will be a priority for Carers Central for 2021/22. • It is recognised that we are not reaching all those in Luton with caring responsibilities and we do not have accurate numbers to estimate the number of carers in Luton. • There is an evident challenge of under-identification of carers in Luton; approximately 1000 carer assessments are done annually in Luton however there are an estimated 18,000 carers in Luton (based on the 2011 census) and it is likely the number is much higher given that many do not self- identify as carers • Of the 9432 patients on the GP register who are identified as either frail, or a A&E high intensity user or living in a care home, 104 are identified as carers themselves

What do we need to do? Next steps • Develop a long-term carers strategy, addressing the - Co-produce Carers strategy with carers, providers and CCG engagement as well as increased pressure on many carers during Covid-19 wider stakeholders e.g. Voluntary and Community Sector including ensuring proactive identification of carers - Undertake a needs assessment to understand number of carers in Luton and their needs - Consider use of Pre-Paid Cards for annual carers direct payment (where eligible)

Page 367 of 410 21 Early and preventive support

• Our community based operating model for adult social care services, including our Side by Side programme, is focused on strength-based conversations and collaboration with people, their families and carers. It aims to: (i) change the culture in ASC to focus more on people’s strengths, gifts and assets, (ii) bend the curve of demand and constrain costs and (iii) improve the experience of the ASC journey, eliminating queues, waiting lists and lengthy form-led assessments. This is at an early stage, but already we have seen positive change evidenced through good feedback from people using the service, and reductions in queues and waiting lists. We also seen evidence that early intervention and prevention, better triaging and more effective signposting, is reducing the level of activity required in long term care and complex case management.

• In the 6 months between December 2019 to May 2020, 2196 people entered our Total Wellbeing social prescriptions programme; for one quarter of these people, the reason for referral related to their mental health. The remaining 75% were referred for other long-term conditions. Social workers can make referrals for social prescriptions. Under Covid joint working across adult social care, Active Luton and the primary care networks enabled a proactive approach to supporting those shielding as well as the frail and or vulnerable. Link workers are also supporting the delivery of Luton’s Side by Side programme and frailty management – for example, those identified by mild frail by the CCG or CCS will be approached and offered support to engage with appropriate physical activity opportunities which can prevent progression to moderate or severely frail. This model is currently being considered for long-term conditions including diabetes and respiratory issues, and may over time reduce overall need for adult social care.

• Luton Council’s healthy lifestyles service is provided through Total Wellbeing, providing exercise referrals, stop smoking services, NHS health checks, rehabilitation programmes for those with long-term conditions, including supporting people with long-term conditions to be physically active, weight management programmes and social prescribing.

What do we need to do? Next steps • Ensure that people are supported to connect positively with • Continue to develop these approaches in partnership with Active Luton opportunities to participate, develop and grow in their and the Primary Care Networks communities to build resilience and maintain independence • Measure the impact of the approaches on demand for services • Implement the Local Area Coordination project

Page 368 of 410 22 Community Equipment and Assistive Technology

• In 2019/20, the Council spend £272k to support 2,563 people with community equipment through Millbrook Healthcare. • Luton Council’s Lifelines commercial service services 1,200 people, providing lifeline support as well as additional sensors such as falls detectors, smoke and carbon monoxide detectors and epilepsy sensors. • By 2025, Luton will have completed a ‘digital switchover’ moving from analogue to digital and transferring our lifelines services over.

What do we need to do? Next steps

• The Council’s lifeline service will be working more closely with Adult • Build on the use of technology (iPads, Canary assessment tools etc.) Social Care services and the Public Health team in supporting people to to support activity such as placements, assessments/reassessments live independently and potentially for some elements of the quality monitoring work) • Widely adopt telecare to enable more people to live independently in • Pilot further tech innovations in Sheltered Accommodation e.g. their own home Alexa devices to prompt medication reminders • Transitioning our lifelines service over to digital e.g. developing pre- • Pilot extended tech use in people’s homes building on Care Lines products programmed equipment and set-up. • Explore how assistive technology can increase independence in care settings and deliver value for money • Continue digital switchover

Page 369 of 410 23 Advocacy

• Advocacy provision in Luton supports and enables individuals to exercise and safeguard their rights, express their views, explore and make informed choices. • Statutory Advocacy includes o Independent Mental Capacity Advocacy (IMCA) including IMCA Deprivation of Liberty Safeguards (DOLS)* and Relevant Persons Paid Representative Service (RPPR) o Independent Mental Health Advocacy (IMHA) o NHS Complaints Advocacy o Community Advocacy: Independent Advocacy, Information and Advice • Deprivation of Liberty (DOLS) is to be replaced by the Liberty Protection Safeguards (LPS) which became law May 2019. The target date for implementation is 1 April 2022. • Non-Statutory Advocacy includes: o Independent advocacy for people who experience difficulty due to their mental or physical health, or have learning difficulties. This includes providing representation at meetings to support eligible people and offering advice, information and signposting. Financial Nos of referrals DOLs Average nos of hours Nos of referrals Nos of referral for Nos of NHS years for IMCA 39A/39C/39D per week includes for IMHA Care Act advocacy Complaints (includes PPR) and 1.2 support IMCA and PPR Advocacy April- 47 (42 people) 12 41.4 44 (43 people) 19 (18 people) 13 (11 people) June 2020 2019 - 250 (226 people) 88 28.11 212 (188 78 (77 people) 77 (72 people) 2020 people) 2018 - 242 (215 people) 101 23.3 203 (194 99 (87 people) 70 (68 people) 2019 people)

The main group supported were people aged 60+. This is due to the majority of referrals for older people residing in Care homes, with age related disabilities. What do we need to do? Next steps? - Ensure independent advocacy services have the expertise to support - Continue to engage advocacy services to support patients across people with complex communication needs adult social care and respond to any feedback to ensure ongoing service improvement - Transition from DOLS to LPS in line with national legislation Page 370 of 410 24 Direct Payments (1)

Breakdown of direct payment spend by group • There are currently 738 recipients of direct Physical support - adults (18–64) £2,899,792 payments in Luton at a total value of Physical support - older people (65+) £1,983,610 £8,203,333 (see table for further breakdown) Sensory support - adults (18–64) £145,796 • These are used to purchase a range of Sensory support - older people (65+) £38,223 services, such as personal care, day care and Support with memory and cognition - adults (18–64) £25,431 support with social activities Support with memory and cognition – older people (65+) £87,049 Learning disability support - adults (18–64) £2,539,151 Learning disability support – older people (65+) £11,963 Mental health support - adults (18–64) £284,200 Mental health support – older people (65+) £188,119

Value of direct payments by service user group (2019/20)

Physical support - adults (18–64)

Physical support - older people (65+)

Sensory support - adults (18–64)

Sensory support - older people (65+)

Support with memory and cognition - adults (18–64) Support with memory and cognition - older people (65+) Learning disability support - adults (18–64)

Learning disability support - older people (65+) Mental health support - adults (18–64)

Mental health support - older people (65+) Page 371 of 410 25 Direct Payments (2)

• Luton is supporting people to move from holding accounts for direct payments over to pre-paid cards; this will further strengthen financial governance, support data monitoring and introduce efficiencies • Luton will be supporting its direct payments people to push for value for money from services and will be reviewing its direct payment packages to ensure they are up-to-date and reflect current needs • Luton wants to support a preventative approach to its population health through good direct payments and ancillary services • Currently Individual Service Funds are not widely used in Luton

What do we need to do? Next steps • Increase the number of people in receipt of - Revise commissioning arrangements for the direct payments contract (scope direct payments, alongside its investment in all options and tendering approaches) asset-based approaches to community - Set up in-house provision for managed/holding accounts/pre-paid cards. development and local support systems (e.g. - Ongoing implementation of roll-out of pre-paid cards Side by Side). - Scope potential for Individual Service Funds (ISFs) as a complementary offer • Improve efficiency and governance of the direct alongside direct payments, and market solutions to this development - Explore how direct payment users can take advantage of LBC contracts to payment process through introduction of pre- secure competitive rates paid cards - Scope linkages to other areas where training in eligibility for DPs is relevant e.g. for personal assistants for people with dementia - Work with community-based and user-led sectors to develop a wide range of activities across all care groups with access to DP - Seek to increase personal assistants from a range of genders, ethnicities and backgrounds in order to provide culturally sensitive services

Page 372 of 410 26 Older People

• Luton Council supported 2,949 people aged 65+ years (excluding carers) in 2019/20 with adult social care (short and long-term needs, including reablement and equipment services). • There are 27,800 people aged 65+ years in Luton in 2020, this is projected to increase to 38,400 by 2035 (POPPI). • 22,000 of people over 65 are identified by the Electronic Frailty Index as Mild (~14800), Moderately (~4,500) or Severely Frail (~2,500) (frailty population index) • It is estimated that ~20,000 people in Luton over 65 may exhibit a long term and life limiting illness by 2035 increased from ~14,400 in 2020. • The HealthWatch engagement programme report for Luton in 2019 showed that 77% of people rated the option “I want to be able to stay in my own home as long as it is safe to do so” as very important and a further 21% said it was important

What do we need to do? Next steps • Support older people’s preferences to live independently at - Scope impact of Covid on OP demand across service areas – home as far as possible what capacity we have in the market and what we will need • Ensure good provision of step-down services to support longer- - Implement strategies to support people to live independently for term independent living as long as possible – e.g. digital/tech solutions, as well as • Work across housing, commissioning and business intelligence community approaches (social prescribing, Side by Side, to quantify the impact on housing need of an ageing Networks of Wellbeing Groups, proactive information and advice) population with increasing morbidity alongside preventative - Scope impact on ASC support services of plans for housing interventions to support independent living provision (extra care/sheltered accommodation) e.g. how will it • Ensure complementary interventions (home care, social impact demand for domiciliary care / residential care prescribing and Side by Side etc.) are equipped with information and advice related to ASC support for older people such as aids, adaptations, assistive tech Page 373 of 410 27 General and older person housing supply in Luton

• In the last few years has experienced a 25% rise in property prices and private rents, which has led to an increase in demand for affordable homes particularly for low-income households. A recent study shows that Luton has seen an oversupply of one-bedroom properties and not enough family sized homes. Luton are working closely with partners to achieve a better balance of types of accommodation built in the town • Demand for care and support services for older people is likely to rise but will not be matched by levels of public spending over the next three to four years. • The rise in the older population is not just a challenge for social care but for our whole council and community. • Surveys show that older people do not wish to end their days in residential care. • Life expectancy is increasing and entry into all care services are likely to be later in life, but from people with more complex support needs. • Luton has a significant number of sheltered accommodation units, and some specialist housing schemes. • The population of older people with dementia is growing, and due to lack of community based alternatives, stay in hospital longer and we do not serve this population well enough.

(National) Number of private renters (National) Proportion of White and aged 55 and over [Centre for Ageing BAME households that are privately Better: The State of Ageing in 2019] rented [Centre for Ageing Better: The State of Ageing in 2019]

Page 374 of 410 28 Older persons’ housing supply in Luton

Housing type Definition Age Exclusive housing Housing aimed at older adults, both private developed, RSL and Council stock, including flats and bungalows. Most schemes include some form of community alarm but not usually a housing officer) Almshouses Accommodation specifically designated as an Almshouse, which is charitably-funded housing for older people Sheltered Housing Private, RSL, or Council stock for older people that includes on-site or visiting support form a Sheltered Housing officer or scheme manager Extra Care Housing Purpose built housing with care schemes for older people, with an on-site care team providing care and support to some or all units Care homes CQC registered accommodation registered to provide personal care, only to older people (other people may be included in the registration) Nursing homes CQC registered accommodation registered to provide personal care and nursing care to older people

Page 375 of 410 29 Domiciliary Care

• In 2019/20, 900 (unique) people were supported with home care services commissioned by the Council. The cost of home care via external providers was £9,125,870 in 2019/20. Physical support - adults (18–64) • Luton’s domiciliary care contract was awarded in April 2018, Spend on home care services with a duration of 5 years plus 1 plus 1. by group (external) Physical support - older people (65+) • Currently only one provider for hospital intake for domiciliary Sensory support - adults (18–64) care. • In 2019/20 around 750 people* received reablement services Sensory support - older people (65+) with 91% considered ‘independent’ following reablement Support with memory and cognition - support. adults (18–64) Support with memory and cognition - older people (65+) • The Council’s Side by Side Programme is proactively supporting Learning disability support - adults (18– people with low-level support needs to find more personalised, 64) localised and cost-effective solutions to meeting their needs. Learning disability support - older people (65+) This is complemented by programmes such as social prescribing. Mental health support - adults (18–64) This approach may result in an overall decrease in the size of care packages, as practitioners identify alternative sources of Mental health support - older people (65+) support. There is also likely to be a delay and consequent reduction in the number of people seeking and receiving long term care due to better triaging and more effective signposting,

* Local reablement records indicate more referrals but LAS entries are slightly lower

What do we need to do? Next steps • Increase the number of people receiving direct • Develop Resilience Plans based on likely impact of Covid on home care payments, to promote personalisation and enable choice • Explore best practice examples of implementation of models with principles of home [need to address complexity of varying prices/hourly care integrated with community nursing e.g. the Buurtzorg model. rates for DP and impact on choice] • Explore potential for digital/tech solutions or enhancements e.g. ‘just in case’ calls from • Prepare for the rising ageing population in Luton home care providers • Work with colleagues across commissioning and adult • Offer rehabilitation to support people to return to their baseline and continue to live independently social care to quantify the impact on home care of • Support Home Carers to develop their skills and passport these across organisations increasing support for people to live independently at Page 376 of 410 both with courses and contractual expectations 30 home for as long as possible Sheltered Accommodation and Extra Care housing (1)

• The nature of the needs of people living in sheltered housing is changing over time, with an increasing number of younger people of working age as well as people with complex needs. The proportion of older people (of retirement age) in sheltered housing is decreasing. • Demand on sheltered accommodation is impacted by interventions which support people to stay living independently in their own home for longer, including access to assistive technology. • Some sheltered accommodation units have accessibility limits (e.g. no lifts available, or problems with location) • Some sheltered housing properties are located outside of main scheme buildings e.g. Abigail Close bungalows that are part of the Abigail Court sheltered housing scheme but are located separately. These are connected via a Call System and the tenants are subject to the same service offer with full accessibility to the main scheme. • Luton Council has a total of 2 extra care schemes with 91 units but does work in partnership with Homegroup (Applegrove) and Beds Pilgrims Housing Association (BPHA, Betty Dodd and Jill Jenkins Courts) • Luton Council has a total of 834 sheltered housing accommodation units and 91 Extra Care properties. In the past 12 months, we have had 100 vacancies in sheltered accommodation (this number reflects the impact of Covid and is not necessarily generalisable) (occupancy in March 2020 828 and in June 2020 786). • Luton has some sheltered accommodation (self-contained flats, with service provided by sheltered housing officers) that is harder to let (due to lack of facilities e.g. not wheelchair accessible or lack of step-free access) but in general the Council manages supply/demand. However, Luton lets a significant number of properties to applicants with low level housing needs but the demand from those with high level needs does not balance with supply. In order to increase demand, in the last few years the Council has decreased the age criteria. • Despite the number of voids there is still a waiting list for sheltered accommodation due to challenges of accessibility in some units of current provision • There are a high number of applicants who are eligible for sheltered housing but, as above, many of these applicants do not have high levels of housing or care needs. • All schemes are subject to a plan of refurbishments of which 15 of 20 have been completed. • Both Luton Council Extra Care Schemes are scheduled for refurbishment and system upgrades. These are scheduled for 2020-2021.

Page 377 of 410 31 Sheltered Accommodation and Extra Care housing (2)

What do we need to do? Next steps • Better understand the changing profile of sheltered - Scope and quantify the changes to sheltered accommodation and accommodation across the range of schemes, including the interdependencies with other aspects of provision (e.g. extra care, levels of support that are provided into each of the independent living) and implications for provision and demand in the future schemes. - Explore potential for transitioning some sheltered accommodation units to • Determine whether there are areas that need more supply age specific schemes (where the attributes of the block allow for this e.g. • Agree approach to engaging with suppliers of schemes accessible, lifts installed etc.) - Continue with the plan of scheme upgrades where there is demand for more or less of specific kinds of - Investigate use of technology such as Tablets within tenants properties as a supported accommodation method to address social isolation. - Promote and increase social inclusion within schemes as a method increasing social involvement. - Look at ways to generate income from facilities following refurbishment.

Page 378 of 410 32 Long Term Residential and Nursing Care (1)

• In 2019/20, Luton supported 428 people (142 people aged 18-64yrs and 286 people aged 65+) in long-term residential care at a cost of £20,878,113. In addition, Luton Council spent £1,526,144 on short-term residential care. There are 703 residential care beds available. The Council paid for out of borough residential care for ~12 people. • In 2019/20, Luton supported 94 people (21 people aged 18-64yrs and 73 people aged 65+yrs) in long-term nursing care at a cost of £3,734,052. in addition, the Council spent £429,241 on short term nursing care. There are 350 nursing care beds available. The Council paid for out of borough nursing care for ~72 people. • Only one care home in Luton can provide respite care for people with severe physical disabilities • A rising proportion of residents with dementia with associated physical and mental health needs as a result. • Luton has 150 self-funders, making up 19% of the occupancy. • Based on analysis from July-September 2020, the void rate was at 22.5%, illustrating the challenges that COVID-19 has had on the market. Defining residential and nursing care • Luton has an estimated over-supply of residential care beds, and an under-supply of nursing care beds, particularly for placing people with complex packages. There is a need for a shared understanding of how ‘nursing care’ is defined, between commissioners and providers. Supply • Luton currently uses spot purchasing for all nursing and residential care What do we need to do? Next steps • Support older people’s preferences to live independently at home as far - Improve the process for placing people with complex need including as possible, rather than in residential care having sufficient provision to reduce the number of out of borough • Consider what can be done in Residential Beds (as opposed to Nursing placements Beds) with training and support from partners like CCS - Review the data to quantify need and supply to address any gaps in • Agree what is within and outside core hours and what constitutes 1-1 provision of care for people with severe physical disabilities support including areas like tracheostomy care - Explore models for enhanced services in residential care • Work across housing, commissioning and business intelligence to quantify - Explore dual residential and nursing home categories or workforce the impact on residential care future capacity needs of an ageing development to enable short-term nursing care in residential homes, population with increasing morbidity alongside preventative interventions to create more flex in capacity to place people and reduce waiting to support independent living including the impact of Covid lists • Work with providers to consider how tech approaches could maximise - Develop Resilience Plans based on likely impact of Covid on people’s health and independence (eg NEWS iPads) residential care (e.g. over and under supply – consider right level of • Consider cost, volume and block contracts in certain areas of the market flex and market impact) • Determine what 'good' residential looks like - this could be en-suite - Understanding and quantifying the self-funder market and any bathrooms or level of activities and engagement , outcomes achievedPage by379 of 410changes over time individuals or levels of staff competencies - Explore viability of working age adults in out of borough placements33 returning to suitable local services Long Term Residential and Nursing Care (2)

Nursing Homes Nursing Homes Residential Care Residential Care (Long Stay) (Short Stay) Homes (Long Stay) Homes (Short Stay)

Physical support - adults (18–64) £886,413 £19,662 £1,238,782 £76,819 Physical support - older people (65+) £1,493,535 £297,959 £5,601,329 £525,136 Sensory support - adults (18–64) Sensory support – older people (65+) £31,508 £0 Support with memory and cognition - adults (18–64) Support with memory and cognition – older people (65+) £93,185 £271 £607,456 £32,014 Learning disability support - adults (18–64) £380,335 £14,815 £8,336,492 £125,802 Learning disability support – older people (65+) £71,996 £227,317 £7,079 Mental health support - adults (18–64) £229,306 £2,950,923 £580,481 Mental health support - older people (65+) £579,282 £96,534 £1,884,307 £178,813 Grand Total £3,734,052 £429,241 £20,878,113 £1,526,144

Page 380 of 410 34 Mental Health (1)

• It is estimated that in 20202, 25,582 people aged 18-64yrs in Luton have a common mental health disorder, and that 9,795 have two or more psychiatric disorders [PANSI] • The Total Wellbeing programme provides IAPT and Luton’s health lifestyles services. ELFT provides Luton’s Mental Health and Wellbeing Service including community and in-patient services. • Luton has had to secure out of borough supported living arrangements for up to 10 people over the last 2 years, due to inadequate supply within Luton. • People who use Luton’s mental health services have told us they do not want to bounce between services. Luton’s Reimagining Mental Health programme is piloting an ‘open access’ pathway, to provide a multi-agency approach to individuals on that mental health pathway, regardless of their contact point with the system. Other programmes such as Side by Side and Local Area Coordination, as well as Social Prescribing, will improve our community-based support aiming to provide an upstream preventative intervention. • A lot of social care packages for mental health support are done through direct payments and PA - small scale support that means a lot • The Healthwatch 2019 report in to Luton’s healthcare services showed that people wanted to say more support in prevention and early intervention in mental health, better awareness of available services and reduced waiting times. There was some positive feedback about care coordination but some suggestions to improve managing relationships more robustly through transition

Page 381 of 410 35 Mental Health (2) What do we need to do? Next steps • Resolve data interoperability issues across the MH - Build on the developments of Reimagining Mental Health to improve system in order to monitor and track trends, shifts, partnership working across stakeholders involved across the mental health numbers, needs. pathway, including ensuring early offers of lower level community support e.g. • Create a proactive approach between MH social Side by Side or Local Area Coordination workers and housing to provide tailored solutions - Scope options such as peer-led support, access to employment and training for • Develop more open channels of communication those who want jobs - Scope need and solution for providing age-appropriate accommodation for from MH team to understand pipeline of demand young people with complex mental health needs (in partnership with BLMK • Work in partnership with the CCG and stakeholders colleagues) – including transition planning (including providers and service-users) across health - Develop a move on policy for those with MH in temporary accommodation and to ensure a joined up approach wrap around support (housing) • Ensure training and competency across all care - Consider workforce skills to support individuals with complex needs settings e.g. motivational interviewing, trauma- - Build on the existing ISA (secure relevant additional signatories) to ensure an informed approaches and understanding and integrated view of data across health and social care needs for mental health dealing with mental capacity - Scope digital / IT solutions e.g. interoperability between Rio (ELFT) and Liquid • Review level of Housing Related Support provision Logic (LBC), access to System One for key stakeholders - then review data and Ensure sufficient Supported Living providers in business intelligence for evidenced-based service improvements Luton have capacity to support people with mental - Scope designated resource within LBC to support liaison between MH social health needs – to prevent out of borough work and housing placements - Scope possibility of a quota within the Housing Department for housing for • There is still both duplication and gaps in our people with adult social care needs, including people with mental health needs. - Scope internal appetite for market solutions to provide more flexible support current services: we want to streamline through e.g. like floating support joined up working and identify and reduce potential - Scope appropriate tenancy options and explore providers with experience in for people to fall between the gaps MH/ASD/learning disability support • Scope resources to expand programmes to meet - Scope peer-led support offers for increasing resilience unmet need (e.g. Personality Disorder) - Review and update Luton’s mental health needs assessment - Include workforce training and competency in trauma-informed approaches and mental capacity in ASC contracts and quality review - ASC team to recruit a lead for therapies and assistive technology to drive Page 382 of 410 forward this work, in collaboration with the commissioning team 36 Substance Misuse

• 1,209 people in treatment via ResoLUTiONs in last 12 months for opiates (694), non-opiates (81), alcohol (298) or alcohol and non- opiates (136). • A Dual Diagnosis Protocol is now in place with the Total Wellbeing Programme and ELFT to work together for identified individuals, so that one agency can take a lead with each person.

What do we need to do? Next steps

• Resolve data sharing challenges to in order to have a - Scope the impact of Covid-19 on numbers of people with substance misuse jointed up approach to monitoring and track trends, issues and dual diagnosis, and consequent impact on services and future shifts, numbers, needs needs • Embed the dual diagnosis protocol in frontline working - Scope digital / IT solutions for data sharing • Work in partnership with the CCG and stakeholders - Develop robust governance framework to operationalise the delivery of across health to ensure a joined up approach the shared protocol e.g. regular meetings to discuss cases together, clear governance arrangements etc. • Secure frontline awareness and buy-in for the Dual - Work with the providers to scope longer-term solutions such as co-located Diagnosis protocol to develop clear pathways for offices, or co-commissioning of services. implementation - Include workforce training and competency in trauma-informed • Ensure training and competency across all care settings approaches, ASC contracts and quality review e.g. motivational interviewing and trauma-informed - Scope availability of detox residential placements approaches

Page 383 of 410 37 Dementia

• The current dementia strategy (co-produced with Dementia Action Alliance) runs to 2021. • There are an estimated 2,020 people aged 65+ years diagnosed with dementia. By 2035, Luton is likely to have 2,911 people aged 65+ years living with dementia. It is estimated that there are approximately 2,000 people living with cognitive impairment who are not diagnosed. • There are 723 people identified with dementia on Luton’s frailty patient risk tool • As the number of people in Luton with a learning disability increases year on year, with rising life expectancy, we anticipate an increasing number of people with a learning disability diagnosed with dementia • A new Cambridgeshire Community Services dementia specialist service is being piloted, integrated with ELFT’s dementia care service – it currently supports a caseload of ~200 people with moderate or severe dementia • We know that people with dementia stay in hospital longer due to lack of appropriate community provision • During Covid-19, the closure of day centres and unavailability of respite has increased pressure on people with dementia and their carers • It is a contractual requirement for dementia training across all commissioned adult social care services

What do we need to do? Next steps? • Ensure provision of community-based alternatives to extended stays in - New Dementia Strategy to be co-produced with Dementia Action hospital Alliance, in collaboration with the CCG and other stakeholeders to • Support people living with dementia to live independently at home as far ensure join up approach across care settings as possible - Support advanced care planning for people with dementia • Ensure good provision of step-down services to support longer-term - Training for clinical and social care professionals in supporting independent living people with dementia, including Advance Care Planning and referrals for appropriate support via Direct Payments and pre-paid • Increase the number of referrals for Direct Payments and Personal cards Assistants - Develop Covid-19 resilience plans for day centres across • Work across housing, commissioning and business intelligence to quantify - Support training for staff working with people with learning the impact on housing need of a rising population with dementia disability to be equipped to detect early dementia symptoms in alongside early interventions to support independent living people with learning disability • Ensure complementary interventions (social prescribing, Side by Side etc. are equipped with information and advice related to ASC support) such as aids, adaptations, assistive tech Page 384 of 410 38 Learning Disability and Autism Spectrum Disorder (1)

• The Council spends in total circa £12.6M on services to meets the needs of people with a learning disability and/or autism. • Luton Council supported 568 adults with learning disabilities as their primary support reason in 2019/20 • There are over 3,886 people (18yrs+) with a learning disability in Luton in 2020 and this is set to increase to 4,361 by the year 2035 [PANSI] . • There are 1,652 people with autism spectrum disorder in Luton in 2020 and this is predicted to increase to 1,861 by 2035 [PANSI] • There are 33 people with learning disability/autistic spectrum disorder who are placed out of borough because their needs can not be met within Luton • While the overall age of Luton’s population is young there is an increase in the number of people growing older with a learning disability. There are more males in the younger age group accessing services. 50% of adults with a learning disability are from a White British background the ethnicity of those under 18 is more mixed with around 30% from White British and 30% from Pakistani backgrounds. • The majority of Luton adults with a Learning Disability who are receiving social care support are living at home with family or carers. 90% are in Luton and 10% live out of area

Housing • A learning disability / autism spectrum disorder market position statement has been drafted that sets out specific requirements for appropriate housing. Currently housing needs are largely general with support rather than bespoke housing • Between 2015/16 and 2017/18, supported Living placements for people with Learning Disability increased from 150 to 222 placements the largest increase (48%) across placement types. This is due to a change in the preferred accommodation model as well and a change in presenting need through young people coming through transition and reviews from existing placements. • Contracts for accommodation based support in Luton are either on a tendered fixed term contract or on spot purchased agreements. Fixed term contracts are used for people with more consistent needs and spot contracts used where people cannot be met in existing placement contracts. There are some people with a learning disability and autism in fixed term spot contracts but people with autism with no learning disabilities are in spot contracts due to the flexible and individualised requirements. • Luton Council gives preference to working with registered providers e.g. Regulator of Social Housing for housing providers and landlords, and Care Quality Commission for health and social care providers. • Luton prefers that providers of housing and care are separate. This may mean working alongside partner suppliers or providing housing and care provision through separate business entities. This protects the choice and control options for people requiring services. • There is a mixed provision of accommodation: (i) LBC owned property with LBC care provision, provider care provision or no care provision; (ii) Property owned or leased by providers with their care provision, (iii) Property owned or leased by housing associations with a different providers care provision or no care provision; (iv) Private land lord accommodation with a provider care provision or no care provision and (v) Private homes shared with people with a learning disability and or autism. • In the last 5 years there have been two Luton Council owned and two provider owned or leased supported living provisions created for learning disability but no new residential care provision created. • Opportunity for new builds for property for learning disability andPage autism 385 care of 410 needs comes predominantly on the redevelopment of buildings, infill sites or section 106 developments. Increasingly new provision is created by making adaptions to existing property. LBC repurposed at 3 suites39 at Abigail Court (over persons extra care) for learning disability, with up to 2 years license, and monitoring in place to ensure progression. Learning Disability and Autism Spectrum Disorder (2) What do we need to do? Next steps? Learning disability specific Learning disability specific • Deliver the joint LBC LCCG learning disability • Deliver the joint LBC LCCG learning disability Strategy Strategy • Ensure sufficient, appropriate (can accommodate physical disabilities as well) and flexible (range of Autism Spectrum Disorder specific timescales) respite care is available • Develop a neuro-diversity strategy to separate • Scope support to elderly parents reluctant for adult children to move on to residential support out focus on learning disability and autism • Ensure Providers are aware of and equipped to address safeguarding issues e.g. ‘cuckooing’ including disaggregating data • Scope impact of growing population on domiciliary care demand Learning disability & Autism Spectrum Disorder Autism Spectrum Disorder specific • Support people to live independently at home • Co-produce a specific neuro-diversity strategy and action plan, to include a community awareness as far as possible. Independence is the highest component (e.g. similar to community ‘Dementia friends’), and support across the pathway goal in accommodation-based packages. (including information for those losing support as a result of transition to adulthood) Where possible own tenancy is the preferred • Improve quality and completeness of the autism risk register to support prevention and avoidable option, however in certain cases license hospital admission (enable clear communication between mental health and commissioning) arrangements maybe more useful. - Provide a floating / crisis support offer to support early intervention/preventative action • Enabling personalisation and choice for people Learning disability & Autism Spectrum Disorder to live where and with whom they want - Maintain commitment to 2 projects a year to accommodate 10-12 additional people, with • Ensure suitable housing: consideration of the need amongst singles, couples and families • Provision should reflect the diverse - Ensure provision of support for those with low-level ongoing support needs regarding maintain needs across the ethnicity of Luton’s tenancy (e.g. those moving on from Abigail Court) population - Connect in with parallel community provision (social prescribing, Side by Side) to support people to live independently for as long as possible • Supporting seamless transitions, - Ensure sufficient provision for residential care placements within Luton (to reduce the current 33 particularly targeting young adults OOB placements), including supporting transition to adults services (working across BLMK) returning to Luton from out-of- - Agree within the Housing team’s allocation policy for a number of units per year to be made borough educational placements available within residential stock • Reduce reliance on residential care and out- - Commissioning, adult social care team and housing to collaborate on capital bid for acquisitions of-area placements. - Review contracting arrangements to move away from spot contracts to fixed terms to supply both • Some supported living schemes need stability for people in placements and opportunities for contracting at greater scale with financial remodelling or are no longer appropriate efficiencies (properties are in poor condition or too many - Consider workforce skills to support individuals with complex needs are shared units or are widely dispersed) - Support seamless transitions for people with SEND: creating a ‘lead professional role’ to ensure people transitionPage only386 tell of their410 story once; create a transitions checklist; survey young people transitioning to understand experiences; update a local offer (information hub) for SEND, 40 streamlining processes sharing information between childrens’ and adults. Spend on day care by group (in-house Day Services provision) Physical support - adults (18–64)

• In 2019/20, Luton Council commissioned day care support for 547 people. Of Physical support - older people (65+) the approximately 750 people who receive direct payments, some will spend all or a proportion on day care. Support with memory and • Across Luton, there are currently 27 providers of day services providing cognition - older people (65+) services to 390 people. Learning disability support - • Luton Borough Council spends £1,584,558 on external provision of day care adults (18–64) services and £4,500,505 on in-house provision of day care

Day care External Internal Spend on day care by group (external Physical support - adults (18–64) £294,422 £376,197 provision) Physical support – older people Physical support - adults (18– (65+) £30,626 £1,186,747 64) Sensory support - adults (18–64) £841 - Physical support - older people (65+) Support with memory and cognition Sensory support - adults (18–64) - adults (18–64) £17,630 - Support with memory and cognition Support with memory and cognition - adults (18–64) – older people (65+) £4,140 £415,235 Support with memory and Learning disability support - adults cognition - older people (65+) Learning disability support - (18–64) £1,236,898 £2,505,867 adults (18–64) Commissioning & Service Delivery - £16,459

What do we need to do regarding day services in Luton? Next steps? • Direct payments to focus on an enablement approach which supports - Develop Resilience Plans based on likely impact of Covid on people to be more independent to reach their goals and inspirations provision of day services e.g. providing support that allows for social reducing the need for direct payment support distancing • Prepare for the rising ageing population in Luton - Day opportunity services to be remodelled to a more flexible offer • Work with colleagues across commissioning and adult social care to which potentially includes evenings, weekends and purchasing bite quantify the impact on day care of increasing support for people to live sized sessions - Day services to focus on enabling people to progress and move on independently at home for as long as possible from services to enable people to fulfil their aspirations and manage • Consider options for pooled direct payments for people who have demand similar needs and interests, beneficial in terms of people developingPage 387 of 410 41 friendships and a social circle as well as being cost effective Supported Living

Spend on Supported Living by group (Independent sector) • During 2019/20, 158 people were helped with supported living arrangements. Physical support - adults (18–64) • The Council spends £5.7m on supported living Physical support - older people (65+) with providers providing a range of accommodation, from small facilities (2-6 Sensory support - adults (18–64) people) to accommodation for 20+ people. Sensory support - older people (65+) • The Council does have a challenge with the provision of specialist supported Support with memory and cognition - adults (18–64) accommodation for people with complex needs; Support with memory and cognition - older people there is insufficient stock to accommodate (65+) people with complex needs. There are high Learning disability support - adults (18–64) numbers of requests for people with learning Learning disability support - older people (65+) disability and complex needs but low availability. Mental health support - adults (18–64) Mental health support - older people (65+)

What do we need to do? Next steps

• Co-produce service specification with providers in the future • Consider what specific services will be needed for people with dual • Greater understanding of what provision is available for learning diagnosis disability and complex needs • Review needs for specific services to meet the needs of service users with physical disabilities e.g. ground floor provision and adaptions. • Agree within the Housing team’s allocation policy for a number of units per year to be made available for people with ASC needs from the Council’s residential stock, within a wider agreement to support corporate priorities • Commissioning, ASC team and housing to collaborate and scope a capital bid for acquisitions

Page 388 of 410 42 Physical Disabilities, Sensory Impairment, Acquired Brian Injury • During 2019/20, Luton’s Adult Social Care services supported 758 people with physical ASC for adults 18-64 with ASC for older people 65+ with support ‘personal care support’ and 792 'physical support' needs 'physical support' needs people with physical support ‘access and Daycare (internal and external) £670,619 £1,217,374 mobility only’ as their primary support Homecare £1,265,705 £7,153,654 reason. Direct payments £2,899,792 £1,983,610 • During 2019/20, Luton’s Adult Social Care services supported: ASC for sensory support ASC for sensory support – • 18 people with ‘Sensory support: adults 18 -64yrs older people (65+) support for visual impairment’ Day care (external) £841 • 3 people with ‘Sensory support – Homecare £18,525 £4,787 Support for Dual impairment’ • 5 people with sensory support – Direct payments £145,796 £38,223 support for hearing impairment

2020 2025 2030 2035 People aged 18-24 predicted to have a moderate or serious personal care disability 195 203 231 241 People aged 25-34 predicted to have a moderate or serious personal care disability 634 584 562 590 People aged 35-44 predicted to have a moderate or serious personal care disability 1,155 1,221 1,173 1,099 People aged 45-54 predicted to have a moderate or serious personal care disability 1,572 1,626 1,794 1,891 People aged 55-64 predicted to have a moderate or serious personal care disability 2,341 2,509 2,499 2,583 Total population aged 18-64 predicted to have a moderate or serious personal care disability 5,897 6,144 6,258 6,404

What do we need to do? Next steps

• Develop work-plans to scope adult social care support for these - Scope relevant strategies for these areas of work areas - Scope support offer to people with sensory impairment who do not have a diagnosis of learning disability or ASD Page 389 of 410 43 Quality and workforce

• The Council uses the ADASS framework for quality and Provider Assessment and Market Management System (PAMS) for assessment and online monitoring • Testing revised approach to escalation procedure (for inadequate or requires improvement) • Currently have significant flux in the workforce • Luton Borough Council quality assure 77 services (12 services in Domiciliary Care, 13 residential services for people with learning disability, 6 nursing homes, 15 residential care homes, 7 mental health services, and 24 non-statutory services) • Of residential care homes, the CQC ratings are: 1 x Outstanding, 60 x Good (including 35 domiciliary care), 14 x Requires Improvement (including 4 Domiciliary care) and 3 x Inadequate.

What do we need to do? (Quality & Next steps Workforce) • The Council will be strengthening its approach to • Service Reviews will bring together a range of information, include softer quality assurance in ASC intelligence from health and social care professionals • Balance support with a drive for accountability • Scope approaches to quality assurance for services not commissioned through and sustainability the Council • Invest in workforce development to improve • Review of escalation procedure. Provider failure plan to be implemented. retention • Programme of support for providers to encourage Sustainability of Quality in the market • Review of recruitment and retention and development of registered managers. • Wider workforce development support (e.g. subsidising training, development pathway, upskilling staff, explore value based recruitment, promoting managing and service-specific training opportunities) • Wrap-around service for providers across BLMK • Build on progress during C-19 of strengthened relationships with providers with Partners (e.g. aligned social workers, PCN networks) • Consider how training and quality approaches are sufficiently broad to be appropriate to range of providers (including non-commissioned services)

Page 390 of 410 44 Procurement

• Luton’s Prosperity through Procurement focuses on achieving significantly improved outcomes in our community through the Council’s purchasing and commissioning activities. This applies across Luton’s Adult Social Care services.

What do we need to do? Next steps • Use our procurement processes to promote When letting social care contracts, look to: local prosperity and encourage small providers • Encourage suppliers to employ local people • Where appropriate on large value contacts (procured in line with the Public Contract Regulations 2015) to use local sub-contractors • Ensure providers have a Social Value Framework to ensure that additional benefits are delivered from relevant tender activity • Diversify our supply chain • Support small and medium sized businesses to engage with the public sector through a programme of engagement events to help promote ways that local suppliers can participate in tenders and look to remove some of the barriers. • Ensure that all opportunities are published on our e-tendering portal to maximise interest and competition. • Encourage providers to work on an open-book basis to really assist and develop and support to be sustainable in the market • Lighter touch procurement approaches e.g. using Dynamic Purchasing System (e.g. framework to draw down on but can on-board once a year) • Review spot and block purchasing • Consider inclusion of prevention approaches within tenders Page 391 of 410 45 Timeline: 2020/21, 2021/22 and 2022/23 (1)

Priority 2020/21 2021/22 2022/23 Carers • Co-produce Carers strategy • Consider use of Pre-Paid Cards for • Undertake Carers needs assessment annual carers direct payment (where eligible) Early and • Continue to develop these approaches in • Measure the impact of the approaches on preventive partnership with Active Luton and the demand for services support Primary Care Networks • Implement the Local Area Coordination project Community • Build on the use of technology (iPads, • Pilot further tech innovations in Sheltered equipment Canary assessment tools etc) to support Accommodation and activity such as placements, • Pilot extended tech use in people’s homes assistive assessments/reassessments and potentially building on Care Lines products technology for some elements of the quality • Explore how assistive technology can monitoring work) increase independence in care settings • Continue digital switchover (ongoing) and deliver value for money

Advocacy • Continue to engage advocacy services to • Transition from DOLS to LPS in line with support people across adult social care and national legislation respond to any feedback to ensure ongoing service improvement Direct • Revise commissioning arrangements for the • Scope potential for Individual Service • Scope linkages to other areas where payments direct payments contract Funds (ISFs) as a complementary offer training in eligibility for DPs is • Ongoing implementation of roll-out of pre- alongside direct payments, and market relevant e.g. for personal assistants paid cards solutions to this development for people with dementia • Setting up of in-house provision for • Scope approach to ensuring there is • Work with community-based and managed/holding accounts/pre-paid cards. oversight of quality in the provision of user-led sectors to develop a wide services paid for through DPs range of activities across all care • Explore how direct payment users can groups with access to DP take advantage of LBC contracts to secure • Seek to increase personal assistants competitive rates from a range of genders, ethnicities and backgrounds in order to provide Page 392 of 410 culturally sensitive services 46 Timeline: 2020/21, 2021/22 and 2022/23 (2)

Priority 2020/21 2021/22 2022/23 Older • Scope impact of Covid on Older People’s demand • Implement strategies for independent living people across service areas – what capacity we have in the e.g. digital solutions market and what we will need • Scope impact on ASC support services of plans • Alignment with community approaches to support for housing provision (extra care/sheltered independent living (including community and accommodation) district nursing), social prescribing, Side by Side, Networks of Wellbeing Groups) Domiciliary • Develop Resilience Plans based on likely impact of • Explore potential for digital / tech solutions or care Covid on home care enhancements • Offer rehabilitation to support people to return to • Support Home Carers to develop their skills and their baseline and continue to live independently passport these across organisations both with courses and contractual expectations • Explore best practice examples of implementation of models with principles of home care integrated with community nursing and therapy e.g. the Buurtzorg model. Sheltered • Scope and quantify the changes to sheltered • Continue with the plan of scheme upgrades • Continue with scheme accommod accommodation and interdependencies with other • Investigate use of technology such as Tablets upgrade schedule. ation aspects of provision (e.g. extra care, independent within tenants properties as a method to living) and implications for provision and demand address social isolation. in the future • Promote and increase social inclusion within • Explore potential for transitioning some sheltered schemes as a method increasing social accommodation units to age specific schemes involvement. (where the attributes of the block allow for this e.g. • Look at ways to generate income from facilities accessible, lifts installed etc.) following refurbishment. Residential • Develop Resilience Plans based on likely impact of • Review the data to quantify need and supply to • Understanding and and Covid on residential care address any gaps in provision of respite care for quantifying the self- nursing • Consider the need to incentivise certain parts of people with severe physical disabilities funder market and any care the market • Improve the process for placing people with changes over time • Explore models for enhanced services in residential complex need including sufficient provision to • Explore viability of care reduce the number of out of borough working age adults in out • Explore dual residential and nursing home placements of borough placements categories Page• 393Consider of 410 need to add areas around service returning to suitable competence to contracts local age appropriate47 services Timeline: 2020/21, 2021/22 and 2022/23 (3)

Priority 2020/21 2021/22 2022/23 Mental • Build on the developments of Reimagining • Review data and business intelligence for • Include workforce training health Mental Health to improve partnership evidenced-based service improvements and competency in trauma- working across stakeholders involved across (dependent on data solution for interoperability) informed approaches and the mental health pathway • Scope appropriate tenancy options and explore mental capacity in ASC • Build on the existing ISA (secure relevant providers with experience in MH/ASD/learning contracts and quality review additional signatories) to ensure an disability support • Scope internal appetite for integrated view of data across health and • Scope options such as peer-led support, for market solutions to provide social care needs for mental health increasing resilience and access to employment more flexible support e.g. like • Develop a move on policy for those with for those who want jobs floating support MH in temporary accommodation and wrap • Scope need and solution for providing age- around support (housing) appropriate accommodation for young people • Scope designated resource within LBC to with complex mental health needs (in partnership support liaison between MH social work with BLMK colleagues) – including transition and housing planning • Scope digital / IT solutions e.g. • Scope possibility of a quota within the Housing interoperability between Rio (ELFT) and Department for housing for people with adult Liquid Logic (LBC), access to System One for social care needs, including people with mental key stakeholders health needs. • Review and update Luton’s mental health • Consider workforce skills to support individuals needs assessment with complex needs • ASC team to recruit a lead for therapies and assistive technology to drive forward this work, in collaboration with the commissioning team Substance • Scope the impact of Covid-19 on numbers • Work with the providers to scope longer-term • Scope availability of detox misuse of people with substance misuse issues and solutions such as co-located offices, or co- residential placements dual diagnosis, and consequent impact on commissioning of services. services and future needs • Include workforce training and competency in • Scope digital / IT solutions for data sharing trauma-informed approaches ASC contracts and • Develop robust governance framework to quality review operationalise the delivery of the shared protocol e.g. regular meetings to discuss Page 394 of 410 cases together, clear governance 48 arrangements etc. Timeline: 2020/21, 2021/22 and 2022/23 (4) Priority 2020/21 2021/22 2022/23 Dementia • Develop Covid-19 resilience plans for day • New Dementia Strategy to be co-produced with • Requirement for centres across Dementia Action Alliance, in collaboration with the CCG dementia training across and other stakeholders to ensure join up approach all commissioned adult across care settings social care services • Support advanced care planning for people with • Support training for staff dementia working with people with • Training for clinical and social care professionals in learning disability to be supporting people with dementia, including ACP and equipped to detect early referrals for appropriate support via direct payments dementia symptoms in and pre-paid cards people with learning disability (confidence) Learning • Deliver the joint LBC LCCG learning • Ensure sufficient, appropriate (can accommodate • Scope support to elderly disability disability Strategy physical disabilities as well) and flexible (range of parents reluctant for and • Maintain commitment to 2 projects a year timescales) respite care is available adult children to move on Autism to accommodate 10-12 additional people, • Ensure Providers are aware of and equipped to address to residential support Spectrum with consideration of the need amongst safeguarding issues e.g. ‘cuckooing’ • Co-produce a specific Disorder singles, couples and families • Scope impact of growing population on domiciliary care neuro-diversity strategy • Connect in with parallel community demand and action plan, to provision (social prescribing, Side by Side) • Improve quality and completeness of the autism risk include a community to support people to live independently for register to support prevention and avoidable hospital awareness component as long as possible admission (enable clear communication between (e.g. similar to community • Agree within the Housing team’s allocation mental health and commissioning) ‘Dementia friends’), and policy for a number of units per year to be • Ensure provision of support for those with low-level support across the made available within residential stock ongoing support needs regarding maintain tenancy pathway (including • Commissioning, ASC and housing to (e.g. those moving on from Abigail Court) information for those collaborate on capital bid for acquisitions • Ensure sufficient provision for residential care losing support as a result • Support seamless transitions for people placements (to reduce the current 33 OOB placements) of transition to with SEND: creating a ‘lead professional including supporting transition to adults services adulthood) role’ to ensure people transition only tell (working across BLMK) • Provide a floating / crisis their story once; create a transitions • Review contracting arrangements to move away from support autism offer to checklist; survey young people transitioning spot contracts to fixed terms to supply both stability for support early to understand experiences; update a local people in placements and opportunities for contracting intervention/preventative offer (information hub) for SEND, at greater scale with financial efficiencies action Page 395 of 410 streamlining processes sharing information • Consider workforce skills to support individuals with 49 between childrens’ and adults. complex needs Timeline: 2020/21, 2021/22 and 2022/23 (5)

Priority 2020/21 2021/22 2022/23 Day services • Develop Resilience Plans based on likely • Day services to focus on enabling people to impact of Covid on provision of day progress and move on from services to enable services people to fulfil their aspirations and manage demand • Day opportunity services to be remodelled to a more flexible offer potentially including evenings, weekends and purchasing bite sized sessions

Supported • Scope the need for specific services for • Review needs for specific services to meet the living people with dual diagnosis needs of service users with physical disabilities • Agree within the Housing team’s e.g. ground floor provision and adaptions. allocation policy for a number of units per • Co-produce service specification with providers in year to be made available for people with the future adult social care needs from the Council’s residential stock • Commissioning, ASC team and housing to collaborate and scope a capital bid for acquisitions

Physical • Develop specific strategies and work plans • Scope support offer to people Disabilities, with sensory impairment who Sensory do not have a diagnosis of Impairment, learning disability or autism Acquired spectrum disorder Brain Injury

Page 396 of 410 50 Timeline: 2020/21, 2021/22 and 2022/23 (6)

Priority 2020/21 2021/22 2022/23 Quality / • Service Reviews will bring together • Scope approaches to quality assurance for • Consider how training and Workforce a range of information, include services not commissioned through the Council quality approaches are development softer intelligence from health and • Programme of support for providers to encourage sufficiently broad to be social care professionals Sustainability of Quality in the market appropriate to range of • Review of escalation procedure. • Wrap-around service for providers across BLMK providers (including non- Provider failure plan to be • Review of recruitment and retention and commissioned services) implemented. development of registered managers. • Build on progress during C-19 of • Wider workforce development support (e.g. strengthened relationships with subsidising training, development pathway, providers with Partners (e.g. aligned upskilling staff, explore value based recruitment, social workers, PCN networks) promoting managing and service-specific training opportunities)

Procurement • Ensure providers have a Social Value • Encourage providers to work on an open-book Framework to ensure that basis to really assist and develop and support to additional benefits are delivered be sustainable in the market from relevant tender activity • Lighter touch procurement approaches e.g. using • Encourage suppliers to employ local Dynamic Purchasing System people • Review spot and block purchasing • Diversify our supply chain • Where appropriate on large value contacts • Support small and medium sized (procured in line with the Public Contract businesses to engage with the Regulations 2015) to use local sub-contractors public sector through a programme of engagement events • Ensure that all opportunities are published on our e-tendering portal to maximise interest and competition.

Page 397 of 410 51 KPIs

• Sustainable budget (including savings targets) • Support to access training and employment • Reduced dependence on statutory services (Measured by less contact with statutory services including housing, day services) • Supporting people to remain in their own homes • Increase percentage who are completing rehab and not deteriorating again • Fewer urgent referrals to Mental Health and Adult Social Care Teams • Reduced evictions and cost to housing • Fewer surprises when people transition from Children to Adult services • Reduction in numbers of people who are placed out of area • Reduction in average care and support hours (need to quantify) • Reduction in numbers of people who are homeless • Fewer urgent/unscheduled visits to hospital, dentist, GPs

• Reduction in waiting times Page 398 of 410 52 Appendix B Integrated Impact Assessment Form (IIA)

The key aim of an impact assessment is to ensure that all Council policies, plans and strategies support the corporate mission statement

‘Enabling Luton to be proud, vibrant, ambitious and innovative’.

When do I need to do an IIA?

 An IIA must be started at the beginning of any project, policy or strategy, and cannot be finalised until such time as all consultations, as required, are undertaken.

Page 399 of 410 Appendix B Integrated Impact Assessment Form (IIA)

Proposal Title: Updated Market Position Statement Lead Officer Name: Luke O’Byrne Date of IIA: 12.11.2020

Date updated after consultation: No consultation undertaken at the moment. A range of internal and external stakeholders have been involved in the development of the MPS and will remain involved as the actions become firmed up. Early draft Seen by: (Please send an early draft of your IIA to the SJU to ensure all impacts are being considered at the appropriate time)

Finalised IIA Signed and seen by SJU : Name: Date

Names of all other contributors and Sally Cartwright stakeholders involved in the preparing of this proposal who have been consulted with and agreed this assessment: (Please note the IIA must not be carried out by one person) If there is any potential impact on staffing n/a please include the name/s of the trade union representative/s involved in the preparation of this assessment or any supporting evidence of request to participate:

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Proposal Outline

1. The updated Market Position Statement outlines the current services provided by Luton’s Adult Social Care services, together with a direction of travel for the future.

2. The Statement sets out 8 priorities for adult social care in Luton, together with key messages to the market about shaping the future of services. The document also sets out a high-level timeline for work across service areas and client groups over the next 3 financial years.

3. The Market Position Statement aims to provide up-to-date information to the market and be used to communicate how we expect our services to change in the future.

4. Adult social care supports people with a range of physical impairments and people with mental ill health. This Statement looks across everyone in need of social care to ensure Luton’s population gets the best care support possible.

5. Any specific priorities or actions taken forward will require further analysis to understand their impact at which point IIAs will be carried out.

Page 401 of 410 Appendix B Integrated Impact Assessment Form (IIA)

Citizens/Community Staff (for HR related issues) Protected Groups Positive Negative Neutral Positive Negative Neutral Race X Sex X Disability X Sexual Orientation X Age X Religion/Belief X Gender Reassignment X Pregnancy/Maternity X Marriage/Civil Partnership X (HR issues only) Care Responsibilities2

Page 402 of 410 Appendix B Integrated Impact Assessment Form (IIA)

Please answer the following questions:

1. Research and Consultation

The content of the updated Market Position Statement has been informed by national and local datasets with demographic and epidemiological data relating to our population social care current needs and estimated future needs.

The document sets out strategic priorities and intentions for future action. However, the priorities and activities will require further scoping to understand the impact on the specific population, the value for money and outcomes of any proposed changes and consultation with providers and service users would be required where services were likely to be changed.

Click here for the LBC Consultation Portal As above, not yet but this would need to happen prior to implementation of any strategic actions.

1.3. Have you carried out any specific consultation with citizens likely to be affected by the proposal? If yes, please insert details, links to documents, as appropriate above. Please show clearly who you consulted with, when you consulted and the outcomes from the consultation. Mitigations from consultation should be clearly shown in Action Plan at end of document. For advice and support from Consultation Team click here As above, not yet but this would need to happen prior to implementation of any strategic actions.

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Appendix B Integrated Impact Assessment Form (IIA)

2. Impacts Identified

2.3. Where you have identified a neutral* impact for any group, please explain why you have made this judgement. You need to be confident that you have provided a sufficient explanation to justify this judgement. Guidance Notes: By neutral impact we mean that there will be no noticeable impact on people sharing a characteristic The impact have all been rated as neutral. However further analysis is required to determine the impact of any individual work priorities emerging from the updated Statement.

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Appendix B Integrated Impact Assessment Form (IIA)

3. Social & Health Impacts

For advice & support from the Social Justice Unit click here

For advice and support from the Public Health team click here

Appendix B Integrated Impact Assessment Form (IIA)

4. Environment Impacts

Waste Hierarchy

For advice and support from the Strategy & Sustainability Team click here

Appendix B Integrated Impact Assessment Form (IIA)

5. Economic Impacts

For advice and support on Economic Development click here The Market Position Statement identifies 8 priorities for adult social care, one of which is strengthening quality assurance processes and developing the social care workforce. It is anticipated that actions to take this priority forward would result in improved working conditions and supporting staff retention rates in social care. The Market Position Statement also supports Luton’s Prosperity through Procurement ambition to support improved outcomes in our community through the Council’s purchasing and commissioning activities.

Appendix B Integrated Impact Assessment Form (IIA)

Responsible Date Completed Action Deadline Intended Outcome Officer / Ongoing Market Ongoing in Luke O’Byrne Strengthened 2021 engagement 2021 engagement with the following social care market to publication of the align priorities for the Statement sector.

A review of the action plan will be prompted 6 months after the date of completion of this IIA.

Key Contacts Name Position

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Appendix B Integrated Impact Assessment Form (IIA)

Completed and signed IIA’s will be published on the internet once the democratic process is complete

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